[Title 14 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 1999 Edition]
[From the U.S. Government Printing Office]
14
Aeronautics and Space
[[Page i]]
PARTS 200 TO 1199
Revised as of January 1, 1999
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF JANUARY 1, 1999
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1999
For sale by U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 14:
Chapter II--Office of the Secretary, Department of
Transportation (Aviation Proceedings)............... 3
Chapter III--Commercial Space Transportation,
Federal Aviation Administration, Department of
Transportation...................................... 531
Finding Aids:
Table of CFR Titles and Chapters........................ 559
Alphabetical List of Agencies Appearing in the CFR...... 577
List of CFR Sections Affected........................... 587
[[Page iv]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 14 CFR 200.1 refers
to title 14, part 200,
section 1.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
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parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
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OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
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[[Page vii]]
The Office of the Federal Register also offers a free service on the
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Raymond A. Mosley,
Director,
Office of the Federal Register.
January 1, 1999.
[[Page ix]]
THIS TITLE
Title 14--Aeronautics and Space is composed of five volumes. The
parts in these volumes are arranged in the following order: parts 1-59,
60-139, 140-199, 200-1199, and part 1200-End. The first three volumes
containing parts 1-199 are comprised of chapter I--Federal Aviation
Administration, Department of Transportation (DOT). The fourth volume
containing parts 200-1199 is comprised of chapter II--Office of the
Secretary, DOT (Aviation Proceedings) and chapter III--Commercial Space
Transportation, Federal Aviation Administration, DOT. The fifth volume
containing part 1200-End is comprised of chapter V--National Aeronautics
and Space Administration. The contents of these volumes represent all
current regulations codified under this title of the CFR as of January
1, 1999.
Redesignation tables appear in the Finding Aids section of the
volume containing parts 60-139.
For this volume, Melanie L. Marcec was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Frances D. McDonald, assisted by Alomha S. Morris.
[[Page x]]
[[Page 1]]
TITLE 14--AERONAUTICS AND SPACE
(This book contains parts 200 to 1199)
--------------------------------------------------------------------
Part
Chapter II--Office of the Secretary, Department of
Transportation (Aviation Proceedings)..................... 200
Chapter III--Commercial Space Transportation, Federal
Aviation Administration, Department of Transportation..... 400
[[Page 3]]
CHAPTER II--OFFICE OF THE SECRETARY, DEPARTMENT OF TRANSPORTATION
(AVIATION PROCEEDINGS)
--------------------------------------------------------------------
Editorial Note: Chapter II was transferred from the Civil Aeronautics
Board to the Department of Transportation on January 1, 1985. For a
document giving the disposition of CAB regulations once the Agency
ceased to exist, see 50 FR 452, Jan. 4, 1985.
SUBCHAPTER A--ECONOMIC REGULATIONS
Part Page
200 Definitions and instructions................ 7
201 Air carrier authority under Subtitle VII of
Title 49 of The United States Code--
[Amended]............................... 7
203 Waiver of Warsaw Convention liability limits
and defenses............................ 9
204 Data to support fitness determinations...... 10
205 Aircraft accident liability insurance....... 17
206 Certificates of public convenience and
necessity: Special authorizations and
exemptions.............................. 21
207 Charter trips by U.S. scheduled air carriers 22
208 Charter trips by U.S. charter air carriers.. 23
211 Applications for permits to foreign air
carriers................................ 23
212 Charter rules for U.S. and foreign direct
air carriers............................ 29
213 Terms, conditions and limitations of foreign
air carrier permits..................... 38
214 Terms, conditions, and limitations of
foreign air carrier permits authorizing
charter transportation only............. 40
215 Use and change of names of air carriers,
foreign air carriers and commuter air
carriers................................ 41
216 Commingling of blind sector traffic by
foreign air carriers.................... 42
217 Reporting traffic statistics by foreign air
carriers in civilian scheduled, charter,
and nonscheduled services............... 44
218 Lease by foreign air carrier or other
foreign person of aircraft with crew.... 55
[[Page 4]]
221 Tariffs..................................... 56
222 Intermodal cargo services by foreign air
carriers................................ 149
223 Free and reduced-rate transportation........ 153
232 Transportation of mail, review of orders of
Postmaster General...................... 156
234 Airline service quality performance reports. 158
240 Inspection of accounts and property......... 162
241 Uniform system of accounts and reports for
large certificated air carriers......... 163
243 Passenger manifest information.............. 269
247 Direct airport-to-airport mileage records... 272
248 Submission of audit reports................. 272
249 Preservation of air carrier records......... 273
250 Oversales................................... 278
252 Smoking aboard aircraft..................... 282
253 Notice of terms of contract of carriage..... 284
254 Domestic baggage liability.................. 286
255 Carrier-owned computer reservations systems. 286
256 Display of joint operations in carrier-owned
computer reservations systems........... 292
271 Guidelines for subsidizing air carriers
providing essential air transportation.. 292
272 Essential air service to the Freely
Associated States....................... 295
291 Cargo operations in interstate air
transportation.......................... 299
292 International cargo transportation.......... 302
294 Canadian charter air taxi operators......... 304
296 Indirect air transportation of property..... 312
297 Foreign air freight forwarders and foreign
cooperative shippers associations....... 313
298 Exemptions for air taxi and commuter air
carrier operations...................... 317
SUBCHAPTER B--PROCEDURAL REGULATIONS
300 Rules of conduct in DOT proceedings under
this chapter............................ 330
302 Rules of practice in proceedings............ 337
303 Review of air carrier agreements............ 405
305 Rules of practice in informal nonpublic
investigations.......................... 410
313 Implementation of the Energy Policy and
Conservation Act........................ 412
314 Employee protection program................. 414
323 Terminations, suspensions, and reductions of
service................................. 417
[[Page 5]]
325 Essential air service procedures............ 423
SUBCHAPTER C [RESERVED]
SUBCHAPTER D--SPECIAL REGULATIONS
372 Overseas military personnel charters........ 426
374 Implementation of the Consumer Credit
Protection Act with respect to air
carriers and foreign air carriers....... 433
374a Extension of credit by airlines to Federal
political candidates.................... 434
375 Navigation of foreign civil aircraft within
the United States....................... 438
377 Continuance of expired authorizations by
operation of law pending final
determination of applications for
renewal thereof......................... 449
380 Public charters............................. 451
381 Special event tours......................... 468
382 Nondiscrimination on the basis of disability
in air travel........................... 470
383 Civil penalties............................. 487
SUBCHAPTER E--ORGANIZATION
385 Staff assignments and review of action under
assignments............................. 488
389 Fees and charges for special services....... 501
SUBCHAPTER F--POLICY STATEMENTS
398 Guidelines for individual determinations of
basic essential air service............. 507
399 Statements of general policy................ 510
[[Page 7]]
SUBCHAPTER A--ECONOMIC REGULATIONS
PART 200--DEFINITIONS AND INSTRUCTIONS--Table of Contents
Sec.
200.1 Terms and definitions.
200.2 Instructions.
Authority: 49 U.S.C. Chapters 401, 411, 413, 415, 417, 461.
Sec. 200.1 Terms and definitions.
Unless otherwise specifically stated, words and phrases other than
those listed in this section have the meaning defined in the Statute.
(a) Board or CAB means the Civil Aeronautics Board.
(b) Department or DOT means the Department of Transportation.
(c) Act means the Federal Aviation Act of 1958, as amended.
(d) Section refers to a section of the Statute or a section of the
regulations in this chapter, as indicated by the context. The terms this
section, pursuant to this section, in accordance with the provisions of
this section, and words of similar import when used in this chapter
refer to the section of this subchapter in which such terms appear.
(e) Rule, regulation, and order refer to the rules, regulations, and
orders prescribed by the Board or the Department pursuant to the
Statute.
(f) Statute when used in this chapter means Subtitle VII of Title 49
of the United States Code (Transportation).
(g) FAA means the Federal Aviation Administration, U.S. Department
of Transportation.
(h) BTS means the Bureau of Transportation Statistics, U.S.
Department of Transportation.
[Doc. No. 47939, 57 FR 40100, Sept. 2, 1992, as amended by Amdt. No.
OST-95-397, 60 FR 43523, Aug. 22, 1995; 60 FR 66722, Dec. 26, 1995]
Sec. 200.2 Instructions.
The regulations of the Department may be cited by section numbers.
For example, this regulation may be cited as ``Sec. 200.2 of the
Aviation Economic Regulations.'' The sections contained in the Rules of
Practice may also be cited by appropriate rule numbers. (See Sec. 302.2
of this chapter.) For example, 14 CFR 302.10 may be cited as ``rule 10
of the Rules of Practice.''
[Doc. No. 47939, 57 FR 40100, Sept. 2, 1992]
PART 201--AIR CARRIER AUTHORITY UNDER SUBTITLE VII OF TITLE 49 OF THE UNITED STATES CODE--[AMENDED]--Table of Contents
Subpart A--Application Procedures
Sec.
201.1 Formal requirements.
201.2 Amendments.
201.3 Incorporation by reference.
201.4 General provisions concerning contents.
201.5 Advertising and sales by applicants.
Subpart B--Certificate Terms, Conditions, and Limitations
201.6 Applicability.
201.7 General certificate conditions.
Authority: 5 U.S.C. 1008; 49 U.S.C. Chapters 401, 411, 413, 415,
417.
Source: Docket No. 47582, 57 FR 38765, Aug. 27, 1992, unless
otherwise noted.
Subpart A--Application Procedures
Sec. 201.1 Formal requirements.
(a) Applications for certificates of public convenience and
necessity under section 41102 of the Statute and for interstate all-
cargo air transportation certificates under section 41103 of the Statute
shall meet the requirements set forth in part 302 of this chapter as to
general requirements, execution, number of copies, service, and formal
specifications of papers.
(b) Any person desiring to provide air transportation as a commuter
air carrier must comply with the registration provisions of part 298 of
this chapter and submit data to support a fitness determination in
accordance with part 204 of this chapter. An executed original plus two
(2) true copies of the registration form and fitness data shall be
[[Page 8]]
filed with the Chief, Air Carrier Fitness Division.
(Approved by the Office of Management and Budget under control number
2106-0023)
[Docket No. 47582, 57 FR 38765, Aug. 27, 1992, as amended at 60 FR
43523, Aug. 22, 1995]
Sec. 201.2 Amendments.
If, after receipt of any application, the Department asks the
applicant to supply additional information, such information shall be
furnished in the form of a supplement to the original application.
Sec. 201.3 Incorporation by reference.
Incorporation by reference shall be avoided. However, where two or
more applications are filed by a single carrier, lengthy exhibits or
other documents attached to one may be incorporated in the others by
reference if that procedure will substantially reduce the cost to the
applicant.
Sec. 201.4 General provisions concerning contents.
(a) All pages of an application shall be consecutively numbered, and
the application shall clearly describe and identify each exhibit by a
separate number or symbol. All exhibits shall be deemed to constitute a
part of the application to which they are attached.
(b) All amendments to applications shall be consecutively numbered
and shall comply with the requirements of this part.
(c) Requests for authority to engage in interstate air
transportation shall not be included in the same application with
requests for authority to engage in foreign air transportation.
Similarly, requests for authority to engage in scheduled air
transportation under section 41102 of the Statute shall not be included
in the same application with requests for authority to engage in charter
air transportation under section 41102 of the Statute or with requests
for authority to engage in interstate all-cargo air transportation under
section 41103 of the Statute.
(d) Each application shall specify the type or types of service
(passengers, property or mail) to be rendered and whether such services
are to be rendered on scheduled or charter operations.
(e) Each application for foreign scheduled air transportation shall
include an adequate identification of each route for which a certificate
is desired, including the terminal and intermediate points to be
included in the certificate for which application is made.
(f) Each application shall give full and adequate information with
respect to each of the relevant filing requirements set forth in part
204 of this chapter. In addition, the application may contain such other
information and data as the applicant shall deem necessary or
appropriate in order to acquaint the Department fully with the
particular circumstances of its case; however, the statements contained
in an application shall be restricted to significant and relevant facts.
(Approved by the Office of Management and Budget under control number
2106-0023)
[Docket No. 47582, 57 FR 38765, Aug. 27, 1992, as amended at 60 FR
43523, Aug. 22, 1995]
Sec. 201.5 Advertising and sales by applicants.
(a) An applicant for new or amended certificate or commuter air
carrier authority shall not:
(1) Advertise, list schedules, or accept reservations for the air
transportation covered by its application until the application has been
approved by the Department; or
(2) Accept payment or issue tickets for the air transportation
covered by its application until the authority or amended authority has
become effective or the Department issues a notice authorizing sales.
(b) An applicant for new or amended certificate or commuter air
carrier authority may not advertise or publish schedule listings for the
air transportation covered by its application after the application has
been approved by the Department (but before all authority issued by DOT,
including the FAA, becomes effective) unless such advertising or
schedule listings prominently state: ``This service is subject to
receipt of government operating authority.''
[[Page 9]]
Subpart B--Certificate Terms, Conditions, and Limitations
Sec. 201.6 Applicability.
Unless the certificate or the order authorizing its issuance shall
otherwise provide, such terms, conditions and limitations as are set
forth in this part, and as may from time to time be prescribed by the
Department, shall apply to the exercise of the privileges granted by
each certificate issued under section 41102 or section 41103 of the
Statute.
[Docket No. 47582, 57 FR 38765, Aug. 27, 1992, as amended at 60 FR
43523, Aug. 22, 1995]
Sec. 201.7 General certificate conditions.
(a) It shall be a condition upon the holding of a certificate that
any intentional failure by the holder to comply with any provision of
Statute or any order, rule, or regulation issued thereunder or any term,
condition, or limitation of such certificate shall be a failure to
comply with the terms, conditions, and limitations of the certificate
within the meaning of section 41110 of the Statute even though the
failure to comply occurred outside the territorial limits of the United
States, except to the extent that such failure shall be necessitated by
an obligation, duty, or liability imposed by a foreign country.
(b) Failure to file the reports required by part 241, 291, or 298 of
this chapter shall be sufficient grounds to revoke a certificate.
(c) The authority to transport U.S. mail under a certificate is
permissive, unless the Department, by order or rule, directs a carrier
or class of carriers to transport mail on demand of the U.S. Postal
Service; such certificate confers no right to receive subsidy, for the
carriage of mail or otherwise.
(d) An all-cargo air transportation certificate shall confer no
right to carry passengers, other than cargo attendants accompanying a
shipment, or to engage in any air transportation outside the
geographical scope of interstate cargo transportation. Such certificate
shall not, however, restrict the right of the holder to provide
scheduled, charter, contract, or other transportation of cargo, by air,
within that geographical scope.
(e) It shall be a condition upon the holding of a certificate that
the holder have and maintain in effect and on file with the Department a
signed counterpart of Agreement 18900 (OST Form 4523), and a tariff (for
those carriers otherwise generally required to file tariffs) that
includes its terms, and that the holder comply with all other
requirements of part 203. OST Form 4523 may be obtained from the Office
of Aviation Analysis, Special Authorities Division.
[Docket No. 47582, 57 FR 38765, Aug. 27, 1992, as amended at 60 FR
43523, Aug. 22, 1995]
PART 203--WAIVER OF WARSAW CONVENTION LIABILITY LIMITS AND DEFENSES--Table of Contents
Sec.
203.1 Scope.
203.2 Applicability.
203.3 Filing requirements for adherence to Montreal Agreement.
203.4 Montreal Agreement as part of airline-passenger contract and
conditions of carriage.
203.5 Compliance as condition on operations in air transportation.
Authority: 49 U.S.C. Chapters 401, 411, 413, 415, 417.
Source: ER-1324, 48 FR 8044, Feb. 25, 1983, unless otherwise noted.
Sec. 203.1 Scope.
This part requires that certain U.S. and foreign direct air carriers
waive the passenger liability limits and certain carrier defenses in the
Warsaw Convention in accordance with the provisions of Agreement 18900,
dated May 13, 1966, and provides that acceptance of authority for, or
operations by the carrier in, air transportation shall be considered to
act as such a waiver by that carrier.
[ER-1324, 48 FR 8044, Feb. 25, 1983, as amended by Docket No. 47939, 57
FR 40100, Sept. 2, 1992]
Sec. 203.2 Applicability.
This part applies to all direct U.S. and foreign direct air
carriers, except for air taxi operators as defined in part
[[Page 10]]
298 of this chapter that (a) are not commuter air carriers, (b) do not
participate in interline agreements, and (c) do not engage in foreign
air transportation.
Sec. 203.3 Filing requirements for adherence to Montreal Agreement.
All direct U.S. and foreign air carriers shall have and maintain in
effect and on file in the Department's Documentary Services Division
(Docket 17325) on OST Form 4523 a signed counterpart to Agreement 18900,
an agreement relating to liability limitations of the Warsaw Convention
and Hague Protocol approved by CAB Order E-23680, dated May 13, 1966
(the Montreal Agreement), and a signed counterpart of any amendment or
amendments to such Agreement that may be approved by the Department and
to which the air carrier or foreign air carrier becomes a party. U.S.
air taxi operators registering under part 298 of this chapter and
Canadian charter air taxi operators registering under part 294 of this
chapter may comply with this requirement by filing completed OST Forms
4507 and 4523, respectively, with the Department's Office of Aviation
Analysis. Copies of these forms can be obtained from the Office of
Aviation Analysis, Special Authorities Division.
[Docket No. 47939, 57 FR 40100, Sept. 2, 1992, as amended at 60 FR
43523, Aug. 22, 1995]
Sec. 203.4 Montreal Agreement as part of airline-passenger contract and conditions of carriage.
(a) As required by the Montreal Agreement, carriers that are
otherwise generally required to file tariffs shall file with the
Department's Tariffs Division a tariff that includes the provisions of
the counterpart to Agreement 18900.
(b) As further required by that Agreement, each participating
carrier shall include the Agreement's terms as part of its conditions of
carriage. The participating carrier shall give each of its passengers
the notice required by the Montreal Agreement as provided in
Sec. 221.175 of this chapter.
(c) Participation in the Montreal Agreement, whether by signing the
Agreement, filing a signed counterpart to it under Sec. 203.3, or by
operation of law under Sec. 203.5, shall constitute a special agreement
between the carrier and its passengers as a condition of carriage that a
liability limit of not less than $75,000 (U.S.) shall apply under
Article 22(1) of the Warsaw Convention for passenger injury and death.
Such participation also constitutes a waiver of the defense under
Article 20(1) of the Convention that the carrier was not negligent.
(The reporting provisions contained in paragraph (a) were approved by
the Office of Management and Budget under control number 3024-0064.)
[ER-1324, 48 FR 8044, Feb. 25, 1983, as amended by ER-1338, 48 FR 31013,
July 6, 1983; Docket No. 47939, 57 FR 40100, Sept. 2, 1992]
Sec. 203.5 Compliance as condition on operations in air transportation.
It shall be a condition on the authority of all direct U.S. and
foreign carriers to operate in air transportation that they have and
maintain in effect and on file with the Department a signed counterpart
of Agreement 18900, and a tariff (for those carriers otherwise generally
required to file tariffs) that includes its provisions, as required by
this subpart. Notwithstanding any failure to file that counterpart and
such tariff, any such air carrier or foreign air carrier issued license
authority (including exemptions) by the Department or operating in air
transportation shall be deemed to have agreed to the provisions of
Agreement 18900 as fully as if that air carrier or foreign air carrier
had in fact filed a properly executed counterpart to that Agreement and
tariff.
[ER-1324, 48 FR 8044, Feb. 25, 1983, as amended by Docket No. 47939, 57
FR 40100, Sept. 2, 1992]
PART 204--DATA TO SUPPORT FITNESS DETERMINATIONS--Table of Contents
Subpart A--General Provisions
Sec.
204.1 Purpose.
204.2 Definitions.
Subpart B--Filing Requirements
204.3 Applicants for new certificate or commuter air carrier authority.
[[Page 11]]
204.4 Carriers proposing to provide essential air service.
204.5 Certificated and commuter air carriers undergoing or proposing to
undergo substantial change in operations, ownership, or
management.
204.6 Certificated and commuter air carriers proposing a change in
operations, ownership, or management which is not substantial.
204.7 Revocation for dormancy.
Authority: 49 U.S.C. Chapters 401, 411, 417.
Source: Docket No. 47582, 57 FR 38766, Aug. 27, 1992, unless
otherwise noted.
Subpart A--General Provisions
Sec. 204.1 Purpose.
This part sets forth the fitness data that must be submitted by
applicants for certificate authority, by applicants for authority to
provide service as a commuter air carrier to an eligible place, by
carriers proposing to provide essential air transportation, and by
certificated air carriers and commuter air carriers proposing a
substantial change in operations, ownership, or management. This part
also contains the procedures and filing requirements applicable to
carriers that hold dormant authority.
[Docket No. 47582, 57 FR 38766, Aug. 27, 1992, as amended at 60 FR
43523, Aug. 22, 1995]
Sec. 204.2 Definitions.
As used in this part:
(a) All-cargo air carrier or section 41103 carrier means an air
carrier holding an all-cargo air transportation certificate issued under
section 41103 of the Statute authorizing the transportation by aircraft
in interstate air transportation of only property or only mail, or both.
(b) Certificate authority means authority to provide air
transportation granted by the Department of Transportation or Civil
Aeronautics Board in the form of a certificate of public convenience and
necessity under section 41102 of the Statute or an all-cargo air
transportation certificate to perform all-cargo air transportation under
section 41103 of the Statute. Certificated carriers are those that hold
certificate authority.
(c) Citizen of the United States means:
(1) An individual who is a citizen of the United States;
(2) A partnership each of whose partners is an individual who is a
citizen of the United States; or
(3) A corporation or association organized under the laws of the
United States or a State, the District of Columbia, or a territory or
possession of the United States, of which the president and at least
two-thirds of the board of directors and other managing officers are
citizens of the United States, and in which at least 75 percent of the
voting interest is owned or controlled by persons that are citizens of
the United States.
(d) Commuter air carrier means an air carrier holding or seeking
authority under part 298 of this Chapter that carries passengers on at
least five round trips per week on at least one route between two or
more points according to its published flight schedules that specify the
times, days of the week, and places between which those flights are
performed.
(e) Eligible place means a place in the United States that--
(1) Was an eligible point under section 419 of the Federal Aviation
Act of 1958 as in effect before October 1, 1988;
(2) Received scheduled air transportation at any time between
January 1, 1990, and November 4, 1990; and
(3) Is not listed in Department of Transportation Orders 89-9-37 and
89-12-52 as a place ineligible for compensation under Subchapter II of
Chapter 417 of the Statute.
(f) Essential air service is that air transportation which the
Department has found to be essential under Subchapter II of Chapter 417
of the Statute.
(g) Fit means fit, willing, and able to perform the air
transportation in question properly and to conform to the provisions of
the Statute and the rules, regulations and requirements issued under the
Statute.
(h) Interstate air transportation means the transportation of
passengers or property by aircraft as a common carrier for compensation,
or the transportation of mail by aircraft--
(1) Between a place in--
(i) A State, territory, or possession of the United States and a
place in the
[[Page 12]]
District of Columbia or another State, territory, or possession of the
United States;
(ii) Hawaii and another place in Hawaii through the airspace over a
place outside Hawaii;
(iii) The District of Columbia and another place in the District of
Columbia; or
(iv) A territory or possession of the United States and another
place in the same territory or possession; and
(2) When any part of the transportation is by aircraft.
(i) Key personnel include the directors, president, chief executive
officer, chief operating officer, all vice presidents, the directors or
supervisors of operations, maintenance, and finance, and the chief pilot
of the applicant or air carrier, as well as any part-time or full-time
advisors or consultants to the management of the applicant or air
carrier.
(j) Normalized operations are those which are relatively free of
start-up costs and temporary barriers to full-scale operations posed by
the carrier's limited experience.
(k) Relevant corporations are the applicant or air carrier, any
subsidiary thereof, any predecessor thereof (i.e., any air carrier in
which any directors, principal officers or persons having a substantial
interest have or once had a substantial interest), and any company
(including a sole proprietorship or partnership) which has a significant
financial or managerial influence on the applicant or air carrier. The
latter includes:
(1) Any company (including a sole proprietorship or partnership)
holding more than 50 percent of the outstanding voting stock of the
applicant or air carrier; and
(2) Any company (including a sole proprietorship or partnership)
holding between 20 percent and 50 percent of the outstanding voting
stock of the applicant or air carrier as indicated, for example, by 25
percent representation on the board of directors, participation in
policy-making processes, substantial inter-company transactions, or
managerial personnel with common responsibilities in both companies.
(l) Substantial change in operations, ownership, or management
includes, but is not limited to, the following events:
(1) Changes in operations from charter to scheduled service, cargo
to passenger service, short-haul to long-haul service, or (for a
certificated air carrier) small-aircraft to large-aircraft operations;
(2) The filing of a petition for reorganization or a plan of
reorganization under Chapter 11 of the federal bankruptcy laws;
(3) The acquisition by a new shareholder or the accumulation by an
existing shareholder of beneficial control of 10 percent or more of the
outstanding voting stock in the corporation; and
(4) A change in the president, chief executive officer or chief
operating officer, and/or a change in at least half of the other key
personnel within any 12-month period or since its latest fitness review,
whichever is the more recent period.
(m) Substantial interest means beneficial control of 10 percent or
more of the outstanding voting stock.
[Docket No. 47582, 57 FR 38766, Aug. 27, 1992, as amended at 60 FR
43523, Aug. 22, 1995]
Subpart B--Filing Requirements
Sec. 204.3 Applicants for new certificate or commuter air carrier authority.
An applicant for a type of certificate authority it does not
currently hold or for commuter air carrier authority shall file the data
set forth in paragraphs (a) through (v) of this section. In addition,
the Department may require an applicant to provide additional data if
necessary to reach an informed judgment about its fitness. If the
applicant has previously formally filed any of the required data with
the Department or with another Federal agency and they are available to
the Department, and those data continue to reflect the current state of
the carrier's fitness, the applicant may instead identify the data and
provide a citation for the date(s) and place(s) of filing. Prior to
filing any data, the applicant may contact the Air Carrier Fitness
Division to ascertain what data required by this section are already
available to the Department and need not be included in the filing.
[[Page 13]]
Note: If the applicant intends to use as evidence data it has
previously filed pursuant to part 241 reporting requirements and those
data contain errors, the applicant must first file corrected reports in
accordance with Sec. 241.22(g).
(a) The name, address, and telephone number of the applicant.
(b) The form of the applicant's organization.
(c) The State law(s) under which the applicant is organized.
(d) If the applicant is a corporation, a statement provided by the
Office of the Secretary of State, or other agent of the State in which
the applicant is incorporated, certifying that the applicant corporation
is in good standing.
(e) A sworn affidavit stating that the applicant is a citizen of the
United States.
(f) The identity of the key personnel who would be employed by the
applicant, including:
(1) Their names and addresses;
(2) The experience, expertise, and responsibilities of each;
(3) The number of shares of the applicant's voting stock held by
each and the percentage of the total number of such shares issued and
outstanding, and the citizenship and principal business of any person
for whose account, if other than the holder, such interest is held;
(4) The citizenship of each; and
(5) A description of the officerships, directorships, shares of
stock (if 10 percent or more of total voting stock outstanding), and
other interests each holds or has held in any air carrier, foreign air
carrier, common carrier, person substantially engaged in the business of
aeronautics or persons whose principal business (in purpose or fact) is
the holding of stock in or control of any air carrier, common carrier or
person substantially engaged in the business of aeronautics.
(g) A list of all persons having a substantial interest in the
applicant. Such list shall include:
(1) Each person's name, address and citizenship;
(2) The number of shares of the applicant's voting stock held by
each such person and the corresponding percentage of the total number of
such shares issued and outstanding, and the citizenship and principal
business of any person for whose account, if other than the holder, such
interest is held;
(3) If any two or more persons holding a substantial interest in the
applicant are related by blood or marriage, such relationship(s) shall
be included in the list; and
(4) If any person or subsidiary of a person having a substantial
interest in the applicant is or has ever been
(i) An air carrier, a foreign air carrier, a common carrier, or
(ii) Substantially engaged in the business of aeronautics, or
(iii) An officer or director of any such entity, or
(iv) A holder of 10 percent or more of total outstanding voting
stock of any such entity, the list shall describe such relationship(s).
(h) A list of the applicant's subsidiaries, if any, including a
description of each subsidiary's principal business and relationship to
the applicant.
(i) A list of the applicant's shares of stock in, or control of, any
air carrier, foreign air carrier, common carrier, or person
substantially engaged in the business of aeronautics.
(j) To the extent any relevant corporation has been engaged in any
business prior to the filing of the application, each applicant shall
provide:
(1) Copies of the 10K Annual Reports filed in the past 3 years by
any relevant corporation required to file such reports with the
Securities and Exchange Commission, and
(2) Copies of recently filed 10Q Quarterly Reports, as necessary, in
order to show the financial condition and results of operations of the
enterprise current to within 3 months of the date of the filing of the
application.
(k) If 10K Reports are not filed with the Securities and Exchange
Commission, the following, for the 3 most recent calendar or fiscal
years, reflecting the financial condition and results of operations of
the enterprise current to within 3 months of the date of the filing of
the application:
(1) The Balance Sheet of each relevant corporation;
(2) The Income Statement of each relevant corporation;
(3) All footnotes applicable to the financial statements, including:
[[Page 14]]
(i) A statement as to whether the documents were prepared in
accordance with Generally Accepted Accounting Principles, and
(ii) A description of the significant accounting policies of each
relevant corporation, such as for depreciation, amortization of
intangibles, overhauls, unearned revenues, and cost capitalization;
(4) A statement of significant events occurring subsequent to the
most recent Balance Sheet date for each relevant corporation; and
(5) A statement identifying the person who has prepared the
financial statements, his or her accounting qualifications, and any
affiliation he or she has with the applicant.
(l) A list of all actions and outstanding judgments for more than
$5,000 against any relevant corporation, key personnel employed (or to
be employed) by any relevant corporation, or person having a substantial
interest in any relevant corporation, including the amount of each
judgment, the party to whom it is payable, and how long it has been
outstanding.
(m) The number of actions and outstanding judgments of less than
$5,000 against each relevant corporation, key personnel employed (or to
be employed) by any relevant corporation, or person having a substantial
interest in any relevant corporation, and the total amount owed by each
on such judgments.
(n) A description of the applicant's fleet of aircraft, including:
(1) The number of each type of aircraft owned, leased and to be
purchased or leased;
(2) Applicant's plans, including financing plans, for the purchase
or lease of additional aircraft; and
(3) A sworn affidavit stating that each aircraft owned or leased has
been certified by the FAA and currently complies with all FAA safety
standards.
(o) A description of the current status of all pending
investigations, enforcement actions, and formal complaints filed by the
Department, including the FAA, involving the applicant or any relevant
corporation, any personnel employed (or to be employed) by any relevant
corporation or person having a substantial interest in any relevant
corporation, regarding compliance with the Statute or orders, rules,
regulations, or requirements issued pursuant to the Statute, and any
corrective actions taken. (If an applicant has a compliance history that
warrants it, additional information may be required.)
(p) A description of all charges of unfair or deceptive or
anticompetitive business practices, or of fraud, felony or antitrust
violation, brought against any relevant corporation or person having a
substantial interest in any relevant corporation, or member of the key
personnel employed (or to be employed) by any relevant corporation in
the past 10 years. Such descriptions shall include the disposition or
current status of each such proceeding.
(q) A description of any aircraft accidents or incidents (as defined
in the National Transportation Safety Board Regulations, 49 CFR 830.2)
experienced by the applicant, its personnel, or any relevant
corporation, which occurred either during the year preceding the date of
application or at any time in the past and which remain under
investigation by the FAA, the NTSB, or by the company itself, including:
(1) The date of the occurrence;
(2) The type of flight;
(3) The number of passengers and crew on board and an enumeration of
any injuries or fatalities;
(4) A description of any damage to the aircraft;
(5) The FAA and NTSB file numbers and the status of the
investigations, including any enforcement actions initiated against the
carrier or any of its personnel; and
(6) Positive actions taken to prevent recurrence. (If an applicant's
history of accidents or incidents warrants it, additional information
may be required.)
(r) A brief narrative history of the applicant.
(s) A description of all Federal, State and foreign authority under
which the applicant has conducted or is conducting transportation
operations, and the identify of the local FAA office and personnel
responsible for processing an application for any additional FAA
authority needed to conduct the proposed operations.
[[Page 15]]
(t) A description of the service to be operated if the application
is granted, including:
(1) A forecast Balance Sheet for the first normal year ending after
the initially proposed operations have been incorporated, along with the
assumptions underlying the accounts and amounts shown; and
(2) A forecast Income Statement, broken down by quarters, for the
first year ending after the initially proposed operations are
normalized, and an itemization of all pre-operating and start-up costs
associated with the initiation of the proposed service. Such Income
Statement shall include estimated revenue block hours (or airborne
hours, for charter operators) and revenue miles by type of aircraft,
number of passengers and number of tons of mail and cargo to be carried,
transport revenues and an estimate of the traffic which would be
generated in each market receiving the proposed service. Such statements
shall also include a statement as to whether the statements were
prepared on the accrual or cash basis, an explanation of how the
estimated costs and revenues were developed, a description of the manner
in which costs and revenues are allocated, how the underlying traffic
forecasts were made, and what load factor has been assumed for the
average and peak month. Pre-operating and start-up costs should include,
but are not limited to, the following: Obtaining necessary government
approval; establishing stations; introductory advertising; aircraft,
equipment and space facility deposits and rent; training; and salaries
earned prior to start-up.
(u) A signed counterpart of Agreement 18900 (OST Form 4523) as
required by part 203 of this chapter.
(v) The following certification, which shall accompany the
application and all subsequent written submissions filed by the
applicant in connection with its application:
Pursuant to title 18 United States Code section 1001, I [the
individual signing the application, who shall be a principal owner,
senior officer, or internal counsel of the applicant], in my individual
capacity and as the authorized representative of the applicant, have not
in any manner knowingly and willfully falsified, concealed or covered up
any material fact or made any false, fictitious, or fraudulent statement
or knowingly used any documents which contain such statements in
connection with the preparation, filing or prosecution of the
application. I understand that an individual who is found to have
violated the provisions of 18 U.S.C. section 1001 shall be fined nor
more than $10,000 or imprisoned not more than five years, or both.
(The reporting requirements contained in this section were approved by
the Office of Management and Budget under control number 2106-0023)
[Docket No. 47582, 57 FR 38766, Aug. 27, 1992, as amended at 60 FR
43524, Aug. 22, 1995]
Sec. 204.4 Carriers proposing to provide essential air service.
Applicants proposing to provide essential air service have been
divided into two categories, and are subject to differing data
submission requirements as set forth in paragraphs (a) and (b) of this
section. However, if a carrier has previously filed any of the required
data with the Department or other Federal agency and they are available
to the Department, and these data continue to reflect the current state
of the carrier's fitness, the carrier may instead identify the data and
provide a citation for the date and place of filing. All carriers may
contact the Air Carrier Fitness Division to ascertain what information
is already available to the Department and thus may not need to be
resubmitted.
(a) Carriers who propose to begin or expand non-subsidized essential
air service when the incumbent leaves the market must file the following
information:
(1) All of the information required under Sec. 204.3 of this part.
(2) A description of the back-up aircraft available to the
applicant, including:
(i) The number of each type of such aircraft;
(ii) The conditions under which such aircraft will be available to
the carrier;
(iii) The carrier's plans for financing the acquisition or lease of
such additional aircraft; and
(iv) A sworn affidavit stating that all such aircraft have been
certified by the FAA and currently comply with all FAA safety standards.
(3) A description of the fuel available to perform the proposed
essential air
[[Page 16]]
services and the carrier's contracts with fuel suppliers.
(4) The carrier's systemwide on-time and completion record for the
preceding year and, if applicable, in the subject market(s).
(5) A list of the markets the carrier serves and the number of
weekly round trips it provides in each.
(6) A description of the average number of block hours each type of
aircraft is currently flown per day.
(7) An estimate of the impact the proposed essential air service
would have on the carrier's utilization of its aircraft fleet.
(8) A detailed schedule of the service to be provided, including
times of arrivals and departures, the aircraft to be used for each
flight, and the fares to be charged.
(9) A pro-forma income statement for the proposed operation for the
first annual period.
(b) Carriers filing proposals to provide subsidized service in
response to an order inviting proposals shall file:
(1) All of the information required under Sec. 204.3 of this part.
(2) All of the information required under paragraph (a) of this
section.
(3) A forecast Income Statement covering the operations conducted in
essential air service for the first year following the initiation of the
proposed essential services. Such statement shall include:
(i) Subsidy needed;
(ii) Estimated block hours and revenue miles by type of aircraft;
(iii) Total projected revenue including volumes of passengers and
freight by essential air service market and the associated fares and
rates;
(iv) An explanation of the derivation of estimates of operating
expenses; and
(v) A description of the manner in which costs and revenues are
allocated.
(4) A traffic forecast including a load factor analysis on all
segments between the small community and the hub; and an estimate of the
number of seats available to and from the eligible point each day.
(Approved by the Office of Management and Budget under control number
2106-0023)
[Docket No. 47582, 57 FR 38766, Aug. 27, 1992, as amended at 60 FR
43524, Aug. 22, 1995]
Sec. 204.5 Certificated and commuter air carriers undergoing or proposing to undergo substantial change in operations, ownership, or management.
(a) A certificated or commuter air carrier proposing a substantial
change in operations, ownership or management shall file the data set
forth in Sec. 204.3. These data must be submitted in cases where:
(1) The proposed change requires new or amended authority, or
(2) Although the carrier's existing certificate or commuter
authority is adequate for the performance of its planned services, the
change substantially alters the factors upon which its latest fitness
finding is based.
(b) Information which a carrier has previously formally filed with
the Department, or with another Federal agency where they are available
to the Department, which continues to reflect the current state of the
carrier's fitness may be omitted. The carrier instead should identify
the data and provide a citation for the date(s) and place(s) of filing.
Prior to filing any data, the carrier may contact the Department (Air
Carriers Fitness Division) to ascertain what data required by this
section, if any, are already available to the Department or are not
applicable to the substantial change in question and need not be
included in the filing.
(c) Information filings pursuant to this section made to support an
application for new or amended certificate authority shall be filed with
the application and addressed to the Documentary Services Division,
Department of Transportation, 400 Seventh Street, SW., Washington, DC
20590. Information filed in support of a certificated or commuter air
carrier's continuing fitness to operate under its existing authority in
light of substantial changes in its operations, ownership or management
shall be addressed to the Chief, Air Carrier Fitness Division,
Department of Transportation, 400 Seventh Street, SW., Washington, DC
20590.
(Approved by the Office of Management and Budget under control number
2106-0023)
[[Page 17]]
Sec. 204.6 Certificated and commuter air carriers proposing a change in operations, ownership, or management which is not substantial.
Carriers proposing to make a change which would not substantially
affect their operations, management, or ownership, such as certificated
carriers applying for additional authority which would not substantially
change their operations, will be presumed to be fit and need not file
any information relating to their fitness at time of the change.
However, if the Department concludes, from its own analysis or based on
information submitted by third parties, that such change may bring the
carrier's fitness into question, the Department may require the
applicant carrier to file additional information.
Sec. 204.7 Revocation for dormancy.
(a) An air carrier that has not commenced any type of air
transportation operations for which it was found fit, willing, and able
within one year of the date of that finding, or an air carrier that, for
any period of one year after the date of such a finding, has not
provided any type of air transportation for which that kind of finding
is required, is deemed no longer to continue to be fit to provide the
air transportation for which it was found fit and, accordingly, its
authority to provide such air transportation shall be revoked.
(b) An air carrier found fit which commences operations within one
year after being found fit but then ceases operations, shall not resume
operations without first filing all of the data required by Sec. 204.3
at least 45 days before it intends to provide any such air
transportation. Such filings shall be addressed to the Documentary
Services Division, Department of Transportation, 400 Seventh Street,
SW., Washington, DC 20590. The Department will entertain requests for
exemption from this 45-day advance filing requirement for good cause
shown. If there has been no change in fitness data previously formally
filed with the Department, the carrier shall file a sworn statement to
that effect signed by one of its officers. The carrier may contact the
Department (Air Carrier Fitness Division) to ascertain which data are
already available to the Department and need not be refiled. A carrier
to which this paragraph applies shall not provide any air transportation
for which it is required to be found fit, willing, and able until the
Department decides that the carrier continues to be fit, willing, and
able to perform such air transportation. During the pendency of the
Department's consideration of a data submission under this paragraph,
the expiration period set out in paragraph (a) of this section shall be
stayed. If the decision or finding by the Department on the issue of the
carrier's fitness is favorable, the date or that decision or finding
shall be the date considered in applying paragraph (a) of this section.
(c) For purposes of this section, the date of a Department decision
or finding shall be the service date of the Department's order
containing such decision or finding, or, in cases where the Department's
decision or finding is made by letter, the date of such letter.
(d) For purposes of this section, references to operations and to
the providing of air transportation shall refer only to the actual
performance of flight operations under an operating certificate issued
to the carrier by the FAA.
(Approved by the Office of Management and Budget under control number
2106-0023)
PART 205--AIRCRAFT ACCIDENT LIABILITY INSURANCE--Table of Contents
Sec.
205.1 Purpose.
205.2 Applicability.
205.3 Basic requirements.
205.4 Filing of evidence of insurance.
205.5 Minimum coverage.
205.6 Prohibited exclusions of coverage.
205.7 Cancellation, withdrawal, modification, expiration, or
replacement of insurance coverage.
205.8 Cargo liability disclosure statement.
Authority: 49 U.S.C. Chapters 401, 411, 413, 417.
Source: ER-1253, 46 FR 52577, Oct. 27, 1981, unless otherwise noted.
Sec. 205.1 Purpose.
This part contains the rules for aircraft accident liability
insurance coverage needed by U.S. direct air carriers to obtain or to
exercise authority from
[[Page 18]]
the Department to operate in interstate or foreign air transportation,
and by foreign direct air carriers to operate under permit or other
authority in foreign air transportation. It further requires a
disclosure statement to shippers about cargo liability limits and
insurance coverage for U.S. and foreign direct air carriers.
[ER-1253, 46 FR 52577, Oct. 27, 1981, as amended by Docket No. 47939, 57
FR 40100, Sept. 2, 1992; Doc. No. OST-96-1269, 61 FR 19165, May 1, 1996]
Sec. 205.2 Applicability.
