FAA 14 CFR PART 303-2011 REVIEW OF AIR CARRIER AGREEMENTS《航空公司协议的审查》.pdf

1、321 Office of the Secretary, DOT Pt. 303 Subject Old rule New rule Exemption cases 302.407 302.308 Generally 302.6(b) 302.6(b) Licensing cases 302.204(b) Motions . 302.18(c) 302.11(c) Enforcement proceedings 302.209 302.408 RESPONSIVE DOCUMENTS (see Answers; Replies): REVIEW (see Discretionary Revie

2、w): ROUTE PROCEEDINGS (see also Certificate Cases): International route awards . 302.17011790 302.201220 RULEMAKING PETITIONS . 302.38 302.16 SERVICE: Airport fee dispute proceedings . 302.605(c)(1), (d)(1) 302.603(c)(1), (d)(1) By the Department . 302.8(a)(1) 302.7(a)(1) Date of 302.8(f) 302.7(f) E

3、nforcement complaints . 302.204(a) 302.404(e) Exemption cases 302.403 302.304 Generally 302.8 302.7 Licensing cases 302.1705 302.203 Mail rate petitions . 302.303(c) 302.702(d) Persons eligible for service 302.8(c) 302.7(c), (g), (h) Procedures . 302.8(b) 302.7(b) Proof of . 302.8(e) 302.7(e) Rates,

4、 fares, and charges complaints . 302.502(b) 302.503(b) Where to be made . 302.8(d) 302.7(d) SETTLEMENT OFFERS: Enforcement proceedings 302.215 302.417 Public disclosure 302.215(d) 302.417(d) SHORTENED PROCEDURE 302.35 302.15 SHOW CAUSE ORDERS (see Orders): SUBPOENAS 302.19 302.25 SUSPENSION OF PRACT

5、ICE BEFORE DOT . 302.11(a) 302.25(f) TARIFFS: Complaints requesting suspension 302.505 302.506 TEMPORARY RATE PROCEEDINGS . 302.310 302.707 TENTATIVE DECISIONS (see Decisions): TESTIMONY (see Witnesses): TIME: Computation of . 302.16 302.8 Continuances of . 302.17 302.9 Extensions of 302.17 302.9 Li

6、censing cases 302.1706, 1711 302.209 TRANSCRIPTS OF HEARINGS . 302.24(l) 302.28 U.S. AIR CARRIER CERTIFICATION (see Certificate Cases): VERIFICATION: Licensing cases 302.1707 302.206 WAIVERS OF PROCEDURAL STEPS . 302.33 302.37 WITNESSES: Attendance fees and mileage 302.21 302.27(c) Cross-examination

7、 by nonparties 302.14(b) 302.19 Depositions . 302.20 302.26 Objections to public disclosure of testimony . 302.39(c) 302.12(c) Represented by counsel 302.11(a) 302.27(a) Subpoenas . 302.19 302.25 VIOLATIONSEVIDENTIAL STATUS IN ENFORCEMENT PROCEEDINGS . 302.216 302.413 PART 303REVIEW OF AIR CARRIER A

8、GREEMENTS Subpart AGeneral Provisions Sec. 303.01 Purpose. 303.02 Definitions. 303.03 Requirement to file application. 303.04 General rules governing application content, procedure and conditions of ap-proval. 303.05 Applications requesting antitrust im-munity. 303.06 Review of antitrust immunity. 3

9、03.07 Transitional rule. Subpart B Reserved 303.10303.19 Reserved Subpart C Reserved 303.20303.24 Reserved VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00331 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction o

10、r networking permitted without license from IHS-,-,-322 14 CFR Ch. II (1111 Edition) 303.01 Subpart DSection 412 Applications 303.30 General provisions concerning con-tents of applications. 303.31 Justification for the application. 303.32 Service of the application. 303.33 Modifications and cancella

11、tions. Subpart EProcedures Upon Application or Review 303.40 Determination of compliance. 303.41 Notice. 303.42 Comments on application. 303.43 Action following the comment period. 303.44 Show cause proceedings. 303.45 Evidentiary hearings. 303.46 Decision by the Assistant Secretary. AUTHORITY: 49 U

12、.S.C. chapters 401, 413, 417. SOURCE: 50 FR 31142, July 31, 1985, unless otherwise noted. Subpart AGeneral Provisions 303.01 Purpose. These regulations set forth the proce-dures by which applications may be made to the Department of Transpor-tation under sections 412 and 414 of the Federal Aviation