These rules apply to all U.S. direct air carriers, including
commuter air carriers and air taxi operators as defined in Sec. 298.2 of
this chapter, and foreign direct air carriers, including Canadian
charter air taxi operators as defined in Sec. 294.2(c) of this chapter.
[Docket No. 47939, 57 FR 40100, Sept. 2, 1992]
Sec. 205.3 Basic requirements.
(a) A U.S. or foreign direct air carrier shall not engage in air
transportation unless it has in effect aircraft accident liability
insurance coverage that meets the requirements of this part for its air
carrier or foreign air carrier operations. The minimum amounts of
coverage required by this part may be provided either by insurance
policies or by self-insurance plans. The currently effective policy of
insurance or complete plan for self-insurance shall be available for
inspection by the Department at the carrier's principal place of
business. The current certificate of insurance or a summary of the
complete self-insurance plan on file with the Department, as required by
Sec. 205.4, shall be available for public inspection at the carrier's
principal place of business.
(b) For purposes of this part, a certificate of insurance is one or
more certificates showing insurance by one or more insurers (excluding
reinsurers) of currently effective and properly endorsed policies of
aircraft accident liability insurance in compliance with this part. When
more than one such insurer is providing coverage, the limits and types
of liability assumed by each insurer (excluding reinsurers) shall be
clearly stated in the certificate of insurance. Insurance policies and
self-insurance plans named in a certificate of insurance that
accompanies an application for initial registration or for operating
authority shall become effective not later than the proposed starting
date for air carrier operations as shown in the application.
(c) The certificate of insurance shall list the types or classes of
aircraft, or the specific aircraft by FAA or foreign government
registration number, with respect to which the policy of insurance
applies, or shall state that the policy applies to all aircraft owned or
operated by the carrier in its air transportation operations. With
respect to certificates of insurance that list aircraft by government
registration number, the policy or self-insurance plan shall state that,
while an aircraft owned or leased by the carrier and declared in the
policy is withdrawn from normal use because of its breakdown, repair, or
servicing, such insurance as is provided by the policy or plan for that
aircraft shall apply also to another aircraft of similar type,
horsepower, and seating capacity, whether or not owned by the insured,
while temporarily used as a substitute aircraft.
(d) Each certificate of insurance shall be signed by an authorized
officer, agent, or other representative of the insurer or the insurance
broker.
(e) Insurance coverage to meet the requirements of this part shall
be obtained from one or more of the following:
(1) An insurer licensed to issue aircraft accident liability
policies in any State, Commonwealth, or Territory of the United States,
or in the District of Columbia;
(2) Surplus line insurers named on a current list of such insurers
issued and approved by the insurance regulatory authority of any State,
Commonwealth, or Territory of the United States or of the District of
Columbia; or
(3) Insurers licensed or approved by a foreign government.
This requirement may be waived by the Department in the public interest.
[ER-1253, 46 FR 52577, Oct. 27, 1981, as amended by Docket No. 47939, 57
FR 40100, Sept. 2, 1992]
[[Page 19]]
Sec. 205.4 Filing of evidence of insurance.
(a) A U.S. or foreign air carrier shall file a certificate of
insurance or a complete plan for self-insurance with the Department's
Office of Aviation Analysis. Each carrier shall ensure that the evidence
of aircraft accident liability coverage filed with the Department is
correct at all times. The Department will normally notify the carrier
within 20 days of receipt if the certificate or plan does not meet the
requirements of this part. The two Certificates of Insurance (OST Form
6410 for U.S. air carriers, including commuter air carriers and air taxi
operators, and OST Form 6411 for foreign air carriers, including
Canadian charter air taxi operators) are available from the Office of
Aviation Analysis. The Department may return the certificate or self-
insurance plan to the carrier if it finds for good cause that such plan
or certificate does not show adequate evidence of insurance coverage
under this part.
(b) If the coverage is by type or class of aircraft or by specific
aircraft, endorsements that add previously unlisted aircraft or aircraft
types or classes to coverage, or that delete listed aircraft, types, or
classes from coverage, shall be filed with the Department's Office of
Aviation Analysis not more than 30 days after the effective date of the
endorsements. Aircraft shall not be listed in the carrier's operations
specifications with the FAA and shall not be operated unless liability
insurance coverage is in force.
(c) When the insured air carrier is a U.S. air taxi operator
operating in the State of Alaska, certificates and endorsements shall be
filed with the Department's Alaska Field Office, 801 B Street, Suite
506, Anchorage, Alaska 99501-3657.
(Approved by the Office of Management and Budget under control number
2106-0030)
[Docket No. 47939, 57 FR 40100, Sept. 2, 1992, as amended by Doc. No.
OST-96-1269, 61 FR 19165, May 1, 1996]
Sec. 205.5 Minimum coverage.
(a) Insurance contracts and self-insurance plans shall provide for
payment on behalf of the carrier, within the specific limits of
liability in this section, of all sums that the carrier shall become
legally obligated to pay as damages, excluding any deductible in the
policy, for bodily injury to or death of a person, or for damage to the
property of others, resulting from the carrier's operation or
maintenance of aircraft in air transportation provided under its
authority from the Department.
(b) U.S. and foreign direct air carriers, including commuter air
carriers but excluding U.S. air taxi operators and Canadian charter air
taxi operators, shall maintain the following coverage:
(1) Third-party aircraft accident liability coverage for bodily
injury to or death of persons, including nonemployee cargo attendants,
other than passengers, and for damage to property, with minimum limits
of $300,000 for any one person in any one occurrence, and a total of
$20,000,000 per involved aircraft for each occurrence, except that for
aircraft of not more than 60 seats or 18,000 pounds maximum payload
capacity, carriers need only maintain coverage of $2,000,000 per
involved aircraft for each occurrence.
(2) Any such carrier providing air transportation for passengers
shall, in addition to the coverage required in paragraph (b)(1) of this
section, maintain aircraft accident liability insurance coverage for
bodily injury to or death of aircraft passengers, with minimum limits of
$300,000 for any one passenger, and a total per involved aircraft for
each occurrence of $300,000 times 75 percent of the number of passenger
seats installed in the aircraft.
(c) U.S. air taxi operators registered under part 298 shall maintain
the following coverage:
(1) Third-party aircraft accident liability coverage for bodily
injury to or death of persons, including nonemployee cargo attendants,
other than passengers, with minimum limits of:
(i) $75,000 for any one person in any one occurrence, and a total of
$300,000 per involved aircraft for each occurrence, and
(ii) A limit of a least $100,000 for each occurrence for loss of or
damage to property.
(2) U.S. air taxi operators carrying passengers in air
transportation shall, in addition to the coverage required in
[[Page 20]]
paragraph (c)(1) of this section, maintain aircraft accident liability
insurance coverage for bodily injury to or death of aircraft passengers,
with minimum limits of $75,000 for any one passenger, and a total per
involved aircraft for each occurrence of $75,000 times 75 percent of the
number of passenger seats installed in the aircraft.
(d) Canadian charter air taxi operators registered under part 294 of
this chapter shall maintain the following coverage:
(1) Third-party aircraft accident liability coverage for bodily
injury to or death of persons, including nonemployee cargo attendants,
other than passengers, and for damage to property, with a minimum
coverage of $75,000 for any one person in any one occurrence, and a
total of $2,000,000 per involved aircraft for each occurrence, except
that Canadian charter air taxi operators operating aircraft of more than
30 seats or 7,500 pounds maximum cargo payload capacity, and a maximum
authorized takeoff weight on wheels not greater than 35,000 pounds shall
maintain coverage for those aircraft of $20,000,000 per involved
aircraft for each occurrence.
(2) Canadian charter air taxi operators engaging in passenger
charter air service under part 294 of this chapter shall, in addition to
the coverage required in paragraph (d)(1) of this section, maintain
aircraft accident liability coverage for bodily injury to or death of
aircraft passengers, with a minimum coverage of $75,000 for any one
passenger and a total per involved aircraft for each occurrence of
$75,000 times 75 percent of the total number of passenger seats
installed in the aircraft.
(e) Notwithstanding paragraphs (b), (c) and (d) of this section, the
carrier may be insured for a combined single limit of liability for each
occurrence. The combined single-limit coverage must be not less than the
combined required minimums for bodily injury and property damage
coverage plus, if the aircraft is used in passenger service, the
required total passenger coverages stipulated in paragraph (b) of this
section for U.S. and foreign direct air carriers and commuter carriers,
paragraph (c) of this section for U.S. air taxi operators, or paragraph
(d) of this section for Canadian charter air taxi operators.\1\ The
single-limit liability policy for the required aircraft accident
liability coverage may be provided by a single policy or by a
combination of primary and excess policies.
---------------------------------------------------------------------------
\1\ For example: the minimum single limit of liability acceptable
for any aircraft in air taxi passenger service with 16 passenger seats
would be computed on the basis of limits set forth in paragraph (c) as
follows: 16 x .75 equals 12; 12 x $75,000 equals $900,000; $900,000
plus $300,000 (nonpassenger liability per occurrence) plus $100,000
(property damage per occurrence) equals $1,300,000. The latter amount is
the minimum in which a single-limit liability policy may be written.
---------------------------------------------------------------------------
(f) The liability coverage shall not be contingent upon the
financial condition, solvency, or freedom from bankruptcy of the
carrier. The limits of the liability for the amounts required by this
part shall apply separately to each occurrence. Any payment made under
the policy or plan because of any one occurrence shall not reduce the
coverage for payment of other damages resulting from any other
occurrence.
[Docket No. 47939, 57 FR 40101, Sept. 2, 1992; 57 FR 52590, Nov. 4,
1992]
Sec. 205.6 Prohibited exclusions of coverage.
(a) No warranty or exclusion in the policy or plan or in any
endorsement or amendment to the policy or plan, nor any violation of the
policy or plan by the carrier, shall remove the liability coverage
required by this part, except as specifically approved by the
Department. This requirement shall not limit the right of insurers to
recover from the carrier for amounts paid.
(b) A policy of insurance or a self-insurance plan required by this
part shall not contain the following exclusions:
(1) Violation of any safety-related requirement imposed by statute
or by rule of a government agency.
(2) Liability assumed by the carrier under an agreement to raise the
liability limitations of the Warsaw Convention by signing a counterpart
to the agreement of carriers (such as the Montreal Agreement, 18900, as
approved by Board Order E-23680, May 13, 1966, agreeing to a limit on
the carrier's liability for injury or death of
[[Page 21]]
passengers of $75,000 per passenger), or any amendment to such agreement
that may be approved by the Department and to which the carrier becomes
a party.
[ER-1253, 46 FR 52577, Oct. 27, 1981, as amended by Docket No. 47939, 57
FR 40100, 40101, Sept. 2, 1992]
Sec. 205.7 Cancellation, withdrawal, modification, expiration, or replacement of insurance coverage.
(a) Each policy of aircraft accident liability insurance and plan
for self insurance shall specify that it shall remain in force, and may
not be replaced, canceled, withdrawn, or in any way modified to reduce
the minimum standards set forth in this part, or to change the extent of
coverage, by the insurer or the carrier, nor expire by its own terms, in
regard to coverage for the carrier in its common carrier operations in
air transportation, until 10 days after written notice by the insurer
(in the event of replacement, by the retiring insurer), or by the
insurer's representative, or by the carrier, describing the change, to
the Department's Office of Aviation Analysis (or, for Alaskan air taxi
operators, to the Department's Alaska Field Office), which 10-day notice
period shall start to run from the date such notice is actually received
at the Department. For purposes of this part, a policy will not be
considered to have expired if the same insurer renews its coverage
without reduction in the extent of coverage or amounts of coverage, and
without a break in coverage, whether or not a new policy is issued, and
notice to the Department is not required in that event. If the coverage
being changed is by type or class of aircraft or by specific aircraft,
endorsements adding or deleting specific aircraft or types or classes of
aircraft, for which prior notice would be required by this paragraph,
shall be filed in accordance with Sec. 205.4(b), and prior notice of the
change need not be given under this paragraph.
(b) The requirements of this section shall not apply if the policy
contains a lesser time period for cancellation in a war risk exclusion.
If the war risk exclusion is activated by the insurer, the insurer or
its representative shall immediately notify the Department.
[Docket No. 47939, 57 FR 40100, 40101, Sept. 2, 1992]
Sec. 205.8 Cargo liability disclosure statement.
Every direct U.S. or foreign air carrier providing air cargo service
in air transportation shall give notice in writing to the shipper, when
a shipment is accepted, of the existence or absence of cargo liability
insurance, and the limits on the extent of its liability, if any. The
notice shall be clearly and conspicuously included on or attached to all
of its rate sheets and airwaybills.
[ER-1282, 47 FR 16173, Apr. 15, 1982]
PART 206--CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY: SPECIAL AUTHORIZATIONS AND EXEMPTIONS--Table of Contents
Sec.
206.1 Emergency transportation.
206.2 Exemption from schedule filing.
206.3 Transportation of newspersons by all-cargo carriers.
206.4 Exemption of air carriers for military transportation.
206.5 Small aircraft operations by certificated carriers.
Authority: 49 U.S.C. Chapters 401, 415, 417, 419.
Sec. 206.1 Emergency transportation.
Notwithstanding the provisions of section 41101 of the Statute, and
any term, condition or limitation attached to the exercise of the
privileges of an air carrier certificate of public convenience and
necessity which prohibits an air carrier from engaging in air
transportation between any points on its route, the air carrier may
carry between such points (a) any person or persons certified by a
physician to be in need of immediate air transportation in order to
secure emergency medical or surgical treatment together with any
necessary attendant or attendants and (b) any medical supplies certified
by a physician as requiring immediate air transportation for the
protection of life. Air carriers offering
[[Page 22]]
to provide this emergency transportation shall file appropriate tariffs
pursuant to Chapter 415 of the Statute.
(Secs. 204, 416, 72 Stat. 743, 771; 49 U.S.C. 1324, 1386)
[ER-261, 24 FR 1860, Mar. 14, 1959, as amended at 60 FR 43524, Aug. 22,
1995]
Sec. 206.2 Exemption from schedule filing.
All air carriers are hereby exempted from the requirements of
section 41902(b) of the Statute, which provides that each air carrier
must periodically provide the Department and the U.S. Postal Service a
listing of all of its regularly operated aircraft schedules and schedule
changes, showing for each schedule the points served and the departure
and arrival times.
[Docket No. 47939, 57 FR 40101, Sept. 2, 1992, as amended at 60 FR
43524, Aug. 22, 1995]
Sec. 206.3 Transportation of newspersons by all-cargo carriers.
Notwithstanding the provisions of section 41101 and Chapter 415 of
the Statute and part 221 of this chapter, an air carrier holding a
certificate of public convenience and necessity for the transportation
of only property and mail may provide transportation to persons on
regularly scheduled cargo flights for the purpose of collecting data for
preparation of feature news, pictorial or like articles provided that
the transportation is limited to the writer, journalist, or photographer
engaged in the preparation of data for use in feature news, pictorial,
or like articles which are to appear in newspapers or magazines, or on
radio or television programs and which will publicize the regularly
scheduled cargo operations of the carrier.
[Docket No. 47939, 57 FR 40102, Sept. 2, 1992, as amended at 60 FR
43524, Aug. 22, 1995]
Sec. 206.4 Exemption of air carriers for military transportation.
Air carriers providing air transportation pursuant to a contract
with the Department of Defense are hereby exempted from Chapter 415 of
the Statute, and from part 221, Secs. 207.4 and 208.32, of this chapter,
with respect to those services.
[Docket No. 47939, 57 FR 40102, Sept. 2, 1992, as amended at 60 FR
43524, Aug. 22, 1995]
Sec. 206.5 Small aircraft operations by certificated carriers.
(a) A carrier holding an effective certificate issued under section
41102 of the Statute, when conducting operations with small aircraft, is
exempt from the requirements of the Statute as set forth in subpart B of
part 298 of this chapter, except section 41708 of the Statute, and is
subject to the requirements set forth in the following provisions of
this chapter:
(1) Part 205, with the minimum coverage requirements of
Sec. 205.5(b),
(2) Part 215,
(3) Part 298, subpart D, Secs. 298.30, and 298.38, and subpart H,
and
(4) Part 298, subpart F, if the certificated carrier conducts
operations with small aircraft only (a certificated carrier conducting
operations with both small and large aircraft is subject only to the
reporting requirements contained in part 241 of this chapter).
(b) If a certificated carrier, when conducting operations with small
aircraft, provides foreign air transportation that includes a segment
for which tariff filing is required and another segment for which tariff
filing is not required, then for through service over that routing the
carrier has the option of filing a tariff or charging the sum of the
applicable local rates, fares, or charges. If the carrier files a tariff
for through service, it is not exempt from Chapter 415 or section 41310
of the Statute for that air transportation.
[Docket No. 47939, 57 FR 40102, Sept. 2, 1992, as amended at 60 FR
43524, Aug. 22, 1995]
PART 207--CHARTER TRIPS BY U.S. SCHEDULED AIR CARRIERS--Table of Contents
Sec.
207.1 Applicability.
207.2 Terms of service.
Authority: 49 U.S.C. 40101, 40102, 40109, 40113, 41101, 41102,
41103, 41301, 41504, 41702, 41708, 41712, 46101.
Source: Docket No. OST-97-2356, 63 FR 28236, May 22, 1998, unless
otherwise noted.
[[Page 23]]
Sec. 207.1 Applicability.
This part establishes the terms, conditions, and limitations
applicable to charter air transportation conducted by air carriers
holding certificates under 49 U.S.C. 41102 authorizing the operation of
scheduled air transportation services.
Sec. 207.2 Terms of service.
Charter air transportation under this part shall be performed in
accordance with the provisions of part 212 of this chapter.
PART 208--CHARTER TRIPS BY U.S. CHARTER AIR CARRIERS--Table of Contents
Sec.
208.1 Applicability.
208.2 Terms of service.
Authority: 49 U.S.C. 40101, 40102, 40109, 40113, 41101, 41102,
41103, 41301, 41504, 41702, 41708, 41712, 46101.
Source: Docket No. OST-97-2356, 63 FR 28236, May 22, 1998, unless
otherwise noted.
Sec. 208.1 Applicability.
This part establishes the terms, conditions, and limitations
applicable to charter air transportation conducted by air carriers
holding certificates under 49 U.S.C. 41102 authorizing the operation of
charter air transportation services.
Sec. 208.2 Terms of service.
Charter air transportation under this part shall be performed in
accordance with the provisions of Part 212 of this chapter.
PART 211--APPLICATIONS FOR PERMITS TO FOREIGN AIR CARRIERS--Table of Contents
Subpart A--General
Sec.
211.1 Purpose.
211.2 Applicability.
Subpart B--General Requirements
211.10 Filing specifications.
211.11 Verification.
211.12 Filing and service.
211.13 Amendments to applications.
211.14 Incorporation by reference.
211.15 Statements of fact.
211.16 Oral hearing.
Subpart C--Information Requirements
211.20 Initial foreign air carrier permit or transfer of a permit.
211.21 Amendments or renewal of foreign air carrier permits.
Subpart D--Freely Associated State Air Carriers
211.30 Eligibility.
211.31 Application.
211.32 Issuance of permit.
211.33 Interstate and interstate authority.
211.34 Other permits.
211.35 Termination of eligibility.
Authority: 49 U.S.C. Chapters 401, 411, 413, 415, 417.
Source: ER-1386, 49 FR 33439, Aug. 23, 1984, unless otherwise noted.
Editorial Note: Nomenclature changes to part 211 appear at 61 FR
34725, July 3, 1996.
Subpart A--General
Sec. 211.1 Purpose.
This part sets forth the filing and evidence requirements for
foreign air carriers applying for authority to engage in foreign air
transportation under section 41301 of Title 49 of the United States Code
(Transportation).
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Sec. 211.2 Applicability.
(a) Except as provided in paragraph (b) of this section, this part
applies to all foreign air carriers seeking initial foreign air carrier
permits or the transfer, renewal, or amendment of an existing foreign
air carrier permit.
(b) Canadian charter air taxi operators, foreign indirect air
carriers of property, and foreign charter operators are not required to
submit applications under this part. Instead, Canadian charter air taxi
operators shall register under part 294 of this chapter, foreign
indirect air carriers of property shall register under part 297 of this
chapter,
[[Page 24]]
and foreign charter operators shall register under subpart F of part 380
of this chapter.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Subpart B--General Requirements
Sec. 211.10 Filing specifications.
(a) Except as provided in paragraph (b) of this section, applicants
shall follow the requirements in Sec. 302.3 of this chapter as to
execution, number of copies, and formal specifications of papers.
(b) Mexican air taxi operators filing applications for foreign air
carrier permits authorizing charter flights across the Mexico-United
States border with small aircraft (a maximum passenger capacity of 60
seats or less, or a maximum payload capacity of 18,000 pounds or less)
shall file an original and two copies of the application. The
application shall conform to the instruction document available from the
Foreign Air Carrier Licensing Division, Office of International
Aviation, Department of Transportation, 400 Seventh Street, SW.,
Washington, DC 20590.
(c) An application shall have consecutively numbered pages, and
shall clearly describe and identify each exhibit by a separate number or
symbol. All exhibits are part of the application to which they are
attached.
(d) Applications shall state all weights, measures and monetary
units in U.S. terms, and all text in English.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984; 61 FR 34725, July 3, 1996]
Sec. 211.11 Verification.
Applications shall be verified and subscribed and sworn to before a
Notary Public or other officer authorized to administer oaths in the
jurisdiction in which the application is executed. An application
verified before a United States consular officer meets the requirements
of this section.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Sec. 211.12 Filing and service.
All types of applications for foreign air carrier permits (initial,
renewal, amendment, or transfer) are filed as of the date the
applications are received at the Department's Docket Facility. Each
applicant shall serve those persons as required in part 302, subpart Q,
of this chapter.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Sec. 211.13 Amendments to applications.
An applicant shall submit any information required by this part that
is omitted from the original application, or any additional information,
as an amendment to the original application. Applicants shall
consecutively number amendments to applications and shall comply with
the requirements of this subpart.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Sec. 211.14 Incorporation by reference.
Where two or more applications are filed by a single carrier, the
applicant may incorporate lengthy exhibits, or other documents, attached
to one application into others by reference. The applicant may not
incorporate by reference and update any information from a previous
docket unless submitted within the past 2 years. The applicant must
identify the docket, and the page number or exhibit number being
incorporated, and state that there has been no change in that
information since submitting the original information.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Sec. 211.15 Statements of fact.
The applicant shall include only significant and relevant facts in
an application. Each application shall contain adequate information with
respect to the evidence required in subpart C of this part. The
application may contain
[[Page 25]]
other information and data the applicant considers necessary to explain
particular circumstances.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Sec. 211.16 Oral hearing.
If an oral evidentiary hearing is convened, the applicant must make
available witnesses who are competent and able to testify to the
accuracy of the statements and documents submitted.
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984]
Subpart C--Information Requirements
Sec. 211.20 Initial foreign air carrier permit or transfer of a permit.
A person applying for an initial foreign air carrier permit or the
transfer of a permit shall submit the information listed below. The
applicant must fully comply with this requirement. If the applicant is
unable to respond to an item, the application shall contain an
explanation, and include substitute information most closely
approximating the information requested. The Department may require an
applicant to provide additional information as necessary.
(a) State the name and address of the applicant, the nature of its
organization (individual, partnership, corporation, etc.), and, if other
than an individual, the name of the country under the laws of which it
is organized and the statutory citation of such laws, if any.
(b) State the name and official address of the government air
transport authority of applicant's country of citizenship having
regulatory jurisdiction over applicant.
(c) Supply the following information regarding the services
proposed:
(1) A complete statement of the authority sought; and
(2) A description of the services proposed, specifying:
(i) The point or points in the United States proposed to be served:
(ii) The frequency of service planned at the start of operations,
indicating any seasonal variations; whether the service proposed is to
be scheduled, nonscheduled or charter; whether the service would be
passenger, or property and mail, or a combination; and the type of
equipment (and configuration) to be used; and
(iii) A service schedule stating the manner in which the service
will be operated (e.g., nonstop or multi-stop, and the identity of
proposed intermediate traffic and nontraffic points).
(d) Provide the names, addresses (both residence and business), and
citizenship of all Directors, Officers and key management personnel,
including the President, Vice Presidents, the Directors or Supervisors
of Operations, Maintenance, and Finance, and the chief pilot and chief
inspector. Indicate whether any of these persons are related by blood or
marriage.
(e) Provide the names and citizenship of all persons holding five
percent (5%) or more of the capital stock or capital of the applicant.
Also indicate the number and percentage of shares of stock or percentage
of capital held by each. If five percent or more of the applicant's
stock is held by a corporation or partnership, set forth the name and
citizenship of each person holding five percent or more of the entire
capital stock or capital of that corporation or partnership and the
respective interest of each. If any shares are held for the benefit of
another person, give the name and citizenship of that person.
(f) If the applicant is not wholly owned by its homeland government,
state whether the applicant (each officer, director, manager, or holder
of five percent or more of the capital stock) holds any interest
directly or indirectly (through brokers or holding companies) in any of
the entities listed below. If no interest is held, so state.
(1) Any U.S. carrier;
(2) Any other foreign air carrier;
(3) Any persons engaged in the business of aeronautics; and
(4) Any common carrier, or any person whose principal business is
the holding of stock in, or control of, any air carrier.
[[Page 26]]
(g) Indicate the relationship between the applicant and its homeland
government. If the applicant is wholly owned or substantially owned by
the government, indicate which governmental department has
responsibility for managerial decisions.
(h) State whether the applicant's insurance coverage meets or
exceeds the liability limits of 14 CFR part 205. State the name(s) of
its insurance carrier(s).
(i) Supply certified evidence, in English, of the applicant's
operating authority issued by its government that relates to the
operations proposed. This evidence must include a description of the
applicant's present authority, the expiration date of this authority,
and the manner in which it is expected to be renewed.
(j) Summarize the operating history of the applicant. Include the
types of transportation services rendered, points served, etc., from the
beginning of operations to the present. Also, if the applicant is a new
airline (i.e., an airline that began direct air services within the past
12 months), briefly summarize the business experience of each officer,
director and key management personnel, emphasizing any air
transportation experience.
(k) Provide a list of the aircraft owned, leased and operated by the
applicant. State each aircraft registration number and the country of
registration. If leased, state the address and citizenship of each
lessor. Describe any plans for the acquisition or lease of additional
aircraft if the present permit application is granted as proposed. If
any of the listed aircraft will not be used exclusively by the
applicant, explain its proposed use. State whether any aircraft are or
will be wet-leased.
(l) State where and by whom the maintenance of the aircraft is or
will be performed. State whether the applicant's maintenance program
complies with the provisions of ICAO Pilots and Airmen Annexes 1, 6
(Part 1) and 7. Also state whether the applicant's home country is a
contracting State to the Convention on International Civil Aviation.
(m) Briefly describe any agreements or cooperative working
arrangements (e.g., block-space, wet-lease), both oral and written,
entered with and between the applicant, or on behalf of the applicant,
and any U.S. or foreign air carrier, affecting the proposed services to
the United States that are not on file with the Department. If there are
no such agreements, so state.
(n) Supply financial data summaries, setting forth in U.S. dollars
the applicant's profit and loss statements and balance sheets for the 2
most recent available years (calendar or fiscal). These summaries must
be accompanied by a statement from the applicant's official responsible
for preparation of the summaries that the submissions are complete and
accurate. These summaries must include the following data, but need not
be more detailed than the financial data summaries published by ICAO:
(1) The profit and loss summary shall identify:
(i) Total air transport operating revenues (separated into three
categories: passenger, cargo, and other transport revenues);
(ii) Total air transport operating expenses;
(iii) Operating result (difference between (i) and (ii));
(iv) Non-operating items; and
(v) Profit or loss after income taxes.
(2) The balance sheet summary shall state and identify:
(i) Current assets;
(ii) Flight equipment (after depreciation);
(iii) Other assets;
(iv) Total assets (sum of (i) through (iii));
(v) Current liabilities;
(vi) Other liabilities;
(vii) Long-term debt;
(viii) Capital stock;
(ix) Retained earnings (balance including capital surplus); and
(x) Total liabilities and equity (sum of (v) through (ix)).
(o) Describe the amount, type and reason for financial assistance
received or expected from the applicant's home government, if any.
(p) Submit an estimate showing the total traffic and the financial
results of the proposed services for the first full year of normal
operations and the supporting data employed to calculate the financial
forecast.
[[Page 27]]
(q) If the air transportation proposed is not covered by an air
transport agreement, state in narrative form each of the elements of
reciprocity or comity relied upon for the requested authority. If the
authority requested is governed by an agreement, state whether the
applicant has been formally designated by its homeland government, and,
if so, cite the diplomatic note.
(r) To the extent not described in paragraph (q), state the policy
of the applicant's homeland government with respect to U.S. carriers'
applications for scheduled and charter authority. Specifically state
whether the homeland government grants Fifth Freedom traffic rights to
U.S. carriers.
(s) For the preceeding 5 years, state whether the applicant has been
involved in any safety or tariff violations or any fatal accidents. If
so, furnish details.
(t) Submit 3 completed copies of OST Form 4523 (Waiver of liability
limits under the Warsaw Convention).
(Approved by the Office of Management and Budget under control number
3024-0068)
[ER-1386, 49 FR 33439, Aug. 23, 1984, as amended by ER-1397, 49 FR
50027, Dec. 26, 1984; 61 FR 34725, July 3, 1996]
Sec. 211.21 Amendments or renewal of foreign air carrier permits.
A person applying for an amendment or renewal of a foreign air
carrier permit shall submit the information listed below. The applicant
must comply fully with this requirement. If the applicant is unable to
respond to an item, the application shall contain an explanation and
include substitute information most closely approximating the
information requested. The Department may require an applicant to
provide any additional information necessary.
(a) The information required in paragraphs (a), (b), (i), (o), (q),
(r), and (s), of Sec. 211.20.
(b) Except if seeking renewal of existing authority, the information
specified in paragraphs (c) and (p) of Sec. 211.20 regarding the new or
altered services proposed to be operated.
(c) If the financial material for the applicant on file with the
Department is more than 2 years old, financial summaries setting forth,
in U.S. dollars, the applicant's profit and loss statements and balance
sheets for the 2 most recent available years (calendar or fiscal) as
required in paragraph (n) of Sec. 211.20, together with the statement of
completeness and accuracy required by that paragraph. If the financial
material on file with the Department is 2 years old or less, the
applicant may incorporate that information by reference as described in
Sec. 211.14 of this part.
(d) If the ownership and control of the applicant are substantially
unchanged, so state. If a change has occurred, the applicant shall
respond to the paragraph in Sec. 211.20 that most closely relates to the
change that has taken place.
(e) A statement that applicant's maintenance program continues to
comply with the provisions of ICAO Pilots and Airmen Annexes 1, 6 (Part
1) and 7.
[ER-1386, 49 FR 33439, Aug. 23, 1984]
Subpart D--Freely Associated State Air Carriers
Source: Amdt. No. 211-18, 52 FR 5442, Feb. 22, 1987, unless
otherwise noted.
Editorial Note: Nomenclature changes to subpart D appear at 61 FR
34725, July 3, 1996.
Sec. 211.30 Eligibility.
Foreign carriers owned and controlled by citizens of the Federated
States of Micronesia, the Marshall Islands, Palau and/or the United
States may, in accordance with the provisions of paragraph 5(b) of
Article IX of the Federal Programs and Services Agreement, implementing
section 221(a)(5) of the Compact of Free Association between the United
States and those governments, apply for authority as ``Freely Associated
State Air Carriers.'' The permit application for such authority shall be
labeled on the front page, ``Application for Freely Associated State
Foreign Air Carrier Permit.''
Sec. 211.31 Application.
The application shall include, in addition to other requirements of
this
[[Page 28]]
part, documentation clearly establishing:
(a) That the carrier is organized under the laws of the Federated
States of Micronesia, the Marshall Islands, Palau or the United States;
(b) That substantial ownership and effective control of the carrier
are held by citizens of the Federated States of Micronesia, the Marshall
Islands, Palau and/or the United States;
(c) That citizens of other countries do not have interests in the
carrier sufficient to permit them substantially to influence its
actions, or that substantial justification exists for a temporary waiver
of this requirement;
(d) That the Administrator of the Federal Aviation Administration
has determined that the carrier complies with such safety standards as
the Administrator considers to be required.
(e) That the government or governments of the Freely Associated
States concerned have consented to the carrier's operation as a ``Freely
Associated State Air Carrier.''
Sec. 211.32 Issuance of permit.
If the Department is satisfied that the applicant meets the
requirements of Sec. 211.31 (a) through (e), and that grant of all or
part of the requested authority would otherwise be in the public
interest, the Department may, subject to Presidential review under
section 801(a) of the Federal Aviation Act, issue a ``Freely Associated
State Foreign Air Carrier Permit'' to the applicant, including such
terms, conditions or limitations as the Department may find to be in the
public interest.
Sec. 211.33 Interstate and interstate authority.
(a) An application under this subpart may include a request, in
addition to other foreign air transportation, for authority to engage in
interstate air transportation between Guam, the Commonwealth of the
Northern Mariana Islands and Honolulu, Hawaii, and interstate air
transportation within the Commonwealth of the Northern Mariana Islands.
A request for all or part of such limited interstate air transportation
authority shall be supported by documentation establishing:
(1) The impact of such interstate air transportation services on the
economic projections of the carrier's proposed operations;
(2) The need for such proposed interstate air transportation by the
affected U.S. points;
(3) The economic impact of such interstate air transportation on
services provided by other carriers providing essential air
transportation services to eligible Freely Associated State points
within the scope of part 272 of this chapter.
(b) The Department may grant a Freely Associated State Air Carrier
authority to engage in all or part of the interstate air transportation
requested in paragraph (a) of this section provided that the Department
finds:
(1) That grant of such interstate air transportation authority would
be in furtherance of the objectives of the Compact of Free Association
and related agreements between the United States and the Freely
Associated States, and would otherwise be in the public interest; and
(2) That grant of such interstate air transportation authority would
not significantly impair the economic viability of existing services
providing essential air transportation to any eligible Freely Associated
State point within the scope of part 272 of this chapter, or
significantly increase compensation that may be required to maintain any
such essential air transportation.
(c) The Department may, at any time, subject to Presidential review
under section 41307, suspend, modify, or revoke such interstate
authority if it concludes that the requirements specified in paragraph
(b) of this section are not then being met.
[Amdt. No. 211-18, 52 FR 5442, Feb. 22, 1987]
Sec. 211.34 Other permits.
Nothing in this section shall be construed as limiting the authority
of the Department to issue a foreign air carrier permit, other than a
Freely Associated State Foreign Air Carrier Permit, to a carrier owned
or controlled, in whole or in part, by citizens of the Federated States
of Micronesia, the Marshall Islands or Palau, that does not meet the
requirements of this section.
[[Page 29]]
Sec. 211.35 Termination of eligibility.
The eligibility of a carrier owned or controlled, in whole or in
part, by citizens of the Federated States of Micronesia, the Marshall
Islands or Palau, respectively, for issuance of a Freely Associated
State Foreign Air Carrier Permit under this subpart shall exist only for
such period as subparagraphs (a), (d), and (e) (eligibility for Freely
Associated State essential air transportation subsidy compensation), or
subparagraph (c) (limited interstate air transportation authority), of
paragraph (5) of the Agreement on Civil Aviation Economic Services and
Related Programs (Article IX of the Federal Programs and Services
Agreement) remain in effect between the Government of those States and
the Government of the United States, insofar as authority is conferred
by such permits for purposes specified in those subparagraphs.
[Amdt. No. 211-18, 52 FR 5442, Feb. 22, 1987]
PART 212--CHARTER RULES FOR U.S. AND FOREIGN DIRECT AIR CARRIERS--Table of Contents
Sec.
212.1 Scope.
212.2 Definitions.
212.3 General provisions.
212.4 Authorized charter types.
212.5 Operation of affinity (pro rata) charters.
212.6 Operation of gambling junket charters.
212.7 Direct sales.
212.8 Protection of customers' payments.
212.9 Prior authorization requirements.
212.10 Application for statement of authorization.
212.11 Issuance of statement of authorization.
212.12 Waiver.
Appendix A to Part 212--Certificated or Foreign Air Carrier's Surety
Bond Under part 212 of the Regulations of the Department of
Transportation (14 CFR Part 212)
Appendix B to Part 212--Certification of Compliance
Authority: 49 U.S.C. 40101, 40102, 40109, 40113, 41101, 41103,
41504, 41702, 41708, 41712, 46101.
Source: Docket No. OST-97-2356, 63 FR 28236, May 22, 1998, unless
otherwise noted.
Sec. 212.1 Scope.
This part applies to all charter flights, and all other flights
carrying charter passengers or cargo, in interstate and/or foreign air
transportation by U.S. certificated air carriers or in foreign air
transportation by foreign air carriers. It does not apply to any flights
performed by a commuter air carrier, air taxi operator, or certificated
air carrier operating ``small aircraft'' under part 298 of this chapter.
Nothing in this part gives authority to operate a type or level of
service not authorized by certificate, foreign air carrier permit, or
exemption, except that a certificated air carrier authorized to conduct
scheduled operations may conduct charter flights, in interstate and/or
foreign air transportation, without limitation as to the points served.
Sec. 212.2 Definitions.
For the purposes of this part:
Affinity (pro rata) charter means a charter arranged by an
organization on behalf of its membership, and which meets the
requirements of Sec. 212.5.
Certificated air carrier means a U.S. direct air carrier holding a
certificate issued under 49 U.S.C. 41102.
Charter flight means a flight operated under the terms of a charter
contract between a direct air carrier and its charterer or lessee. It
does not include scheduled interstate air transportation, scheduled
foreign air transportation, or nonscheduled cargo foreign air
transportation, sold on an individually ticketed or individually
waybilled basis.
Charter operator means:
(1) A ``Public Charter operator'' as defined in Sec. 380.2 of this
chapter, or
(2) An ``Overseas Military Personnel Charter operator'' as defined
in Sec. 372.2 of this chapter.
Direct air carrier means a certificated or foreign air carrier that
directly engages in the operation of aircraft under a certificate,
permit, or exemption issued by the Department.
Fifth freedom charter means a charter flight carrying traffic that
originates and terminates in countries other than the carrier's home
country, regardless of whether the flight operates via the home country.
[[Page 30]]
Foreign air carrier means a direct air carrier which is not a
citizen of the United States as defined in 49 U.S.C. 40102(a) that holds
a foreign air carrier permit issued under 49 U.S.C. 41302 or an
exemption issued under 49 U.S.C. 40109 authorizing direct foreign air
transportation.
Fourth freedom charter means a charter flight carrying traffic that
terminates in the carrier's home country having originated in another
country.
Gambling junket charter means a charter arranged by a casino, hotel,
cruise line, or its agents, the purpose of which is to transport
passengers to the casino, hotel, or cruise ship where gambling
facilities are available, and which meets the requirements of
Sec. 212.6.
Long-term wet lease means a wet lease which either--
(1) Lasts more than 60 days, or
(2) Is part of a series of such leases that amounts to a continuing
arrangement lasting more than 60 days.
Mixed charter means a charter, the cost of which is borne partly by
the charter participants and partly by the charterer, where all the
passengers meet the eligibility requirements for ``affinity (pro rata)''
charters of Sec. 212.5.
Part charter means flight carrying both charter and scheduled
passenger traffic.
Single entity charter means a charter the cost of which is borne by
the charterer and not by individual passengers, directly or indirectly.
Third freedom charter means a charter flight carrying traffic that
originates in the carrier's home country and terminates in another
country.
Wet lease means a lease between direct air carriers by which the
lessor provides all or part of the capacity of an aircraft, and its
crew, including operations where the lessor is conducting services under
a blocked space or code-sharing arrangement.
Sec. 212.3 General provisions.
(a) Certificated and foreign air carriers may conduct charter
flights as described in this part, and may carry charter passengers on
scheduled flights, or charter cargo on scheduled or nonscheduled flights
(or on the main deck or in the belly of passenger charter flights),
subject to the requirements of this chapter and any orders of, or
specific conditions imposed by, the Department.
(b) Charter flights may be operated on a round-trip or one-way
basis, with no minimum group, shipment, or contract size.
(c) Contracts to perform charter flights must be in writing and
signed by an authorized representative of the certificated or foreign
air carrier and the charterer prior to the operation of the flights
involved. The written agreement shall include:
(i) The name and address of either the surety whose bond secures
advance charter payments received by the carrier, or of the carrier's
depository bank to which checks or money orders for the advance charter
payments are to be made payable as escrow holder pending completion of
the charter trip; and
(2) A statement that unless the charterer files a claim with the
carrier, or, if the carrier is unavailable, with the surety, within 60
days after the cancellation of a charter trip with respect to which the
charterer's advance payments are secured by the bond, the surety shall
be released from all liability under the bond to such charterer for such
trips.
(d) A certificated or foreign air carrier must make a reasonable
effort to verify that any charterer with which it contracts, and any
charter it conducts, meets the applicable requirements of this chapter.
(e) The certificated or foreign air carriers shall require full
payment of the total charter price, including payment for the return
portion of a round trip, or the posting of a satisfactory bond for full
payment, prior to the commencement of any portion of the air
transportation, provided, however, that in the case of a passenger
charter for less than the entire of an aircraft, the carrier shall
require full payment of the total charter price, including payment for
the return portion of a round trip, from the charterers not less than 10
days prior to the commencement of any portion of the transportation, and
such payment shall not be refundable unless the charter is canceled by
the carrier or unless the carrier accepts a substitute charterer for one
which has canceled a charter, in which case the
[[Page 31]]
amount paid by the latter shall be refunded. For the purpose of this
section, payment to the carrier's depository bank, as designated in the
charter contract, shall be deemed payment to the carrier.
(f) A certificated or foreign air carrier operating a U.S.-
originating passenger charter shall be responsible to return to his or
her point of origin any passenger who purchased round trip
transportation on that charter and who was transported by that carrier
on his or her outbound flight; except that this provision shall not
apply in cases where the return transportation is to be provided by
another certificated or foreign air carrier.
(g) A certificated or foreign air carrier may not perform any
charter flight for which a statement of authorization is required under
Sec. 212.9 until one has been granted by the Department. In addition, if
a foreign air carrier is required to obtain a statement of authorization
under paragraph (e) of that section, neither it, not any charter
operator, or any other person shall advertise or sell any passenger
charter services except those that have been specifically authorized by
the Department.
(h) A certificated air carrier may not operate charters where such
operations would result in a substantial change in the scope of its
operations within the meaning of part 204 of this chapter.
(i) A certificated air carrier may not limit its baggage liability
for interstate charter flights except as set forth in part 254 of this
chapter.
(j) A certificated air carrier may not, except as set forth in part
121 of the Federal Aviation Regulations (14 CFR part 121), limit the
availability, upon reasonable request, of air transportation and related
services to a person who may require help from another person in
expeditiously moving to an emergency exit for evacuation of an aircraft.
(k) A certificated air carrier holding a certificate to conduct only
cargo operations may not conduct passenger charters.
(l) A certificated air carrier may not perform any charter in
interstate commerce within the State of Alaska.
(m) A foreign air carrier may operate charters in foreign air
transportation only to the extent authorized by its foreign air carrier
permit under 49 U.S.C. 41302 or exemption authority under 49 U.S.C.
40109, and only to the extent to which such operations are consistent
with the provisions of any applicable bilateral aviation undertaking.
Sec. 212.4 Authorized charter types.
Certificated and foreign air carriers may conduct the following
charter types, subject to the provisions of this part:
(a) Affinity (pro rata) charters.
(b) Single entity charters, including:
(1) Wet leases involving the carriage of passengers and/or cargo,
provided, that the wet lessee holds appropriate economic authority from
the Department to conduct the proposed operations; and
(2) Charters pursuant to contracts with the Department of Defense,
provided, that foreign air carriers may conduct charters for the
Department of Defense only to the extent that such operations are
consistent with the provisions of 49 U.S.C. 40118.
(c) Mixed charters.
(d) Gambling junket charters.
(e) Public Charters in accordance with part 380 of this chapter
(including operations by educational institutions as defined in that
part).
(f) Overseas military personnel charters in accordance with part 372
of this chapter.
(g) Cargo charters.
Sec. 212.5 Operation of affinity (pro rata) charters.
An affinity (pro rata) charter operated by a certificated or foreign
air carrier must meet the following criteria:
(a) The aircraft must be chartered by an organization, no part of
whose business is the formation of groups for transportation or
solicitation or sale of transportation services, for the purpose of
providing air transportation to its members and their immediate
families.
(b) The charter must be organized by the organization itself, or by
a person
[[Page 32]]
or company who acts not as a principal, but as an agent for the
chartering organization or the certificated or foreign air carrier.
(c) No solicitation, sales, or participation may take place beyond
the bona fide members of an eligible chartering organization, and their
immediate families (spouse, children, and parents). All printed
solicitation materials shall contain the following notice in boldface,
10-point or larger type--
Some of the Federal rules that protect against tour changes and loss
of passengers' money in publicly sold charters do not apply to this
charter flight.
(d) ``Bona fide members'' are members of an organization who: Have
not joined the organization merely to travel on a charter flight; and
who have been members of the chartering organization for a minimum of
six months prior to the date of commencement of the affected flight;
provided, that the ``six month'' rule does not apply to:
(1) Employees of a single commercial establishment, industrial
plant, or government agency, or
(2) Students and employees of a single school.
(e) The charter price due the direct air carrier shall be prorated
equally among all the charter passengers, except that children under 12
may be offered discounted or free transportation.
(f) The certificated or foreign air carrier shall make reasonable
efforts to assure that passengers transported meet the eligibility
requirements of this section. The certificated or foreign air carrier
shall also obtain (no later than the date of departure), and maintain
for two years, a certification by an authorized representative of the
chartering organization that all passengers are eligible for
transportation under this section.
Sec. 212.6 Operation of gambling junket charters.
A gambling junket charter operated by a certificated or foreign air
carrier must meet the following criteria:
(a) The aircraft must be chartered by
(1) A casino, hotel, or cruise line duly licensed by the government
of any state, territory or possession of the United States, or by a
foreign government, or
(2) An agent of such a casino, or cruise line on behalf of that
casino, hotel, or cruise line.
(b) The casino, hotel, or cruise line or its agents, may not require
a passenger to incur any expense in taking the trip, provided, that this
provision shall not preclude the casino, hotel, or cruise line or its
agents, from requiring prospective passengers to pay nominal reservation
fees that are duly refundable by the casino, hotel, or cruise line
before the flight, establish a minimum line-of-credit at the casino,
hotel, or cruise line, bring (but not necessarily spend) a specified
minimum amount of money, or meet other requirements that do not place
them in financial jeopardy; nor does it preclude the casino, hotel, or
cruise line, or its agents, from offering operational land packages for
a fee.
Sec. 212.7 Direct sales.
(a) Certificated and foreign air carriers may sell or offer for
sale, and operate, as principal, Public Charter flights under part 380
of this chapter directly to the public.
(b) Each certificated or foreign air carrier operating a charter
trip under this section shall comply with all the requirements of part
380 of this chapter, except that:
(1) Those provisions of part 380 relating to the existence of a
contract between a charter operator and a direct air carrier do not
apply;
(2) A depository agreement shall comply with Sec. 380.34a (d) and
(f);
(3) A security agreement shall comply with Sec. 380.34 (c) and (d);
and
(i) If no depository agreement is used, protect charter participant
payments (including those for ground accommodations and services) and
assure the certificated or foreign air carrier's contractual and
regulatory responsibilities to charter participants in an unlimited
amount (except that the liability of the securer with respect to any
charter participant may be limited to the charter price paid by or on
behalf of such participant);
(ii) If used in combination with a depository agreement, protect
charter participant payments (including those
[[Page 33]]
for ground accommodations and services) and assure the certificated or
foreign air carrier's contractual and regulatory responsibilities to
charter participants in the amount of at least $10,000 times the number
of flights, except that the amount need not be more than $200,000. The
liability of the securer with respect to any charter participant may be
limited to the charter price paid by or on behalf of such participant.
(c) The Department reserves the right to limit or prohibit the
operation of direct sales Public Charters by a foreign air carrier upon
a finding that such action is necessary in the public interest.
Sec. 212.8 Protection of customers' payments.
(a) Except as provided in paragraph (c) of this section, no
certificated air carrier or foreign air carrier shall perform any
charter trip (other than a cargo charter trip) originating in the United
States or any Overseas Military Personnel Charter trip, as defined in
part 372 of this chapter, nor shall such carrier accept any advance
payment in connection with any such charter trip, unless there is on
file with the Department a copy of a currently effective agreement made
between said carrier and a designated bank, by the terms of which all
sums payable in advance to the carrier by charterers, in connection with
any such trip to be performed by said carrier, shall be deposited with
and maintained by the bank, as escrow holder, the agreement to be
subject to the following conditions:
(1) The charterer (or its agent) shall pay the carrier either by
check or money order made payable to the depository bank. Such check or
money order and any cash received by the carrier from a charterer (or
its agent) shall be deposited in, or mailed to, the bank no later than
the close of the business day following the receipt of the check or
money order or the cash, along with a statement showing the name and
address of the charterer (or its agent); provided, however, that where
the charter transportation to be performed by a carrier is sold through
a travel agent, the agent may be authorized by the carrier to deduct its
commission and remit the balance of the advance payment to the carrier
either by check or money order made payable to the designated bank.
(2) The bank shall pay over to the carrier escrowed funds with
respect to a specific charter only after the carrier has certified in
writing to the bank that such charter has been completed; provided,
however, that the bank may be required by the terms of the agreement to
pay over to the carrier a specified portion of such escrowed funds, as
payment for the performance of the outbound segment of a round-trip
charter upon the carrier's written certification that such segment has
been so completed.
(3) Refunds to a charterer from sums in the escrow account shall be
paid directly to such charterer its assigns. Upon written certification
from the carrier that a charter has been canceled, the bank shall turn
over directly to the charterer or its assigns all escrowed sums (less
any cancellation penalties as provided in the charter contract) which
the bank holds with respect to such canceled charter, provided however,
that in the case of a split charter escrowed funds shall be turned over
to a charterer or its assigns only if the carrier's written
certification of cancellation of such charter includes a specific
representation that either the charter has been canceled by the carrier
or, if the charter has been canceled by the charterer, that the carrier
has accepted a substitute charterer.
(4) The bank shall maintain a separate accounting for each charter
flight.
(5) As used in this section the term ``bank'' means a bank insured
by the Federal Deposit Insurance Corporation.
(b) The escrow agreement required under paragraph (a) of this
section shall not be effective until approved by the Department. Claims
against the escrow may be made only with respect to the non-performance
of air transportation.
(c) The carrier may elect, in lieu of furnishing an escrow agreement
pursuant to paragraph (a) of this section, to furnish and file with the
Department a surety bond with guarantees to the United States Government
the performance of all charter trips (other
[[Page 34]]
than cargo charter trips) originating in the United States and of all
overseas military personnel charter trips, as defined in part 372 of
this chapter, to be performed, in whole or in part, by such carrier
pursuant to any contracts entered into by such carrier. The amount of
such bond shall be unlimited.\1\ Claims under the bond may be made only
with respect to the non-performance of air transportation.
---------------------------------------------------------------------------
\1\ While the face amount of the bond is unlimited, claims are
limited to amounts that are paid to carrier for U.S.-originating
passenger charter flights that carrier fails to perform or to refund.
---------------------------------------------------------------------------
(d) The bond permitted by this section shall be in the form set
forth as the appendix to this part. Such bond shall be issued by a
bonding or surety company--
(1) Which is listed in Best's Insurance Reports (Fire and Casualty)
with a general policyholders' rating of ``A'' or better or
(2) Which is listed in the U.S. Department of Treasury's notice
listing companies holding Certificates of Authority as acceptable
sureties on Federal bonds and as acceptable reinsuring companies,
published in the Federal Register on or about July 1. The bonding or
surety company shall be one legally authorized to issue bonds of that
type in the State in which there is located the office or usual
residence of the agency designated by the carrier under 49 U.S.C. 46103
to receive service of notices, process and other documents issued by or
filed with the Department of Transportation. For the purposes of this
section the term ``State'' includes any territory or possession of the
United States, or the District of Columbia. If the bond does not comply
with the requirements of this section, or for any reason fails to
provide satisfactory or adequate protection for the public, the
Department will notify the certificated or foreign air carrier by
registered or certified mail, stating the deficiencies of the bond.
Unless such deficiencies are corrected within the time limit set forth
in the notification, no amounts payable in advance by customers for the
subject charter trips shall be accepted by the carrier.
(e) The bond required by this section shall provide that unless the
charterer files a claim with the carrier, or, if the carrier is
unavailable, with the surety, within 60 days after cancellation of a
charter trip with respect to which the charterer's advance payments are
secured by the bond, the surety shall be released from all liability
under the bond to such charterer for such charter trip. The contract
between the carrier and the charterer shall contain notice of this
provision.
Sec. 212.9 Prior authorization requirements.
(a) Certificated air carriers shall obtain a statement of
authorization for each long-term wet lease to a foreign air carrier.
(b) Foreign air carriers shall obtain a statement of authorization
for each:
(1) Fifth freedom charter flight to or from the United States;
(2) Long-term wet lease;
(3) Charter flight for which the Department specifically requires
prior authorization under paragraph (e) or (f) of this section; or
(4) Part charter.
(c) The Department may issue blanket statements of authorization to
foreign air carriers to conduct fifth freedom charters. The standards
for issuing such blanket authorizations shall be those stated in
Sec. 212.11. The Department may revoke any authority granted under this
paragraph at any time without hearing.
(d) The Department may at any time, with or without hearing, but
with at least 30 days' notice, require a foreign air carrier to obtain a
statement of authorization before operating any charter flight. In
deciding whether to impose such a requirement, the Department will
consider (but not be limited to considering) whether the country of the
carrier's nationality:
(1) Requires prior approval for third or fourth freedom charter
flights by U.S. air carriers;
(2) Has, over the objection of the U.S. Government, denied rights of
a U.S. air carrier guaranteed by a bilateral agreement; or
(3) Has otherwise impaired, limited, or denied the operating rights
of U.S.
[[Page 35]]
air carriers, or engaged in unfair, discriminatory, or restrictive
practices with respect to air transportation services to, from, through,
or over its territory.
(e) The Department, in the interest of national security, may
require a foreign air carrier to provide prior notification or to obtain
a statement of authorization before operating any charter flight over
U.S. territory.
Sec. 212.10 Application for statement of authorization.
(a) Application for a statement of authorization shall be submitted
on OST Form 4540 except that for part charters or long-term wet leases
the application may be in letter form. An application for a long-term
wet lease shall describe the purpose and terms of the wet lease
agreement. An original and two copies of an application shall be
submitted to the Department of Transportation, Office of International
Aviation, U.S. Air Carrier Licensing Division, X-44 (for an application
by a certificated air carrier), or Foreign Air Carrier Licensing
Division, X-45 (for an application by a foreign air carrier), 400
Seventh Street, SW., Washington, DC 20590. Upon a showing of good cause,
the application may be transmitted by facsimile (fax) or telegram, or
may be made by telephone, provided, that in the case of a fax or
telephone application, the applicant must confirm its request (by filing
an original and two copies of its application as described above) within
three business days.
(b) A copy of each application for a long-term wet lease shall also
be served on the Director of Flight Standards Service (AFS-1), Federal
Aviation Administration, 800 Independence Avenue, SW., Washington, DC
20591, and on each certificated air carrier that is authorized to serve
the general area in which the proposed transportation is to be
performed.
(c)(1) Applicants for statements of authorization filed by foreign
air carriers shall include documentation to establish the extent to
which the country of the applicant's nationality deals with U.S. air
carriers on the basis of reciprocity for similar flights, if such
flights are not subject to a bilateral agreement, and
(i) The Department has not established that the country accords
reciprocity;
(ii) The Department has found reciprocity defective in the most
recent prior approval application involving the country; or
(iii) Changes in reciprocity have occurred since the most recent
Department finding for the country in question.
(2) Applications filed by certificated or foreign air carriers to
conduct long-term wet leases shall include, for the country of the
lessee's nationality, the documentation specified in paragraph (c)(1) of
this section.
(d)(1) Applications shall be filed at least 5 business days before
commencement of the proposed flight or flights, except as specified in
paragraphs (d)(2), (d)(3), and (d)(4) of this section. Late applications
may be considered upon a showing of good cause for the lateness.
(2) Applications for a part charter or for a long-term wet lease
shall be filed at least 45 calendar days before the date of the first
proposed flight.
(3) Applications specifically required under Sec. 212.9(d) shall be
filed at least 30 calendar days before the proposed flight or flights
(10 calendar days for cargo charters), unless otherwise specified by the
Department.
(4) Applications required by a Department order under Sec. 212.9(e)
shall be filed at least 14 calendar days before the proposed flight or
flights, unless otherwise specified by the Department.
(5) Where an application is required by more than one provision of
this part and/or order of the Department, only one application need be
filed, but it must conform to the earliest applicable filing deadline.
(6) The Department may require service of applications as it deems
necessary.
(e)(1) Any part in interest may file a memorandum supporting or
opposing an application. Three copies of each memorandum shall be filed
within 7 business days after service of the application or before the
date of the proposed flight or flights, whichever is earlier.
Memorandums will be considered to the extent practicable; the Department
may act on an application
[[Page 36]]
without waiting for supporting or opposing memorandums to be filed.
(2) Each memorandum shall set forth the reasons why the application
should be granted or denied, accompanied by whatever data, including
affidavits, the Department is requested to consider.
(3) A copy of each memorandum shall be served on the certified or
foreign air carrier applying for approval.
(f)(1) Unless otherwise ordered by the Department, each application
and memorandum filed in response will be available for public inspection
at the Office of International Aviation immediately upon filing. Notice
of the filing of all applications shall be published in the Department's
Weekly List of Applications Filed.
(2) Any person objecting to public disclosure of any information in
an application or memorandum must state the grounds for the objection in
writing. If the Department finds that disclosure of all or part of the
information would adversely affect the objecting person, and that the
public interest does not require disclosure, it will order that the
injurious information be withheld.
Sec. 212.11 Issuance of statement of authorization.
(a) The Department will issue a statement of authorization if it
finds that the proposed charter flight, part charter, or wet lease meets
the requirements of this part and that it is in the public interest.
Statements of authorization may be conditioned or limited.
(b) In determining the public interest the Department will consider
(but not be limited to) the following factors:
(1) The extent to which the authority sought to covered by and
consistent with bilateral agreements to which the United States is a
party.
(2) The extent to which an applicant foreign air carrier's home
country (and, in the case of a long-term wet lease, the lessee's home
country) deals with U.S. air carriers on the basis of substantial
reciprocity.
(3) Whether the applicant or its agent has previously violated the
provisions of this part.
(4) Where the application concerns a long-term wet lease:
(i) Whether the lessor (applicant) or its agent or the lessee
(charterer) or its agent has previously violated the provisions of the
Department's charter regulations.
(ii) Whether, because of the nature of the arrangement and the
benefits involved, the authority sought should be the subject of a
bilateral agreement.
(iii) To what extent the lessor owns and/or controls the lessee, or
is owned and/or controlled by the lessee.
(c) The Department will submit any denial of an authorization
specifically required of a foreign air carrier under Sec. 212.9(d) to
the President of the United States at least 10 days before the proposed
departure. The denial will be subject to stay or disapproval by the
President within 10 days after it is submitted. A shorter period for
Presidential review may be specified by the Department where the
application for authorization is not timely or properly filed. Denial of
a late-filed application need not be submitted to the President. For the
purposes of this paragraph, an application filed by a foreign air
carrier under Sec. 212.9(d) to conduct a cargo charter will be
considered as timely filed only if it is filed at least 30 calendar days
before the proposed flight, notwithstanding the 10-day filing
requirement for cargo charters in Sec. 212.10(d)(3).
(d) The Department will publish notice of its actions on
applications for statements of authorization in its Weekly List of
Applications Filed. Interested persons may upon request obtain copies of
letters of endorsed forms advising applicants of action taken on their
applications.
Sec. 212.12 Waiver.
The Department may grant a waiver of any of the provisions of this
part upon a finding that such waiver is in the public interest. A
certificated or foreign air carrier may request a waiver by filing a
written application with the Department, citing the specific provision
to be waived and providing justification for such waiver.
[[Page 37]]
Appendix A to Part 212--Certificated or Foreign Air Carrier's Surety
Bond Under Part 212 of the Regulations of the Department of
Transportation (14 CFR Part 212)
Know all persons by these presents, that we ____________________
(Name of certificated or foreign air carrier) of ____________________,
(City) ____________________ (State or Country) as Principal (hereinafter
called Principal), and ____________________ (name of Surety) a
corporation created and existing under the laws of the State of
________________ (State) as Surety (hereinafter called Surety) are held
and firmly bound unto the United States of America in an unlimited
amount, as required by 14 CFR 212.8, for which payment, well and truly
to be made, we bind ourselves and our heirs, executors, administrators,
successors, and assigns, jointly and severally, firmly by these
presents.
Whereas the principal, a certificated air carrier holding a
certificate of public convenience and necessity issued under 49 U.S.C.
41102, or a foreign air carrier holding a foreign air carrier permit
issued under 49 U.S.C. 41302 or an exemption issued under 49 U.S.C.
40109 authorizing that foreign air carrier to engage in charter trips in
foreign air transportation, is subject to rules and regulations of the
Department of Transportation relating to security for the protection of
charterers of civil aircraft and has elected to file with the Department
of Transportation such a bond as will guarantee to the United States
Government the performance of all charter trips (other than cargo
charter trips) originating in the United States and of all Overseas
Military Personnel Charters, as defined in 14 CFR part 372, to be
performed, in whole or in part, by such certificated or foreign air
carrier pursuant to contracts entered into by such carrier after the
execution date of this bond, and
Whereas this bond is written to assure compliance by the Principal
with rules and regulations of the Department of Transportation relating
to security for the protection of charterer of civil aircraft for
charter trips (other than cargo charters) originating in the United
States or of Overseas Military Personnel Charter trips and shall inure
to the benefit of any and all such charterers to whom the Principal may
be held legally liable for any of the damages herein described.
Now, therefore, the condition of this obligation is such that if the
Principal shall pay or cause to be paid to such charterer any sum or
sums for which the Principal may be held legally liable by reason of the
Principal's failure faithfully to perform, fulfill, and carry out all
contracts made by the Principal while this bond is in effect for the
performance of charter trips (other than cargo charter trips)
originating in the United States and of Overseas Military Personnel
Charter trips, then this obligation shall be void, otherwise to remain
in full force and effect.
The liability of the Surety shall not be discharged by any payment
or succession of payments hereunder in any specified amount. The surety
agrees to furnish written notice to the Department of Transportation
forthwith of all suits filed, judgments rendered, and payments made by
said Surety under this bond.
This bond is effective the ______ day of ________________, ________,
12:01 a.m., standard time at the address of the Principal as stated
herein and shall continue in force until terminated as hereinafter
provided. The Principal or the Surety may at any time terminate this
bond by written notice to the Department of Transportation at its office
in Washington, D.C., such termination to become effective thirty (30)
days after actual receipt of said notice by the Department. The Surety
shall not be liable hereunder for the payment of the damages
hereinbefore described which arise as the result of any contracts for
the performance of air transportation services made by the Principal
after the termination of this bond becomes effective, as herein
provided, but such termination shall not affect the liability of the
Surety hereunder for the payment of any such damages arising as the
result of contracts for the performance of air transportation services
made by the Principal after the termination of this bond becomes
effective. Liability of the Surety under this bond shall in all events
be limited only to a charterer who shall within sixty (60) days after
the cancellation of a charter trip with respect to which the charterer's
advance payments are secured by this bond give written notice of claim
to the certificated or foreign air carrier, or, if it is unavailable, to
the Surety, and all liability on this bond for such charter trip shall
automatically terminate sixty (60) days after the termination date
thereof except for claims filed within the time provided herein.
In witness whereof, the said Principal and Surety have executed this
instrument on the ______ day of ________________, ________.
Principal
Name____________________________________________________________________
By: Signature and title_________________________________________________
Witness_________________________________________________________________
Surety
Name____________________________________________________________________
By: Signature and title_________________________________________________
Witness_________________________________________________________________
Bonding or surety company must be listed in Best's Insurance Reports
(Fire and Casualty) with a general policyholders' rating of ``A''
[[Page 38]]
or better or in the Department of the Treasury listing of companies
holding certificates of authority as acceptable sureties on Federal
bonds. In addition, the bonding or surety company shall be one legally
authorized to issue bonds of that type in the State(s) in which the
charter flight(s) originate. Agents must provide satisfactory proof that
they have the requisite authority to issue this bond.
Appendix B to Part 212--Certification of Compliance
Organization Charterworthiness for Affinity Charter Air Transportation
and Eligibility of All Prospective Passengers for Such Flights Under
Part 212 of the Regulations of the Department of Transportation (14 CFR
Part 212)
I declare under penalty of perjury under the laws of the United
States of America that the foregoing is true and correct.
PART 213--TERMS, CONDITIONS AND LIMITATIONS OF FOREIGN AIR CARRIER PERMITS--Table of Contents
Sec.
213.1 Applicability.
213.2 Reports of traffic data.
213.3 Filing and approval of schedules.
213.4 [Reserved]
213.5 Filing and service of schedules and applications for approval of
schedules; procedure thereon.
213.6 Compliance.
213.7 Filing requirements for adherence to Montreal Agreement.
Authority: 49 U.S.C. Chapters 401, 411, 413, 415, 417.
Source: ER-624, 35 FR 8881, June 9, 1970, unless otherwise noted.
Editorial Note: Nomenclature changes to part 213 appear at 61 FR
34725, July 3, 1996.
Sec. 213.1 Applicability.
This regulation sets forth terms, conditions, and limitations
applicable to foreign air carrier permits issued under section 41302 of
Title 49 of the United States Code (Transportation) authorizing
scheduled foreign air transportation. Unless such permits or the orders
issuing such permits otherwise provide, the exercises of the privileges
to engage in scheduled foreign air transportation granted by any such
permit shall be subject to the terms, conditions, and limitations as are
set forth in this part, and as may from time to time be prescribed by
the Department.
[ER-680, 36 FR 7306, Apr. 17, 1971, as amended at 61 FR 34725, July 3,
1996]
Sec. 213.2 Reports of traffic data.
The Department may at any time require any foreign air carrier to
file with the Department traffic data disclosing the nature and extent
of such carrier's engagement in transportation between points in the
United States and points outside thereof. The Department will specify
the traffic data required in each such instance. Interested persons
seeking reconsideration of a Department determination under this section
may file a petition pursuant to Rule 37 of part 302 within 10 days after
Department action.
Sec. 213.3 Filing and approval of schedules.
(a) In the absence of provisions to the contrary in the permit and
of Department action pursuant to this section, a foreign air carrier may
determine the schedules (including type of equipment used) pursuant to
which it engages in transportation between points in the United States
and points outside thereof.
(b) In the case of a foreign air carrier permit for scheduled air
transportation which is not the subject of an air transport agreement
between the United States and the government of the holder, the
Department, if it finds that the public interest so requires, may with
or without hearing order the foreign air carrier to file with it within
7 days after service of such order, an original and three copies of any
or all of its existing schedules of service between any point in the
United States and any point outside thereof, and may require such
carrier thereafter to file an original and three copies of any proposed
schedules of service between such points at least 30 days prior to the
date of inauguration of such service. Such schedules shall contain all
schedules of aircraft which are or will be operated by such carrier
between each pair of points set forth in the order, the type of
equipment used or to be used, the time of arrival and departure at each
point, the frequency of each schedule,
[[Page 39]]
and the effective date of any proposed schedule.
(c) In the case of any foreign air carrier permit for scheduled air
transportation which is the subject of an air transport agreement
between the United States and the government of the holder, the
Department may with or without hearing issue an order, similar to that
provided for in paragraph (b) of this section, if it makes the findings
provided for in that subsection and, in addition, finds that the
government or aeronautical authorities of the government of the holder,
over the objections of the U.S. Government, have: (1) Taken action which
impairs, limits, terminates, or denies operating rights, or (2)
otherwise denied or failed to prevent the denial of, in whole or in
part, the fair and equal opportunity to exercise the operating rights,
provided for in such air transport agreement, of any U.S. air carrier
designated thereunder with respect to flight operations to, from,
through, or over the territory of such foreign government.
(d) The carrier may continue to operate existing schedules, and may
inaugurate operations under proposed schedules 30 days after the filing
of such schedules with the Department, unless the Department with or
without hearing issues an order, subject to stay or disapproval by the
President of the United States within 10 days after adoption, notifying
the carrier that such operations, or any part of them, may be contrary
to applicable law or may adversely affect the public interest. If the
notification pertains to a proposed schedule, service under such
schedule shall not be inaugurated; if the notification pertains to
existing schedules, service under such schedules shall be discontinued
on the date specified in the Department's order. Such date shall be not
less than ten days after adoption of the Department's order unless
affirmative Presidential approval is obtained at an earlier date.
(e) No petitions for reconsideration may be filed with respect to
Department orders issued pursuant to paragraph (b), (c), or (d) of this
section. Nevertheless, if the Department serves a notification under
paragraph (d) of this section, the carrier may make application to the
Department for approval of any or all existing or proposed schedules,
pursuant to the provisions of Sec. 213.5. The Department may with or
without hearing withdraw, in whole or in part, its notification at any
time and may permit existing or proposed schedules to be operated for
such period or periods as the Department may determine.
(f) The date of service on a foreign air carrier of orders and
notifications pursuant to this section shall be the date of mailing
thereof, by certified or registered mail, to the agent designated by the
foreign air carrier pursuant to 49 U.S.C. 46103 or, if the foreign air
carrier has failed to designate an agent, the date of mailing by
registered air mail to the foreign air carrier's home office.
[ER-624, 35 FR 8881, June 9, 1970, as amended by ER-870, 39 FR 30843,
Aug. 26, 1974; ER-1107, 47 FR 46495, Oct. 19, 1982; 61 FR 34725, July 3,
1996]
Sec. 213.4 [Reserved]
Sec. 213.5 Filing and service of schedules and applications for approval of schedules; procedure thereon.
(a) Number of copies and certificate of service. An original and
three copies of each schedule, and an original and seven (7) copies of
application for approval of schedules (Sec. 213.3(e)) shall be filed
with the Department, each setting forth the names and addresses of the
persons, if any, required to be served, and stating that service has
been made on all such persons by personal service or by registered or
certified mail (if the addressee is located within the United States,
its territories and possessions) or by registered air mail (if the
addressee is located outside the United States, its territories and
possessions) and the date of such service. In the case of service by
mail, the date of mailing shall be considered the date of service.
(b) Pleadings by interested persons. Any interested person may file
and serve upon the foreign air carrier a memorandum in opposition to, or
in support of, schedules or an application for approval of schedules
within 10 days of the filing opposed or supported. All memoranda shall
set forth in detail the
[[Page 40]]
reasons for the position taken together with a statement of economic
data and other matters which it is desired that the Department
officially notice, and affidavits stating other facts relied upon.
Memoranda shall contain a certificate of service as prescribed in
paragraph (a) of this section. An executed original and seven (7) true
copies shall be filed with the Department's Docket Facility. Unless
otherwise provided by the Department, further pleadings will not be
entertained.
(c) Determination and petitions for reconsideration. The Department
may make its determination upon the application and other pleadings or,
in its discretion, after hearing. Interested persons seeking
reconsideration of the Department's determination on an application
approval of schedules may file a petition pursuant to Rule 37 of part
302 of this chapter within 10 days of Department action. Any interested
person may file an answer in opposition to, or in support of, the
petition within 10 days after it is filed. An executed original and 19
copies of such petition for reconsideration or memorandum shall be filed
with the Docket Facility. All petitions for reconsideration shall
contain a certificate of service in the form prescribed by paragraph (a)
of this section. Unless ordered by the Department upon application or
upon its own motion, further pleadings will not be entertained.
[ER-624, 35 FR 8881, June 9, 1970, as amended by ER-644, 35 FR 14382,
Sept. 12, 1970; 61 FR 34725, July 3, 1996]
Sec. 213.6 Compliance.
Any violation by the foreign air carrier of applicable provisions of
Subtitle VII of Title 49 of the U.S. Code or of orders, rules or
regulations issued thereunder, or of the terms, conditions or
limitations applicable to the exercise of the privileges granted by the
permit shall constitute a failure to comply with the terms, conditions
and limitations of such permit: Provided, That upon a showing that a
violation of a provision not mandatorily prescribed by law resulted from
the observance by the holder of an obligation, duty or liability imposed
by a foreign country, the Department may excuse the violation.
[ER-624, 35 FR 8881, June 9, 1970, as amended at 61 FR 34725, July 3,
1996]
Sec. 213.7 Filing requirements for adherence to Montreal Agreement.
It shall be a condition upon the holding of a foreign air carrier
permit or other authority authorizing direct foreign scheduled air
transportation that the holder have and maintain in effect and on file
with the Department a signed counterpart of Agreement 18900 (OST Form
4523), and a tariff (for those carriers otherwise generally required to
file tariffs) that includes its provisions, and comply with all other
requirements of part 203 of this chapter. That form can be obtained from
the Foreign Air Carrier Licensing Division (X-45), Office of
International Aviation, Department of Transportation, 400 Seventh
Street, SW., Washington, DC 20590.
(Approved by the Office of Management and Budget under control number
3024-0064)
[ER-1330, 48 FR 8050, Feb. 25, 1983, as amended by ER-1346, 48 FR 31014,
July 6, 1983; 61 FR 34725, July 3, 1996]
PART 214--TERMS, CONDITIONS, AND LIMITATIONS OF FOREIGN AIR CARRIER PERMITS AUTHORIZING CHARTER TRANSPORTATION ONLY--Table of Contents
Sec.
214.1 Applicability.
214.2 Terms of service.
Sec. 214.1 Applicability.
This part establishes the terms, conditions, and limitations
applicable to charter foreign air transportation pursuant to foreign air
carrier permits authorizing the holder to engage in charter
transportation only.
(Secs. 204, 402, Pub. L. 85-726, as amended, 72 Stat. 743, 757; 49
U.S.C. 1324, 1371)
[ER-1223, 46 FR 28379, May 26, 1981]
Sec. 214.2 Terms of service.
Charter air transportation under this part shall be performed in
accordance
[[Page 41]]
with the provisions of part 212 of this chapter.
(Secs. 204, 402, Pub. L. 85-726, as amended, 72 Stat. 743, 757; 49
U.S.C. 1324, 1371)
[ER-1223, 46 FR 28379, May 26, 1981]
PART 215--USE AND CHANGE OF NAMES OF AIR CARRIERS, FOREIGN AIR CARRIERS AND COMMUTER AIR CARRIERS--Table of Contents
Sec.
215.1 Applicability.
215.2 Purpose.
215.3 Use of name.
215.4 Change of name or use of trade name.
215.5 Procedure in case of similarity of names.
215.6 Acknowledgment of registration.
Authority: 49 U.S.C. Chapters 401, 411, 413, 417.
Source: 53 FR 17923, May 19, 1988, unless otherwise noted.
Sec. 215.1 Applicability.
This part applies to all certified air carriers, commuter air
carriers, and foreign direct air carriers and to initial or amended
applications for authority, applications for certificate or permit
transfers or reissuances, and registration of business names.
Sec. 215.2 Purpose.
This part sets rules under which direct air carriers may use the
names in their operating authorizations and change those names. It
further provides for notification to air carriers that may be affected
by the use by other air carriers of the same or similar names. Its
purpose is to place the responsibility for resolving private disputes
about the use of similar names with the air carriers involved, through
recourse to the trade names statutes and the courts. These rules do not
preclude Department intervention or enforcement action should there be
evidence of a significant potential for, or of actual, public confusion.
Sec. 215.3 Use of name.
In holding out to the public and in performing air transportation
services, a direct air carrier or foreign direct air carrier subject to
this part shall use only the name in which its operating authorization
is issued or trade name is registered, and shall not operate or hold out
to the public in a name not acknowledged by the Department to be so
registered. Except as provided in Secs. 221.21(J) and 221.35(d) of this
chapter, minor variations in the use of this name, including
abbreviations, contractions, initial letters, or other variations of the
name that are identifiable with the authorized name, are permitted.
Slogans and service marks shall not be considered names for the purpose
of this part, and their use is not restricted.
Sec. 215.4 Change of name or use of trade name.
(a) Registrations. Any air carrier subject to this part that desires
to change the name in which its operating authorization has been issued,
or to use a trade name, or to obtain initial operating authority must
register the name with the Department. The Department will construe any
application for initial, reissued, or transferred authority, a well as
any commuter air carrier registration or amendment filed under part 298,
as containing a ``registration'' of the intended name. A separate name
registration document need not be filed. A carrier registering use of a
trade name, without seeking reissuance of its underlying certificate or
foreign air carrier permit or exemption authority, must file a statement
that complies with Secs. 302.3 and 302.4 of this chapter registering its
intended name with the Air Carrier Fitness Division if it is a U.S.
certificated or commuter carrier, or within the Licensing Division if it
is a foreign air carrier.
(b) Montreal Agreement. Each registration under this section shall
be accompanied by three copies of a counterpart to the Montreal
Agreement (Agreement 18900) (OST Form 4523) signed by the carrier using
the proposed name. Upon arrival of the application, the Department will
place a copy of the signed OST form 4523 in Docket 17325.
(Reporting and recordkeeping requirements in paragraph (b) were approved
by the Office of Management and Budget under control number 3024-0064.)
[[Page 42]]
Sec. 215.5 Procedure in case of similarity of names.
The Department will compare the proposed name in any registration
filed under this part or in an application for new, reissued, or
transferred authority with a list of names used by existing
certificated, commuter and foreign direct air carriers. The Department
will notify the applicant of any other certificated, foreign or commuter
carriers that may have an identical or similar name. The registrant must
then notify those carriers of its registration. The notification will
identify the applicant and state its proposed name or the name
requested, area of operation or proposed area of operation, type of
business, and other pertinent matters. The registrant must then file a
certificate of service of the notification with the Department.
Sec. 215.6 Acknowledgment of registration.
After completion of the filing and notification requirements of this
part, the Department may acknowledge the registration by notice in the
action granting the application for initial operating authority,
transfer, or reissuance or in approving the commuter registration, or by
separate notice in the case of use of a trade name. Non-action under
this provision shall not be construed as an adjudication of any rights
or liabilities.
PART 216--COMMINGLING OF BLIND SECTOR TRAFFIC BY FOREIGN AIR CARRIERS--Table of Contents
Sec.
216.1 Definitions.
216.2 Applicability.
216.3 Prohibition.
216.4 Special authorizations.
216.5 Existing permits.
216.6 Existing unauthorized operations.
Authority: Sec. 204(a), 72 Stat. 743; 49 U.S.C. 1324(a). Interpret
or apply secs. 402 and 1108(b), 72 Stat. 757, 798; 49 U.S.C. 1372,
1508(b).
Source: ER-525, 33 FR 692, Jan. 19, 1968, unless otherwise noted.
Sec. 216.1 Definitions.
(a) As used in this part, unless the context otherwise requires:
Act means the Federal Aviation Act of 1958, as amended.
Blind sector traffic means revenue traffic, carried by a foreign air
carrier on a flight operating in air transportation, which is enplaned
at one foreign point and deplaned at another foreign point, where at
least one of such points is not named as a terminal or intermediate
point in the carrier's applicable foreign air carrier permit.
Note: This definition shall not be deemed to include the carriage of
authorized beyond homeland traffic (i.e., traffic carried between a
point named in a carrier's foreign air carrier permit and a point beyond
a homeland terminal point authorized under such permit).
Revenue traffic means persons, property or mail carried for
compensation or hire.
(b) Terms defined in section 101 of the Act have the meaning
expressed in such definitions.
Sec. 216.2 Applicability.
This part sets forth the requirements applicable to foreign air
carriers for obtaining a Special Authorization from the Board with
respect to any deviation from an authorized foreign air transportation
route for the purpose of commingling blind sector traffic with air
transportation traffic carried pursuant to a foreign air carrier permit
issued by the Board. The deviation by a foreign air carrier from its
authorized route for the purpose of combined carriage to or from the
United States of nonrevenue or other traffic, the carriage of which does
not constitute engaging in foreign air transportation, is governed by
the provisions of part 375 of this chapter.
Sec. 216.3 Prohibition.
No foreign air carrier shall carry any blind sector traffic, as
defined in this part, on any flight operating in air transportation
pursuant to the authority of a foreign air carrier permit issued under
section 402 of the Act, unless the combined carriage of such traffic has
been specifically authorized by such permit, or by a Special
Authorization issued under Sec. 216.4.
[[Page 43]]
Sec. 216.4 Special authorizations.
(a) Applications. Any foreign air carrier may apply to the Board for
a Special Authorization, as required by this part, for the carriage of
blind sector traffic on a particular flight, series of flights, or for a
specified or indefinite period of time between specified points.
Applications shall be submitted directly to the Board, addressed to the
attention of the Director, Bureau of International Aviation. One
original and two copies in conformity with the requirements of
Secs. 302.3(b) and 302.4 (b) and (c) of this chapter shall be filed. The
applications shall contain a proper identification of the applicant; the
flight or flights upon which it is proposed to carry such blind sector
traffic, including routing, nontraffic stops, and dates or duration of
the authority sought; a full description of such traffic, and points
between which such traffic will be carried; information or documentation
as to whether the country of which the applicant is a national grants
reciprocal privileges to U.S. carriers; and the reasons for requesting
such authorization together with such additional information as will
establish that the grant of such authority will otherwise be in the
public interest. Such additional information as may be specifically
requested by the Board shall also be furnished.
(b) Service. Applications shall be served upon each direct U.S. air
carrier certificated to engage in individually ticketed or waybilled
foreign air transportation over any portion of the route to which the
application pertains, and on such other persons as the Board may
require, and proof of such service shall accompany the application as
provided in Sec. 302.8 of this chapter. Notice of such applications
shall also be published in the Board's Weekly List of Applications
Filed.
(c) Memoranda in support or opposition. Any interested person may
file a memorandum in support of or in opposition to the grant of an
application. Such memorandum shall set forth in detail the reasons why
it is believed that the application should be granted or denied and
shall be accompanied by such data, including affidavits, which it is
desired that the Board consider. Copies of the memorandum shall be
served upon the applicant. Nothing in this subparagraph shall be deemed
to preclude the Board from granting or denying an application when the
circumstances so warrant without awaiting the filing of memoranda in
support of or in opposition to the application.
(d) Time for filing. (1) Applications seeking authority to engage in
blind sector operations for a period of 3 months or longer, shall be
submitted at least 60 days in advance of the proposed commencement of
such operations. Memoranda in response to such an application shall be
submitted within 15 days after the date of filing thereof.
(2) Applications seeking authority to engage in blind sector
operations for a period less than three months shall be filed at least
20 days in advance of the proposed commencement of such operations, and
memoranda in response thereto within 7 days after the date of filing
thereof: Provided, That the Board may consider late filed applications
upon a showing of good cause for failure to adhere to this requirement.
(e) General procedural requirements. Except as otherwise provided
herein, the provisions of part 302, subpart A, of this chapter shall
apply to the extent applicable.
(f) Issuance of Special Authorization. A Special Authorization
authorizing the carriage of blind sector traffic will be issued only if
the Board finds that the proposed carriage is fully consistent with
applicable law and this part, and that grant of such authority would be
in the public interest. The application may be granted or denied in
whole or in part without hearing, and a Special Authorization made
subject to any conditions or limitations, to the extent that such action
is deemed by the Board to be in the public interest. Special
Authorizations are not transferable.
(g) Nature of the privilege conferred. A Special Authorization
issued pursuant to this section shall constitute a privilege conferred
upon a carrier, which may be enjoyed only to the extent that its
continued exercise remains in the interest of the public. Accordingly,
any Special Authorization issued pursuant
[[Page 44]]
to this section may be revoked, suspended, amended or restricted without
hearing.
(Sec. 204(a) of the Federal Aviation Act of 1958, as amended, 72 Stat.
743 (49 U.S.C. 1324); Reorganization Plan No. 3 of 1961, 75 Stat. 837,
26 FR 5989 (49 U.S.C. 1324 (note)))
[ER-525, 33 FR 692, Jan. 19, 1968, as amended by ER-910, 40 FR 23844,
June 3, 1975; ER-1060, 43 FR 34117, Aug. 3, 1978]
Sec. 216.5 Existing permits.
``Foreign aircraft permits'' issued by the Board under the
provisions of part 375 of the Board's Special Regulations, authorizing
the combined carriage of blind sector traffic as defined in this part,
shall continue in effect in accordance with their terms until their
expiration date unless sooner terminated, revoked or modified by the
Board. Such permits shall, upon the effective date of this part, be
deemed to constitute a Special Authorization issued pursuant to
Sec. 216.4.
Sec. 216.6 Existing unauthorized operations.