13、Act, as amended (49 U.S.C. 1382 and 1384) and procedures governing proceedings to enforce these provisions. Amdt. 3032, 54 FR 33499, Aug. 15, 1989 303.02 Definitions. (a) The term Act refers to the Federal Aviation Act of 1958, as amended. (49 U.S.C. 1301 et seq.) (b) The term Assistant Secretary me

14、ans the Assistant Secretary for Aviation and International Affairs, or as delegated. As provided in 49 CFR 1.43, the Secretary or Deputy Secretary may exercise any authority in lieu of the Assistant Secretary under the pro-visions of this part. (c) The term documents means (1) all written, recorded,

15、 transcribed or graphic matter including letters, tele-grams, memoranda, reports, studies, forecasts, lists, directives, tabulations, logs, or minutes and records of meet-ings, conferences, telephone or other conversations or communications; and (2) all information contained in data processing equip

16、ment or materials. The term does not include daily or weekly statistical reports in whose place an annual or monthly summary is sub-mitted. (d) The term Documentary Services Di-vision means the Documentary Services Division of the Office of the Assistant General Counsel for Regulation and Enforcemen

17、t. (e) The term hearing means either a show cause proceeding as provided in 303.44 of this part or a full evidentiary hearing as provided in 303.45 of this part, whichever is determined by the Assistant Secretary to be appropriate. (f)(g) Reserved (h) The term Section 412 transaction means any contr

18、act, agreement or dis-cussion of a cooperative working ar-rangement within the scope of section 412 of the Act. (49 U.S.C. 1382). (i) Reserved 50 FR 31142, July 31, 1985, as amended by Amdt. 3032, 54 FR 33499, Aug. 15, 1989; Amdt. 1261, 59 FR 10061, Mar. 3, 1994 303.03 Requirement to file applica-ti

19、on. A person who seeks approval of a sec-tion 412 transaction must file with the Documentary Services Division an ap-plication that conforms to the require-ments set forth in 303.04 and 303.05 of this part. Amdt. 3032, 54 FR 33499, Aug. 15, 1989 303.04 General rules governing appli-cation content, p

20、rocedure and con-ditions of approval. (a) Unless specifically exempted by these regulations or by an order of the Assistant Secretary, a person filing an application pursuant to 303.03 of this part shall prepare and file the applica-tion in the manner specified in this section. The application shall

21、 also con-tain the information required by sub-part D of this part. An application may be deemed incomplete if it is not in substantial compliance with these re-quirements. (b) The parties to the transaction may file either separate applications or one joint application so long as all the informatio

22、n required herein is sub-mitted for each party to the trans-action. The Assistant Secretary or Ad-ministrative Law Judge, if the matter has been assigned to a judge, upon his or her initiative or upon application, may order the target company or other VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO

23、 00000 Frm 00332 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-323 Office of the Secretary, DOT 303.06 persons to submit some or all of the in-formation required by t

24、his subpart, or other information under 14 CFR 302.25. (c) Each page of the application and each document submitted with the ap-plication shall be marked with the name, initials, or some other identi-fying symbol of the applicant. The ap-plication shall also indicate the date of preparation and the

25、name and cor-porate position of the preparer. (d) Where the required information is in data processing equipment, on microfilm, or is otherwise not eye- readable, the applicant shall provide such information in eye-readable form. (e) The information provided by the applicant shall be updated in a ti

26、mely fashion throughout the period of con-sideration of the application. (f) If any information or documents required by the applicable subpart are not available, the applicants shall file an affidavit executed by the individual responsible for the search explaining why they cannot be produced. (g)

27、The Assistant Secretary or the Administrative Law Judge may order any applicant to submit information in addition to that required by the appli-cable subpart. (h) An applicant may withhold a doc-ument required by this part on the grounds that it is privileged, but each document so withheld shall be

28、identi-fied and the applicant shall supply a brief description of the nature of the document, a written statement indi-cating the basis of the privilege claimed, and the names of the pre-parers and recipients of the document. If any interested party contests the as-sertion of privilege, the document

29、 shall be promptly submitted to the Assistant Secretary, or the Administrative Law Judge, if the matter has been assigned to a Judge. Where appropriate, an in camera inspection may be ordered. (i) The person submitting the appli-cation to the Department shall send a complete copy of the application

30、to the Chief, Transportation Section, Anti-trust Division of the Department of Justice, at the same time as it is filed with the Documentary Services Divi-sion. (j) The applicant shall, if requested, be responsible for expeditiously pro-viding the application to any inter-ested person, whether or no

31、t a party. (k) Unless otherwise specified in this subpart, all applications shall conform generally to the requirements set forth in 14 CFR part 302, subpart A. (l) In exceptional circumstances, the Assistant Secretary may waive or alter the procedural requirements of this part to permit a transacti