Notwithstanding the provisions of Sec. 216.3, if within 30 days
after the effective date of this part a carrier files an application for
a Special Authorization to continue to perform existing blind sector
operations which have been regularly performed by such carrier
commencing on a date prior to August 9, 1967, such carrier may continue
to engage in such blind sector operations until final decision by the
Board on such application: Provided, That any such application shall, in
addition to the requirements of Sec. 216.4(a), contain a statement that
the carrier is relying upon this section for continuance of preexisting
blind sector operations, and shall fully describe such operations
including the date inaugurated, and the frequency and continuity of
performance.
PART 217--REPORTING TRAFFIC STATISTICS BY FOREIGN AIR CARRIERS IN CIVILIAN SCHEDULED, CHARTER, AND NONSCHEDULED SERVICES--Table of Contents
Sec.
217.1 Definitions.
217.2 Applicability.
217.3 Reporting requirements.
217.4 Data collected (service classes).
217.5 Data collected (data elements).
217.6 Extension of filing time.
217.7 Certification.
217.8 Reporting procedures.
217.9 Waivers from reporting requirements.
217.10 Instructions.
217.11 Reporting compliance.
Authority: 49 U.S.C. 329 and chapters 401, 413, 417.
Source: 53 FR 46294, Nov. 16, 1988, unless otherwise noted.
Sec. 217.1 Definitions.
As used in this part:
Foreign Air Carrier means a non-U.S. air carrier holding a foreign
air carrier permit or exemption authority from the Department of
Transportation.
Large Aircraft means an aircraft designed to have a passenger
capacity of more than 60 seats or a payload of more the 18,000 pounds.
Small Aircraft means an aircraft that is not a large aircraft.
Statement of Authorization under this part means a statement of
authorization from the Department, pursuant to 14 CFR part 207, 208, or
212, as appropriate, that permits joint service transportation, such as
blocked space agreements, part-charters, code-sharing or wet-leases,
between two direct air carriers holding underlying economic authority
from the Department.
Sec. 217.2 Applicability.
This part applies to foreign air carriers that are authorized by the
Department to provide civilian passenger and/or cargo scheduled,
nonscheduled and charter services to or from the United States, whether
performed pursuant to a permit or exemption authority. Operations
conducted wholly with small aircraft are exempt from the requirements of
this part. Where the service operations involve both large and small
aircraft, only the large aircraft services must be reported.
Sec. 217.3 Reporting requirements.
(a) Each foreign air carrier shall file BTS Form 41 Schedule T-
100(f) ``Foreign Air Carrier Traffic Data by Nonstop Segment and On-
flight Market.'' All traffic statistics shall be compiled
[[Page 45]]
in terms of each flight stage as actually performed.
(b) The traffic statistics reported on Schedule T-100(f) shall be
accumulated in accordance with the data elements prescribed in
Sec. 217.5 of this part, and these data elements are patterned after
those in section 19-5 of part 241 of this chapter.
(c) One set of Form 41 Schedule T-100(f) data shall be filed.
(d) Schedule T-100(f) shall be submitted to the Department within
thirty (30) days following the end of each reporting month.
(e) Schedule T-100(f) shall be filed with the Bureau of
Transportation Statistics at the address referenced in Sec. 217.10 and
the Appendix to Sec. 217.10 of this part.
[53 FR 46294, Nov. 16, 1988, as amended at 60 FR 66722, Dec. 26, 1995]
Sec. 217.4 Data collected (service classes).
(a) The statistical classifications are designed to reflect the
operating elements attributable to each distinctive class of service
offered for scheduled, nonscheduled and charter service.
(b) The service classes that foreign air carriers shall report on
Schedule T-100(f) are:
(1) F Scheduled Passenger/Cargo
(2) G Scheduled All-Cargo
(3) L Nonscheduled Civilian Passenger/Cargo Charter
(4) P Nonscheduled Civilian All-Cargo Charter
(5) Q Nonscheduled Services (Other than Charter). This service
class is reserved for special nonscheduled cargo flights provided by a
few foreign air carriers under special authority granted by the
Department.
Sec. 217.5 Data collected (data elements).
(a) Within each of the service classifications prescribed in
Sec. 217.4, data shall be reported in applicable traffic elements.
(b) The statistical data to be reported on Schedule T-100(f) are:
(1) Air carrier. The name and code of the air carrier reporting the
data. The carrier code is assigned by DOT. The Office of Airline
Information (OAI'S) will confirm the assigned code upon request; OAI's
address is in the Appendix to Sec. 217.10 of this part.
(2) Reporting period date. The year and month to which the reported
data are applicable.
(3) Origin airport code. This code represents the industry
designator as described in the Appendix to Sec. 217.10 of this part. A
common private industry source of these industry designator codes is the
Official Airline Guides (OAG). Where none exists, OAI will furnish a
code upon request. OAI's address is in the Appendix to Sec. 217.10 of
this part.
(4) Destination airport code. This represents the industry
designator, from the source described in Sec. 217.5(b)(3).
(5) Service class code. For scheduled and other services, the
applicable service class prescribed in Sec. 217.4 of this part shall be
reported.
(6) Aircraft type code. This code represents the aircraft type, as
specified in the Appendix to Sec. 217.10 of this part. Where none
exists, OAI will furnish a code upon request.
(7) Revenue aircraft departures performed (Code 510). The number of
revenue aircraft departures performed.
(8) Revenue passengers transported (Code 130). The total number of
revenue passengers on board over a flight stage, including those already
on the aircraft from previous flight stages. Includes both local and
through passengers on board the aircraft.
(9) Revenue freight transported (kilograms) (Code 237). The volume,
expressed in kilograms, of revenue freight that is transported. As used
in this part, ``Freight'' means revenue cargo other than passengers or
mail.
(10) Total revenue passengers in market (Code 110). The total number
of revenue passengers enplaned in a market, boarding the aircraft for
the first time. While passengers may be transported over several flight
stages in a multi-segment market, this data element (code 110) is an
unduplicated count of passengers originating within the market.
(11) Total revenue freight in market (kilograms) (Code 217). The
amount of revenue freight cargo (kilograms) that is enplaned in a
market, loaded on the aircraft for the first time.
(12) Available capacity-payload (Code 270). The available capacity
is collected in kilograms. This figure shall reflect
[[Page 46]]
the available load (see load, available in 14 CFR part 241 Section 03)
or total available capacity for passengers, mail and freight applicable
to the aircraft with which each flight stage is performed.
(13) Available seats (Code 310). The number of seats available for
sale. This figure reflects the actual number of seats available,
excluding those blocked for safety or operational reasons. Report the
total available seats in item 310.
[53 FR 46294, Nov. 16, 1988 and 53 FR 52404, Dec. 28, 1988, as amended
at 54 FR 7183, Feb. 17, 1989; 60 FR 66722, Dec. 26, 1995; 62 FR 6718,
Feb. 13, 1997]
Sec. 217.6 Extension of filing time.
(a) If circumstances prevent the filing of a Schedule T-100(f)
report on or before the due date prescribed in section 22 of part 241 of
this chapter and the Appendix to Sec. 217.10 of this part, a request for
an extension must be filed with the Director, Office of Airline
Information.
(b) The extension request must be received at the address provided
in Sec. 217.10 at least 3 days in advance of the due date, and must set
forth reasons to justify granting an extension, and the date when the
report can be filed. If a request is denied, the air carrier must submit
the required report within 5 days of its receipt of the denial of
extension.
[53 FR 46294, Nov. 16, 1988, as amended at 60 FR 66722, Dec. 26, 1995]
Sec. 217.7 Certification.
The certification for BTS Form 41 Schedule T-100(f) shall be signed
by an officer of the air carrier with the requisite authority over the
collection of data and preparation of reports to ensure the validity and
accuracy of the reported data.
[53 FR 46294, Nov. 16, 1988, as amended at 60 FR 66722, Dec. 26, 1995]
Sec. 217.8 Reporting procedures.
Reporting guidelines and procedures for Schedule T-100(f) are
prescribed in the Appendix to Sec. 217.10 of this part.
Sec. 217.9 Waivers from reporting requirements.
(a) A waiver from any reporting requirement contained in Schedule T-
100(f) may be granted by the Department upon its own initiative, or upon
the submission of a written request of the air carrier to the Director,
Office of Airline Information, when such a waiver is in the public
interest.
(b) Each request for waiver must demonstrate that: Existing
peculiarities or unusual circumstances warrant a departure from the
prescribed procedure or technique; a specifically defined alternative
procedure or technique will result in substantially equivalent or more
accurate portrayal of the operations reported; and the application of
such alternative procedure will not adversely affect the uniformity in
reporting applicable to all air carriers.
[53 FR 46294, Nov. 16, 1988, as amended at 60 FR 66722, Dec. 26, 1995]
Sec. 217.10 Instructions.
(a) Foreign air carriers shall submit Form 41 Schedule T-100(f) on
either floppy discs produced on microcomputers or on other ADP media,
such as magnetic tape, or hardcopy reports.
(b) The detailed instructions for preparing Schedule T-100(f) are
contained in the Appendix to this section. Blank copies of Schedule T-
100(f) are available from the Office of Airline Information, K-25, Room
4125, U.S. Department of Transportation, 400 Seventh St., SW.,
Washington, DC 20590.
Appendix to Section 217.10 of 14 CFR Part 217--Instructions to Foreign
Air Carriers for Reporting Traffic Data on Form 41 Schedule T-100(f)
(a) General instructions.
(1) Description. Form 41 Schedule T-100(f) provides flight stage
data covering both passenger/cargo and all cargo operations in scheduled
and nonscheduled services. The schedule is used to report all flights
which serve points in the United States or its territories as defined in
this part.
(2) Applicability. Each foreign air carrier holding a 402 permit, or
exemption authority, and operating aircraft with seating configurations
of more than sixty seats and/or
[[Page 47]]
available capacity (payload of passengers and cargo) of more than 18,000
pounds shall file Form 41 Schedule T-100(f). Reference to 402 is to
section 402 of the Federal Aviation Act of 1958, as amended (FAAct).
(3) Address for filing reports: Office of Airline Information, K-25,
Room 4125, U.S. Department of Transportation, 400 Seventh St., SW.,
Washington, DC 20590.
(4) Filing period. Form 41 Schedule T-100(f) shall be filed monthly
and is due at the Department thirty (30) days following the end of the
reporting month to which the data are applicable.
(5) Number of copies. A single set of legible Form 41 Schedule T-
100(f) data and certification shall be submitted.
(6) Foreign air carrier certification. Each foreign air carrier
shall submit a certification statement (illustrated at the end of this
Appendix) as an integral part of each monthly Schedule T-100(f), as
prescribed in Sec. 217.5 of this part.
(7) Alternative filing on Automatic Data Processing (ADP) media.
Foreign air carriers are encouraged to use ADP equipment to reduce the
manual effort of preparing Schedule T-100(f). Foreign air carriers may
use the floppy disk medium. ADP submission requirements for floppy discs
are prescribed in paragraph (f).
(b) Preparation of Form 41 Schedule T-100(f):
(1) Explanation of nonstop segments and on-flight markets. There are
two basic categories of data, one pertaining to nonstop segments and the
other pertaining to on-flight markets. For example, the routing (A-B-C-
D) consists of three nonstop segment records A-B, B-C, and C-D, and six
on-flight market records A-B, A-C, A-D, B-C, B-D, and C-D.
(2) Guidelines for reporting a nonstop segment. A nonstop segment is
reported when one or both points are in the United States or its
territories. These data shall be merged with that for all of the other
reportable nonstop operations over the same segment. Nonstop segment
data must be summarized by aircraft type, under paragraph (h)(1), and
class of service, paragraph (g)(1)(v).
(3) Rules for determining a reportable on-flight market. On-flight
markets are reportable when one or both points are within the U.S., with
the following exceptions: (i) Do not report third country to U.S.
markets resulting from flight itineraries which serve a third country
prior to a homeland point in flights passing through the homeland bound
for the U.S.; and (ii) do not report U.S. to third country markets
resulting from itineraries serving third country points subsequent to a
homeland point in flights outbound from the U.S. and passing through the
homeland. In reporting data pertaining to these two exceptions, the
traffic moving to or from the U.S. relating to the applicable prior or
subsequent third countries (referred to as ``behind'' or ``beyond''
traffic) is to be combined with the applicable foreign homeland gateway
point, just as though the traffic were actually enplaned or deplaned at
the homeland gateway, without disclosure of the actual prior or
subsequent points. Applicable flights are illustrated in examples (6)
and (7) under paragraph (c).
(c) Examples of flights. Following are some typical flight
itineraries that show the reportable nonstop segment and on-flight
market entries. The carrier's homeland is the key factor in determining
which on-flight markets are reportable.
(1) SQ flight # 11 LAX--NRT--SIN. This is an example of a flight
with an intermediate foreign country. It is not necessary to report
anything on the NRT--SIN leg.
SQ--Singapore Airlines
LAX--Los Angeles, USA
NRT--Tokyo-Narita, Japan
SIN--Singapore, Singapore
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type-- Sum of all aircraft
-------------------------------------- code (mark an X) --------------------------------------------------------- types--
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Aircraft B-2--Revenue B-3--Revenue freight C-1-Total revenue
Origin Destination F G L P Q type code aircraft passengers transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
LAX.................................. NRT X .. .. .. .. 8161 12 2400 4800 400 500
LAX.................................. SIN X .. .. .. .. ............. ............ ............ ............ 2000 4300
--------------------------------------------------------------------------------------------------------------------------------------------------------
(2) SQ flight 15 LAX-- HNL-- TPE-- SIN. This is an example of two
U.S. points, an intermediate third country, and a homeland point.
Information is reportable on only the on-flight markets and nonstop
segments that consist of one or both U.S. points.
SQ--Singapore Airlines
LAX--Los Angeles, USA
HNL--Honolulu, USA
TPE--Taipei, Taiwan
SIN--Singapore, Singapore
[[Page 48]]
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type-- Sum of all aircraft
----------------------------------------- code (Mark an x) ------------------------------------------------------ types--
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Acft. B-2--Revenue B-3--Revenue freight C-1--Total revenue
Origin Destination F G L P Q type code aircraft passengers transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
LAX..................................... HNL X .. .. .. .. 8161 12 2700 5300 0 0
LAX..................................... TPE X .. .. .. .. .......... ............ ............ ............ 700 1300
LAX..................................... SIN X .. .. .. .. .......... ............ ............ ............ 2000 4000
HNL..................................... TPE X .. .. .. .. 8161 12 2200 6800 1200 800
HNL..................................... SIN X .. .. .. .. .......... ............ ............ ............ 1000 6000
--------------------------------------------------------------------------------------------------------------------------------------------------------
(3) LB flight 902 LPB-VVI-MAO-CCS-MIA. This flight serves two
homeland points and two different foreign countries before terminating
in the U.S. Nonstop segment information is required only for the nonstop
segment involving a U.S. point. On-flight market information is required
in 4 of the 10 markets, LPB-MIA and VVI-MIA, since these involve
homeland and U.S. points; MAO-MIA is necessary to show traffic carried
into the U.S., and CCS-MIA for the same reason, and also because in all
cases where a nonstop segment entry is required, a corresponding on-
flight market entry must also be reported.
LB--Lloyd Aero Boliviano
LPB--La Paz, Bolivia
VVI--Santa Cruz-Viru Viru, Bolivia
MAO--Manaus, Brazil
CCS--Caracas, Venezuela
MIA--Miami, USA
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type-- Sum of all aircraft
----------------------------------------- code (mark an x) ------------------------------------------------------ types--
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Acft. B-2--Revenue B-3--Revenue freight C-1--Total revenue
Origin Destination F G L P Q type code aircraft passengers transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
CCS..................................... MIA X .. .. .. .. 8161 31 6900 71000 0 0
LPB..................................... MIA X .. .. .. .. .......... ............ ............ ............ 1100 20000
VVI..................................... MIA X .. .. .. .. .......... ............ ............ ............ 4000 30000
MAO..................................... MIA X .. .. .. .. .......... ............ ............ ............ 1000 12000
--------------------------------------------------------------------------------------------------------------------------------------------------------
(4) LY flight 005 TLV-AMS-ORD-LAX. This flight serves a single
foreign intermediate point and two U.S. points after its homeland
origination. The information on the TLV-AMS leg is not reportable.
LY--El Al Israel Airlines
TLV--Tel Aviv, Israel
AMS--Amsterdam, Netherlands
ORD--Chicago, USA
LAX--Los Angeles, USA
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type-- Sum of all aircraft
----------------------------------------- code (mark an x) ------------------------------------------------------ types--
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Acft. B-2--Revenue B-3--Revenue freight C-1--Total revenue
Origin Destination F G L P Q type code aircraft passengers transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
AMS..................................... ORD X .. .. .. .. 8161 1 350 10000 50 1500
TLV..................................... ORD X .. .. .. .. .......... ............ ............ ............ 150 4000
TLV..................................... LAX X .. .. .. .. .......... ............ ............ ............ 125 3000
ORD..................................... LAX X .. .. .. .. 8161 1 150 4500 0 0
AMS..................................... LAX X .. .. .. .. .......... ............ ............ ............ 25 1500
--------------------------------------------------------------------------------------------------------------------------------------------------------
(5) QF flight 25 SYD--BNE--CNS--HNL--YVR. This flight serves three
homeland points, a U.S. point, and a subsequent third
[[Page 49]]
country. Nonstop segment information is required on the respective legs
into and out of the United States. All on-flight market entries
involving the U.S. point HNL are also required. Data are not required on
the homeland to homeland markets, or the homeland--third country
markets.
QF--Qantas Airways (Australia)
SYD--Sydney, Australia
BNE--Brisbane, Australia
CNS--Cairns, Australia
HNL--Honolulu, USA
YVR--Vancouver, Canada
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type Sum of all aircraft
---------------------------------------------- code (mark an x) ------------------------------------------------- types
---------------------------------- -----------------------
B-1-- B-4--Revenue C-2--Total
Acft. B-2--Revenue B-3--Revenue freight C-1--Total revenue
Origin Destination F G L P Q type aircraft freight transported revenue freight in
code departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
CNS.......................................... HNL X 8161 5 2200 41000 400 8000
SYD.......................................... HNL X ..... ............ ............ ............ 600 10000
BNE.......................................... HNL X ..... ............ ............ ............ 600 9000
HNL.......................................... YVR X 8161 5 750 15700 150 1700
--------------------------------------------------------------------------------------------------------------------------------------------------------
(6) JL flight 002 HKG--NRT--SFO. This flight originates in a third
country prior to the homeland. No data is required on the HKG-NRT leg,
but the HKG-SFO passengers and cargo shall be shown as enplanements in
the NRT-SFO on-flight market entry. These volumes are included by
definition in the passenger and cargo transported volumes of the NRT-SFO
nonstop segment entry.
JL--Japan Air Lines
HKG--Hong Kong, Hong Kong
NRT--Tokyo-Narita, Japan
SFO--San Francisco, USA
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type Sum of all aircraft
----------------------------------------- code (mark an x) ------------------------------------------------------ types
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Acft. B-2--Revenue B-3--Revenue freight C-1--Total revenue
Origin Destination F G L P Q type code aircraft passengers transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
NRT..................................... SFO X 8161 3 1200 18000 1200 18000
--------------------------------------------------------------------------------------------------------------------------------------------------------
(7) JL flight 001 SFO-NRT-HKG. This flight is the reverse sequence
of flight 002 above; it requires a nonstop segment entry covering SFO-
NRT, and a single on-flight market entry also for SFO-NRT. In this case,
the on flight traffic enplaned at SFO and destined for HKG, a beyond
homeland point, shall be included in the SFO-NRT entry; a separate SFO-
HKG entry is not required.
JL--Japan Air Lines
SFO--San Francisco, USA
NRT--Tokyo-Narita, Japan
HKG--Hong Kong, Hong Kong
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type Sum of all aircraft
----------------------------------------- code (mark an x) ------------------------------------------------------ types
---------------------------------- -----------------------
B-4--Revenue C-2--Total
B-1--Acft. B-2--Revenue B-3--Revenue freight C-1--Total revenue
Origin Destination F G L P Q type code aircraft passengers transported revenue freight in
departures transported (kg) passengers market
in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
SFO..................................... NRT X 8161 1 400 20000 400 20000
--------------------------------------------------------------------------------------------------------------------------------------------------------
(8) BA flight 5 LHR-ANC-NRT-OSA. This example contains a single
homeland point and a single U.S. point followed by two third country
points. It is necessary to report the nonstop segments into and out of
the U.S., and all three of the on-flight markets which have the U.S.
point ANC as either an origin or destination.
[[Page 50]]
BA--British Airways
LHR--London, England
ANC--Anchorage, USA
NRT--Tokyo-Narita, Japan
OSA--Osaka, Japan
--------------------------------------------------------------------------------------------------------------------------------------------------------
A-3--Airport code A-4--Airport A-5--Service class By aircraft type Sum of all aircraft types
----------------------------------------- code (mark an x) -----------------------------------------------------------------------------
---------------------------------- C-2--Total
B-2--Revenue B-3--Revenue B-4--Revenue C-1--Total revenue
Origin B-1--Acft. aircraft passengers freight revenue freight in
Destination F G L P Q type code departures transported transported passengers market
(kg) in market (kg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
LHR..................................... ANC X 8161 10 3000 50000 100 1000
ANC..................................... NRT X 8161 10 3150 55000 100 2500
ANC..................................... OSA X .......... ............ ............ ............ 150 1500
--------------------------------------------------------------------------------------------------------------------------------------------------------
(d) Provisions to reduce paperwork:
(1) Nonstop Segment Entries. The flight stage data applicable to
nonstop segment entries must be summarized to create totals by aircraft
equipment type, within service class, within pairs-of-points.
(2) On-flight Market Entries. The applicable on-flight market
entries shall be summarized to create totals by service class within
pair-of-points.
(e) Preparation of hard copy Schedule T-100(f):
(1) Section A--Indicative and flight pattern information. A copy of
Schedule T-100(f) is shown at the end of this Appendix. Section A
defines the origin and destination points and the service class code to
which the nonstop segment data in Section B and the on-flight market
data in Section C are applicable. Section A information, along with the
carrier code and report date, must be included on each schedule.
(2) Section B--Nonstop segment information. Section B of the
schedule is used for reporting nonstop segment information by aircraft
type. To reduce the number of schedules reported, space is provided for
including data on multiple different aircraft types. Similarly, the on-
flight market section has been included on a single Schedule T-100(f),
along with the nonstop segment data, rather than on a separate schedule.
(3) Section C--On-flight market information. Section C of the
schedule is used for reporting on-flight market data. There will always
be an on-flight market that corresponds to the nonstop segment. Because
the on-flight market data are reported at the service class level rather
than by aircraft type, a specific flight may produce more on-flight
markets than nonstop segments, (see examples in paragraph (c) of this
Appendix), resulting in data reported in sections A and C only.
(f) ADP media reports:
(1) ADP report format. A foreign air carrier may, in accordance with
the following guidelines, use personal computers (and in some cases
mainframe or minicomputers) to report Schedule T-100(f) data.
(i) Reporting medium. ADP data submission of T-100(f) information
must be on IBM compatible floppy disk, including diskettes, floppy
disks, or flexible disks. The particular type of acceptable minidisk is
5\1/4\ inch, double-sided/double density, with a capacity of
approximately 360,000 characters of data (360K). Carriers using
mainframe or minicomputers shall download (transcribe) the data to the
required floppy disk. Carriers wishing to use a different ADP procedure
must obtain written approval to do so from the Director, OAI, under the
waiver provisions in Sec. 217.9 of this part. Requests for approval to
use alternate methods must disclose the proposed data transmission
methodology.
(ii) File characteristics. OAI files are reported in ASCII delimited
format, sometimes called Data Interchange Format (DIF). This form of
recording data provides for variable length fields (data elements)
which, in the case of alphabetic data, are enclosed by quotation marks
(``) and separated by a comma (,); numeric data elements are recorded
without editing symbols and separated by a comma. The data is identified
by its juxtaposition within a given record. Each record submitted by an
air carrier shall contain the specified number of data elements all of
which must be juxtapositionally correct.
(iii) Schedule T-100(f) record layout. Each minidisk record shall
consist of data fields for recording a maximum of eleven (11) elements.
The order and description of the data fields are as follows:
(1). Carrier code: Alphanumeric
(2). Report date: Numeric
(3). Origin airport: Alphabetic
(4). Destination airport: Alphabetic
(5). Service class code: Alphabetic
(6). Aircraft type code: Numeric
(7). Aircraft departures performed: Numeric
(8). Revenue passengers transported: Numeric
(9). Revenue freight transported: Numeric
(10). Total revenue passengers in market: Numeric
[[Page 51]]
(11). Total revenue freight in market: Numeric
(A) Fields numbered 1 through 11 must always be provided. Therefore,
enter a zero (0) or space when there is no reportable data for a given
element. See paragraph (g)(1) through (g)(3) for a detailed definition
of each data element.
(B) The following are sample disk records:
--------------------------------------------------------------------------------------------------------------------------------------------------------
1 2 3 4 5 6 7 8 9 10 11
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sample No. 1....................................................... ``CCC'' 8701 ``JFK'' ``LHR'' ``F'' 8161 29 59 69 79 89
Sample No. 2....................................................... ``CCC'' 8701 ``JFK'' ``LHR'' ``F'' 6901 299 599 0 0 0
Sample No. 3....................................................... ``CCC'' 8701 ``JFK'' ``LHR'' ``G'' 7102 299 0 599 0 799
Sample No. 4....................................................... ``CCC'' 8701 ``JFK'' ``LHR'' ``F'' 0 0 0 0 699 799
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sample No. 1 represents a full record, using the applicable fields
for reporting both the nonstop segment (6 through 9) and the on-flight
market information (10 and 11). The service class is ``F'' indicating
scheduled passenger/cargo service; the aircraft type code is 8161; the
816 indicates a Boeing 747-100, and the 1 in the units position
indicates the standard ``passengers-above and cargo-below''
configuration.
Sample No. 2 contains nonstop segment information only. It is needed
in this example to report the volumes transported on the same nonstop
segment, but with a second aircraft type.
Sample No. 3 contains nonstop segment and on-flight market
information for the same points, but for another service class (code
letter ``G'' indicates all-cargo service). Also, the units position of
aircraft type is a 2, indicating a cargo cabin. Field numbers 8 and 10
are for reporting passengers. In this case both contain a zero,
indicating no passengers, while at the same time maintaining the
required juxtaposition.
Sample No. 4 shows the reporting of only on-flight market
information for a pair-of-points for which there is no corresponding
nonstop segment information.
(2) External labeling requirements: Physical label. The following
data must be clearly printed on a label affixed to the minidisk or its
container.
Carrier Name
Carrier code (as prescribed by DOT, BTS, OAI)
File identification = ``T-100(F) DATA''
Report date (year, month to which data applies)
(3) Collating sequence, optional. If practical, the records should
be sorted by origin and destination airport codes, service class, and
aircraft type. However, the sequence is optional. Data may be submitted
in any sequence including random.
(4) Summarization. See summarization rules as specified in paragraph
(d)(1).
(g) Data element definitions:
(1) Service pattern information.
(i) Line A-1 Carrier code. Use the carrier code established by the
Department. This code is provided to each carrier in the initial
reporting letter from the Office of Airline Information (OAI). If there
are any questions about these codes, contact the OAI Data Administration
Division at the address in paragraph (a)(3) of this Appendix.
(ii) Line A-2 Report date. This is the year and month to which the
data are applicable. For example, 8901 indicates the year 1989, month of
January.
(iii) Line A-3 Origin airport code. This is the departure airport,
where an aircraft begins a flight segment, and where the passengers
originate in an on-flight market. Use the 3-letter code from the City/
Airport Codes section of the Official Airline Guide Worldwide Edition.
If no 3-letter code is available, OAI will assign one; the address is in
paragraph (a)(3) of this Appendix.
(iv) Line A-4 Destination airport code. This is the arrival airport,
where an aircraft stops on a flight segment, and where passengers
deplane (get off the flight) after reaching their destination in a
market. Use the 3-letter code from the source described in paragraph
(g)(1)(iii) of this Appendix.
(v) Line A-5 Service class code. Select one of the following single
letter codes which describes the type of service being reported on a
given flight operation.
F = Scheduled Passenger/cargo Service
G = Scheduled All-cargo Service
L = Nonscheduled Civilian Passenger/Cargo Charter
P = Nonscheduled Civilian All-Cargo Charter
Q = Nonscheduled Services (Other than Charter)
(2) Nonstop segment information:
(i) Line B-1 Aircraft type code. Use the four digit numeric code
prescribed in paragraph (h)(1) of this Appendix. If no aircraft type
code is available, OAI will assign one. The address is in paragraph
(a)(3) of this Appendix.
(ii) Line B-2 Aircraft departures performed. This is the total
number of physical departures performed with a given aircraft type,
within service class and pair-of-points.
(iii) Line B-3 Revenue passengers transported. This is the total
number of revenue passengers transported on a given nonstop segment. It
represents the total number of
[[Page 52]]
revenue passengers on board over the segment without regard to their
actual point of enplanement.
(iv) Line B-4 Revenue freight transported. This item is the total
weight in kilograms (kg) of the revenue freight transported on a given
nonstop segment without regard to its actual point of enplanement.
(3) On-flight market information:
(i) Line C-1 Total revenue passengers in market. This item
represents the total number of revenue passengers, within service class,
that were enplaned at the origin airport and deplaned at the destination
airport.
(ii) Line C-2 Total revenue freight in market. This item represents
the total weight in kilograms (kg) of revenue freight enplaned at the
origin and deplaned at the destination airport.
(h) [Reserved]
(i) Joint Service.
(1) The Department may authorize joint service operations between
two direct air carriers. Examples of these joint service operations are:
Blocked-space agreements;
Part-charter agreements;
Code-sharing agreements;
Wet-lease agreements, and similar arrangements.
(2) Joint service operations shall be reported in Form 41 Schedules
T-100 and T-100(f) within the following guidelines: (i) Blocked space,
part-charters and code-sharing arrangements shall be reported by the
carrier in operational control of the flight. The traffic moving under
those agreements is reported the same as any other traffic on board the
aircraft. (ii) Wet lease agreements shall be reported by the lessee as
though the leased aircraft and crew were a part of the lessee's own
fleet. (iii) If there are questions about reporting a joint service
operation, contact the Director, Office of Aviation Information
Management at the address in paragraph (a)(3) of this Appendix. (iv) The
Department may require information pertaining to joint service
operations in addition to that reported in Schedules T-100 and T-100(f)
by U.S. and foreign air carriers. If additional information is needed,
ad hoc reporting will be used by the Director, Office of Aviation
Information Management (OAI), under authority delegated in Sec. 385.27
(b) and (d) of this chapter. Ad hoc reporting requirements will be
communicated to the applicable carriers by letter.
(j) Schedules.
[[Page 53]]
[GRAPHIC] [TIFF OMITTED] TC30SE91.000
[[Page 54]]
[GRAPHIC] [TIFF OMITTED] TC30SE91.001
[53 FR 46294, Nov. 16, 1988, as amended at 54 FR 7183, Feb. 17, 1989; 60
FR 66722, Dec. 26, 1995]
Sec. 217.11 Reporting compliance.
(a) Failure to file reports required by this part will subject an
air carrier to civil and criminal penalties prescribed in sections 901
and 902 of the Federal Aviation Act of 1958, as amended.
(b) Title 18 U.S.C. 1001, Crimes and Criminal Procedure, makes it a
criminal offense subject to a maximum fine of $10,000 or imprisonment
for not more than 5 years, or both, to knowingly and willfully make, or
cause to be made, any false or fraudulent statements or representations
in any matter within the jurisdiction of any agency of the United
States.
[[Page 55]]
PART 218--LEASE BY FOREIGN AIR CARRIER OR OTHER FOREIGN PERSON OF AIRCRAFT WITH CREW--Table of Contents
Sec.
218.1 Definitions.
218.2 Applicability.
218.3 Prohibition against unauthorized operations employing aircraft
leased with crew.
218.4 Condition upon authority of lessee.
218.5 Application for disclaimer of jurisdiction.
218.6 Issuance of order disclaiming jurisdiction.
218.7 Presumption.
Authority: Secs. 204(a), 402, Pub. L. 85-726, as amended, 72 Stat.
743, 757 (49 U.S.C. 1324, 1372).
Source: ER-716, 36 FR 23148, Dec. 4, 1971, unless otherwise noted.
Sec. 218.1 Definitions.
For the purpose of this part the term lease shall mean an agreement
under which an aircraft is furnished by one party to the agreement to
the other party, irrespective of whether the agreement constitutes a
true lease, charter arrangement, or some other arrangement.
Sec. 218.2 Applicability.
This part applies to foreign air carriers and other persons not
citizens of the United States which, as lessors or lessees, enter into
agreements providing for the lease of aircraft with crew to a foreign
air carrier for use in foreign air transportation. For purposes of
section 402 of the Act, the person who has operational control and
safety responsibility is deemed to be the carrier, and is required to
have appropriate operating authority.
[ER-716, 36 FR 23148, Dec. 4, 1971, as amended by ER-1250, 46 FR 47770,
Sept. 30, 1981]
Sec. 218.3 Prohibition against unauthorized operations employing aircraft leased with crew.
(a) No foreign air carrier, or other person not a citizen of the
United States, shall lease an aircraft with crew to a foreign air
carrier for use by the latter in performing foreign air transportation
unless either:
(1) The lessor holds a foreign air carrier permit issued under
section 402 of the Act or an approved registration issued under part 294
of this chapter, and any statement of authorization required by part 212
of this chapter; or
(2) The Board has issued an exemption under section 416 of the Act
specifically authorizing the lessor to engage in the foreign air
transportation to be performed under the lease; or
(3) The Board has issued an order under Sec. 218.6 disclaiming
jurisdiction over the matter.
(b) For purposes of this part, an aircraft shall be considered to be
leased with crew if:
(1) The pilot in command or a majority of the crew of the aircraft,
other than cabin attendants:
(i) Is to be furnished by the lessor;
(ii) Is employed by the lessor;
(iii) Continues in the employ of the lessor in the operation of
services other than those provided for in the agreement between the
parties; or
(iv) Has been employed by the lessor prior to the lease, and the
employment of whom by the lessee is coextensive with the period or
periods for which the aircraft is available to the lessee under the
lease; or
(2) The aircraft is operated under operations specifications issued
to the lessor by the Federal Aviation Administration.
[ER-716, 36 FR 23148, Dec. 4, 1971, as amended by ER-1250, 46 FR 47770,
Sept. 30, 1981; ER-1260, 46 FR 52598, Oct. 27, 1981]
Sec. 218.4 Condition upon authority of lessee.
In any case where a foreign air carrier leases from another foreign
air carrier or other person not a citizen of the United States an
aircraft with crew for use in performing foreign air transportation, it
shall be a condition upon the authority of the lessee to perform such
foreign air transportation that compliance be achieved with the
requirements of this part.
Sec. 218.5 Application for disclaimer of jurisdiction.
The parties to a lease with crew as described in Sec. 218.3(b) may
apply to the Board for an order disclaiming jurisdiction over the
matter. The application
[[Page 56]]
shall be filed jointly by both parties to the lease, and shall generally
conform to the procedural requirements of part 302, subpart A, of this
chapter. It shall be served upon any air carrier providing services over
all or any part of the route upon which air transportation services will
be provided pursuant to the agreement. The application should set forth
in detail all evidence and other factors relied upon to demonstrate that
true operational control and safety responsibility for the air
transportation services to be provided are in the hands of the lessee
rather than the lessor. A copy of the agreement and all amendments
thereof, as well as a summary interpretation of its pertinent
provisions, shall be included with the applications. Any interested
person may file an answer to the application within 7 days after service
hereof. Until the Board has acted upon the application, no operations in
foreign transportation shall be performed pursuant to the agreement.
Sec. 218.6 Issuance of order disclaiming jurisdiction.
If the Board finds that true operational control and safety
responsibility will be vested in the lessee and not in the lessor (i.e.,
that the lease transaction is in substance a true lease of aircraft
rather than a charter or series of charters), and that the performance
of the operations provided for in such lease will not result in the
lessor's being engaged in foreign air transportation, it will issue an
order disclaiming jurisdiction over the matter. Otherwise the
application for disclaimer of jurisdiction will be denied.
Sec. 218.7 Presumption.
Whether under a particular lease agreement the lessor of the
aircraft is engaged in foreign air transportation is a question of fact
to be determined in the light of all the facts and circumstances.
However, in circumstances where the lessor furnishes both the aircraft
and the crew, there is a presumption that true operational control and
safety responsibility are exercised by the lessor, and that the
agreement constitutes a charter arrangement under which the lessor is
engaged in foreign air transportation. The burden shall rest upon the
applicants for disclaimer of jurisdiction in each instance to
demonstrate by an appropriate factual showing that the operation
contemplated will not constitute foreign air transportation by the
lessor.
PART 221--TARIFFS--Table of Contents
Subpart A--General
Sec.
221.1 Applicability of this part.
221.2 Board may direct reissue of publications.
221.3 Carrier's duty.
221.4 Definitions.
221.5 English language.
221.6 [Reserved]
221.7 Unauthorized air transportation.
Subpart B--Who Is Authorized To Issue and File Tariffs
221.10 Carrier.
221.11 Agent.
Subpart C--Form and Other Specifications of Tariff Publications
221.20 Book or loose-leaf form.
221.21 Specifications applicable to all tariff publications.
221.22 Specifications applicable only to loose-leaf tariff
publications.
221.23 Specifications applicable only to book tariffs and supplements.
221.24 Statement of filing with foreign government to be shown in air
carriers' tariff publications.
Subpart D--Contents of Tariff
221.30 Arrangement and nature of contents.
221.31 Title page.
221.32 Correction number check sheet (loose-leaf tariff).
221.33 Table of contents.
221.34 List of participating carriers.
221.35 Explanations of abbreviations, reference marks, and symbols.
221.36 Index of commodities (property tariff).
221.37 Index of points.
221.38 Rules and regulations.
221.39 Classification ratings or exceptions to governing classification
ratings.
221.40 Statement of fares or rates for air transportation.
221.41 Routing.
Subpart E--Requirements Applicable to All Statements of Fares or Rates
221.50 Clear and explicit statement; systematic arrangement.
[[Page 57]]
221.51 Currency.
221.52 Territorial application.
221.53 Airport-to-airport application, accessorial services.
221.54--221.55 [Reserved]
221.56 Rates may include transfer at interchange points.
221.57 Proportional fares or rates.
221.58 Arbitraries.
221.59 Fares or rates stated in percentages of other fares or rates;
other relationships prohibited.
221.60 Conflicting or duplicating rates or fares prohibited.
221.61 Provisions for alternative use of or precedence of rates or
fares prohibited.
221.62 [Reserved]
221.63 Applicable rate when no through local or joint fares or rates.
Subpart F--Requirements Applicable Only to Statements of Property Rates
221.70 Definite unit of rate.
221.71 Quantities on which rates apply.
221.72 Types of property rates (class, general commodity, or specific
commodity) which may be published.
221.73 Class rates.
221.74 General commodity rates and exception ratings thereto.
221.75 Specific commodity rates.
221.76 Precedence of authorized types of rates.
221.77 Straight or mixed shipments.
221.80 Rate scale method of publishing rates.
Subpart G--Governing Tariffs
221.100 When reference to governing tariffs permitted.
221.101 Contents of all governing tariffs.
221.102 Rules tariff.
221.103 [Reserved]
221.104 Explosives and other dangerous or restricted articles.
221.105 Classification tariff.
221.106 [Reserved]
221.107 Aircraft equipment tariff.
221.108 Other types of governing tariffs.
Subpart H--Amendment of Tariffs
221.110 Methods of amending tariffs.
221.111 Amending loose-leaf tariff by revised pages and additional
original pages.
221.112 Amending book tariff by supplement (also applicable to
supplements to loose-leaf tariffs when such supplements are
specifically authorized in this part).
221.113 Reissuing and canceling tariffs; transferring matter to other
tariffs.
221.114 Amendment symbols to indicate changes in rates, fares and other
provisions.
221.115 Reinstating canceled or expired tariff provisions.
221.116 Supplement to loose-leaf tariff authorized when service
terminated or suspended.
Subpart I--Suspension of Tariff Provisions by Board
221.120 Effect of suspension by Board.
221.121 Suspension supplement.
221.122 Reissuing tariff publications suspended in part or containing
matter continued in effect by suspension.
221.123 Reissue of matter continued in effect by suspension to be
canceled upon termination of suspension.
Subpart J--Vacating the Suspension of Tariff Matter
221.130 Tariff must be amended to make suspended matter effective.
221.131 Vacating supplement.
221.132 When tariff amendments in addition to vacating supplement are
required.
221.133 When Special Tariff Permission is required to file amendments
making suspended matter effective pursuant to vacating order.
Subpart K--Canceling Suspended Matter in Compliance With Board's Order
221.140 Notice required when canceling suspended matter in compliance
with Board's order.
221.141 Cancellation of suspended matter subsequent to date to which
suspended.
Subpart L--Index of Tariffs
221.150 When index required.
221.151 Index to be issued and filed as a tariff.
221.152 Arrangement of lists of tariffs.
221.153 Information to be shown in list of tariffs.
221.154 Index to be maintained current.
Subpart M--Filing Tariff Publications With Board
221.160 Required notice.
221.161 Delivering tariff publications to Board.
221.162 Number of copies required.
221.163 Letter of tariff transmittal.
221.164 Concurrences or powers of attorney not previously filed to
accompany tariff transmittal.
221.165 Explanation and data supporting tariff changes and new matter
in tariff publications.
221.166 Explanation of missing C.A.B. numbers to accompany tariff
transmittal.
221.167 Posting copies to be furnished participating carriers at time
of filing.
221.168 Withdrawal or substitution of filed tariff publications
prohibited.
[[Page 58]]
Subpart N--Posting Tariff Publications for Public Inspection
221.170 Public notice of tariff information.
221.171 Posting at stations, offices, or locations other than principal
or general office.
221.172 Accessibility of tariffs to the public.
221.173 Notice of tariff posting.
221.174 Notification to the passenger of status of fare, rule, charge
or practice.
221.175 Special notice of limited liability for death or injury under
the Warsaw Convention.
221.176 Notice of limited liability for baggage; alternative
consolidated notice of liability limitations.
221.177 Alternative notice of tariff terms.
221.178 [Reserved]
221.179 Transmission of tariff filings to subscribers.
Subpart O--Rejection of Tariff Publications
221.180 Board's authority to reject.
221.181 Notification of rejection.
221.182 Rejected publication is void and must not be used.
221.183 Tariff publication issued in lieu of rejected publication.
221.184 Issue page in lieu of rejected loose-leaf page within 20 days.
Subpart P--Special Tariff Permission To File on Less Than Statutory
Notice
221.190 Grounds for approving or denying Special Tariff Permission
applications.
221.191 How to prepare and file applications for Special Tariff
Permission.
221.192 Special Tariff Permission to be used in its entirety as
granted.
221.193 Re-use of Special Tariff Permission when publication is
rejected.
221.194 Reference to Special Tariff Permission on tariff publications.
221.195 Pre-filing tariff approval for fare reductions.
Subpart Q--Waiver of Tariff Regulations
221.200 Applications for waiver of tariff regulations.
221.201 Form of application for waivers.
Subpart R--Giving and Revoking Concurrences to Carriers
221.210 Method of giving concurrence.
221.211 Method of revoking concurrence.
221.212 Method of withdrawing portion of authority conferred by
concurrence.
Subpart S--Giving and Revoking Powers of Attorney to Agents
221.220 Method of giving power of attorney.
221.221 Method of revoking power of attorney.
221.222 Method of withdrawing portion of authority conferred by power
of attorney.
221.223 Procedure for alternate agent to assume the duties of and take
over tariffs of the principal agent.
221.224 Procedure for having new principal agent assume the duties of
and take over tariffs of another agent.
221.225 New powers of attorney to be filed within 180 days after death
or disability of either principal or alternate.
Subpart T--Adoption Publications Required To Show Change in Carrier's
Name or Transfer of Operating Control
221.230 Adoption notice.
221.231 Adoption supplements and revised title pages to be filed to
former carrier's tariffs.
221.232 Receiver shall file adoption notice and supplements.
221.233 Agents' and other carriers' tariffs shall reflect adoption.
221.234 C.A.B. numbers of tariffs issued by adopting carrier and method
of publishing reference to C.A.B. numbers of former carrier's
tariffs.
221.235 Concurrences or powers of attorney to be reissued.
221.236 Numbering adopting carrier's letters of tariff transmittal.
221.237 Numbering adopting carrier's Special Tariff Permission
applications.
221.238 Cessation of operations without successor.
Subpart U--Prescribed Forms
221.240 Letter of tariff transmittal.
221.241 Application for Special Tariff Permission.
221.242 Concurrence.
221.243 Notice of Revocation of Concurrence.
221.244 Power of attorney.
221.245 Notice of Revocation of Power of Attorney.
221.246 Adoption notice.
221.247 Adoption supplement.
221.248 Specimen title page of tariff.
Subpart V--Complaints Against Tariffs
221.250 Complaints against tariffs.
Subpart W--Electronically Filed Tariffs
221.251 Applicability of the subpart.
221.260 Requirements for filing.
221.270 Time for filing and computation of time periods.
221.275 Requirement for filing paper tariffs.
221.280 Content and explanation of abbreviations, reference marks and
symbols.
[[Page 59]]
221.282 Statement of filing with foreign governments to be shown in air
carrier's tariff filings.
221.283 The filing of tariffs and amendments to tariffs.
221.284 Unique rule numbers required.
221.285 Adoption of provisions of one carrier by another carrier.
221.286 Justification and explanation for certain fares.
221.287 Statement of fares.
221.300 Suspension of tariffs.
221.301 Cancellation of suspended matter.
221.302 Special tariff permission.
221.400 Discontinuation of electronic tariff system.
221.500 Filing of paper tariffs required.
221.600 Transmission of electronic tariffs to subscribers.
221.650 Copies of tariffs made from filer's printer(s) located in
Department's public reference room.
221.700 Actions under assigned authority and petitions for review of
staff action.
Authority: 49 U.S.C. 40101, 40109, 40113, 46101, 46102, Chapter 411,
Chapter 413, Chapter 415 and Subchapter I of Chapter 417.
Source: ER-439, 30 FR 9439, July 29, 1965, unless otherwise noted.
Subpart A--General
Sec. 221.1 Applicability of this part.
All tariffs and amendments to tariffs of air carriers and foreign
air carriers filed with the Board pursuant to section 403 of the act
shall be constructed, published, filed, posted and kept open for public
inspection in accordance with the regulations in this part.
Sec. 221.2 Board may direct reissue of publications.
The Board for good cause shown, may direct the reissue of any tariff
publication, concurrence, or power of attorney at any time.
Sec. 221.3 Carrier's duty.
(a) Must file tariffs. Except as set forth in paragraph (d) or (e)
of this section, every air carrier and every foreign air carrier shall
file with the Board, and print, and keep open to public inspection,
tariffs showing all rates, fares, and charges for air transportation
between points served by it, and between points served by it and points
served by any other air carrier or foreign air carrier, when through
service and through rates shall have been established, and showing to
the extent required by regulations of the Board, all classifications,
rules, regulations, practices, and services in connection with such air
transportation. Tariffs shall be filed, posted, and published in such
form and manner, and shall contain such information as the Board shall
by regulation prescribe. Any tariff so filed which is not consistent
with section 403 of the act and such regulations may be rejected. Any
tariff so rejected shall be void.
(b) Must observe tariffs. No air carrier or foreign air carrier
shall charge or demand or collect or receive a greater or less or
different compensation for air transportation or for any service in
connection therewith, than the rates, fares and charges specified in its
currently effective tariffs; and no air carrier or foreign air carrier
shall, in any manner or by any device, directly or indirectly, or
through any agent or broker, or otherwise, refund or remit any portion
of the rates, fares, or charges so specified, or extend to any person
any privileges or facilities, with respect to matters required by the
Board to be specified in such tariffs, except those specified in such
tariffs.
(c) No relief from violations. Nothing contained in this part shall
be construed as relieving any air carrier or foreign air carrier from
liability for violations of the act, nor shall the filing of a tariff,
or amendment thereto, relieve any air carrier or foreign air carrier
from such violations or from violations of regulations issued under the
Act.
(d) Exemption authority. Air carriers and foreign air carriers, both
direct and indirect, are exempted from the requirement of section 403 of
the Act and any requirement of this chapter to file, and shall not file
with the Board, tariffs for operations under the following provisions:
(1) Part 291, Domestic Cargo Transportation, except to the extent
noted in Sec. 291.31(a)(1);
(2) Part 296, Indirect Air Transportation of Property;
(3) Part 297, Foreign Air Freight Forwarders and Foreign Cooperative
Shippers Association;
[[Page 60]]
(4) Part 298, Exemption for Air Taxi Operations, except to the
extent noted in Sec. 298.11(b);
(5) Part 380, Public Charters;
(6) Part 207, Charter Trips and Special Services;
(7) Part 208, Terms, Conditions, and Limitations of Certificates to
Engage in Charter Air Transportation;
(8) Part 212, Charter Trips by Foreign Air Carriers;
(9) Part 292, International Cargo Transportation, except as provided
in 292.
(e) Domestic passenger fare tariffs. For interstate and overseas air
transportation of passengers, the following provisions apply to each
pair of points served by an air carrier:
(1) The carrier shall file a tariff stating an unrestricted coach
fare for service between those points. The carrier may also file tariffs
describing other fare categories (e.g., first class, super-saver). Such
tariffs shall include the availability conditions applicable to each
fare category filed. The carrier shall not charge any passenger more
than the fare on file for the fare category purchased by the passenger,
but may charge less than that fare. If there is no fare on file for the
fare category purchased by the passenger, the carrier shall not charge
more than the unrestricted coach fare on file, except for service that
includes additional amenities.
(2) The carrier shall also file a tariff stating the amount to be
used for construction of joint fares for interline service, if that
amount is different from the unrestricted coach fare on file. Joint
fares constructed from such filed amounts shall be binding on carriers
and ticket agents except for interline routings where the carriers have
agreed to charge lesser amounts.
(3) Ticket agents shall not charge any passenger more than the fare
on file for the fare category purchased by the passenger, but may,
except as set forth in paragraph (e)(2) of this section, charge less
than that fare. If there is no fare on file for the fare category
purchased by the passenger, the ticket agent shall not charge more than
the unrestricted coach fare on file except for service that includes
additional amenities. A carrier may arrange, by contract with its ticket
agents, to specify fixed fares to be charged by the ticket agents, and
may provide notice of such arrangements in its tariffs. Failure of
ticket agents to observe such arrangements will not, however, be
considered a violation of the Act or of Board rules. The Board does not
hereby approve such contractual arrangements under section 412 of the
Act or exempt them from the antitrust laws under section 414.
(4) Air carriers and ticket agents are exempt from the requirements
of section 403(a) and (b)(1) of the Act and the other provisions of this
part to the extent necessary to allow the filing of tariffs and the
charging of prices for interstate and overseas air transportation as set
forth in this paragraph (e).
(5) In this paragraph, ``charge'' includes ``charge,'' ``collect,''
``demand,'' and ``receive,'' as those terms are used in section 403 of
the Act.
(Secs. 102, 204, 403, and 416 of the Federal Aviation Act of 1958, as
amended by Pub. L. 95-504, 72 Stat. 740, 743, 758, and 771, 92 Stat.
1731, 1732 (49 U.S.C. 1302, 1324, 1373, and 1386))
[ER-439, 30 FR 9439, July 29, 1965, as amended by ER-1125, 44 FR 33059,
June 8, 1979; ER-1246, 46 FR 46794, Sept. 22, 1981; ER-1313, 48 FR 1941,
Jan. 17, 1983; 60 FR 61478, Nov. 30, 1995]
Sec. 221.4 Definitions.
As used in this part, terms shall be defined as follows:
Act means the Federal Aviation Act of 1958, as amended.
Area No. 1 means all of the North and South American Continents and
the islands adjacent thereto; Greenland; Bermuda; the West Indies and
the islands of the Caribbean Sea; and the Hawaiian Islands (including
Midway and Palmyra).
Area No. 2 means all of Europe (including that part of the Union of
the Soviet Socialist Republics in Europe) and the islands adjacent
thereto; Iceland; the Azores; all of Africa and the islands adjacent
thereto; Ascension Island; and that part of Asia lying west of and
including Iran.
Area No. 3 means all of Asia and the islands adjacent thereto except
that portion included in Area No. 2; all of the East Indies, Australia,
New Zealand, and the islands adjacent thereto;
[[Page 61]]
and the islands of the Pacific Ocean except those included in Area No.
1.
Board means the Civil Aeronautics Board.
Book tariff means a tariff consisting of pages bound together in
book form which conforms with the specifications applicable only to book
tariffs.
Bundled Normal Economy Fare means the lowest one-way fare available
for unrestricted, on-demand service in any city-pair market.
CRT means a video display terminal that uses a cathode ray tube as
the image medium.
Carrier means an air carrier or foreign air carrier subject to
section 403 of the Act.
Class rate means a rate which is published to apply on articles or
commodities assigned to a numbered class by a classification or an
exception thereto.
Consignee means the person whose name appears on the airwaybill as
the party to whom the shipment is to be delivered by the carrier.
Contract of carriage means those fares, rates, rules, and other
provisions applicable to the foreign air transportation of passengers,
baggage, or property, as defined in the Federal Aviation Act.
Direct-service market means an international market where the
carrier provides service either on a nonstop or single-flight-number
basis, including change-of-gauge.
ECAC agreement means the Memorandum of Understanding between the
United States and various member nations of the European Civil Aviation
Conference, signed on December 17, 1982, as revised and renewed on
October 11, 1984, as further revised and renewed on February 13, 1987,
and as may be subsequently further revised and renewed.
Electronic Tariff means an international passenger fares tariff or a
special tariff permission application transmitted to the Department by
means of an electronic medium, and containing fares for the
transportation of persons and their baggage or property, and including
such associated data as arbitraries, footnotes, routings, and fare class
explanations.
Fare means the amount per passenger or group of persons stated in
the applicable tariff for the transportation thereof and includes
baggage unless the context otherwise requires.
Fare tariff means a tariff containing fares for the air
transportation of person and may include baggage charges and provisions
relating thereto.
Field means a specific area of a record used for a particular
category of data.
Filer means an air carrier, foreign air carrier, or tariff
publishing agent of such a carrier filing electronic tariffs on its
behalf in conformity with this subpart.
General commodity rate means a rate which is published to apply on
all articles or commodities except those which will not be accepted for
transportation under the terms of the tariff containing such rate or of
governing tariffs.
General effective date means the effective date shown on the title
page of a tariff as required by Sec. 221.31(a)(11), the effective date
shown on title page of a supplement as required by Sec. 221.112(b)(8),
and the effective date shown on an original or revised page as required
by Sec. 221.22(b)(6). Also, see Sec. 221.160.
Item means a small subdivision of a tariff designated as an item and
identified by a number, a letter, or other definite method for the
purpose of facilitating reference and amendment.
Joint fare or rate means a fare or rate that applies to
transportation over the joint lines or routes of two or more carriers
and which is made and published by arrangement or agreement between such
carriers evidenced by concurrence or power of attorney.
Joint tariff means a tariff that contains joint fares or rates.
Local fare or rate means a fare or rate that applies to
transportation over the lines or routes of one carrier only.
Local tariff means a tariff that contains local fares or rates.
Loose-leaf tariff means a tariff consisting of loose-leaf pages and
conforming with the specifications applicable to loose-leaf tariffs as
set forth in Sec. 221.22.
Machine-Readable Data means encoded computer data, normally in a
binary format, which can be read electronically by another computer with
[[Page 62]]
the requisite software without any human interpretation.
Official DOT Tariff Database means those data records constituted
pursuant to Secs. 221.283 and 221.286 of this subpart, which are in the
custody of, and are maintained by, the Department of Transportation.
On-line Tariff Database means the remotely accessible, on-line
version, maintained by the filer, of (1) the electronically filed tariff
data submitted to the official DOT tariff database, and (2) the
Departmental approvals, disapprovals, and other actions, as well as any
Departmental notation concerning such approvals, disapprovals, or other
actions, that subpart W of part 221 requires the filer to maintain in
its database.
Original tariff, as applied to a loose-leaf tariff, refers to the
tariff as it was originally filed exclusive of any supplements, revised
pages, or additional original pages. Original tariff, as applied to a
book tariff, refers to the tariff as it was originally filed exclusive
of any supplements.
Passenger means any person who purchases, or who contacts a ticket
office or travel agent for the purpose of purchasing, or considering the
purchase of, air transportation.
Passenger tariff means a tariff containing fares, charges, or
governing provisions applicable to the air transportation of persons and
their baggage.
Property tariff means a tariff containing rates, charges, or
governing provisions applicable to the air transportation of property
(other than baggage accompanied or checked by passengers).
Proportional rate (or fare) means a rate (or fare) which may be used
only to construct a through combination rate (or fare) on traffic which:
(1) Originates at a point beyond the point from which such
proportional rate (or fare) applies, or
(2) Is destined to a point beyond the point to which such
proportional rate (or fare) applies, or
(3) Both originates at a beyond point specified in paragraph (1)
above and is destined to a beyond point specified in paragraph (2)
above.
Proportional tariff or basing tariff means a tariff which contains
proportional or basing rates or fares.
Rates means the amount per unit stated in the applicable tariff for
the transportation of property, and includes charge unless the context
otherwise requires.
Rate tariff means a tariff containing rates and charges for the air
transportation of property, other than baggage accompanying or checked
by passengers.
SFFL means the Standard Foreign Fare Level as established by the
Department of Transportation under section 1002 of the Federal Aviation
Act of 1958, as amended (49 U.S.C. 1482).
Shipper means the person whose name appears on the airwaybill as the
party contracting with, or a person who contacts a carrier, a cargo
sales office or agent of a carrier for the purpose of contracting with
the carrier for carriage of a shipment.
Specific commodity rate means a rate which is published to apply
only on a specific commodity or commodities which are specifically named
or described in the item naming such rate or in an item specifically
referred to by such rate in the manner prescribed by Sec. 221.75.
Statutory Notice means the number of days required for tariff
filings in Sec. 221.160(a).
Tariff publication means a tariff, a supplement to a tariff, or an
original or revised page of a loose-leaf tariff, and includes an index
of tariffs (subpart L) and an adoption notice (Sec. 221.230).
Through fare means the total fare from point of origin to
destination. It may be a local fare, a joint fare, or combination of
separately established fares.
Through rate means the total rate from point of origin to
destination. It may be a local rate, a joint rate, or combination of
separately established rates.
Ticket/Cargo Sales Office means a station, office, or other location
where tickets are sold, or airwaybills or other similar documents are
issued, that is under the charge of a person employed exclusively by the
carrier, or by it jointly with another person.
[[Page 63]]
Unbundled Normal Economy Fare means the lowest one-way fare
available for on-demand service in any city-pair market which is
restricted in some way, e.g., by limits set and/or charges imposed for
enroute stopovers or transfers.
United States means the several States, the District of Columbia,
and the several Territories and possessions of the United States,
including the Territorial waters and the overlying air space thereof.
Warsaw Convention means the Convention for the Unification of
Certain Rules Relating to International Transportation by Air, 49 Stat.
3000.
(Secs. 102, 204, 403, and 416 of the Federal Aviation Act of 1958, as
amended by Pub. L. 95-504, 72 Stat. 740, 743, 758, and 771, 92 Stat.
1731, 1732 (49 U.S.C. 1302, 1324, 1373, and 1386))
[ER-439, 30 FR 9439, July 29, 1965, as amended by ER-947, 41 FR 11018,
Mar. 16, 1976; ER-987, 42 FR 12422, Mar. 4, 1977; ER-1038, 43 FR 1322,
Jan. 9, 1978; ER-1051, 43 FR 24277, June 5, 1978; ER-1125, 44 FR 33059,
June 8, 1979; 53 FR 52677, Dec. 29, 1988; Amdt. 221-68, 54 FR 2095, Jan.
19, 1989]
Sec. 221.5 English language.
All tariff publications, powers of attorney, concurrences,
revocations of powers of attorney or concurrences, letters of tariff
transmittal, Special Tariff Permission applications, waiver applications
and all other documents filed with the Board pursuant to this part shall
be in the English language.
Sec. 221.6 [Reserved]
Sec. 221.7 Unauthorized air transportation.
Tariff publications shall not contain rates, fares, or charges, or
their governing provisions, applicable to air transportation which the
issuing or participating carriers are not authorized by the Board to
perform, except where the Board expressly requests or authorizes tariff
publications to be filed prior to the Board's granting authority to
perform the air transportation covered by such tariff publications. Any
tariff publication filed pursuant to such express request or
authorization which is not consistent with section 403 of the Act and
this part may be rejected; any tariff publication so rejected shall be
void.
Subpart B--Who Is Authorized To Issue and File Tariffs
Sec. 221.10 Carrier.
(a) Local or joint tariffs. A carrier may issue and file, in its own
name, tariff publications which contain:
(1) Local rates or fares of such carrier only and provisions
governing such local rates or fares, and/or
(2) Joint rates or fares which apply jointly via such issuing
carrier in connection with other carriers (participating in the tariff
publications under authority of their concurrences given to the issuing
carrier as provided in Sec. 221.210) and provisions governing such joint
rates and fares. Provisions for account of an individual participating
carrier may be published to govern such joint rates or fares provided
Sec. 221.38(k) is complied with.
A carrier shall not issue and file tariff publications containing local
rates or fares of other carriers, joint rates or fares in which the
issuing carrier does not participate, or provisions governing such local
or joint rates or fares.
(b) Issuing officer. An officer or designated employee of the
issuing carrier shall be shown as the issuing officer of a tariff
publication issued by a carrier, and such issuing officer shall file the
tariff publication with the Board on behalf of the issuing carrier and
all carriers participating in the tariff publication. (See
Secs. 221.22(b)(7), 221.31(a)(12), and 221.112(b)(9) for location of
issuing officer's name on tariff publications.)
Sec. 221.11 Agent.
An agent may issue and file, in his or its own name, tariff
publications naming local rates or fares and/or joint rates or fares,
and provisions governing such rates or fares, for account of carriers
participating in such tariff publications, under authority of their
powers of attorney given to such issuing agent as provided in
Sec. 221.220. The issuing agent shall file such tariff publications with
the Board on behalf of all carriers participating therein. Only one
issuing agent may act in issuing and filing each such tariff
publication.
[[Page 64]]
Subpart C--Form and Other Specifications of Tariff Publications
Sec. 221.20 Book or loose-leaf form.
Tariffs shall be prepared either in the form of book tariffs or in
the form of loose-leaf tariffs. Supplements shall be prepared in book
form in accordance with the specifications applicable to book tariffs.
Sec. 221.21 Specifications applicable to all tariff publications.
(a) Paper and size. Tariff publications shall be prepared on paper
of good quality and strong texture 8\1/2\ by 11 inches.
(b) Printing or other durable process; legible copies. Tariff
publications shall be plainly and legibly printed, planographed,
mimeographed, sterotyped, or prepared by other similar durable process.
Typewritten copies, carbon copies, proof sheets, or copies reproduced by
hectograph (or similar process where the printed matter is subject to
fading) shall not be used for filing or posting. Copies of tariff
publications posted and filed shall be clear and legible in all
respects.
(c) Size of type. The size of type shall not be less than 8-point
bold or full face type except:
(1) As provided in Sec. 221.31(a)(1), (C.A.B. number),
(2) Not less than 6-point bold or full face type may be used for
explanations or reference marks (when such explanations appear on the
page where the reference marks are used), for the cross reference
required by Sec. 221.35(a), the statement of filing with other countries
required by Sec. 221.24, and for column headings.
(d) Margin. A clear margin of not less than one inch without any
printing shall be allowed on each page at the vertical binding edge of
each tariff or supplement (including all revised or original pages of a
loose-leaf tariff, notwithstanding that such pages shall contain no
binding).
(e) Alterations prohibited. Alteration by writing, erasure, rubber
stamps, or otherwise shall not be made in tariff publications.
(f) Tables to be ruled or spaced. When fares, rates, charges, and
numbers or letters (used for rate bases or similar purposes) are shown
in tables, such tables shall be systematically arranged, and ruled or
spaced to prevent misapplication. When not more than three figures
(digits) or letters, including reference marks, are employed to express
each rate, fare, charge, rate base, etc., the column shall be not less
than one-fourth of an inch in width with a proportionately greater width
when more than three figures or letters, including reference marks, are
so employed. Tables shall not contain more than six horizontal lines of
printed matter without a horizontal break in the printed matter (either
by a ruled line or by at least one blank space across the table) where
it is necessary for the tariff user to refer to corresponding provisions
on the same line in parallel columns.
(g) Items and similar units to be in numerical order. All items in a
tariff publication shall be arranged in numerical or alphabetical order
(with the lowest appearing first and the highest appearing last in the
tariff). Each item shall bear a separate item designation and the same
designation shall not be assigned to more than one item in the tariff. A
gap between item designations may be allowed for the addition of future
items, for example, the items in an original tariff may be numbered
Items Nos. 5, 10, 15, etc. The requirements of this paragraph are also
applicable to units similar to items (see Sec. 221.38(b) for designating
rules).
(h) Item, rule, or similar unit continued to next page. Where an
item, rule, or similar unit is commenced on one page and is continued on
the following page, the notation ``(continued on next page)'' shall be
shown at the bottom of the portion of the item, rule, or unit on the
page from which it is continued, and the following page to which it is
continued shall show the designation of the item, rule, or similar unit
followed by ``(continued)''.
(i) Tariff shall apply to persons or property (not both). Rates and
charges applicable to the transportation of property or provisions
governing such rates or charges shall not be published in the same
tariff with fares or charges applicable to the transportation of persons
or provisions governing such fares or charges, except:
(1) [Reserved]
[[Page 65]]
(2) A tariff applicable to passengers may include provisions
applicable to passengers' baggage.
(3) A tariff applicable to property may include provisions
applicable to persons accompanying shipments, provided that the carrier
holds authority to transport such persons.
(j) Carrier's name. Wherever the name of a carrier appears in a
tariff publication, such name shall be shown in full exactly as it
appears in the carrier's certificate of public convenience and
necessity, foreign air carrier permit, letter of registration, or
whatever other form of operating authority of the Board to engage in air
transportation is held by the carrier, or such other name which has
specifically been authorized by order of the Board. Except as provided
in Sec. 221.35(d), a carrier's name may be abbreviated, provided the
abbreviation is explained in the tariff.
(k) Agent's name and title. Wherever the name of an agent appears in
tariff publications, such name shall be shown in full exactly as it
appears in the powers of attorney given to such agent by the
participating carriers and the title ``Agent'' or ``Alternate Agent''
(as the case may be) shall be shown immediately in connection with the
name.
(Secs. 102, 204, 403, and 416 of the Federal Aviation Act of 1958, as
amended by Pub. L. 95-504, 72 Stat. 740, 743, 758, and 771, 92 Stat.
1731, 1732 (49 U.S.C. 1302, 1324, 1373, and 1386))
[ER-439, 30 FR 9439, July 29, 1965, as amended by ER-1125, 44 FR 33059,
June 8, 1979]
Sec. 221.22 Specifications applicable only to loose-leaf tariff publications.
(a) No binding. Pages of a loose-leaf tariff shall not be bound, but
may be secured by a single staple or similar removable device when
submitted to the Board for filing.
(b) Information required on all interior pages. Each original page
and revised page following the title page of a loose-leaf tariff shall
contain the following information in the location specified:
(1) In the upper left corner, the name of the issuing carrier or the
name and title of the issuing agent.
(2) In the upper left corner, immediately below the name of the
issuing carrier or agent, the title of the tariff.
(3) In the upper right corner, the C.A.B. number of the tariff.
(4) Immediately below the C.A.B. number, the original page number or
the revised page number, as the case may be, and, if a revised page, the
cancellation of preceding issues of that page (see paragraph (c) of this
section and Sec. 221.111).
(5) In the lower left corner, the issued date of the page.
(6) In the lower right corner, the effective date on which the
fares, rates, charges, rules, and other provisions will become effective
(see Sec. 221.160). When a page which is published back-to-back with
another page on the same leaf is reissued without change in its
provisions, the same general effective date shall be shown on both
pages: Provided, however, That the general effective date on the page
which reissues matter without change shall allow at least the statutory
notice (see Sec. 221.60) and shall not be earlier than the general
effective date of the prior issue of such page.
(7) Centered at the bottom of the page, the name, title and address
of:
(i) The issuing officer (if tariff is issued by a carrier).
(ii) The issuing agent (if tariff is issued by an individual agent).
(iii) The official or employee of a corporate agent designated by
such agent to issue and file tariff publications in the corporate
agent's name (if tariff is issued by a corporate agent).
The information required by paragraph (b)(7) of this section may be
omitted from interior loose-leaf pages provided that, whenever there is
a change in such required information, a revision of the title page is
issued and filed immediately to reflect the current name, title and
address. When such information is omitted from interior pages, each
letter of tariff transmittal tendering revised or original interior
pages for filing shall bear the name, address and title of the issuing
officer, individual agent, or corporate agent's designee shown on the
latest issue of the title page at the time of filing; if a letter of
tariff transmittal bears a different name, title or address from that on
the latest issue of the title page, the pages submitted with such letter
of
[[Page 66]]
tariff transmittal are in violation of these requirements.
(c) Numbering pages. The title page of an original loose-leaf tariff
shall bear no page number but shall show the designation ``Original
Title Page'' in the upper right corner of the page, a few spaces below
the C.A.B. number and any tariff cancellation thereunder. The pages
following the title page of an original loose-leaf tariff shall be
designated as ``Original Page 1'', ``Original Page 2'', etc. (to be
shown immediately below the C.A.B. number in the upper right corner of
the page) and shall be consecutively numbered in one series of page
numbers throughout the entire tariff, commencing with ``Original Page
1'' (see Sec. 221.111 for numbering original and revised pages issued to
the tariff after the original filing of the tariff with the Board).
(d) Printing matter on one or both faces of each loose-leaf. Tariff
matter shall be published uniformly throughout a loose-leaf tariff
either (1) on only one face of each leaf (reverse side of each leaf left
entirely blank) or (2) commencing on page 1, on both faces of each leaf
(2 pages back-to-back to each other). The method of publication used in
an original tariff shall be used on all revised pages and added original
pages filed to such tariff. When it is desired to change from one method
to the other, the entire tariff shall be reissued.
(Secs. 204, 403, 1002; 72 Stat. 743, 758, 788; 49 U.S.C. 1324, 1373,
1482, as amended)
[ER-439, 30 FR 9439, July 29, 1965, as amended by ER-1038, 43 FR 1322,
Jan. 9, 1978; ER-1104, 44 FR 9577, Feb. 13, 1979]
Sec. 221.23 Specifications applicable only to book tariffs and supplements.
(a) Binding. The pages of a book tariff or supplement shall be bound
together in book form at the left binding edge of the tariff or
supplement. The binding shall be by two or more staples, wire or other
permanent book binding.
(b) Numbering pages. The title page of a book tariff or supplemental
shall bear no page number. The pages following the title page of each
book tariff or supplement shall be consecutively numbered as 1, 2, 3, 4,
etc. (to be shown centered at the bottom of the page) and shall be
consecutively numbered in only one series of page numbers throughout the
entire tariff or supplement.
(c) Information which is not to be shown on interior pages. The
pages following the title page of a book tariff or supplement shall not
contain any of the information specified in Sec. 221.22(b) except that,
if desired, the name of the issuing carrier or agent, the number of the
supplement, and the title of the tariff may be shown at the top of each
interior page.
Sec. 221.24 Statement of filing with foreign government to be shown in air carriers' tariff publications.
(a) Every tariff publication issued by or on behalf of an air
carrier which contains rates, fares, rules, or other tariff provisions
which by treaty, convention, or agreement entered into between any
foreign country and the United States are required to be filed with that
foreign country, shall include a statement substantially as follows:
The rates, fares, charges, classifications, rules, regulations,
practices, and services provided herein have been filed in each country
in which filing is required by treaty, convention, or agreement entered
into between that country and the United States, in accordance with the
provisions of the applicable treaty, convention, or agreement.
(b) The foregoing statement may be included upon each tariff
publication by a symbol which is properly explained.
(c) The required statement may be omitted from a tariff publication
which has been filed with the foreign country pursuant to its tariff
regulations and which bears a tariff filing designation of the foreign
country in addition to the C.A.B. number appearing on the tariff
required by this part.
Subpart D--Contents of Tariff
Sec. 221.30 Arrangement and nature of contents.
(a) Except as otherwise provided in this part, tariffs shall contain
only the contents prescribed by Secs. 221.31 to 221.41, inclusive, which
shall be arranged in each tariff in the following order:
(1) Title page (Sec. 221.31).
[[Page 67]]
(2) Correction number check sheet (loose-leaf tariff only)
(Sec. 221.32).
(3) Table of contents (Sec. 221.33).
(4) List of participating carriers (Sec. 221.34).
(5) Explanations of abbreviations, symbols, and reference marks
(Sec. 221.35).
(6) Index of Commodities (property tariff only) (Sec. 221.36).
(7) Index of points (Sec. 221.37).
(8) Rules and regulations (Sec. 221.38).
(9) Classification ratings or exceptions to governing classification
ratings (property tariff only) (Sec. 221.39).
(10) Statement of fares or rates for air transportation
(Sec. 221.40).
(11) Routing (Sec. 221.41).
Sec. 221.31 Title page.
(a) Contents. Except as otherwise required in this part, or by other
regulatory agencies, the title page of every tariff shall contain the
following information to be shown in the order named in paragraphs (a)
(1) through (12) of this section and shall contain no other matter:
(1) C.A.B. number. In the upper right-hand corner of the title page,
the C.A.B. number of the tariff shall be shown in not less than 12-point
bold face type. Except as provided in Sec. 221.224(d), tariffs shall
bear consecutive C.A.B. numbers in the series of the issuing carrier or
the issuing agent. Each carrier and each agent shall issue and file
tariffs consecutively in its own individual series of C.A.B. numbers,
commencing with C.A.B. No. 1, and shall use only one series of C.A.B.
numbers for all of the tariffs which it issues. Passenger tariffs and
property tariffs shall be consecutively numbered in the same series of
C.A.B. numbers and a separate series shall not be used for each type of
tariff. C.A.B. numbers shall not bear prefixes or suffixes.
(2) Tariff cancellation. In the upper right-hand corner of the title
page, immediately below the C.A.B. number, the cancellation of tariffs
to be superseded shall be shown in the manner prescribed by
Sec. 221.113.
(3) Issuing carrier or agent. The name of the issuing carrier or the
name and title of the issuing agent shall be shown in the upper central
portion of the title page.
(4) Title of tariff. The title of the tariff, including the issuing
carrier's or issuing agent's tariff serial number, if any, shall be
shown in the upper central portion of the title page, below the name of
the issuing carrier or agent. The title should be descriptive of the
type of tariff, for example, Mileage Guide No. 1.
(5) Description of rates, fares, or other contents of tariff. In the
central portion of the title page, below the title of the tariff, there
shall be shown a statement indicating the kinds or types of rates or
fares contained in the tariff or, if the tariff is a governing tariff
such as a rules tariff, classification, or mileage guide, a brief
description of the tariff's contents shall be shown. Such statement in a
fare or rate tariff shall specify:
(i) Whether the tariff contains local fares or rates, joint fares or
rates, or local and joint fares or rates.
(ii) If a fare tariff, that the tariff applies on passengers.
(iii) If a rate tariff, the type(s) of rates contained therein such
as class, specific commodity, or general commodity rates, or any
combination thereof.
(iv) If a fare tariff, the type(s) of fares contained therein, such
as normal first class, coach, excursion, or other types of fares, or any
combination thereof.
(6) Description of territory. The title page shall contain a brief
but reasonably comprehensive description of the territory within which
the rates or fares in the tariff apply. The territory shall be described
by the names of cities, states, countries, or other definite
geographical designations.
(7) Reference to governing tariffs. If a tariff is governed by other
tariffs as authorized in this part, such as rules tariffs, mileage
guides, and classifications, the title page shall show reference to such
governing tariffs (by title, C.A.B. number, and issuing carrier or agent
thereof in substantially the following form:
This tariff is governed, except as otherwise provided herein, by
__________ (show tariff title), C.A.B. No. ____, issued by __________
(show name of issuing carrier or agent), by __________ (show tariff
title), C.A.B. No. ____, issued by __________ (show name of issuing
[[Page 68]]
carrier or agent), and by supplements to and successive issues of said
publications.
If preferred, reference to governing tariffs may be omitted from the
title page and published in the first rule of the tariff, provided that
the title page refers to such rule in the following manner:
For reference to governing tariffs, see rule No. ____ as amended.
(8) Reference to Special Tariff Permissions, orders, and
regulations. Where an entire tariff is issued pursuant to a Special
Tariff Permission order, or regulation which requires the tariff to bear
a notation referring to such Special Tariff Permission order or
regulation, such notation shall be shown in the manner required thereby.
If only certain tariff provisions, and not the entire tariff, are issued
pursuant to permission, order, or regulation, reference to the
permission, order, or regulation shall be shown in connection with such
tariff provisions and not on the title page.
(9) Expiration date. If the entire tariff is to expire with a given
date, such expiration date shall be shown in distinctive type on the
title page in the following manner:
This tariff expires with __________ (show date in full) unless
sooner canceled, changed, or extended.
If, however, only a portion of the tariff is to expire with a given
date, the expiration date shall not be shown on the title page but shall
be shown in connection with the particular item, rule, or other
provision which is to expire.
(10) Issued date. The date on which the tariff is issued shall be
shown in the lower left-hand portion of the title page in the following
manner:
Issued: ________________________, 19__.
(Show month, date, and year in full, using no abbreviations.)
Tariffs must be received by the Board on or before the designated issued
date. (See Sec. 221.160(d) and Sec. 221.171 of this part.)
(11) Effective date. The date on which the fares, rates, charges,
rules and other provisions in the tariff will become effective shall be
shown in the lower right-hand portion of the title page (directly
opposite the issued date) in the following manner:
Effective: ____________________, 19__.
(Show month, date, and year in full, using no abbreviations.)
See Sec. 221.160 for required notice.
(12) Issuing officer, agent or designee. The name, title and address
of the following person shall be shown centered at the bottom of the
title page:
(i) The issuing officer (if tariff is issued by a carrier),
(ii) The issuing agent (if tariff is issued by an individual agent),
(iii) The official or employee of a corporate agent designated by
such agent to issue and file tariff publications in the corporate
agent's name (if tariff is issued by a corporate agent).
With respect to loose-leaf tariffs, the title page shall be revised
immediately, upon lawful notice, to reflect the current name, title and
address of the above person whenever there is a change in such
information. The title of an issuing officer of a carrier or the
official or employee designated by a corporate agent to issue and file
tariff publications shall not include the terms ``Agent'' or ``Alternate
Agent''. (See Secs. 221.10 and 221.11 stating who may issue tariffs.)
(b) Specimen title page. See Sec. 221.248 containing a specimen
title page which is shown only for the purpose of illustrating the
arrangement of the contents of a title page.
(Secs. 204, 403, 1002; 72 Stat. 743, 758, 788 (49 U.S.C. 1324, 1373,
1482, as amended))
[ER-439, 30 FR 9439, July 29, 1965, as amended by ER-1104, 44 FR 9577,
Feb. 13, 1979]
Sec. 221.32 Correction number check sheet (loose-leaf tariff).
Original Page 1 (page following the title page) of each loose-leaf
tariff shall contain a check sheet of correction numbers (see
Sec. 221.111(c)). Original Page 1 shall contain no other contents of the
tariff unless the tariff contains less than 30 pages. Such check sheet
shall consist of the following explanatory provision followed by columns
of consecutive correction numbers arranged in numerical order,
commencing with No. 1, which shall be shown in the following manner:
Correction Number Check Sheet
Each time revised or additional original pages are received, check
marks should be
[[Page 69]]
made on this check sheet opposite the correction numbers corresponding
to those appearing in the lower right-hand corner of the revised or
additional original pages. If pages are received not bearing consecutive
correction numbers, the issuing carrier or agent should be requested to
furnish the page bearing the correction number for which a page has not
been received.
Correction Numbers
1....... 6 11 16 21 26 31 36
2....... 7 12 17 22 27 32 37
3....... 8 13 18 23 28 33 38
4....... 9 14 19 24 29 34 39
5....... 10 15 20 25 30 35 40
------------------------------------------------------------------------
When all correction numbers on a check sheet have been used and
additional corrections are to be issued, the check sheet should be
revised to continue the series of correction numbers. The correction
numbers on a revised check sheet shall commence with the correction
number following the last number on the preceding check sheet.
Sec. 221.33 Table of contents.
The table of contents shall contain a full and complete statement of
the exact locations where information in the tariff will be found. Such
statement shall show all subjects in alphabetical order and shall show
the page number and the number of the item, rule, or unit where each
subject will be found. The general headings of the various parts of the
tariff, the subjects of individual rules and regulations, and terms
descriptive of the application of the sections or tables of fares, rates
or charges shall be included in the subjects of the tables of contents.
If preferred, a separate index of the rules and regulations may be
published immediately following the table of contents, provided the
latter makes reference to such index. If a tariff or supplement contains
so small a volume of matter that its title page or its interior
arrangement plainly discloses its contents, the table of contents may be
omitted.
Sec. 221.34 List of participating carriers.
(a) One list of carriers arranged alphabetically. Except as provided
in paragraph (e) of this section and in Sec. 221.151, the names of all
carriers which participate in a tariff shall be shown in alphabetical
order in one list with the power of attorney or concurrence number of
each carrier shown opposite its name. If a participating carrier is an
individual or partnership doing business under a trade name, the trade
name should be shown in its alphabetical sequence in the list of
participating carriers followed by the name of the individual or
partners in the following manner:
Doe Airlines (John Doe and Earl Doe, doing business as).
(b) Agent's tariff. Except as provided in paragraph (e) of this
section and Sec. 221.151, the list of participating carriers in an
agent's tariff shall be published in the following manner:
List of Participating Carriers
This tariff is issued and filed with the Civil Aeronautics Board by
________________________(show name and title of agent) for and on behalf
of the following participating carriers under authority of their powers
of attorney filed with the Civil Aeronautics Board:
------------------------------------------------------------------------
Power of
Participating carrier attorney No.
------------------------------------------------------------------------
(List participating carriers alphabetically and show opposite each
carrier the number of its power of attorney given to the issuing agent)
------------------------------------------------------------------------
(c) Carrier's tariff. Except as provided in paragraph (e) of this
section, the list of participating carriers in a tariff issued by a
carrier shall be published in the following manner:
List of Participating Carriers
This tariff is issued and filed with the Civil Aeronautics Board by
________ (show name of issuing carrier) for and on behalf of itself and
the following participating carriers under authority of their
concurrences filed with the Civil Aeronautics Board:
------------------------------------------------------------------------
Concurrence
Participating carrier No.
------------------------------------------------------------------------
(List participating carriers alphabetically and show opposite each
carrier the number of its concurrence given to the issuing carrier)....
------------------------------------------------------------------------
(d) Restrictions upon participation. Restrictions upon the extent to
which a carrier participates in the tariff shall not be shown in the
list of participating carriers (as amended) but shall be shown elsewhere
in the tariff as authorized by this part.
(e) When powers of attorney or concurrence numbers may be omitted.
Powers of
[[Page 70]]
attorney numbers and concurrence numbers need not be shown in the tariff
as required above by the publishing carrier or agent, provided:
(1) That with the filing of each tariff, a separate alphabetical
list of all participating carriers be transmitted to the Board, which
list shall include opposite the name of each carrier the current power
of attorney or concurrence number under which the carrier participates
in the tariff; and
(2) That when revisions of the tariff propose the addition or
elimination of any carrier in the tariff, such tariff revision shall be
accompanied by a revised alphabetical list showing all participating
carriers and specifically indicating additions and cancellations, and
such list shall also be filed when there is any change in a power of
attorney or concurrence such as a cancellation, revocation, reissue.
Sec. 221.35 Explanations of abbreviations, reference marks, and symbols.
(a) Explanation required. Abbreviations, reference marks, and
symbols which are used in the tariff shall be explained either on the
same page on which they are used or their explanations shall be shown
preceding the indexes of commodities and points. Each page on which
abbreviations, reference marks or symbols are used but not explained
thereon shall refer to the page containing their explanations
substantially in the following manner (at the bottom of the page):
For explanations of abbreviations, reference marks, and symbols used
but not explained hereon, see page ____ (as amended).
(b) Uniform symbols. The following symbols shall be used only in the
manner specified in Sec. 221.114 and the following explanations of such
symbols shall be used in all tariff publications.
(R) or --denotes reductions.