32、on to proceed on an expedited basis. 50 FR 31142, July 31, 1985, as amended by Amdt. 3022, 54 FR 33499, Aug. 15, 1989; 65 FR 6456, Feb. 9, 2000 303.05 Applications requesting anti-trust immunity. (a) Each application must state ex-plicitly whether or not the applicant seeks antitrust immunity under

33、the provisions of section 414 of the Act. If antitrust immunity is requested, the application should specify whether the applicant seeks full immunity or im-munity only from the provisions of sec-tions 4, 4a and 4c of the Clayton Act, 15 U.S.C. 15, 15a, 15c. Each application seeking antitrust immuni

34、ty shall con-tain a statement explaining why the applicant believes immunity is in the public interest and necessary in order for the transaction to proceed. (b) Reserved (c) Any material misrepresentation of fact in such an application shall be grounds for rescission nunc pro tunc of any antitrust

35、immunity granted as a result of the misrepresentation. (d) A request for renewal of any im-munity granted does not operate under section 558 of Administrative Proce-dure Act, 5 U.S.C. 558(c), to extend the period of immunity conferred. 50 FR 31142, July 31, 1985, as amended by Amdt. 3032, 54 FR 3349

36、9, Aug. 15, 1989 303.06 Review of antitrust immunity. The Assistant Secretary may initiate a proceeding to review any antitrust immunity previously conferred by the Civil Aeronautics Board or the Depart-ment in any section 412 transaction. The Assistant Secretary may termi-nate or modify such immuni

37、ty if the Assistant Secretary finds after notice and hearing that the previously con-ferred immunity is not consistent with the provisions of section 414. In any proceeding to review such immunity, VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00333 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 2

38、23046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-324 14 CFR Ch. II (1111 Edition) 303.07 the proponents of the immunity will have the burden of justifying the con-tinuation of previously conferred im-munity

39、 under the provisions of section 414. Amdt. 3032, 54 FR 33499, Aug. 15, 1989 303.07 Transitional rule. If a section 412 application or a re-quest for antitrust immunity under section 414 is pending on the date this part is amended, such application or request shall be deemed made pursuant to the pro

40、visions of this part, as amended. Amdt. 3032, 54 FR 33499, Aug. 15, 1989 Subpart B Reserved 303.10303.19 Reserved Subpart C Reserved 303.20303.24 Reserved Subpart DSection 412 Applications 303.30 General provisions concerning contents of applications. A Section 412 application shall con-tain the fol

41、lowing general information: (a) The name, mailing address and primary line of business of each party to the contract, agreement or request for authority to discuss a possible co-operative working arrangement. (b) If the contract or agreement for which approval is sought is not evi-denced by a resolu

42、tion of an air carrier association, the application shall con-tain a copy of the contract or agree-ment that is certified to be true and complete by each party to the contract of agreement. If the contract or agree-ment is set forth in an exchange of cor-respondence, copies of all such cor-responden

43、ce must be submitted and must be certified as true and complete by all parties to the contract or agree-ment. If the contract or agreement is oral, a memorandum fully describing the agreement must be submitted and must be certified as true and complete by all parties to the contract or agree-ment. I

44、f approval is sought for a re-quest for authority to discuss a pos-sible cooperative working arrange-ment, the application shall contain a complete description of the possible co-operative working arrangement and all matters to be discussed. The descrip-tion shall be certified to be true and complet

45、e by each party to the proposed discussion. (c) If the contract, agreement or re-quest for authority to discuss a cooper-ative working arrangement is evi-denced by a resolution or other action of an air carrier association, the appli-cation shall contain the resolution or other action and a certific

46、ation by an authorized employee of the association that the resolution or other action was duly adopted on a certain date. The au-thorized employee shall also specify in such certification the name of each air carrier that concurred in such resolu-tion or other action and the name of each air carrie

47、r member that did not concur. Contracts, agreements and re-quests for authority to discuss coopera-tive working arrangements may be filed in this manner only if the Asso-ciation has complied with 14 CFR part 263. 303.31 Justification for the applica-tion. A section 412 application shall ex-plain the

48、 nature and purpose of the contract, agreement or request to dis-cuss a cooperative working arrange-ment and describe how it changes any price, rule or practice existing under a previously-approved application. The application also, consistent with De-partment of Transportation and CAB precedent, shall contain factual mate-rial, documentation and argument in support of the application. Economic analyses, when required, shall include full explanatory details, including data sources and allocation methods. If the applicants intend to rely