(A) or --denotes increases.
(C) or --denotes changes which result in neither increases nor
reductions.
(K) or --denotes no change.
(N) or --addition.
Either the set of lettered symbols above or the set of solid black
symbols to their right, but not both, shall be used.
(c) Restrictions on use of certain symbols. The symbols cents and $
shall be used only to indicate currencies and shall clearly define the
type of currency for which used. The symbol % shall be used only to mean
percent.
(d) Prohibited abbreviations, symbols, or reference marks. The
following shall be shown in full and shall not be designated by symbols,
abbreviations, or reference marks:
(1) Name of an agent.
(2) Name of a carrier (except in the rules or regulations and in the
routings and indexes of points).
(3) Name of a city or town (except in routings).
(4) Name of a month when used in issued, effective or expiration
dates.
Sec. 221.36 Index of commodities (property tariff).
(a) Complete index. Except as provided in paragraph (d) of this
section, each property tariff shall contain a complete, alphabetical
index of all commodities or articles for which ratings or specific
commodity rates are provided in the tariff. Opposite each commodity or
article in the index, reference shall be shown to the number of each
item (or similar unit, such as group) in which such commodity or article
is shown.
(b) Alphabetical arrangement. Commodities shall be arranged in the
index in alphabetical order according to their nouns, for example,
``wrapping paper'' shall be shown and indexed as ``paper, wrapping''. If
the noun is not sufficiently explicit, the commodity should also be
indexed under the adjective as well as under the noun. All of the
entries for the same noun should be grouped together and indexed
alphabetically first according to the noun and then according to the
adjective appearing after the noun, for example, various kinds of paper
would be indexed under ``paper'' in the following manner:
------------------------------------------------------------------------
Commodity Item No.
------------------------------------------------------------------------
Paper, gummed................................................. 120
Paper, printing............................................... 210
Paper, waxed.................................................. 120
Paper, wrapping............................................... 240
------------------------------------------------------------------------
(c) Indexing commodity lists. When a tariff contains specific
commodity rates applicable to a list of specific commodities or articles
grouped under
[[Page 71]]
a generic commodity description heading as authorized by Sec. 221.75,
the index of commodities shall show:
(1) Such generic heading or description (in distinctive type) in its
proper alphabetical sequence in the index and opposite thereto reference
to each item where such generic heading or description is shown
including the item which contains the list of commodities under such
generic heading;
(2) Each individual commodity or article (named in such list under
the generic heading) in its proper alphabetical sequence in the index
and opposite thereto reference to each item where such generic heading
or description is shown including the item containing the list of
commodities under such generic heading.
(d) When index may be omitted--(1) Alphabetical arrangement. The
index of commodities may be omitted from a tariff or supplement if all
specific commodity rates therein are arranged in alphabetical order (by
commodities) in only one alphabetical sequence and all classification or
exceptions ratings are arranged in alphabetical order (by commodities)
in only one alphabetical sequence (the showing of generic headings in
alphabetical sequence will not meet this requirement since individual
commodities thereunder would not appear in the required alphabetical
sequence). If the index of commodities is omitted under authority of
this paragraph, an explanation of the alphabetical arrangement shall be
published in the place where the index would have been published, for
example:
Index of Commodities
(Commodities are arranged alphabetically throughout pages ____ through
____)
(2) Less than five pages of commodity descriptions. If the commodity
descriptions on which rates or ratings are applicable are shown on not
more than four pages of a tariff or supplement, the index of commodities
may be omitted from such tariff or such supplement.
Sec. 221.37 Index of points.
(a) Alphabetical index required. Each tariff shall contain an
alphabetical index of all points of origin named in the tariff and a
separate alphabetical index of all points of destination named in the
tariff, except that the points of origin and destination may be included
in one alphabetical index when all or substantially all of the rates or
fares in the tariff apply in both directions between their respective
points. The state, territory, possession, or District of Columbia in
which each United States point is located shall be shown in connection
with each such point. If the tariff applies to or from foreign
countries, the respective country shall also be shown in connection with
each and every point in the index except that:
(1) Only the name of the state, possession, territory or the
District of Columbia is required to be shown in connection with each
point in the United States.
(2) Only the name of the province is required to be shown in
connection with each point in Canada.
(3) Only the name of the possession or territory is required to be
shown in connection with each foreign point which is situated within a
possession or territory of a mother country, for example, Antigua,
British West Indies; however, if such point is coextensive with the
territory or possession in which it lies, such as Hong Kong, it shall be
identified by nationality in the following manner: Hong Kong (British).
Opposite each point, reference shall be made to the number of each item
(or similar unit) in which the respective point appears. If the point is
not published in a numbered item (or similar unit), reference shall be
made to the page on which the point appears. If the tariff contains
rates or fares for account of more than one carrier, each point in the
index shall show the carrier or carriers serving the respective point.
(b) When index may be omitted. The index of points may be omitted
provided that all points of origin and destination are arranged in
alphabetical order throughout the tariff or, if the fares or rates are
published in two or more distinct sections or tables, throughout each
section or table. Such alphabetical arrangement shall be explained as
required by paragraph (c) of this section. In addition, when fares or
[[Page 72]]
rates are so arranged in sections or tables, reference to each section
or table shall be shown in the table of contents. Tables of rate scale
numbers conforming to Sec. 221.80(b)(1) and alphabetical lists of points
conforming to Sec. 221.80(c)(1) shall constitute acceptable alphabetical
arrangements of points for the purpose of determining whether an index
of points may be omitted under the terms of this paragraph. The
following arrangements of points shall be considered to be in
alphabetical order:
(1) From origin points arranged in alphabetical sequence, to
destination points arranged in alphabetical sequence under their
respective origin points;
(2) To destination points arranged in alphabetical sequence, from
origin points arranged in alphabetical sequence under their respective
destination points;
(3) Between one group of points arranged alphabetically as headline
points, and another group of different points arranged alphabetically as
sideline points under their respective headline points, (but with no
fares or rates between points in the same group) as, for example,
between United States headline points, on the one hand, and Canadian
sidelines points, on the other hand;
(4) Between points shown in a descending alphabetical arrangement in
which fares or rates are provided between substantially all points in
the fare or rate table as, for example, between headline point A and
sideline points B through Z, between headline point B and sideline
points C through Z, between headline point C and sideline points D
through Z, and continuously descending to the final listing, between
headline point Y and sideline point Z. In the above arrangements, points
shall be either (i) in alphabetical sequence by points or (ii) in
alphabetical sequence first by States (or Canadian provinces) and thence
by points grouped under their respective States (or provinces).
(c) Explanation required when index omitted. When the index of
points is omitted as provided in paragraph (b) of this section, a
comprehensive explanation of the alphabetical arrangement of points must
be shown in the place where the index of points would have been
published. The following are some examples of such explanations which
may be modified to explain the particular alphabetical arrangement
employed in the tariff:
Index of Points of Origin and Destination
Points of origin are arranged alphabetically as headline points
throughout the tariff. Points of destination are arranged alphabetically
as sideline points under each origin point. (See Sec. 221.37(b)(1).)
or
Points in the United States are arranged alphabetically as headline
points throughout the tariff. Points in Canada are arranged
alphabetically as sideline points under each headline point. (See
Sec. 221.37(b)(3).)
or
Points of origin and destination are arranged alphabetically
throughout the tariff (or each section or table of fares (or rates)).
(See Sec. 221.37(b)(4).)
or
Points of origin and destination are arranged alphabetically
throughout the tariff (or each section or table of fares (or rates))
first by States or provinces, thence by points of origin and destination
grouped under their respective States or provinces. (See
Sec. 221.37(b)(4).)
(d) When reference to items (or similar units) or pages may be
omitted from index. If an index is published in a tariff containing
rates or fares for account of two or more carriers, the index of points
shall show the carrier or carriers serving each point but may omit
reference to each item (or similar unit) or page where each point
appears, provided that the tariff conforms with Sec. 221.37(b) and that
the explanation of the alphabetical arrangement of points is shown in
the heading of the index on each page thereof in the manner set forth in
paragraph (c) of this section.
Sec. 221.38 Rules and regulations.
(a) Contents. Except as otherwise provided in this part, the rules
and regulations of each tariff shall contain:
(1) Such explanatory statements regarding the fares, rates, rules or
other provisions contained in the tariff as may be necessary to remove
all doubt as to their application.
[[Page 73]]
(2) All of the terms, conditions, or other provisions which affect
the rates, fares, or charges for air transportation named in the tariff.
(3) All the rates or charges for, and the provision governing,
terminal services, and all other services which the carrier undertakes
or holds out to perform on, for, or in connection with air
transportation, except that, in the case of pick-up and delivery
services, the tariff need only specify the extent to which the air
transportation rates named in the tariff include such services; and,
where pick-up and delivery services are provided only at an additional
charge, such additional charges shall not be included in the tariffs.
(4) All other provisions and charges which in any way increase or
decrease the amount to be paid on any shipment or by any passenger, or
which in any way increase or decrease the value of the services rendered
to the shipper or passenger.
(5) [Reserved]
(6) For individually ticketed passenger service, the name of each
type of aircraft used in rendering such service by manufacturer model
designation and a description of the seating configuration (or
configurations if there are variations) of each type of aircraft. Where
fares are provided for different classes or types of passenger service
(that is, first class, coach, day coach, night coach, tourist, economy
or whatever other class or type of service is provided under the
tariff), the tariff shall specify the type of aircraft and the seating
configuration used on such aircraft for each class or type of passenger
service. When two or more classes or types of passenger service are
performed in a single aircraft, the seating configuration for each type
or class shall be stated. The description of the seating configuration
of each type of service on each aircraft shall include the following:
(i) The number of seats abreast.
(ii) The maximum and minimum distances in inches from the forward
edge of a seat to the forward edge of the seat directly in front thereof
(pitch).
(iii) The number of lounge seats.
(iv) The number of lounge seats or other seats withheld from sale
and available for passengers' temporary use during flight. If some or
all lounge seats are available for sale under certain conditions, such
fact and conditions shall be explicitly stated.
(7) Denied boarding compensation. For carriers subject to part 250,
denied boarding compensation as specified in part 250.
(8) For certificated air carriers, the rules and regulations
relating to the transportation of persons who may need assistance to
evacuate the aircraft during an emergency. All such provisions shall be
in conformity with part 121 of the Federal Aviation Regulations (14 CFR
part 121), as amended or revised from time to time: Provided, That no
provision of the Board's regulations issued under this part or elsewhere
shall be construed to permit the filing of any tariff rules limiting or
conditioning a carrier's obligation to provide transportation and
services in connection therewith upon reasonable request therefor to a
person who may require assistance of another person in expeditiously
moving to an emergency exit of the aircraft in the event of an
evacuation, except as provided for in said part 121.
(b) Rule numbers. Each rule or regulation shall be given a separate
designation. The same designation shall not be assigned to more than one
rule in the tariff. The rules and regulations shall be shown in the
tariff in numerical or alphabetical order. A gap between rule numbers
may be allowed for the addition of future rules, for example, the rules
in an original tariff may be numbered Rules Nos. 5, 10, 15, etc. When a
rule contains more than one paragraph, the paragraphs and subparagraphs
shall be consecutively lettered or numbered.
(c) Single subject and caption. Each numbered rule shall be confined
to a single subject and shall bear a caption descriptive of the subject
matter therein. Such caption shall be shown in distinctive type.
(d) Rules of limited application. A rule affecting only a particular
rate, fare, or other provisions in the tariff shall be specifically
referred to in connection with such rate, fare, or other provision, and
such rule shall indicate that it is applicable only in connection with
such rate, fare or other provision.
[[Page 74]]
Such rule shall not be published in a separate governing rules tariff.
(e) Clear, explicit, and definite statements required. All rules and
regulations shall be stated in clear, explicit, and definite terms.
Ambiguous or indefinite terms or language shall not be used. Where the
rules and regulations contain any rates or charges or other amounts
affecting the charges to be paid on any shipment or by any passenger,
such rates, charges, or amounts shall be stated in United States dollars
or cents to be applied to a definite unit of weight, measurement, time,
currency, or other definite measure. When transportation fares or rates
are published in foreign currency under authority of Sec. 221.51(b), any
charges or other amounts set forth in rules or regulations may be stated
in such foreign currency in addition to the required statement in United
States currency, provided that such charges or other amounts in foreign
currency are substantially equivalent in value to the respective charges
or other amounts stated in United States currency. Where the carrier
holds out to perform terminal or other services in connection with air
transportation, the rule covering such services shall describe the exact
service, state the rates or charges which the carrier will make for such
service, and set forth in definite terms the conditions under which the
carrier will perform such service. Where a rule provides a charge in the
nature of a penalty, the rule shall state the exact conditions under
which such charge will be imposed. Rules and regulations shall not
contain indefinite statements to the effect that traffic of any nature
will be ``taken only by special arrangements'', or that services will be
performed or penalties imposed ``at carrier's option'', or that the
carrier ``reserves the right'' to act or to refrain from acting in a
specified manner, or other provisions of like import; instead, the rules
shall state definitely what the carrier will or will not do under the
exact conditions stated in the rules.
(f) Conflicting or duplicating rules prohibited. The publication of
rules or regulations which duplicate or conflict with other rules or
regulations published in the same or any other tariff for account of the
same carrier or carriers and applicable to or in connection with the
same transportation is hereby prohibited.
(g) Separate rules tariff. If desired, the rules and regulations
required by this section may be published in separate governing tariffs
to the extent authorized and in the manner required by Secs. 221.100
through 221.104, and 221.107.
(h) Personal liability rules. No provision of the Board's
regulations issued under this part or elsewhere shall be construed to
require on and after March 2, 1954, the filing of any tariff rules
stating any limitation on, or condition relating to, the carrier's
liability for personal injury or death. No subsequent regulation issued
by the Board shall be construed to supersede or modify this rule of
construction except to the extent that such regulation shall do so in
express terms.
(i) Carriers' extension of credit--passenger tariffs, property
tariffs. Air carriers and foreign air carriers shall not file tariffs
that set forth charges, rules, regulations, or practices relating to the
extension of credit for payment of charges applicable to the air
transportation of persons or property.
(j) Notice of limitation of liability for death or injury under the
Warsaw Convention. Notwithstanding the provisions of paragraph (h) of
this section, each air carrier and foreign air carrier shall publish in
its tariffs a provision stating whether it avails itself of the
limitation on liability to passengers as provided in Article 22(1) of
the Warsaw Convention or whether it has elected to agree to a higher
limit of liability by a tariff provision. Unless the carrier elects to
assume unlimited liability, its tariffs shall contain a statement as to
the applicability and effect of the Warsaw Convention, including the
amount of the liability limit in dollars. Where applicable, a statement
advising passengers of the amount of any higher limit of liability
assumed by the carrier shall be added.
(k) Individual carrier provisions governing joint rates or fares.
Provisions governing joint rates or fares may be published for account
of an individual carrier participating in such joint rates or fares
provided that the tariff clearly indicates how such individual carrier's
[[Page 75]]
provisions apply to the through transportation over the applicable joint
routes comprised of such carrier and other carriers who either do not
maintain such provisions or who maintain different provisions on the
same subject matter.
(l) Passenger tariffs; property which cannot lawfully be carried in
the aircraft cabin. Each air carrier shall set forth in its tariffs
governing the transportation of persons, including passengers' baggage,
charges, rules, and regulations providing that such air carrier
receiving as baggage any property of a person traveling in air
transportation, which property cannot lawfully be carried by such person
in the aircraft cabin by reason of any Federal law or regulation, shall
assume liability to such person, at a reasonable charge and subject to
reasonable terms and conditions, within the amount declared to the air
carrier by such person, for the full actual loss or damage to such
property caused by such air carrier.
(Secs. 102, 416, 72 Stat. 240, 771, secs. 3, 4, 80 Stat. 383, 81 Stat.
54; 49 U.S.C. 1302, 1386, 5 U.S.C. 552, 553, secs. 102, 204, 403, and
416 of the Federal Aviation Act of 1958, as amended by Pub. L. 95-504,
72 Stat. 740, 743, 758, and 771, 92 Stat. 1731, 1732 (49 U.S.C. 1302,
1324, 1373, and 1386))
[ER-439, 30 FR 9439, July 29, 1965, as amended by ER-504, 32 FR 11938,
Aug. 18, 1967; ER-795, 38 FR 9222, Apr. 12, 1973; ER-871, 39 FR 31882,
Sept. 3, 1974; ER-1020, 42 FR 43830, Aug. 31, 1977; ER-1062, 43 FR
34442, Aug. 4, 1978; ER-1125, 44 FR 33059, June 8, 1979; ER-1229, 46 FR
32551, June 24, 1981; ER-1369, 48 FR 54589, Dec. 6, 1983]
Sec. 221.39 Classification ratings or exceptions to governing classification ratings.
(a) Classification ratings. Each tariff containing class rates shall
list all articles or commodities accepted for transportation together
with their applicable ratings in the following manner:
(1) The articles or commodities on which the ratings apply shall be
described and listed in an orderly manner, and opposite each article or
commodity there shall be shown the class rating applicable to the
respective article or commodity.
(2) The articles or commodities shall be listed alphabetically in
one sequence throughout the section of class ratings to the greatest
extent that is practicable. A group of articles or commodities may be
published under a generic commodity heading: Provided, That the generic
heading appears in its proper alphabetical sequence in the section of
class ratings and that the articles or commodities in such group are
listed alphabetically and indented under such generic heading.
(3) The class ratings assigned to the articles or commodities shall
be numbered classes corresponding identically to the numbered classes
for which class rates are provided. (See Sec. 221.73(c) describing rates
on numbered classes.)
(4) Each commodity description and its applicable class rating shall
be published in a separate, numbered item. The items shall be shown in
numerical order in sequence with other item numbers as may be used in
the tariff.
(5) An item shall not state that the rating on any article or
commodity will be that applying on another article or commodity, for
example, an item shall not provide that ``paper wrappers'' will take
``wrapping paper'' ratings. (If ``paper wrappers'' are to take the same
rating as ``wrapping paper'', such rating shall be shown in the item
listing ``paper wrappers''.)
(6) The publication of class ratings which duplicate or conflict
with other class ratings is hereby prohibited. Also, class ratings shall
not take precedence over other class ratings (except as provided in
paragraph (c) of this section).
(7) The following format is suggested for the publication of
classification ratings in the tariff containing the class rates, but may
be adjusted to conform with the format or context of a particular
tariff:
Classification Ratings
[Applicable only in connection with class rates Section____]
------------------------------------------------------------------------
Article or
Item No. commodity Class
------------------------------------------------------------------------
------------------------------------------------------------------------
(b) Classification ratings in governing tariff. The classification
of articles required by paragraph (a) of this section may be omitted
from the rate tariff provided that it is published in its entirety in a
separate classification tariff
[[Page 76]]
in accordance with Secs. 221.100, 221.101, and 221.105.
(c) Exceptions to governing classification ratings. When the
classification ratings are published in a separate classification tariff
as provided under paragraph (b) of this section and it is found
necessary to publish ratings which are exceptions to such classification
ratings without canceling the classification ratings, this part of the
class rates tariff shall contain the ratings which are exceptions to the
ratings in the governing classification tariff. Such exception ratings
shall be published in compliance with the following requirements:
(1) The exceptions ratings shall comply with paragraph (a)(1)
through (7) of this section, except that the heading reading
``Classification Ratings'' in paragraph (a)(7) of this section shall be
changed to read substantially ``Exceptions to Ratings in Governing
Classification.''
(2) Exceptions ratings shall be exceptions, in fact, to ratings in
the governing classification and shall not be published to cover
commodities for which no ratings are provided in the governing
classification.
(3) Exceptions ratings restricted to apply from and to or between a
small number of points shall not be published to avoid the publication
of specific commodity rates from and to or between such points.
(4) The descriptions of the commodities on which the exceptions
ratings apply shall conform as closely as possible to the commodity
descriptions in the governing classification tariff.
Sec. 221.40 Statement of fares or rates for air transportation.
The statement of fares for the air transportation of persons shall
be prepared in accordance with the provisions of subpart E. The
statement of rates for the air transportation of property shall be
prepared in accordance with the provisons of subparts E and F.
Sec. 221.41 Routing.
(a) Required routing. The route or routes over which each fare or
rate applies shall be stated in the tariff in such manner that the
following information can be definitely ascertained from the tariff:
(1) The carrier or carriers performing the transportation,
(2) The point or points of interchange between carriers if the route
is a joint route (via two or more carriers),
(3) The intermediate points served on the carrier's or carriers'
routes applicable between the origin and destination of the rate or fare
and the order in which such intermediate points are served. (This
information, however, is not required in those property tariffs which
are not subject to rules or other provisions for stopping in transit or
to any other provisions which require determining what intermediate
points are served via the tariff routing between the origin point and
destination point of a rate; nor is it required in passenger tariffs of
carriers whose operations are other than over defined routes stated in
certificates or permits issued by the Board; nor in charter tariffs.) On
an experimental basis, for the purposes of complying with this
paragraph, tariffs may include for each carrier a separate map of the
carrier's routes, showing intermediate points in the order served.
(b) Individually stated routings--(1) Method of publication. Except
as otherwise authorized in paragraphs (c) and (d) of this section, the
routing required by paragraph (a) of this section shall be shown
directly in connection with each fare, rate or charge for
transportation, or in a routing portion of the tariff (following the
rate or fare portion of the tariff), or in a governing routing tariff.
When shown in the routing portion of the tariff or in a governing
routing tariff, the fare or rate from each point of origin to each point
of destination shall bear a routing number and the corresponding routing
numbers with their respective explanations of the applicable routings
shall be arranged in numerical order in the routing portion of the
tariff or in the governing routing tariff.
(2) Class of passenger service and aircraft type specified in
routing. Where a passenger fare applies via one class of service (or
type of aircraft) over a portion of the routing applicable from origin
to destination and via a different
[[Page 77]]
class or classes of service (or a different type or types of aircraft)
over the remainder of the routing, provisions as to the classes of
services (or types of aircraft) provided over the respective segments of
the routing may be included in the applicable routing published in
accordance with paragraph (b)(1) of this section. When routings
containing such provisions are published in a separate routing section
of the tariff or in a governing routing tariff, the headings of the
pages containing fares subject to such routings shall indicate that
provisions as to class of service or type of aircraft are set forth in
the routing.
(c) Diagrammatic routings. For property rates between United States
points, on the one hand, and points in foreign countries or United
States Territories or Possessions, on the other hand, the routing
information required by paragraphs (a) (1) and (2) of this section may
be shown in the form of routing diagrams. A routing diagram consists of
a series of connected columns or rectangular figures, each naming or
designating a group of points, with carrier routing designated between
each pair of consecutive, connected groups, and an explanation of how to
use the diagram in determining applicable routings. An illustration of
an acceptable form of routing diagram is set forth in Illustration No. 1
at the end of this paragraph. Publication of routing diagrams shall
conform to the following requirements:
(1) Each routing diagram shall bear a routing number. Only connected
groups shall be included in one diagram.
(2) Routing diagrams shall be published in numerical order, by
routing number, in the routing portion of the tariff following the rate
portion or in a governing routing tariff.
(3) The pages containing the rates shall refer, by routing number,
to the applicable routing diagrams. Where all rates in a tariff, table
or section are subject to one routing diagram, such reference may be
shown in the heading of each rate page thereof. Otherwise, reference to
the applicable routing diagrams shall be shown directly in connection
with the respective rates from each origin to each destination.
(4) An explanation of the application and use of each routing
diagram shall be published in connection therewith in sufficient detail
to enable the applicable routings to be definitely determined.
(5) Groups of points of origin, destination and interchange shall be
designated in the diagram by definite geographic terms.
(6) The carriers performing the transportation between each pair of
consecutive, connected groups of points in the diagram shall be
specifically designated in the routing diagram except that where space
limitations make this impractical, such carrier routing may be published
in the following manner:
(i) Except as otherwise authorized in paragraph (a)(6)(ii) of this
section, the routing between two consecutive, connected groups in the
diagram may be shown by referring to a routing chart conforming to the
following requirements. Routing charts shall be in tabular form showing
the specific points in one group as headline points and the specific
points in the other group as sideline points. Headline points shall be
arranged alphabetically and the sideline points shall be arranged
alphabetically under the respective headline points. Carrier routing
between each headline point and each sideline point shall be shown in
the intersecting space in the tabular chart. An illustration of such
routing chart (using abbreviations to designate carriers) is set forth
in Illustration No. 2 at the end of this paragraph.
(ii) Carrier routing between two consecutive, connected groups
consisting exclusively of foreign points may be shown either by a
routing chart authorized under paragraph (a)(6)(i) of this section or in
the following manner. The routing diagram may provide that carrier
routing between such groups of foreign points shall be via any single-
carrier service and shall refer to the tariff's alphabetical index or
list of points of origin and destination to determine the carriers
serving the respective points in each group. The latter method of
publication may be used only where the tariff contains an alphabetical
index or list of points of origin and destination showing the carriers
serving the respective points,
[[Page 78]]
and only where each carrier indicated by such index or list as serving a
pair of points (one in each such group) does in fact maintain service
between such pair of points.
(d) [Reserved]
(e) Emergency routing rule. If desired, the following routing rule
may be published in property rate tariffs conforming with paragraph (b)
or (c) of this section:
Routing instructions. The rates named in this tariff will apply only
over the routes and via interchange points authorized herein except that
when, in the case of pronounced traffic congestion (not an embargo) or
other similar emergency, or through carrier's error, carriers forward
shipments by other transfer points of the same carriers or over other
carriers parties to the tariff, the rates specified in this tariff (but
not higher than the rate applicable over the actual route of movement)
will be applied.
(f) Forwarders. The preceding paragraphs of this section do not
apply to tariffs of Air Freight Forwarders or International Air Freight
Forwarders. Where the rates and charges of two or more forwarders are
published in one tariff issued by an agent, the tariff shall clearly
indicate in connection with each rate or charge the respective
individual forwarder for whom it is published.
[ER-439, 30 FR 9439, July 29, 1965, as amended by ER-867, 39 FR 35570,
Oct. 2, 1974]
Subpart E--Requirements Applicable to All Statements of Fares or Rates
Sec. 221.50 Clear and explicit statement; systematic arrangement.
All fares, rates, and charges shall be clearly and explicity stated
and shall be arranged in a simple and systematic manner. Complicated
plans and ambiguous or indefinite terms shall not be used. So far as
practicable, the fares, rates, and charges shall be subdivided into
items or similar units, and an identifying number shall be assigned to
each item or unit to facilitate reference thereto.
Sec. 221.51 Currency.
(a) Statement in United States currency required. All fares, rates,
and charges shall be stated in cents or dollars of the United States
except as provided in paragraph (b) of this section.
(b) Statements in both United States and foreign currencies
permitted. Rates, fares, and charges applying between points in the
United States, on the one hand, and points in foreign countries, on the
other hand, or applying between points in foreign countries, may also be
stated in the currencies of foreign countries in addition to being
stated in United States currency as required by paragraph (a) of this
section: Provided, That:
(1) The fares, rates, and charges stated in currencies of countries
other than the United States are substantially equivalent in value to
the respective fares, rates, and charges stated in cents or dollars of
the United States.
(2) Each page containing fares, rates, and charges shall clearly
indicate the respective currencies in which the fares, rates and charges
thereon are stated, and
(3) The fares, rates, and charges stated in cents or dollars of the
United States are published separately from those stated in currencies
of other countries. Such separate publication shall be done in a
systematic manner and the fares, rates, and charges in the respective
currencies shall be published either in separate columns on the same
page, or on separate pages, or in separate sections or tables of the
tariff.
Sec. 221.52 Territorial application.
(a) Specific points of origin and destination. Except as otherwise
provided in this part, the specific points of origin and destination
from and to which the fares or rates apply shall be specifically named
directly in connection with the respective fares or rates. If the tariff
names points only in the United States and/or Canada, the respective
State, possession, territory or District of Columbia shall be shown in
connection with each United States point and the respective province
shall be shown in connection with each Canadian point; however, if such
tariff applies to scheduled transport service and contains an index of
points conforming to Sec. 221.37 (a) or (d), the State, possession,
territory, District of Columbia, or Canadian province may be omitted (at
publisher's election) from the fare or
[[Page 79]]
rate tables except in connection with different points of the same name.
If the tariff contains fares or rates applying to or from points in
foreign countries (other than or in addition to Canada), the following
shall be shown in connection with each point named:
(1) The respective State, possession, territory or District of
Columbia in which each United States point is situated, and the
respective province in which each Canadian point is situated;
(2) The respective country in which each point is situated except
that the country may be omitted (at publisher's election) in connection
with United States and Canadian points;
(3) Only the respective possession is required to be shown in
connection with each foreign point which is situated within a possession
of a mother country, for example, Antigua, British West Indies; however,
if such point is coextensive with the possession in which it lies, such
as Hong Kong, it shall be identified by nationality in the following
manner: Hong Kong (British).
(b) Points taking same fares or rates. The fares or rates applying
to (or from) a particular point named in the table of fares or rates may
be made to apply to (or from) other points in the following manner. Show
such other points in their proper alphabetical order in the rate or fare
table and show in connection with each such point a statement that it
takes the same fares or rates as apply to (or from) the particular point
for which fares or rates are specifically published in the table. If the
tariff has an index or list of points, the latter statement may be
published in connection with the respective points in the index or list
instead of in the rate or fare table. All such statements shall be
published uniformly either (1) in the index (or list) or (2) in the
table, but not in both.
(c) Directional application. A tariff shall specifically indicate
directly in connection with the rates or fares therein whether they
apply ``from'' and ``to'' or ``between'' the points named. Where the
rates or fares apply in one direction, the terms ``From'' and ``To''
shall be shown in connection with the point of origin and point of
destination, respectively, and, where the rates and fares apply in both
directions between the points, the terms ``Between'' and ``And'' shall
be shown in connection with the respective points.
[ER-439, 30 FR 9439, July 29, 1965, as amended by Amdt. 221-69, 56 FR
44001, Sept. 6, 1991]
Sec. 221.53 Airport-to-airport application, accessorial services.
(a) Tariff publications containing rates or fares for air
transportation shall specify whether or not they include additional
services in one or more of the following ways:
(1) The tariff shall indicate that rates or fares include pick-up,
delivery, or other services, explicitly defining the services to be
furnished, and defining areas or points within or between which the
services will be performed; or
(2) The tariffs shall indicate that the rates or fares apply from
airport-to-airport and that the carrier does not perform additional
services; or
(3) The tariff shall indicate that the rates or fares apply only
from airport-to-airport but that additional services are furnished
subject to additional charges, and, except for pick-up and delivery
services, the tariff shall set forth charges for all other services and
other provisions applicable thereto, as required by Sec. 221.38, clearly
and explicitly specifying the extent to which such services will be
furnished.
(b) The above requirements shall not be construed as precluding the
publication of rates or fares for air transportation which include pick-
up or delivery service at certain specified points or areas within the
pick-up and delivery zone of the airport city of origin or destination
but subject to a further provision that pick-up or delivery service will
be provided at other specified areas or points within the same pick-up
and delivery zone only upon payment of an additional charge.
(c) The airport-to-airport application of rates or fares for air
transportation and the statements as to the extent to which such rates
or fares include pick-up, delivery or other accessorial services shall
be published in the rate or fare tariff and not in a governing tariff.
However, the definitions of such services, the definitions of areas or
points within or between which such services will be performed, and the
rates or
[[Page 80]]
charges for such services (when not included in the air transportation
rates or fares) may be published in a governing rules tariff conforming
to Sec. 221.102, except that additional charges for pick-up and delivery
services shall not be included in the tariffs.
[ER-1229, 46 FR 32551, June 24, 1981]
Secs. 221.54--221.55 [Reserved]
Sec. 221.56 Rates may include transfer at interchange points.
A rate applying locally over the lines of one carrier or jointly
over the lines of two or more carriers shall include transfer service at
interchange points unless the tariff otherwise provides. In the case the
transfer service is not included, the tariff containing such rates shall
state that such transfer service is not included or is provided at a
specified additional charge.
Sec. 221.57 Proportional fares or rates.
(a) Definite application. Proportional fares or rates shall be
specifically designated as ``proportional'' fares or rates on each page
where they appear. Subject to paragraph (b) of this section,
proportional fares or rates shall be specifically restricted to apply:
(1) Only on traffic which:
(i) Originates at a point of origin beyond the point from which the
proportional fare or rate applies, or
(ii) Is destined to a point of destination beyond the point to which
the proportional fare or rate applies, or
(iii) Both originates at a beyond point specified in paragraph
(a)(1)(i) of this section and is destined to a beyond point specified in
paragraph (a)(1)(ii) of this section.
(2) Only when the passenger is transported on a through ticket or
the shipment is transported on a through air waybill or other form of
transportation contract or document covering the through transportation
from and/or to such beyond points, or, with respect to foreign air
transportation, when such through ticket or through air waybill, or
other form of through transportation contract or document cannot be
issued, the tariff shall provide that the proportional fare or rate may
be used only upon presentation by the passenger or shipper of clear and
convincing evidence that the passenger or shipment has been or will be
transported from and/or to such beyond points.
(b) Restrictions upon beyond points or connecting carriers. If a
proportional fare or rate is intended for use only on traffic
originating at and/or destined to particular beyond points or is to
apply only in connection with particular connecting carriers, such
application shall be clearly and explicitly stated directly in
connection with such proportional fare or rate.
Sec. 221.58 Arbitraries.
(a) A tariff may provide that rates or fares from (or to) particular
points shall be determined by the addition of arbitraries to, or the
deduction of arbitraries from, rates or fares therein which apply from
(or to) a base point. An arbitrary is a specific amount in dollars or
cents published specifically for application in the above manner.
Provisions for the addition or deduction of such arbitraries shall be
shown either directly in connection with the fare or rate applying to or
from the base point or in a separate provision which shall specifically
name the base point. The tariff shall clearly and definitely state the
manner in which such arbitraries shall be applied. In the case of
arbitraries applicable to the transportation of property, the
arbitraries shall be published in the same units of currency and rate as
those in which the base rates are stated, and shall be stated to apply
on the same minimum quantities (or quantity groups) as those on which
the base rates apply.
(b) The tariff shall state definitely whether the arbitraries are to
be added to, or deducted from, the fares or rates applying from (or to)
the base points (for example, it may provide in effect that the
arbitraries shall be added to the fares or rates applying from (or to)
the base points except that those arbitraries bearing a particular
reference mark, such as a minus sign (-), shall be deducted from such
base fares or rates). In some circumstances, it may be necessary to
publish a zero amount ``0'' in the table of arbitraries; in this event,
the tariff shall state definitely that the fare or rate applying from
(or to) the base point shall also
[[Page 81]]
apply from (or to) the point taking the zero amount in the arbitrary
table without the addition or deduction of an arbitrary.
Sec. 221.59 Fares or rates stated in percentages of other fares or rates; other relationships prohibited.
(a) Fares or rates for air transportation of persons or property
shall not be stated in the form of percentages, multiples, fractions, or
other relationships to other fares or rates except to the extent
authorized in paragraphs (b), (c), (d), and (e) of this section with
respect to passenger fares and baggage charges and in subpart F with
respect to property rates.
(b) A basis of fares for refund purposes may be stated, by rule, in
the form of percentages of other fares.
(c) Transportation rates for the weight of passengers' baggage in
excess of the baggage allowance under the applicable fares may be
stated, by rule, as percentages of fares, provided reference is made to
a conversion table complying with paragraph (e) of this section for the
purpose of determining the amounts of such rates in dollars or cents
represented by the published percentages of the fares.
(d) Children's fares, round-trip fares, or other types of fares may
be stated, by rule, as percentages of other fares published specifically
in dollars and cents (hereinafter referred to as base fares): Provided,
That:
(1) Fares stated as percentages of base fares shall apply from and
to the same points, via the same routes, and for the same class of
service and same type of aircraft to which the applicable base fares
apply, and shall apply to all such base fares in a fares tariff or
designated section or table of a fares tariff except that:
(i) If the base fares are published for account of two or more
participating carriers, such percentage fares may be restricted to apply
for account of only certain participating carriers. If such carriers
participate in joint base fares, the extent to which such restricted
percentage fares apply to the joint base fares shall be clearly
indicated.
(ii) If the base fares are named between points in the continental
United States and points outside thereof, such percentage fares may be
restricted territorially to apply between, within, or from and to any of
the following areas (but not portions of a single area):
Alaska.
Hawaii.
Continental United States.
United States of America.
One or more Territories or Possessions of the United States.
One or more foreign countries.
A definite geographic area larger than a country.
The term ``continental United States,'' as used in this paragraph, means
all of the 48 contiguous States and the District of Columbia.
(2) Fares shall not be stated as percentages of base fares for the
purpose of establishing fares applying from and to points, or via
routes, or on types of aircraft, or for classes of service different
from the points, routes, types of aircraft, or classes of service to
which the base fares are applicable.
(3) Fares stated as percentages of base fares shall refer to a
conversion table complying with paragraph (e) of this section for the
purpose of determining the amounts of such fares in dollars and cents
represented by the published percentages of the base fares.
(e)(1) A conversion table shall be published in the fares section of
the tariff containing the base fares or, if that tariff is governed by a
rules tariff, the table may be published after the last rule therein.
The conversion table shall contain in the first column, in numerical
order ranging from the lowest to the highest amounts, the amounts of all
the base fares on which the percentages are to be applied. Each of the
other columns shall be captioned with a percentage corresponding to a
percentage in which a fare is stated. In each of the percentage-
captioned columns and directly opposite each base fare, the amount in
dollars or cents represented by the stated percentage of the respective
base fare shall be shown. Such columns shall be arranged in numerical
order (according to percentage). A clear and definite explanation of how
to use the conversion table shall be shown in connection therewith.
(2) Instead of showing in the first column all base fares from the
lowest to the highest, the table may contain in the first column $0.05
and all multiples
[[Page 82]]
thereof to and including $1.00 and all multiples of $1.00 to and
including $100.00 with a plainly stated rule for using, in combination,
amounts ascertained in the percentage columns for the separate portions
of the base fare. The rule shall provide, for example, that if the base
fare is $7.65, the percentages for $7.00 and $0.65 are to be ascertained
separately and combined.
Sec. 221.60 Conflicting or duplicating rates or fares prohibited.
The publication of rates or fares of a carrier which duplicate or
conflict with the rates or fares of the same carrier published in the
same or any other tariff for application over the same route or routes
is hereby prohibited.
Sec. 221.61 Provisions for alternative use of or precedence of rates or fares prohibited.
Except as specifically authorized otherwise in this part, a tariff
containing rates or fares shall not contain nor be made subject to any
tariff provisions to the effect that rates or fares in such tariff take
precedence over or apply alternatively with other rates or fares in the
same or any other tariff, or that the rates or fares in any other tariff
take precedence over or alternate with the rates or fares in such
tariff.
Sec. 221.62 [Reserved]
Sec. 221.63 Applicable rate when no through local or joint fares or rates.
(a) Lowest combination fare or rate applicable. Where no applicable
local or joint fare or rate is provided from point of origin to point of
destination over the route of movement, whichever combination of
applicable fares or rates provided over the route of movement produces
the lowest charge shall be applicable, except that a tariff may state
that a fare or rate cannot be used in any combination or in a
combination on particular traffic or under specified conditions,
provided another combination is available.
(b) Date governing combination fares or rates. A combination fare or
rate for through transportation shall be treated as a unit (single-
factor fare or rate) from point of origin to final destination. The
combination fare or rate applied shall be the combination of the
intermediate fares or rates in effect on the date on which the passenger
begins his transportation or shipment was received by the carrier and
all of the rules and other tariff provisions applicable to each
intermediate fare or rate in effect on such date shall be observed and
cannot be varied as to that passenger or shipment during the period of
transportation to final destination; except that in foreign or overseas
air transportation, carriers may, by appropriate tariff rules, provide
for application of combination fares in effect on date of sale of ticket
for transportation commencing not later than 30 days after the effective
date of an increase in any intermediate fares when such transportation
is sold prior to the issue date of tariffs stating increased fares, and
provided that each factor of the combination is subject to like tariff
provisions.
Subpart F--Requirements Applicable Only to Statements of Property Rates
Sec. 221.70 Definite unit of rate.
(a) All rates for the air transportation of property shall be
clearly and explicitly stated in cents or dollars per pound, per 100
pounds, per kilogram, per ton of 2,000 pounds, per ton of 2,240 pounds,
per United States gallon, or other definite unit of weight, measurement
or value except that:
(1) [Reserved]
(2) Rates stated to apply on specific types of animals may be stated
in cents or dollars per animal.
(b) When rates are stated in units of cubical measurement, such as
per cubic foot, the tariff containing such rates, or its governing rules
tariff, shall explicitly state how the cubical measurement of the
articles shipped (including irregular shaped articles) is to be
determined.
(c) Rates shall not be stated to apply per package or other shipping
unit unless definite specifications as to size, weight, or capacity of
the package or other shipping unit is specified in the tariff. This rule
does not prohibit the publication of charges or rates other
[[Page 83]]
than by units for accessorial services performed by the carrier.
(Secs. 102, 204, 403, and 416 of the Federal Aviation Act of 1958, as
amended by Pub. L. 95-504, 72 Stat. 740, 743, 758, and 771, 92 Stat.
1731, 1732; 49 U.S.C. 1302, 1324, 1373, and 1386)
[ER-439, 30 FR 9439, July 29, 1965, as amended by ER-1125, 44 FR 33059,
June 8, 1979]
Sec. 221.71 Quantities on which rates apply.
(a) Quantities shall be specified. When rates for the air
transportation of property are to apply only on particular quantities,
such quantities shall be specified in the tariff in connection with the
rates or, in the case of class rates, they may be stated in connection
with the class ratings. Such quantities shall be stated in the same unit
of weight or measurement as the rate; for example, rates stated in cents
per pound shall be subject to minimum weights in pounds, rates stated in
cents per kilogram shall be subject to minimum weights in kilograms. The
published quantities to which rates are subject may be stated as minimum
quantities (for example, minimum weight ____ pounds), or they may be
stated in the form of quantity groups (for example, weight groups of
``under 100 pounds'', ``100 pounds and over but less than 3,000
pounds'', ``3,000 pounds and over but less than 10,000 pounds'', and
``10,000 pounds and over''). These particular weights are shown for
purposes of illustration only. This provision does not prohibit the
publication of specific minimum charges in lieu of or in addition to
minimum quantities.
(b) Different rates subject to different quantities. Different rates
on the same commodities from and to the same points subject to different
minimum quantities or quantity groups may be published provided the
following requirements are complied with:
(1) A lower rate shall be provided on a greater minimum quantity or
quantity group.
(2) A tariff containing such rates or its governing rules tariff
shall contain a rule to the effect that when two or more rates subject
to different minimum quantities are provided on the same commodity in
the same shipping form from and to the same points over the same route,
the lower of the two charges specified under paragraph (b) (2) (i) and
(ii) of this section shall be applied:
(i) The charge computed on the quantity shipped at the rate
applicable to such quantity, or
(ii) The charge computed on the next greater quantity, for which a
lower rate is provided at the rate applicable to such greater quantity.
(3) All such rates of the same type (class, specific commodity, or
general commodity) applying on the same commodities from the same point
of origin to the same point of destination via the same route shall be
published together continuously on one page or two or more successive
pages or in one item, except as otherwise authorized in paragraph (c) of
this section. This does not waive the requirements of Sec. 221.75(b) as
to publishing specific commodity rates in numbered items.
(c) Volume rate conversion table. Rates meeting the requirements of
paragraph (b) of this section may be published in the following manner.
Where a rate table names rates subject to a definite minimum weight, for
example, ``minimum weight 100 pounds,'' lower rates for greater minimum
weights may be published in a separate conversion table substantially in
the following form:
Table of Volume Rates (in dollars per 100 pounds)
This table is applicable only in connection with rates subject to
minimum weight of 100 pounds which refer hereto for rates applicable to
greater minimum weights.
------------------------------------------------------------------------
The rate for the following minimum
weights will be as specified in the
Where the rate of subject to respective columns below (minimum
minimum weight 100 pounds is weight in pounds):
---------------------------------------
1,000 3,000 5,000 10,000 20,000
------------------------------------------------------------------------
4.00............................ 3.80 3.60 3.40 3.00 2.80
------------------------------------------------------------------------
The particular minimum weights shown in the above form are for
illustrative purposes only. Such conversion table shall be published
immediately following each table or section naming the applicable base
rates or, where a single conversion table applies to two or more tables
or sections of base rates, such conversion table may be published
immediately following the last table or section of rates in the tariff.
Each conversion table shall provide
[[Page 84]]
that it is applicable only in connection with the base rates which refer
to it (substantially as shown in the above form). Each page naming the
base rates shall make specific reference to such conversion table for
rates applicable to the greater minimum weights provided by the
conversion table. Such reference shall be made substantially in the
following manner:
For rates subject to minimum weights of ____ pounds and over, apply
Table of volume Rates on page ____.
Sec. 221.72 Types of property rates (class, general commodity, or specific commodity) which may be published.
(a) Types permitted. Except as otherwise authorized in this part,
only the following types of rates shall be published to apply on the air
transportation of property:
(1) Class rates (see Sec. 221.73).
(2) General commodity rates (see Sec. 221.74).
(3) Specific commodity rates (see Sec. 221.75).
(b) Order of publication in same tariff. If both general commodity
rates and specific commodity rates are published in the same tariff, the
general commodity rates shall be published in tables or sections
preceding the specific commodity rates. If both class rates and specific
commodity rates are published in the same tariff, the class rates shall
be published in tables or sections preceding the specific commodity
rates.
Sec. 221.73 Class rates.
(a) Captions. Class rates shall be published under the caption
``Class Rates'' to be shown on each page containing such rates.
(b) Governing classification and exceptions thereto. A tariff of
class rates shall contain a classification which shall assign a class
rating to each specific article or commodity as required by
Sec. 221.39(a) or shall be governed by a separate tariff containing such
class ratings (see Sec. 221.105). Also, the class rates may be made
subject to exceptions to the ratings in the governing tariff as provided
in Sec. 221.39(c).
(c) Rates may be published on specified classes; percentage
relationship. (1) Class rates may be published for specified classes
which shall correspond identically to the classes assigned to the
various articles or commodities by the classification or exceptions
thereto and on which such rates are applicable.
(2) The classes shall be specified, for example:
Method 1. The classes shall be consecutively numbered as ``Class
1,'' ``Class 2,'' ``Class 3,'' ``Class 4,'' etc., ranging from the class
taking the highest rates to the class taking the lowest rates,
respectively. All rates published for each class lower or higher than
Class 1 shall bear the same percentage relationship to the respective
Class 1 rates, for example, each Class 2 rate may equal 85 percent of
the respective Class 1 rate, each Class 3 rate may equal 70 percent of
the respective Class 7 rate. If it is found necessary to publish rates
for classes higher than Class 1, such rates shall be assigned a class
number which represents their percentage relationship to the respective
Class 1 rates, for example, rates for ``Class 125'' shall equal 125
percent of the respective Class 1 rates.
Method 2. The rates in each class shall be assigned a class number
which represents their percentage relationship of the respective ``Class
100'' rates. For example, rates for ``Class 85'' shall equal 85 percent
of the respective ``Class 100'' rates, rates for ``Class 70'' shall
equal 70 percent of the respective ``Class 100'' rates.
(d) Arrangement. The rates for each class shall be published in a
single column and each column shall be captioned with its respective
class. The columns shall be arranged on each page in the order of the
classes ranging from the class taking the highest rates (to be published
in the first rate column) to the class taking the lowest rates (to be
published in the last rate column).
Sec. 221.74 General commodity rates and exception ratings thereto.
(a) General commodity rates. General commodity rates shall be
published under the caption ``General Commodity Rates.'' Such caption
shall be shown on each page containing such rates. Each tariff which
contains general commodity rates shall contain a rule captioned
``Application of General Commodity Rates'' which shall provide that the
general commodity rates apply on all commodities except those which will
not be accepted for transportation under the terms of the tariff or of
governing tariffs. Each rule shall be published in the tariff containing
the general commodity rates and not in a governing tariff. If it is
desired to
[[Page 85]]
establish a rate on a particular commodity different from the general
commodity rate, an exception rating to the general commodity rate (see
paragraph (b) of this section) or a specific commodity rate (see
Sec. 221.75) shall be published on such commodity.
(b) Exception ratings to general commodity rates. Exception ratings
to general commodity rates may be stated as percentages of general
commodity rates applying from and to the same points over the same route
or routes provided the following requirements are complied with:
(1) Such exception ratings shall be published under the caption
``Exception Ratings to General Commodity Rates (stated as percentages of
the General Commodity Rates)''. Such caption shall be shown on each page
containing the exception ratings.
(2) Such exception ratings shall be published in numbered items in
the same tariff naming the general commodity rates to which they are
exceptions, and shall follow the general commodity rates and precede
specific commodity rates (if published therein) in the order of the
tariff's contents.
(3) Such exception ratings shall be published to apply only on
specific articles or commodities which shall be named directly in
connection with the applicable exception ratings.
(4) Each exception rating shall be stated as a single percentage of
the general commodity rates for all quantities on which the general
commodity rates apply. However, where the general commodity rates vary
according to the different quantities on which they apply, exception
ratings may be stated as percentages of one or more of such general
commodity rates provided the quantities to which the exception ratings
apply are specifically stated.
(5) Such exception ratings shall not be published unless they are to
apply from and to or between all of the points for which general
commodity rates are provided in the tariff or in a designated table or
section of the tariff except:
(i) If the tariff names general commodity rates for account of two
or more carriers, such exception ratings may be restricted to apply for
account of only certain carriers. If the tariff names joint general
commodity rates in which such carriers participate, the tariff shall
clearly indicate the extent to which such restricted exception ratings
apply in connection with the joint general commodity rates.
(ii) If the tariff names general commodity rates between points in
the continental United States and points outside thereof, such exception
ratings may be restricted territorially to apply between, within, or
from and to any of the following areas (but not portions of a single
area):
Areas
Alaska.
Hawaii.
Continental United States.
United States of America.
One or more Territories of Possessions of the United States.
One or more foreign countries.
A definite geographic area larger than a country.
The term ``continental United States,'' as used in this paragraph
(b)(5)(ii), means all of the 48 contiguous States and the District of
Columbia.
(6) Such exception ratings shall refer to a conversion table in the
same tariff complying with paragraph (b)(7) of this section for the
purpose of determining the rates in cents or dollars represented by the
exception rating percentages of the general commodity rates.
(7) A conversion table shall be published immediately following such
exception ratings. The conversion table shall contain in the first
column, in numerical order ranging from the lowest to the highest
amounts, the amounts of all of the base general commodity rates on which
the percentages are to be applied. Each of the following columns shall
be captioned with a percentage corresponding to a percentage in which an
exception rating is stated. In each of the latter columns and directly
opposite each base rate, the amount in cents or dollars represented by
the stated percentage of the respective base rate shall be shown. Such
columns shall be arranged in numerical order (according to percentages).
A clear and definite explanation of how to use the conversion table
shall be shown in connection therewith. Instead of showing in the first
column all base
[[Page 86]]
general commodity rates from the lowest to the highest, the table may
contain in the first column all amounts from $0.01 to $1.00 and all
multiples of $1.00 to and including $50.00 with a plainly stated rule
for using in combination amounts ascertained in the percentage column
for separate portions of the general commodity rate. The rule must
provide, for example, that if the general commodity rate is $2.77, the
percentages for $2.00 and $0.77 are to be ascertained separately and
combined.
Sec. 221.75 Specific commodity rates.
(a) Applicable on specific articles or commodities named in tariff.
Specific commodity rates shall be published to apply only on specific
articles or commodities which shall be specifically named in the tariff.
Generic commodity descriptions shall not be used except to the extent
permitted in paragraph (c) in this section. The commodity descriptions
shall be set forth directly in connection with the respective rates to
which they apply, except as otherwise provided in this section. Specific
commodity rates shall apply only on the specific articles or commodities
on which they are indicated by the tariff to apply and shall not apply
on analogous articles or commodities. As far as possible, uniform
commodity descriptions shall be use in all tariffs.
(b) Page caption and numbered items. Specific commodity rates shall
be published under the caption ``Specific Commodity Rates'' to be shown
on each page containing such rates. Specific commodity rates shall be
published in numbered items except as otherwise provided in paragraph
(d) in this section. Two or more commodities taking different specific
commodity rates from and to the same points shall not be published in
the same item. When an item containing specific commodity rates is
continued to a successive page or pages, either the commodity
description shall be repeated on each such successive page or the
commodity description may be omitted from each such successive page
provided such page refers to the commodity description in the following
manner:
For commodity description of this item, see page ____.
(c) When generic commodity descriptions may be used. A generic
commodity description may be used in connection with a specific
commodity rate to designate a number of specific commodities or articles
embraced within such generic description, without naming such specific
commodities or articles in connection with the rate: Provided, That the
following requirements are complied with:
(1) The generic commodity description shown in connection with the
rate shall refer to a numbered item (other than a rate item) in the same
tariff which contains a list of the specific commodities or articles
embraced within such generic commodity description and on which the rate
will apply. The generic commodity description shall be shown in
connection with the rate exactly as it appears in the heading of the
item to which reference is made. Such generic commodity description and
reference to the description item in the same tariff shall be shown in
connection with the rate substantially in the following manner:
Abrasives, as described in Item No. ____ (as amended).
(2) The item to which such reference is made in accordance with
paragraph (c)(1) of this section shall show:
(i) The same generic commodity description as a heading and the list
of specific articles or commodities on which the rate is to apply,
arranged in alphabetical order under such generic heading. For example,
if the rate is indicated to apply on ``Abrasives, as described in Item
No. ____, as amended'', the item to which such reference is made shall
contain the following heading: ``Abrasives, namely:'' and the specific
abrasives on which the rate is to apply shall be named in alphabetical
order and indented under such heading, for example:
Abrasives, namely:
Abrasive cloth or paper, including emery or sandpaper.
Alundum, corundum, emery or other natural or synthetic abrasive
material.
Wheels, pulp grinding.
or,
(ii) The same generic commodity description as a heading followed by
an
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explicit explanation of the application of the generic description.
(3) The items containing the lists of specific commodities or
articles under their respective generic headings shall be published
immediately preceding the rates sections or tables in the tariff, and
shall be published under a heading (on each page) which shall provide
that such commodity descriptions are applicable only when and to the
extent that reference is made to such commodity descriptions. Each such
list of articles or commodities under a generic heading shall be
published in a separate item.
(4) The method of publication authorized in this paragraph shall not
be used when a specific commodity rate applies on less than ten specific
commodities or articles embraced within a generic commodity description.
In such cases, the specific commodities or articles shall be named in
connection with the rate.
(d) Commodity descriptions published separately from rates when
latter arranged alphabetically by points. When all specific commodity
rates in a tariff are published in tabular form and all points of origin
and destination are arranged alphabetically in conformance with
Sec. 221.37(b) (1) through (4) throughout the table of specific
commodity rates, the commodity descriptions applicable to such rates may
be published separately provided the following requirements are complied
with:
(1) The full commodity descriptions shall be published in numbered
items (other than rate items) immediately preceding the table of
specific commodity rates.
(2) The items containing the commodity descriptions shall be
published under a heading (on each page) which shall state that such
commodity descriptions apply only in connection with and to the extent
that reference is made thereto by the specific commodity rates on pages
____ through ____ (or, in Sec. ____) of the tariff.
(3) Directly in connection with each specific commodity rate,
reference shall be shown to the respective item containing the
description of the specific commodities or articles on which such rate
applies.
Sec. 221.76 Precedence of authorized types of rates.
(a) Exception ratings to general commodity rates versus general
commodity rates. When both general commodity rates and exception ratings
to general commodity rates (stated as percentages of the general
commodity rates) are published to apply from and to the same points via
the same routes, the tariffs containing such rates and exception ratings
(or their governing rules tariffs) shall contain a rule reading as
follows:
An exception rating to the general commodity rate, stated as a
percentage of the general commodity rate, removes the application of the
general commodity rate on the same quantity of the same article or
commodity (in the same package or shipping form) from and to the same
points over the same route.
(b) Specific commodity rates versus general commodity rates and
exceptions to general commodity rates. When specific commodity rates,
general commodity rates and exception ratings to general commodity rates
(stated as percentages of the general commodity rates) are published to
apply from and to the same points via the same routes, the tariffs
containing such rates and exception ratings (or their governing rules
tariffs) shall contain a rule reading as follows:
A specific commodity rate removes the application of the general
commodity rate and the exception rating to the general commodity rate on
the same quantity of the same article or commodity (in the same package
or shipping form) from and to the same points over the same route.
If no exception ratings to general commodity rates are published, the
phrase ``and the exception rating to the general commodity rate'' shall
be omitted from the above rule.
(c) Specific commodity rates versus class rates. When both specific
commodity rates and class rates are published to apply from and to the
same points via the same routes, the tariffs containing such rates (or
their governing rules or classification tariffs) shall contain a rule
reading as follows:
A specific commodity rate removes the application of the class rate
on the same quantity of the same article or commodity (in the same
package or shipping form) from and to the same points over the same
route.
[[Page 88]]
(d) Prescribed rules in forwarder tariffs. When the rules prescribed
in this section are published in tariffs of Air Freight Forwarders or
International Air Freight Forwarders, the phrase ``over the same route''
shown in the prescribed rules shall be omitted from the rules published
in such tariffs.
Sec. 221.77 Straight or mixed shipments.
(a) Rates will apply on straight or mixed shipments unless
restricted. When a rate is subject to a commodity description which
names two or more commodities, such rate shall apply on a straight
shipment (consisting wholly of only one of the commodities) or on a
mixed shipment (containing two or more of the commodities), unless the
commodity description specifies that the rate applies on the commodities
in straight shipments only or on the commodities in mixed shipments
only. If a rate is restricted to apply only on mixed shipments, the
restriction shall specify whether two or more or all of the commodities
named in the applicable description must be included in a single
shipment.
(b) Mixed shipment rule. Each rate tariff (or its governing rules or
classification tariff) shall contain a rule stating how the rates and
charges are to be applied to a single mixed shipment of two or more
commodities for which the same or different rates or charges are
separately published. The rule shall state which minimum quantity is
applicable to the entire mixed shipment where different minimum
quantities are provided on the commodities in a mixed shipment and, if
different rates are made applicable to the commodities in such mixed
shipment, the rule shall state which rate is applicable to any deficit
quantity (the difference between the quantity shipped and the applicable
minimum quantity when the latter is greater).
Sec. 221.80 Rate scale method of publishing rates.
(a) When to be used. In lieu of publishing the points of origin and
destination directly in connection with the rates as required by
Sec. 221.52(a), the rate scale method of publication may be employed in
the manner authorized by either paragraph (b) or (c) of this section.
The rate scale method will normally reduce the volume of publication
where a rate tariff names numerous points of origin and destination for
class rates, general commodity rates or rates on one specific commodity
(or one group of specific commodities taking the same rates) and the
same rate or rates apply in many instances between different points of
origin and destination. Where such conditions do not exist, the rate
scale method shall not be used and the points of origin and destination
shall be shown directly in connection with the rates as required by
Sec. 221.52(a) which results in a more simplified tariff format. When
the rate scale method authorized by this section is employed, the volume
rate conversion table method of publication under Sec. 221.71(c) shall
not be used.
(b) Rate scale method without zone numbers. The rate scale method
without zone numbers consists of publishing two tables, namely, a table
of rate scale numbers showing the rate scale number applicable between
each point of origin and each point of destination and referring to a
table of rates to determine the applicable rates for the respective rate
scale numbers, and a table of rates listing such rate scale numbers (in
numerical order) and showing the applicable rates for each rate scale
number. Such tables shall conform to the following requirements:
(1) Table of rate scale numbers. The table of rate scale numbers
shall be published immediately preceding the table of rates. The points
of origin and destination shall be arranged in alphabetical order,
conforming with Sec. 221.37(b) (1) through (4), in the table of rate
scale numbers which shall show the rate scale number applying from each
point of origin to each point of destination (or applying between such
points). All such pairs of points taking the same rates shall be
assigned the same rate scale number. The heading on each page of the
table shall refer to the table of rates substantially in the following
manner: ``To determine rates for the applicable rate scale number, refer
to Section ____.''
(2) Table of rates. The rate scale numbers shall be arranged in the
table of rates in numerical order (from lowest to highest) and the rates
for each rate
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scale number shall be shown directly in connection with the respective
rate scale number. The rates shall conform to all requirements of this
part. The heading on each page of the table shall refer to the table of
rate scale numbers substantially in the following manner: ``To determine
the applicable rate scale number, refer to Section ____.''
(c) Rate scale method with zone numbers. The rate scale method with
zone numbers may be used where, in addition to the rate situations
mentioned in paragraph (a) of this section, the points of origin and
destination fall into zones with all points in each zone taking the same
rates (common rated points). It shall not be used where such common
rated points are not extensive, or where the method of publishing common
rated points authorized by Sec. 221.52(b) is used. The rate scale method
with zone numbers consists of three parts, namely, an alphabetical index
or list of origin and destination points showing the rate zone number
assigned to each point, a table of rate scale numbers showing the rate
scale number applicable between each pair of zone numbers (arranged in
numerical order in headline and sideline format), and a table of rates
which lists the rate scale numbers (in numerical order) showing the
applicable rates for each rate scale number. Such tables shall conform
to the following requirements:
(1) Alphabetical index or list of points showing zone numbers. A
zone number shall be assigned to each and every point of origin or
destination. Points taking the same rates shall be assigned the same
zone number. Such zone numbers shall be published in a column captioned
``Zone Number'' in the index of points or, if the tariff contains no
index of points, in an alphabetical list of origin and destination
points placed immediately preceding the table of rate scale numbers. If
such list or index of points is published in a tariff containing rates
for account of two or more carriers, such list or index shall also show
the carrier or carriers serving each respective point. The heading of
each page of such index or list of points shall refer to the table of
rate scale numbers substantially in the following manner: ``To determine
applicable rate scale numbers, refer to Section ________.''
(2) Table of rate scale numbers. The table of rate scale numbers
shall be published immediately preceding the table of rates. The zone
numbers assigned to the points of origin and destination shall be
arranged in numerical order in headline and sideline format in the table
of rate scale numbers which shall show the rate scale number applying
between each headline zone number and each sideline zone number (or from
each headline zone number to each sideline zone number, or in the
reverse direction). All such pairs of zone numbers taking the same rates
shall be assigned the same rate scale number. The heading on each page
of the table shall refer to the index or list of points substantially in
the following manner: ``To determine the zone numbers of the points of
origin and destination, refer to Section ________'', and shall also
refer to the table of rates substantially in the following manner: ``To
determine rates for the applicable rate scale number, refer to Section
________.''
(3) Table of rates. The table of rates shall conform to the
requirements of paragraph (b)(2) of this section.
(d) Routing. When the rate scale method of publication makes it
impossible to show comprehensibly the required routing provisions
directly in connection with the rates in accordance with Sec. 221.41,
such routing provisions shall be shown directly in connection with each
respective rate scale number in the table of rate scale numbers. If the
routing provisions cannot be indicated comprehensibly under the above
methods, the rate scale method of publication shall not be used.
Subpart G--Governing Tariffs
Sec. 221.100 When reference to governing tariffs permitted.
(a) Reference to other tariffs, etc., prohibited except as
authorized. A tariff shall not refer to nor provide that it is governed
by any other tariff, document, or publication, or any part thereof,
except as specifically authorized by this part.
(b) Reference by rate or fare tariff to governing tariffs. A fare
tariff or a rate
[[Page 90]]
tariff may be made subject to a governing tariff or governing tariffs
authorized by this subpart: Provided, That reference to such governing
tariffs is published in the rate tariff or fare tariff in the manner
required by Sec. 221.31(a)(7).
(c) Participation in governing tariffs. A rate tariff or a fare
tariff may refer to a separate governing tariff authorized by this
subpart only when all carriers participating in such rate tariff or fare
tariff are also shown as participating carriers in the governing tariff:
Provided, That:
(1) If such reference to a separate governing tariff does not apply
for account of all participating carriers and is restricted to apply
only in connection with local or joint rates or fares applying over
routes consisting of only particular carriers, only the carriers for
whom such reference is published are required to be shown as
participating carriers in the governing tariff to which such qualified
reference is made.
(d) Maximum number of governing tariffs. A single fare tariff or a
single rate tariff shall not make reference to conflicting governing
tariffs.
[ER-439, 30 FR 9439, July 29, 1965, as amended by ER-1229, 46 FR 32552,
June 24, 1981]
Sec. 221.101 Contents of all governing tariffs.
(a) Contents. Each governing tariff authorized by this subpart shall
contain the following contents in the order named (in addition to the
contents specified in the following respective sections of this
subpart):
(1) Title page (Sec. 221.31).
(2) Correction number check sheet (in loose-leaf tariffs only)
(Sec. 221.32).
(3) Table of contents (Sec. 221.33).
(4) List of participating carriers (Sec. 221.34).
(5) Explanations of abbreviations reference marks, and symbols
(Sec. 221.35).
(6) The contents specified in Secs. 221.102 through 221.108,
whichever section is applicable to the particular type of governing
tariff. The contents specified in two or more of such sections shall not
be combined into one governing tariff except that a governing rules
tariff authorized by Sec. 221.102 may include the contents specified in
Secs. 221.103 and 221.107.
(b) Notation to be shown on title page. Each governing tariff
authorized by this subpart shall contain the following notation in
distinctive type (to be shown above the issued and effective dates in
the lower part of the title page):
This tariff is applicable only in connection with tariffs making
reference hereto.
Sec. 221.102 Rules tariff.
Carriers may publish all the rules and regulations as required by
Sec. 221.38, in separate governing tariffs, conforming to Secs. 221.100
and 221.101, instead of being included in the rate tariffs or fare
tariffs.
[ER-1062, 43 FR 34443, Aug. 4, 1978]
Sec. 221.103 [Reserved]
Sec. 221.104 Explosives and other dangerous or restricted articles.
Carriers may publish rules and regulations governing the
transportation of explosives and other dangerous or restricted articles
in separate government tariffs, conforming to Secs. 221.100 and 221.101,
instead of being included in the fares or rate tariffs or in the
governing rules tariff authorized by Sec. 221.102. This separate
governing tariff shall contain no other rules or governing provisions.
[ER-1062, 43 FR 34443, Aug. 4, 1978]
Sec. 221.105 Classification tariff.
(a) Requirements. When the classification ratings required by
Sec. 221.39(a) are published in a separate classification tariff
pursuant to Sec. 221.39(b), such separate classification tariff shall
conform with Secs. 221.100 and 221.101 and the requirements in this
section.
(b) Index of commodities. Each classification tariff shall contain
an index of commodities conforming with Sec. 221.36.
(c) Rules or regulations. Each classification tariff shall contain
such rules or regulations as may be necessary to make the application of
the classification ratings clear and definite. If the classification
tariff is published for account of more than one carrier, any exceptions
to such rules or regulations for account of a particular carrier shall
[[Page 91]]
be published in the tariff containing the class rates of that carrier.
(d) Classification ratings. All articles or commodities accepted for
transportation shall be listed together with their applicable class
ratings in the manner described in Sec. 221.39 (a) (1) through (6). Any
exceptions to the classification ratings shall be published in the
tariffs containing the class rates governed by such classification
tariff (see Sec. 221.39(c)).
221.106 [Reserved]
Sec. 221.107 Aircraft equipment tariff.
If desired, the seating configuration data required by
Sec. 221.38(a)(6) may be published in a separate governing aircraft
equipment tariff conforming to Secs. 221.100 and 221.101 in lieu of
publishing such data in the fare tariff or in the governing rules tariff
authorized by Sec. 221.102. Such aircraft equipment tariff may also
include other definite data concerning the respective configurations,
capacities or other physical characteristics of the various types of
aircraft to the extent that such data are pertinent to the application
of fares or charges in tariffs governed thereby. The seating
configuration and other aircraft equipment data shall be arranged in a
simple and systematic manner.
Sec. 221.108 Other types of governing tariffs.
Carriers may publish other types of governing tariffs not specified
in this subpart, such as routing guides.
Subpart H--Amendment of Tariffs
Sec. 221.110 Methods of amending tariffs.
(a) Loose-leaf tariffs. Amendment of a loose-leaf tariff shall be
made only by (1) issuing revised pages or additional original pages to
such tariff as provided in Sec. 221.111, or (2) reissuing the tariff,
that is, issuing a new tariff canceling completely the tariff to be
amended. Supplements shall not be issued to a loose-leaf tariff except
as specifically authorized in this part.
(b) Book tariffs. Amendment of a book tariff shall be made only by
(1) issuing supplements to such tariff as provided in Sec. 221.112, or
(2) reissuing the tariff, that is, issuing a new tariff canceling
completely the tariff to be amended.
(c) Who may amend. A tariff shall be amended only by the carrier or
agent who issued the tariff (except as otherwise authorized in subparts
S and T).
(d) Amendment symbols. All amendments of rates, fares, rules, and
other tariff provisions accomplished by tariffs, supplements, revised
pages, or original pages shall be indicated by the use of uniform
amendment symbols in the manner prescribed by Sec. 221.114.
(e) Amendments involving suspension. All amendments involving tariff
provisions suspended by the Board or continued in effect by such
suspension are also subject to the requirements of subparts I, J, and K.
Sec. 221.111 Amending loose-leaf tariff by revised pages and additional original pages.
(a) Amendment by revised pages--(1) Method. The amendment of any
page of a loose-leaf tariff shall be made by reissuing the particular
page upon which the change, addition or cancellation is to be made.
Reissuing a page means to cancel it by a new page which shall be
designated as a revised page in the manner shown in paragraphs (a) (2)
and (3) of this section and shall contain the same tariff provisions
except for whatever additions, changes, or cancellations are to be made
in such provisions. Where provisions are to be amended on only one of
two pages published back-to-back on the same leaf, both pages shall be
reissued on lawful notice, and the page containing no changes shall bear
the notation ``NO CHANGE OF THIS PAGE'' at its top.
Reissuance of pages containing suspended matter or matter continued in
effect by suspension shall comply with Sec. 221.122 (a) or (b),
whichever is applicable.
(2) Revised page numbers. Each revised page shall bear the same page
number as the page which it amends and shall bear a consecutive revision
number. A revised page which amends an original page shall be designated
``1st Revised Page ____'' and revisions of the same page subsequent to
the 1st revision
[[Page 92]]
shall bear consecutive revisions numbers: ``2nd Revised Page ____'',
``3rd Revised Page ____'', ``4th Revised Page ____'', etc.
(3) Page cancellation. Each revised page shall direct the
cancellation of the original or revised page which it amends and such
cancellation shall be shown in the following manner (using page 10 as an
example):
1st Revised Page 10
cancels
Original Page 10
or, when 1st Revised Page 10 is to be amended, it shall be canceled by
2nd Revised Page 10 in the following manner:
2nd Revised Page 10
cancels
1st Revised Page 10
In the case of revised title pages, the designation of the revised title
page and the page cancellation shall be shown as ``1st Revised Title
Page cancels Original Title Page'', ``2nd Revised Title Page cancels 1st
Revised Title Page'', etc., in the above manner.
(4) Revised title page shall show effective date of original tariff.
Each revised title page shall bear (immediately below its own effective
date) the effective date of the original tariff which is to be shown in
the following manner:
(Original tariff effective ____________.) (show date).
(5) Revised title page shall bring forward tariff cancellation. Each
revised title page shall bring forward without change any tariff
cancellation or reference to a cancellation notice that is shown below
the tariff's C.A.B. number on the original title page.
(b) Adding original pages for expanded or added matter. If, after a
loose-leaf tariff has been issued, it becomes necessary to add pages
thereto to provide for expanded or added tariff matter, such added page
shall comply with the following requirements:
(1) A page added between pages shall be designated as an original
page (not a revised page) and shall be given the same page number as the
page which it follows but a letter suffix (in alphabetical sequence)
shall be shown in such page number, for example:
(i) In a tariff where matter is printed on only one face of each
leaf, a page added between pages 4 and 5 shall be designated as
``Original Page 4-A''; a page added between pages 4-A and 5 shall be
designated ``Original Page 4-B''; and so on.
(ii) In a tariff where matter is printed on both faces of each leaf,
two consecutive pages printed back-to-back on the same leaf to be added
between pages 30 and 31 shall be designated ``Original Page 30-A'' and
``Original Page 30-B'', respectively; two consecutive pages printed
back-to-back on the same leaf to be added between pages 30-B and 31
shall be designated ``Original Page 30-C'' and ``Original Page 30-D'',
respectively; and so on.
(2) When a page is added at the end of the tariff after the last
page, the added page shall be designated as an original page and shall
bear the next consecutive page number following the number of the last
page of the tariff. For example, if the last page of the tariff is page
99, the added page shall be designated Original Page 100.
(3) A page shall not be added between two pages both bearing page
numbers with letter suffixes.
(4) A page shall not be added between two pages printed back-to-back
on the same leaf. For example, if a tariff contains pages 31 and 32
published back-to-back, pages designated as Original Pages 31-A and 31-B
shall not be added to such tariff.
(5) Where pages are added to a tariff in which matter is printed on
both faces of each leaf, original pages shall be issued simultaneously
on both faces of each added leaf. If the added or expanded matter
requires the space of only one page on the added leaf, the body of the
page on the reverse side thereof shall bear the notation ``This page
intentionally left blank.''
(c) Correction numbers. Each revised page and each original page
(added to the tariff after issuance of the tariff) shall bear a
consecutive correction number in the lower right-hand corner of the
page. One series of consecutive correction numbers shall be used for
each loose-leaf tariff. The first revised page or added original page
issued to
[[Page 93]]
the tariff shall be ``Correction No. 1'' and subsequent revised or
original pages issued to that tariff shall bear consecutive Corrections
Nos. 2, 3, 4, etc. (see Sec. 221.32).
(d) Transferring matter from page to page. When a revised page of a
loose-leaf tariff is issued which omits rates, fares, rules, or other
provisions formerly published on the page which it cancels and such
omitted matter is transferred to a different page, such revised page
shall make specific reference to the respective page on which such
omitted matter will thereafter be found, for example:
For ________ (here identify the omitted matter) formerly published
on ____ Revised Page ____, see ____ Revised Page ____.
The page to which such omitted matter is transferred shall refer,
substantially in the following manner, to the respective page on which
such matter was formerly published:
For ________ (here identify the transferred matter) in effect prior
to the effective date hereof, see ____ Revised Page ____ (or, Original
Page ____).
The cancellation of the matter from the former page shall be made
effective simultaneously with the effective date of such matter on the
page to which it is transferred. Subsequent revisions of the respective
pages accomplishing such transfer shall omit the references required
above with respect to such transferred matter.
(e) Cancellation of omitted matter. If a rate, fare, rule or other
tariff provision on a page is to be canceled entirely and is not to be
transferred to another page of the same tariff, the revised page which
effects such amendment shall specifically show the cancellation of such
provisions and identify the provisions to be canceled. For example, if a
rule is canceled, the number and caption of the rule shall be brought
forward on the new page but the body of the rule shall be omitted and,
in lieu thereof, a statement that the rule is canceled shall be shown;
or, if a fare is to be canceled, the points of origin and destination
shall be brought forward on the new page but the fare shall be omitted
and, in lieu thereof, a statement that the fare is canceled shall be
shown. Alternatively, such cancellation (but not transfer of matter to
another page) may be accomplished by omitting the matter to be canceled,
provided that a footnote at the bottom of the revised page specifically
identifies the matter to be canceled and directs its cancellation. All
of the foregoing cancellation shall be omitted from subsequent revisions
of the revised page which effected the cancellation.
(f) Matter reissued before it becomes effective. When rates, fares,
rules, or other provisions which have not become effective are reissued
and brought forward on a page which bears a general effective date
earlier than the effective date of such rates, fares, rules, or other
provisions, such page shall conform with the following:
(1) Such rates, fares, rules, or other provisions shall bear their
original effective date, shall be designated as reissued matter, and
shall indicate the page from which they are reissued. Such information
shall be shown, either directly in connection with the reissued matter
or by the use of a reference mark (explained on the same page), in the
following manner:
Effective ________. Released from ____. Revised Page ____.
(2) The general effective date of the page shall be qualified by a
notation reading ``(Except as noted)'' to be shown directly following
the general effective date.
(g) Cancellation of participating carrier. When a participating
carrier is canceled by a revised page, the fares (or rates) and other
provisions of the tariff insofar as they apply in connection with such
carrier shall be canceled at the same time, by either of the following
methods:
(1) Such cancellation shall be accomplished by revising the
particular pages containing the fares (or rates) and other provisions
applying in connection with the canceled participating carrier, or
(2) Such cancellation shall be accomplished by publishing the
following statement (following the list of participating carriers) which
shall be referred to in connection with the elimination of the carrier
from the list of participating carriers:
[[Page 94]]
Participating Carrier Cancellation
(Name of canceled participating carrier) eliminated as participating
carrier in this tariff and all rates (or fares) and other provisions
published in connection with that carrier canceled effective ________ by
______ Revised Page ____.
If the eliminated carrier is designated by abbreviation or carrier
number in the tariff, show the carrier abbreviation or number in
parentheses immediately following the carrier's name in the above
statement. Also, in the above statement, show the effective date of the
carrier's elimination as a participating carrier and the revised page on
which the above statement is initially published. Such cancellation
statement shall be brought forward on subsequent revisions of the page
until such time as specific cancellation of all rates, fares and other
provisions in connection with the eliminated carrier has been
accomplished by revising the pages affected. Such specific cancellation
shall be fully accomplished not later than 180 days after the effective
date of the cancellation of the carrier's participation.
Sec. 221.112 Amending book tariff by supplement (also applicable to supplements to loose-leaf tariffs when such supplements are specifically authorized in this
part).
(a) Form of supplement. (1) A supplement shall be constructed in the
same manner and its contents arranged in the same order as the tariff to
which it is issued, subject to the provisions of this section.
(2) When points in a tariff are given station numbers, index
numbers, or similar designations, the same designation shall be used for
the same point in all supplements to the tariff.
(b) Title page of supplement. Except as otherwise provided in this
part, the title page of each supplement shall contain the following
information to be shown in the order named below and shall contain no
other matter:
(1) Supplement and C.A.B. numbers. Each supplement shall bear a
consecutive supplement number as follows: The first supplement issued to
a particular tariff shall be designated as Supplement No. 1 and
subsequent supplements to the same tariff shall be consecutively
numbered Supplements Nos. 2, 3, 4, etc. The supplement number and the
C.A.B. number (of the tariff to which the supplement is issued) shall be
shown in the upper right-hand corner of the title page in the manner
shown in the following example:
Supplement No. 1
to
C.A.B. No. 1
(2) Specifying canceled and effective supplements. Each supplement
shall specify on its title page the supplements which it cancels in full
and the supplements which remain in effect. Such provisions shall be
shown immediately below the supplement and C.A.B. numbers in the upper
right-hand corner of the title page in the manner shown in the following
example:
Supplement No. 3
to
C.A.B. No. 1
(Cancels Supplement No. 1)
Supplements Nos. 2 and 3 are the only effective supplements.
The only cancellation of prior supplements or of the tariff which shall
be shown on the title page of a supplement shall be the complete
cancellation of prior supplements or of the tariff as provided in this
paragraph and in paragraph (b)(3) of this section. Specific cancellation
of the particular items, rules, rates, fares or other provisions to be
amended shall be made within the supplement in the manner required by
this section.
(3) Specifying cancellation of original tariff. When a tariff is
conceled in full by a supplement issued thereto, such cancellation shall
specify the C.A.B. number of the tariff and shall be shown immediately
under the supplement and C.A.B. numbers in the upper right-hand corner
of the title page of the supplement in the manner shown in the following
example:
[[Page 95]]
Supplement No. 4
to
C.A.B. No. 1
cancels
C.A.B. No. 1
(Also, see Sec. 221.113(d).)
(4) Provisions to be reproduced from title page of tariff (as
amended). The following provisions appearing on the title page of the
tariff (to which the supplement is issued), as amended, shall be shown
on the title page of the supplement in the same order and location as it
appears on the title page of the tariff, as amended:
(i) Name of issuing carrier or agent,
(ii) Title of tariff (the supplement number may also be shown
immediately above the title of the tariff, if desired),
(iii) Description of rates, fares, or other contents of tariff,
(iv) Description of territory.
(5) Reference to Special Tariff Permissions, orders, and
regulations. Where an entire supplement is issued pursuant to a Special
Tariff Permission, order, or regulation which requires the supplement to
bear a notation referring to such Special Tariff Permission, order, or
regulation, such notation shall be shown in the manner required thereby.
If only certain provisions, and not the entire supplement, are issued
pursuant to such permission, order, or regulation, such notation shall
be shown in connection with those provisions and not on the title page.
(6) Expiration date. When a tariff is indicated on its title page to
expire with a specified date, the title page of a supplement to such
tariff shall indicate that the supplement expires with the same date.
When a supplement is to expire with a given date, for the above or other
reasons, the expiration date shall be shown in distinctive type in the
following manner:
This supplement expires with ________(Show date) unless sooner
canceled, changed, or extended.
If, however, only a portion of the supplement is to expire with a given
date, such expiration date shall not be shown on the title page but
shall be shown in connection with the particular item, rule, or other
provision which is to expire.
(7) Issued date. The date on which the supplement is issued shall be
shown in the lower left-hand portion of the title page. Tariffs must be
received by the Board on or before the designated issued date. (See
Sec. 221.160(d) and Sec. 221.171 of this part.)
(8) Effective date. The date on which the fares, rates, charges,
rules and other provisions in the supplement will become effective shall
be shown in the lower right-hand portion of the title page (See
Sec. 221.160 for required notice.)
(9) Issuing officer or agent. The name, title, and address of the
issuing officer or the issuing agent shall be shown centered at the
bottom of the title page. If the supplement is issued by a corporate
agent, the name, title and business address of the person designated by
the corporation to issue and file tariffs in the corporation's name
shall also be shown. The issuing officer or employee of a carrier or the
person so designated by a corporate tariff agent shall not use the title
``Agent'' or ``Alternate Agent'' (see Secs. 221.10 and 221.11).
(c) Table of contents. A supplement shall contain a table of its
contents conforming to Sec. 221.33.
(d) List of participating carriers. (1) When a tariff contains a
list of participating carriers (see Sec. 221.34), each supplement issued
thereto shall contain the following provision:
List of participating carriers. The list of participating carriers
is as shown in tariff.
If amendment of the list of participating carriers has been made in
prior supplements, add ``as amended'' after the word ``tariff'' in the
above statement. If additions, eliminations, or changes are to be made
in the list of participating carriers, such amendments shall be
published in the following manner:
List of Participating Carriers
The list of participating carriers is as shown in tariff, as amended,
except:
------------------------------------------------------------------------
Concurrence
Revised as indicated Participating carriers No.
------------------------------------------------------------------------
Add................................ Boe Air Lines, Inc.... 1
Change............................. Doe Airways, Inc...... 2
[[Page 96]]
Cancel............................. Roe Airline Co........ ...........
------------------------------------------------------------------------
Note: Concurrence numbers may be omitted if carrier complies with Sec.
221.34(e). The listing of participating carriers in a supplement shall
otherwise conform to the requirements of Sec. 221.34.
(2) When the participation of a carrier in a tariff is canceled by
supplement, the fares or rates and other provisions of the tariff, so
far as they apply in connection with such carrier, shall be canceled at
the same time. Such cancellation shall be accomplished by amending the
affected items or other provisions in the manner prescribed by
paragraphs (h) and (i) of this section.
(e) Index of commodities. A supplement shall contain an index of the
commodities therein conforming to Sec. 221.36.
(f) Index of points. A supplement shall contain an index of the
points therein conforming to Sec. 221.37.
(g) Explanations of abbreviations, reference marks, and symbols. All
abbreviations, reference marks, and symbols used in a supplement shall
be explained and are subject to the provisions of Sec. 221.35. Each page
of a supplement on which abbreviations, reference marks, or symbols are
used but not explained thereon shall refer to the page of the supplement
or to the page of the original tariff which contains their explanations.
(h) Amending numbered items, rules, and similar units--(1) Method of
amending. When any provision contained in a numbered item, rule, or
similar unit is amended, all provisions (in their amended form) of such
item, rule, or unit shall be published in their entirety in the
supplement effecting such amendment and shall be given the same item,
rule, or unit number followed by a letter suffix (each item, rule, or
unit number shall be assigned letter suffixes in consecutive
alphabetical sequence, commencing with ``A''). The revised item, rule,
or unit containing the amended provisions shall direct the cancellation
of the former item, rule, or unit which it amends. The numbers of such
revised items, rules, or units and the cancellation of such former
items, rules, or units shall be shown in the following manner (using
successive amendments in an Item 10 series as examples): When Item 10 is
to be amended, the revised item containing the amended provisions shall
show ``Item 10-A cancels Item 10''; when Item 10-A is to be amended, the
revised item containing the amended provisions shall show ``Item 10-B
cancels Item 10-A''; when Item 10-B is to be amended, the revised item
containing the amended provisions shall show ``Item 10-C cancels Item
10-B''; and so on. Using similar successive amendments in a Rule 10
series as examples, the successive issues of Rule 10 shall show ``Rule
10-A cancels Rule 10''; ``Rule 10-B cancels Rules 10-A''; ``Rule 10-C
cancels Rule 10-B'' and so on.
(2) Withdrawing an item, rule, or similar unit. When all provisions
in a numbered item, rule, or similar unit are to be canceled, such
cancellation shall be made by amending the time, rule, or similar unit
in the manner prescribed by paragraph (h)(1) of this section, but the
canceled matter shall not be reproduced in the revised item, rule, or
like unit except to the extent necessary to identify the subject matter
which is being canceled. For example, only the caption or subject of a
rule or the generic commodity caption of a rating or rate item shall be
shown when such rule, rates or ratings are to be canceled.
(3) Reestablishing expired or canceled items, rules, or other units.
The provisions of an expired or canceled item, rule, or similar unit may
be reinstated only by republishing such provisions under a new effective
date allowing lawful notice. The item, rule, or similar unit which
effected the cancellation of such provisions or which contained the
expired provisions shall be amended in the manner prescribed by
paragraph (h)(1) of this section and the provisions shall be republished
in the revised item, rule, or similar unit.
(4) Transferring matter. When all or part of the matter in a
numbered item, rule, or similar unit is to be transferred to another
portion of the tariff or to a different tariff, such item, rule, or
similar unit shall be amended in the manner prescribed by paragraph
(h)(1) of this section and shall specify the
[[Page 97]]
cancellation of such matter and where it will thereafter be published;
for example, ``Item 10-A cancels Item 10; rates formerly appearing in
Item 10 but not shown herein will be found in Item ____(or in Item ____
of C.A.B. No. ____).'' The item, rule, or similar unit, or different
tariff, to which the matter has been transferred shall show reference to
the item, rule or similar unit, or other tariff, which formerly
contained the transferred matter.
(i) Amending matter not published in numbered units. When an
amendment is made in a provision which is not published in a numbered
item, rule, or similar unit, the changed provision shall be published in
its entirety in a supplement. The cancellation of the former provision
shall be shown directly in connection with such changed provision, and
such cancellation shall refer to the page of the tariff or supplement
containing the former provision and clearly specify the matter to be
canceled. Where the provision to be amended is published in a prior
supplement, the cancellation of such provision shall specify both the
page of the prior supplement and the page of the tariff which contained
the corresponding provision; or, if the provision was published
initially in a supplement and not in the tariff, the cancellation shall
specify both the page of the prior supplement and the page of any
effective supplement previously issued thereto which contained the
corresponding provision.
(j) Omitted matter. When a supplement canceling a previous
supplement omits points of origin or destination, routes, rates, fares,
ratings, rules, or other provisions appearing in the previous
supplement, the new supplement shall specifically indicate the
cancellation of such omitted matter, and if such omission effects
changes in rates, fares, charges, or services, that fact shall be
indicated by the use of the uniform symbols prescribed in Sec. 221.114.
(k) Reissued matter--(1) Designating reissued matter. When a
supplement cancels a preceding supplement to the same tariff, those
provisions and amendments in the canceled supplement which have not been
amended by subsequent supplements and which are not to be amended by the
new supplement shall be brought forward without change in the new
supplement (except that amendment symbols required by Sec. 221.114 shall
not be brought forward). Such matter brought forward without change from
one supplement to another shall be specifically designated ``Reissued''
in distinctive type and shall show the number of the original supplement
form which it was reissued. For example, if Item 5-A was published in
Supplement No. 1 and is brought forward without change to Supplement No.
2 (canceling Supplement No. 1), the following notation shall be shown in
Item 5-A in Supplement No. 2: ``Reissued from Supplement No. 1''; if
Item 5-A is again brought forward without change, for example, in
Supplement No. 3 (canceling Supplement No. 2), it shall continue to bear
the same notation indicating that it is reissued from Supplement No. 1.
Such reissued matter may also be indicated by the use of a reference
mark shown preceding such matter and explained in the supplement in
which it is used. When the latter method is used, the reference mark
shall consist of a number within a square and the number shall be that
of the original supplement from which the matter is reissued, for
example, the reference mark {time} shall be used to indicate matter
reissued from Supplement No. 1. The reference marks shall be explained
in the following manner:
{time} --Reissued from Supplement No. 1.
{time} --Reissued from Supplement No. 2.
Such reference marks comprised of a number within a square shall be used
only for the above purpose and shall not be used for any other purpose.
(2) Matter reissued before its effective date. When matter published
in a supplement is brought forward as reissued matter in a subsequent
supplement which bears a general effective date earlier than the
effective date of such reissued matter shall be included in the reissued
notation required by paragraph (k)(1) of this section. For example, if
Item 5-A published to become effective May 1, 1952 in Supplement No. 1
is brought forward without change in Supplement No. 2 (canceling
Supplement No. 1) which bears a general effective date of April 15,
1952, Item 5-A
[[Page 98]]
shall bear the following notation indicating its effective date and that
it is reissued matter:
Effective May 1, 1952. Reissued from Supplement No. 1.
When the supplement contains reissued matter to become effective after
the general effective date of the supplement, the notation ``(Except as
otherwise provided herein)'' shall be shown directly after the general
effective date on the title page of the supplement.
(3) Expired matter. When an item, rule, or other matter in a
supplement has expired by its own terms and such supplement is canceled
by a subsequent supplement, the latter supplement shall identify, but
not republish, the matter which has expired and shall show when it
expired and the supplement in which it appeared when it expired. For
example, if the expired matter is an item which formerly contained
commodity rates, the item number and cancellation and an identifying
portion of the commodity description should be shown with a statement
reading substantially: ``This term expired with ____ in Supplement No.
____.'' Such notation shall be shown in all successive reissues of the
supplement.
(l) Maximum supplemental matter permitted. (1) Except as authorized
in paragraphs (l) (2), (3), and (4) of this section, a book tariff
containing the number of pages stated in Column 1 in the table below may
have in effect at any time not more than the number of supplements shown
directly opposite thereto in Column 2 in the table below and all
supplements in effect at any time to such tariff may contain in the
aggregate not more than the aggregate number of pages indicated directly
opposite thereto in Column 3 in the table of this paragraph.
------------------------------------------------------------------------
Column 3--Aggregate
Column 2--Number number of pages
Column 1--Number of pages in of effective permitted in
tariff supplements aggregate of
permitted effective
supplements
------------------------------------------------------------------------
4 or less........................ None............ None.
Over 4 but not over 12........... 1............... 4.
Over 12 but not over 16.......... 1............... (See Note 1.)
Over 16 but not over 80.......... 2............... (See Note 1.)
Over 80 but not over 200......... 3............... (See Note 1.)
Over 200......................... 4............... (See Note 1.)
------------------------------------------------------------------------
Note 1: 33\1/3\ percent of the number of pages in the original tariff.
Resulting fractions of a page shall be increased to a whole page.
In determining the number of pages in a tariff or an effective
supplement, the title page of the tariff and the title pages of the
supplements shall be counted in all instances, and every page of an
effective supplement shall be counted regardless of whether the
provisions on a particular page are in effect.
(2) The supplements (and the numbers of pages therein) authorized or
required to be filed under the terms of the following sections shall be
in addition to the number of supplements and volume of supplemental
matter permitted by the terms of paragraph (l)(1) of this section:
Sec.
221.113(d) (Cancellation supplement)
221.121 (Suspension supplement)
221.131 (Vacating supplement)
221.140 (Provided the supplement contains only matter described in
Sec. 221.140)
221.223(c) (Take-over supplement issued by alternate agent)
221.224(b) (Take-over supplement issued by new principal agent)
221.231 (Adoption supplement)
(3) A supplement which has been canceled except as to matter
suspended by the Board or a supplement suspended in full by the Board
shall be in addition to the maximum number of supplements and supplement
pages permitted by paragraph (l)(1) of this section. If, upon
termination of the suspension, such supplements result in a greater
number of effective supplements or supplement pages than permitted by
paragraph (l)(1) of this section, the tariff shall be brought into
conformity with paragraph (l)(1) of this section by the next amendment
of the tariff issued subsequently to the termination of the suspension.
(4) When a tariff is continued in effect by reason of the Board's
suspending an entire tariff, any supplements lawfully issued and filed
during the suspension period to the tariff continued in effect by the
suspension shall
[[Page 99]]
be in addition to the maximum number of supplements and supplement pages
permitted by paragraph (l)(1) of this section. If the maximum number of
supplements or supplement pages permitted under paragraph (l)(1) of this
section is exceeded under this authority and the Board orders the
cancellation of the suspended tariff, the tariff which was continued in
effect by the suspension shall be brought into conformity with paragraph
(l)(1) of this section by a supplement filed within 120 days after the
date of such order of the Board or such tariff shall be reissued within
that time.
(Secs. 204, 403, 1002; 72 Stat. 743, 758, 788; 49 U.S.C. 1324, 1373,
1482, as amended)
[ER-439, 30 FR 9439, July 29, 1965, as amended by ER-1104, 44 FR 9577,
Feb. 13, 1979]
Sec. 221.113 Reissuing and canceling tariffs; transferring matter to other tariffs.
(a) One or more tariffs superseded by one new tariff. (1) When one
new tariff is issued to supersede one or more previously filed tariffs
(of the same issuing carrier or agent) which are to have no further
effect, such new tariff shall direct the cancellation of the tariff or
tariffs to be superseded. Such cancellation shall specify the C.A.B.
numbers of the tariff or tariffs to be canceled and shall be shown in
the upper right-hand corner of the title page of the new tariff
(immediately below its C.A.B. number) in the following manner:
C.A.B. No. ____
cancels
C.A.B. No. ____
(2) If the tariff or tariffs to be canceled contain any rates,
fares, or other tariff provisions which are to be canceled and not
brought forward in the new tariff, the new tariff shall contain a notice
reading substantially as follows:
Notice
Rates (or fares, charges, rules, ratings, as the case may be)
formerly published in C.A.B. No. ____ but not brought forward herein are
hereby canceled.
Such notice shall be published immediately following the table of
contents and reference thereto shall be shown on the title page of the
new tariff, immediately below the cancellation prescribed by paragraph
(a)(1) of this section, in the following manner:
C.A.B. No. ____
cancels
C.A.B. No. ____
(See Notice on Page ____ hereof)
(b) One tariff superseded by two or more new tariffs. When two or
more new tariffs are issued to supersede one previously filed tariff (of
the same issuing carrier or agent) which is to have no further effect, a
supplement shall be issued to the tariff to be superseded and such
supplement shall direct the cancellation of the tariff in the manner
prescribed by Sec. 221.112 (b) (3) and paragraph (d) (2) of this section
and shall refer to the new tariffs in the manner required thereby. Each
of the new tariffs shall direct the following cancellation of the tariff
to be superseded (to be shown in the upper right-hand corner of the
title page of each new tariff immediately below its C.A.B. number):
C.A.B. No. ____
cancels
C.A.B. No. ____
(to the extent shown in
Supplement No. ____ thereto)
(c) Transferring rates, fares or provisions from one tariff to
another. When all or a portion of the rates, fares, or other provisions
of a tariff are to be transferred to another tariff or other tariffs,
such transfer shall be accomplished by the following amendments (except
that this paragraph shall not apply when paragraphs (a) and (b) of this
section are applicable):
(1) If no effective provisions are to remain in the tariff from
which the provisions are transferred, the issuing carrier or agent shall
issue a supplement thereto canceling such tariff in its entirety in the
manner prescribed by Sec. 221.112 (b) (3) and paragraph (d) (2) of this
section and stating where the transferred provisions will thereafter be
found.
(2) If only a portion of a tariff's provisions are to be
transferred, the tariff
[[Page 100]]
shall be amended (in the manner required by Sec. 221.110) by
specifically canceling the provisions to be transferred and, in
connection with such cancellation, a reference shall be shown to the
tariff or tariffs (specifying their C.A.B. numbers) to which the
provisions are transferred.
(3) The tariff or tariffs to which the provisions are to be
transferred shall be amended (in the manner prescribed by Sec. 221.110)
by adding the transferred provisions thereto effective on the same date
as the date on which the cancellation of such provisions from the former
tariff becomes effective. The publication effecting the addition of the
transferred provisions shall refer to the former tariff in the following
manner:
(i) If the publication to which the provisions are transferred is a
new tariff (issued by the same issuing carrier or agent of the former
tariff), it shall direct a partial cancellation of the former tariff and
such cancellation shall be shown in the following manner (in the upper
right-hand corner of the title page of the new tariff immediately below
its C.A.B. number):
C.A.B. No. ____ cancels C.A.B. No. ____ to the extent shown in
Supplement No. ____ (or, ____ Revised Page ____) thereto
(ii) If the publication to which the provisions are transferred is a
new tariff (issued by an agent or carrier other than the issuing agent
or carrier of the former tariff), the new tariff shall bear the
following notation ``(see notice on page ____ hereof)'' in the upper
right-hand corner of the title page (immediately below the C.A.B. number
and any cancellation thereunder and the notice referred to shall be
shown following the table of contents and shall read substantially:
Notice
Rates (or fares, rules, etc.), herein applying (____ briefly
identify transferred rates, etc. ____) were formerly published in C.A.B.
No. ____ issued by ________.
(iii) If the transferred provisions are added by supplement, revised
page or original page to an existing tariff (issued by the same or
different issuing carrier or agent), reference to the former tariff
shall be shown in connection with the added provisions in such
supplement, revised page or original page and such reference shall read
substantially:
These rates (or fares, rules, etc.) were formerly published in
C.A.B. No. ______ issued by ________.
(d) Canceling tariff by supplement--(1) When permitted. A supplement
shall be issued to a tariff (including a loose-leaf tariff) for the
purpose of canceling such tariff in its entirety when:
(i) All of the fares, rates, or other tariff provisions in such
tariff are to be canceled entirely and are to have no further
application; or
(ii) A later issue of such tariff failed to cancel such tariff as
required by paragraph (a) of this section; or
(iii) Other paragraphs of this section require that a tariff be
canceled by supplement; or
(iv) Suspended matter is to be canceled, under authority of the
Board, from a tariff which has previously been canceled except as to
such suspended matter.
(2) Cancellation notice. In addition to directing the cancellation
of the tariff (by C.A.B. number) in the manner prescribed by
Sec. 221.112(b) (3), such cancellation supplement shall contain a
cancellation notice stating what disposition has been made of the rates,
fares, or other provisions formerly published in the canceled tariff.
When such rates, fares, or other provisions will thereafter be published
in other tariffs, the notice shall refer to such other tariffs (by
C.A.B. number) and, if reference is made to two or more tariffs, the
notice shall briefly describe the respective rates, fares, or other
provisions which will be found in each of such tariffs, for example:
Cancellation Notice
________ (title of tariff), C.A.B. No. ____, issued by ____ is
hereby canceled.
See C.A.B. No. ____ issued by ________ for rates between ________
and ________.
See C.A.B. No. ____ issued by ________ for rates between ________
and ________.
If the canceled tariff contains any rates, fares, or other provisions
which are to be canceled and not brought forward in the new tariffs, the
following cancellation statement shall be added to the above notice:
Rates (or fares, etc.) formerly published herein but not carried
forward to the above tariffs are hereby canceled.
[[Page 101]]
The cancellation notice in this subparagraph shall be published either
in the body of the title page of the cancellation supplement (below the
territorial application and above the issued and effective dates) or on
the next page.
Sec. 221.114 Amendment symbols to indicate changes in rates, fares and other provisions.
(a) Uniform amendment symbols required. All tariffs, supplements,
original pages, and revised pages shall indicate the changes made
thereby in existing rates, fares, charges, routings, ratings, rules, and
other tariff provisions and shall indicate the character of each change,
that is, whether it results in a reduction or an increase in fares,
rates, or charges or is a change resulting in neither increase nor
reduction. The changes and their character shall be indicated by the use
of the following uniform amendment symbols and, except as provided in
paragraph (b) of this section, shall be shown immediately in connection
with and preceding each change
(R) or to denote increases.
(A) or to denote reductions.
(C) or to denote changes which result in neither increases
nor reductions.
(N) or to denote addition.
(b) Indicating general changes--(1) Changes of same character in all
fares, rates, or charges. When a change of the same character (either
increase or reduction) is effected by all of the rates, fares, or
charges in a tariff or supplement, or a page thereof, including a
revised page or added original page, that fact and the character of such
change may be indicated in distinctive type at the top of the title page
of such tariff or supplement, or at the top of such page, as the case
may be, in the following manner:
(Notation for title page of tariff or supplement)
ALL ** IN THIS ISSUE ARE ****.
(Notation for other pages)
ALL ** ON THIS PAGE ARE ****.
**--show RATES, FARES, or CHARGES, whichever is appropriate.
****--show INCREASES or REDUCTIONS, whichever is appropriate.
(2) Changes of same character in substantial portion of rates,
fares, or charges. The notations prescribed in paragraph (b)(1) of this
section may be qualified by adding thereto the words ``unless otherwise
indicated'' and such qualified notations may be used, in the manner
described in paragraph (b)(1) of this section, to indicate changes of
the same character in a substantial portion but not all of the rates,
fares, or charges in a tariff, supplement, or a page thereof, including
a revised page or added original page. When this method is used to
indicate such changes, any rates, fares, or charges which are exceptions
to the qualified notation used shall be indicated by:
(i) Showing a bold-faced dot ``O'' or the symbol ``(K)'' in
connection with and preceding a rate, fare, or charge in which no change
has been made, and
(ii) Using the proper amendment symbol prescribed in paragraph (a)
of this section for the purpose of indicating the character of any
changes which are not indicated by the notation used on the title page
or at the top of the page, as the case may be.
(c) Explanations and uniform use of symbols. Explanations of the
symbols prescribed in paragraphs (a) and (b) of this section shall be
provided in the manner prescribed by Sec. 221.35 and such symbols shall
not be used for any other purpose.
(d) Symbols and notations not to be brought forward. When a symbol
or notation prescribed by this section is used in a tariff, supplement,
or page, such symbol or notation shall not be carried forward into
reissues, supplements, or revised pages when the matter in connection
with which they were used is reissued without change.
Sec. 221.115 Reinstating canceled or expired tariff provisions.
Any rates, fares, rules, or other tariff provisions which have been
canceled or which have expired may be reinstated only by republishing
such provisions and posting and filing the tariff publications
(containing such republished provisions) on lawful notice in the form
and manner required by this part.
[[Page 102]]
Sec. 221.116 Supplement to loose-leaf tariff authorized when service terminated or suspended.
When the Board authorizes or requires a carrier to suspend air
transportation service to and from a particular point, or terminates
authority to serve a particular point, supplements may be issued to
loose-leaf tariffs for the purpose of canceling rates, fares, or other
provisions therein applying to, from, at, or via such point for account
of such carrier. The title page of a supplement issued hereunder shall
bear the following notation on its title page, ``Issued under
Sec. 221.116 of Economic Regulations of Civil Aeronautics Board.'' A
single tariff shall have not more than one supplement, issued under
authority of this section, in effect at any one time. Supplements issued
hereunder shall contain no provisions other than the cancellation of
rates, fares, or other provisions published under the above authority.
When a supplement is issued under authority of this section, the
canceled rates, fares, or other provisions shall be specifically removed
from the tariff pages on which they appear by reissuing such pages not
later than 180 days after the effective date of such supplement.
Subpart I--Suspension of Tariff Provisions by Board
Sec. 221.120 Effect of suspension by Board.
(a) Suspended matter not to be used. A rate, fare, charge, or other
tariff provision which is suspended by the Board, under authority of
section 1002(g) of the act, shall not be used during the period of
suspension specified by the Board's order.
(b) Suspended matter not to be changed. A rate, fare, charge, or
other tariff provision which is suspended by the Board shall not be
changed in any respect or withdrawn or the effective date thereof
further deferred except by authority of an order or special tariff
permission of the Board.
(c) Suspension continues former matter in effect. If a tariff
publication containing matter suspended by the Board directs the
cancellation of a tariff, supplements, or loose-leaf tariff page, or any
portion thereof, which contains fares, rates, charges, or other tariff
provisions sought to be amended by the suspended matter, such
cancellation is automatically suspended for the same period insofar as
it purports to cancel any tariff provisions sought to be amended by the
suspended matter.
(d) Matter continued in effect not to be changed. A rate, fare,
charge, or other tariff provision which is continued in effect as a
result of a suspension by the Board shall not be changed during the
period of suspension unless the change is authorized by order or special
tariff permission of the Board, except that such matter may be reissued
without change during the period of suspension.
[ER-439, 30 FR 9439, July 29, 1965, as amended by ER-991, 42 FR 19126,
Apr. 12, 1977]
Sec. 221.121 Suspension supplement.
(a) To be filed immediately to either book or loose-leaf tariff.
Upon receipt of an order of the Board suspending any tariff publication
in part or in its entirety, the carrier or agent who issued such tariff
publication shall immediately issue and file with the Board a
consecutively numbered supplement for the purpose of announcing such
suspension. Such supplement, referred to in this subpart as a suspension
supplement, is required to be filed to a loose-leaf tariff as well as a
book tariff and shall conform fully with the provisions of this section.
(b) Title page of suspension supplement. The title page of a
suspension supplement shall be constructed in the manner prescribed in
Sec. 221.112(b) except that it shall not contain an effective date and
it shall contain the suspension notice required by paragraph (c) of this
section.
(c) Suspension notice. The title page of a suspension supplement
shall contain a notice of suspension (to be shown immediately below the
description of tariff contents and territory) which shall:
(1) Indicate what particular rates, fares, charges, or other tariff
provisions are under suspension,
(2) State the date to which such tariff matter is suspended,
(3) State the Board's docket number and order number which suspended
such tariff matter,
(4) Give specific reference to the tariffs (specifying their C.A.B.
numbers),
[[Page 103]]
supplements, revised pages, original pages, items, etc., which contain
the rates, fares, charges, or other tariff provisions continued in
effect.
Note: Where impracticable to provide on the title page the required
detailed suspension notice, the title page may, under the caption
``Suspension Notice'', make specific reference to where the detailed
suspension notice is provided in the supplement.
The following are illustrations of such notices of suspension:
(When a portion of the fares on a revised page are suspended):
suspension notice
The fares applying between New York, N.Y., and Chicago, Ill., on 1st
Revised Page 75 of this tariff are suspended to and including August 23,
1953 by Civil Aeronautics Board order No. E ____ in Docket No. ____.
Such fares shall not be used on or before August 23, 1953. For fares
between the above points continued in effect as a result of the
suspension, see Original Page 75 of this tariff.
(When an item in a supplement is suspended):
suspension notice
Item No. 10-B in Supplement No. 5 is suspended to and including
August 23, 1953 by Civil Aeronautics Board order No. E ____ in Docket
No. ____. The rates and other provisions in Item No. 10-B of Supplement
No. 5 shall not be used on or before August 23, 1953. For rates
continued in effect as a result of the suspension, see Item No. 10-A in
Supplement No. 4.
(d) Quote Board's order in part. A suspension supplement shall quote
the following portions of the Board's order of suspension (to be shown
on the page following the title page):
(1) The heading of the order,
(2) The portions describing the suspended matter,
(3) The paragraph naming the date to which such matter is suspended,
(4) The paragraph prohibiting changes in the suspended matter,
(5) The paragraph prohibiting changes in the matter continued in
effect by the suspension.
(e) Cancel reissue of suspended matter. When the Board has suspended
a loose-leaf tariff page or a supplement in whole or in part, it may
occur that prior to receipt of the suspension order, the issuing carrier
or agent has transmitted for filing a revised page or a supplement
subsequent to that containing the suspended matter and such subsequent
revised page or supplement reissues without change the matter suspended
in the previous loose-leaf tariff page or supplement. In such
circumstances, the suspension supplement required by this section shall:
(1) Cancel such reissued matter published in the subsequent revised
page or supplement, and
(2) Amend the cancellation which such subsequent revised page or the
title page of such subsequent supplement directs of the loose-leaf page
or of the supplement containing the suspended matter. Such cancellation
shall be amended so as to exclude cancellation of the suspended matter.
The suspension supplement accomplishing such amendments shall be filed
promptly since a page or supplement which cancels suspended matter
without authority of the Board is subject to rejection.
Sec. 221.122 Reissuing tariff publications suspended in part or containing matter continued in effect by suspension.
(a) Loose-leaf tariff page suspended in part. When a loose-leaf
tariff page suspended in part is reissued, the reissue of such page
shall conform with the following requirements:
(1) The revised page (reissue) shall not reproduce or bring forward
the matter under suspension.
(2) The revised page (reissue) shall direct the cancellation of the
partially suspended page except the portions thereof under suspension.
Such page cancellation shall be set forth in substantially the manner
shown in the following example:
2nd Revised Page 10
cancels
1st Revised Page 10 (except portions under suspension in C.A.B. Docket
No. ____)
(3) If the suspension has continued in effect tariff provisions on
preceding issues of the page, the reissue of the page suspended in part
shall bring forward without change those tariff provisions which were
continued in effect by the suspension. In such cases, such reissue
shall, in addition to directing the page cancellation required by
paragraph (a)(2) of this section, complete
[[Page 104]]
the cancellation of the page which contained the matter continued in
effect by the suspension. Such cancellation shall be set forth in
substantially the manner shown in the following example:
2nd Revised Page 10
cancels
1st Revised Page 10 (except portions under suspension in C.A.B. Docket
No. ____) and completes the cancellation of Original Page 10
All subsequent revisions of the same page, which are issued after such
reissue and which become effective during the period of suspension,
shall bring forward unchanged the tariff provisions continued in effect
by the suspension and shall bear reference to the revision containing
the suspended matter. Such reference shall be set forth immediately
below the page number and cancellation in the manner shown in the
following example:
3rd Revised Page 10
cancels
2nd Revised Page 10
(1st Revised Page 10 contains portions under suspension in C.A.B. Docket
No. ____)
(b) Reissuing a loose-leaf page continued in effect by suspension of
entire revised page. When the Board has suspended a revised page in its
entirety and the prior revision (which is continued in effect by such
suspension) is to be reissued, the reissue shall conform with the
following requirements:
(1) The revised page (reissue) shall not reproduce or bring forward
the matter under suspension.
(2) The revised page (reissue) shall bring forward without change
those tariff provisions which are continued in effect by the suspension
and shall cancel the page containing such provisions.
(3) The revised page (reissue) shall not direct any cancellation of
the suspended page but shall contain a statement that such page is under
suspension which shall be set forth (immediately below the page number
and page cancellation) in the manner shown in the following example:
3rd Revised Page 10
cancels
1st Revised Page 10
(2nd Revised Page 10 is under suspension in C.A.B. Docket No. ____)
All subsequent revisions of the same page, which are issued after such
reissues and which become effective during the period of suspension,
shall bring forward unchanged the tariff provisions continued in effect
by the suspension and shall bear reference to the suspended revision to
be set forth in the manner shown in the above example.
(c) Supplement suspended in part. When a supplement suspended in
part is reissued, the reissue of such supplement shall conform to the
following requirements:
(1) The supplement (reissue) shall not reproduce or bring forward
the matter under suspension.
(2) The supplement (reissue) shall direct the cancellation of the
partially suspended supplement except the portions thereof under
suspension. Such supplement cancellation shall be set forth in the upper
right-hand corner of the title page of the reissue in substantially the
manner shown in the following example:
Supplement No. 4
to
C.A.B. No. 2
(Cancels Supplement No. 2 except portions under suspension in C.A.B.
Docket No. ____)
Supplements Nos. *2, 3, and 4 are the only effective supplements.
*--Contains only matter suspended in C.A.B. Docket No. ____.
(3) If the suspension has continued in effect tariff provisions in a
prior supplement which is indicated as canceled by the partially
suspended supplement, except as to the provisions continued in effect by
the suspension, the reissue of the partially suspended supplement shall
bring forward unchanged the matter continued in effect by the suspension
and the title page of such reissue shall, in addition to directing the
supplement cancellation, complete the cancellation of the supplement
containing the matter continued in effect
[[Page 105]]
by the suspension. Such cancellation shall be set forth in substantially
the manner shown in the following example:
Supplement No. 4
to
C.A.B. No. 1
(Cancels Supplement No. 2 except portions under suspension in C.A.B.
Docket No. ____, and completes the cancellation of Supplement No. 1)
Supplements Nos. *2, 3, and 4 are the only effective supplements.
*--contains only matter suspended in C.A.B. Docket No. ____.
(d) Tariff suspended in part. When a tariff suspended in part
(including a tariff having a supplement suspended wholly or in part) is
reissued, the reissue of such tariff shall conform to the following
requirements:
(1) The tariff (reissue) shall not reproduce or bring forward the
matter under suspension.
(2) The tariff (reissue) shall direct the cancellation of the
partially suspended tariff except the portions thereof under suspension.
Such tariff cancellation shall be set forth (in the upper right-hand
corner of title page of the reissue) in substantially the manner shown
in the following example:
C.A.B. No. 3
cancels
C.A.B. No. 2 (except portions under suspension in C.A.B. Docket No.
____)
(3) If the suspension has continued in effect tariff provisions
which are published in the tariff containing the suspended matter, the
reissue of such tariff shall bring forward such effective tariff
provisions without change.
(4) If the tariff containing the suspended matter has canceled a
preceding issue except provisions in such preceding issue which are
continued in effect by reason of the suspension, the reissue of the
partially suspended tariff shall, in addition to directing the
cancellation required by paragraph (d)(2) of this section, complete the
cancellation of the tariff containing the provisions continued in effect
by the suspension, and shall bring forward such provisions without
change. Such tariff cancellation shall be set forth (in upper right-hand
corner of title page of the reissue) in substantially the manner shown
in the following example:
C.A.B. No. 8
cancels
C.A.B. No. 2 (except portions under suspension in C.A.B. Docket No.
____) and completes the cancellation of C.A.B. No. 1
(e) Item, rule, or similar unit suspended in part. When a numbered
item, rule, or similar unit in a book tariff or supplement thereto is
suspended in part, a reissue of such item, rule, or similar unit shall
conform to the following requirements:
(1) The reissue shall not reproduce or bring forward the matter
under suspension.
(2) The reissue shall direct the cancellation of the partially
suspended item rule, or similar unit except the portions thereof under
suspension. Such cancellation shall be set forth in substantially the
manner shown in the following example:
Item No. 10-B
cancels
Item No. 10-A (except portions under suspension in C.A.B. Docket No.
____)
(3) If the suspension has continued in effect tariff provisions in
preceding issues of the partially suspended item, rule, or similar unit,
the reissue of the partially suspended item, rule, or similar unit shall
bring forward without change the tariff provisions which were continued
in effect by the suspension. In such cases, such reissue shall, in
addition to directing the cancellation required by paragraph (e)(2) of
this section, complete the cancellation of the item, rule, or similar
unit which contained the matter continued in effect by the suspension.
Such cancellation shall be set forth in substantially the manner shown
in the following example:
Item No. 10-B
cancels
Item No. 10-A (except portions under suspension in C.A.B. Docket No.
____) and completes the cancellation of Item No. 10
[[Page 106]]
Sec. 221.123 Reissue of matter continued in effect by suspension to be canceled upon termination of suspension.
When tariff provisions continued in effect by a suspension are
reissued during the period of such suspension, the termination of the
suspension and the coming into effect of the suspended matter will not
accomplish the cancellation of such reissued matter. In such
circumstances, prompt action shall be taken by the issuing agent or
carrier to cancel such reissued provisions upon the termination of the
suspension in order that they will not conflict with the provisions
formerly under suspension.
Subpart J--Vacating the Suspension of Tariff Matter
Sec. 221.130 Tariff must be amended to make suspended matter effective.
(a) When the Board vacates an order which suspended certain tariff
matter in full or in part, such matter will not become effective until
the termination of the suspension period unless the issuing agent or
carrier amends the pertinent tariffs in the manner prescribed in this
subpart (except as provided in paragraph (b) of this section).
(b) If the Board vacates its suspension order prior to the original
published effective date of the tariff provisions whose suspension is
vacated, such provisions will become effective on their published
effective date without filing a vacating supplement as required by this
subpart.
Sec. 221.131 Vacating supplement.
(a) Subject to Secs. 221.132 and 221.133, the tariff, supplement,
page, item, rule, fare, rate, or other tariff provision whose suspension
has been vacated by an order of the Board may be made effective prior to
the termination of the suspension period only by issuing and filing to
the tariff containing the suspended matter a supplement (referred to in
this subpart as a vacating supplement) which shall conform with the
following requirements:
(1) Such vacating supplement shall be issued on not less than one
day's notice unless otherwise provided by the Board's vacating order.
(2) Such vacating supplement may be filed to a loose-leaf tariff as
well as a book tariff.
(3) Such vacating supplement shall contain a vacating notice which
shall specify the tariff matter whose suspension is vacated and shall
state the specific date on which such matter will become effective. Such
date shall be the same effective date as the effective date of the
vacating supplement and must be earlier than the date to which the
tariff matter was suspended. The vacating notice shall be published on
the title page of the supplement (immediately below the description of
contents and territory) or at the top of the next page.
(4) Such vacating supplement shall direct the cancellation of the
suspension supplement if all suspended matter covered by the suspension
supplement is being vacated.
(5) Such vacating supplement shall contain no tariff provisions
other than those specifically authorized to be included therein by this
section and Sec. 221.132, and those required by other regulatory bodies.
(6) The title page of such vacating supplement shall contain
reference to this subpart and to the Board's vacating order to be shown
immediately above the issued and effective dates in the following
manner:
Issued under authority of subpart J, part 221 of the Economic
Regulations and Order No. ____ in Docket No. ____ of the Civil
Aeronautics Board.
(b) [Reserved]
Sec. 221.132 When tariff amendments in addition to vacating supplement are required.
(a) Notice and effective date. All amendments made pursuant to this
section shall be filed on not less than one day's notice, unless
otherwise provided by the Board's vacating order, and shall bear the
same effective date as the effective date of the vacating supplement
filed pursuant to Sec. 221.131, except as otherwise provided in
paragraph (h) of this section, and except that the effective date of any
tariff provisions other than the vacated matter shall not be advanced
under this authority. All tariff amendments made pursuant to this
section which are not published in the vacating supplement
[[Page 107]]
shall bear the reference required by Sec. 221.131(a)(6).
(b) When a loose-leaf page suspended in part has been reissued. When
a loose-leaf page is suspended in part and such suspension is vacated in
its entirety by the Board but, prior to such vacating of the suspension,
the page has been canceled (except as to matter under suspension) by a
subsequent revision of that page, the following tariff amendments shall
be made in addition to issuing and filing a vacating supplement pursuant
to Sec. 221.131:
(1) A consecutive revision in the series of the page containing the
suspended matter shall be issued which shall (i) republish the suspended
matter without change, (ii) cancel the matter continued in effect by the
suspension (if published on the preceding revisions of the page) and
(iii) complete the cancellation of the page which contained the
suspended matter. The latter cancellation shall be set forth (below the
C.A.B. and page numbers in the upper right-hand corner of the page) in
the manner shown in the following example:
3rd Revised Page 20
cancels
2nd Revised Page 20
(and completes the cancellation of 1st Revised Page 20)
In the above example, the 3rd revision (filed pursuant to this
paragraph) cancels the 2nd revision and completes the cancellation of
the 1st revision (which was previously canceled by the 2nd revision
except as to the suspended matter).
(2) [Reserved]
(c) When a loose-leaf page continued in effect by suspension of
entire revised page has been reissued. When an entire revised page has
been suspended and the Board fully vacates such suspension but prior to
such vacating of the suspension, the page continued in effect by such
suspension has been revised, the following tariff amendments shall be
made in addition to issuing and filing the vacating supplement pursuant
to Sec. 221.131:
(1) A consecutive revision in the series of the suspended page shall
be issued and filed which shall (i) republish the suspended tariff
provisions without change, (ii) cancel the reissue of the tariff
provisions which were continued in effect by the suspension, and (iii)
include the cancellation of the revised page whose suspension has been
vacated.
(2) [Reserved]
(d) When provisions continued in effect by suspension of supplement
(in full or part) have been reissued in a supplement. When the Board has
suspended in full or in part, a supplement to a book tariff and such
suspension is vacated by the Board but (prior to such vacating of the
suspension) all or part of the provisions which were continued in effect
by the suspension have been reissued in a subsequent supplement to the
same tariff, the vacating supplement shall include the following
amendments:
(1) The vacating supplement shall cancel such reissue of the
provisions continued in effect by the suspension.
(2) The vacating supplement shall republish without change the
respective suspended provisions which are to supersede the provisions
canceled pursuant to paragraph (d)(1) of this section and shall cancel
such suspended provisions from the supplement which was under
suspension.
(e) When partially suspended item, rule, or similar unit in a book
tariff or supplement has been reissued in a supplement. When the Board
has suspended, in part, a numbered item, rule, or similar unit in a book
tariff or supplement and such suspension is fully vacated by the Board
but (prior to such vacating of the suspension) the partially suspended
item, rule, or similar unit has been canceled except as to the suspended
matter by a subsequent issue of such item, rule, or unit, the vacating
supplement shall amend such items, rules, or similar units as specified
below:
(1) The tariff provisions whose suspension is vacated shall be
republished without change.
(2) The tariff provisions which were continued in effect by such
suspension shall be canceled.
(3) The cancellation of the partially suspended item, rule, or
similar unit shall be completed in the manner shown in the following
example:
[[Page 108]]
Item No. 10-C
cancels
Item No. 10-B
(and completes the cancellation of Item No. 10-A)
In the above example, Item No. 10-C in the vacating supplement directs
the cancellation of the current Item No. 10-B and completes the
cancellation of Item No. 10-A (which has been previously canceled by
Item No. 10-B except as to the suspended matter).
(f) When tariff continued in effect by suspension has been amended
by supplement or loose-leaf page. When the Board fully vacates the
suspension of an entire tariff but, prior to such action, the tariff
which was continued in effect by the suspension has been amended by
supplement or loose-leaf page, the following tariff amendments shall be
made in addition to issuing and filing the vacating supplement pursuant
to Sec. 221.131:
(1) If the suspended tariff is a book tariff, the vacating
supplement issued to such tariff shall set forth as reissued matter
(without change) any changes or additions which were lawfully published
in the tariff continued in effect by the suspension but which are not
included in the suspended tariff.
(2) If the suspended tariff is a loose-leaf tariff loose-leaf pages
shall be issued thereto and such pages shall set forth as reissued
matter (without change) any changes or additions which were lawfully
published in the tariff continued in effect by the suspension but which
are not included in the suspended tariff.
(g) When tariff continued in effect by suspension has been reissued.
When the Board fully vacates the suspension of an entire tariff but,
prior to such action, the tariff which was continued in effect by such
suspension has been reissued, the following tariff amendments shall be
made in addition to filing the vacating supplement pursuant to
Sec. 221.131:
(1) A supplement shall be issued and filed to the tariff containing
the reissued tariff provisions which were continued in effect by the
suspension and such supplement shall cancel that tariff in its entirety.
(2) Any changes or additions which have been lawfully published in
the tariff specified in paragraph (g)(1) of this section but which are
not included in the suspended tariff shall be republished:
(i) As reissued matter (without change) in the vacating supplement
issued to the suspended tariff if the latter is a book tariff, or
(ii) As reissued matter (without change) in revised pages or
additional original pages issued to the suspended tariff if the latter
is a loose-leaf tariff.
(h) When a tariff suspended in part has been reissued. When a tariff
has been suspended in part (or has a supplement suspended in full or in
part) and the Board fully vacates such suspension but, prior to the
vacating of the suspension, a new tariff has been issued which directs
the cancellation of the partially suspended tariff (except as to the
suspended provisions), the following tariff amendments are required in
order to make the suspended tariff provisions effective under authority
of the Board's vacating order:
(1) When the suspended tariff provisions are to be made effective
prior to the effective date of such new tariff, a vacating supplement
shall be issued and filed to the partially suspended tariff together
with any amendments required by other paragraphs of this section. Also,
the new tariff shall be amended in the manner prescribed by Sec. 221.110
for the purpose of establishing the following amendments effective on
the effective date of the new tariff:
(i) The tariff cancellation shown on the title page of the new
tariff shall be amended so that it fully cancels the former tariff by
C.A.B. number instead of canceling it ``except portions under suspension
in C.A.B. Docket No. ____''.
(ii) The tariff provisions whose suspension has been vacated in the
former tariff shall be republished without change in the new tariff.
(iii) The reissue of the tariff provisions which were continued in
effect by the suspension shall be canceled from the new tariff.
(2) When the suspended tariff provisions are to be made effective on
or after the effective date of such new tariff, a vacating supplement
shall not be issued to the partially suspended tariff
[[Page 109]]
but a supplement shall be issued and filed to such tariff which shall
cancel the suspended provisions, refer to such provisions as republished
in the new tariff, and complete the cancellation of the tariff. The
latter cancellation shall be set forth in the upper right corner of the
supplement's title page (below the supplement and C.A.B. numbers) in the
manner shown in the following example:
Supplement No. 3
to
C.A.B. No. 6
(completes the cancellation of C.A.B. No. 6)
Also, the new tariff shall be amended simultaneously in the manner
prescribed by Sec. 221.110 for the purpose of accomplishing the
following amendments:
(i) The tariff provisions in the former tariff whose suspension has
been vacated by the Board shall be republished without change in the new
tariff.
(ii) The reissue of the tariff provisions which were continued in
effect by such suspension shall be canceled from the new tariff.
Sec. 221.133 When Special Tariff Permission is required to file amendments making suspended matter effective pursuant to vacating order.
When tariff provisions continued in effect by a suspension have been
reissued prior to the Board's vacating the suspension and Sec. 221.132
does not authorize the amendments necessary to cancel such provisions in
order to prevent a conflict with the tariff provisions whose suspension
is being vacated, a vacating supplement shall not be issued and filed.
In such circumstances, the issuing agent or carrier shall file an
application for Special Tariff Permission specifically setting forth the
amendments which are proposed to be issued and filed on one day's notice
(unless the Board's vacating order provides otherwise) for the purpose
of making the suspended matter effective and canceling the reissue of
the tariff provisions continued in effect by the suspension. Upon
approval of such application, the issuing agent or carrier shall then
file the amendments authorized thereunder.
Subpart K--Canceling Suspended Matter in Compliance With Board's Order