of oral contracts or agreements and of written instrument executed by the correspondence or resolutions evidencing parties. contracts or agreements shall be filed in the same manner, within 30 days after such contracts or agreements have been entered into between the parties. The time of filing prescribed herein may be extended by the Authority in exceptional circumstances upon proper appli cation therefor. (d) Who shall file. (1) The filing of copies of contracts and agreements which are required to be filed under the provisions of section 412 (a) of the Civil Aeronautics Act of 1938 shall be made by every air carrier who is a party thereto. However, if the required number of copies are filed by any air carrier who is a party to such contract or agreement, any other air carrier who is a party shall be deemed to have complied with this requirement if it transmits to the Authority, within the time prescribed by paragraph (c) of this section, a signed statement to the effect that it concurs in such filing. (2) The filing of copies of contracts or agreements evidenced by resolutions or other action of associations of air carriers may be effected in the following manner. The secretary or other authorized officer of the association may be designated as agent for the purpose of making such filing. Each air carrier who is a member of such association shall separately transmit to the Authority a written statement, signed by such air carrier, reciting that a designated person or persons holding the office of secretary or other office of the association, or that any person or persons holding a designated office or offices of the association is constituted the attorney in fact for the filing of copies of any contracts or agreements evidenced by resolution or other action of the association to which such air carrier may become a party. Such authorizations may be revoked at any time by any air carrier by giving formal notice of revocation to the Authority. (e) Certification and verification. (1) One copy of each formal written contract or agreement filed shall bear the certification of the secretary or other duly authorized officer of the filing party or parties to the effect that such copy is a true and complete copy of the original (2) One copy of each memorandum of oral contracts or agreements filed shall be verified by the secretary or other duly authorized officer of the filing party or parties to such oral contract or agreement. The person or persons verifying such memorandum shall set forth that they are fully familiar with all the terms and conditions of such oral contract or agreement and that the memorandum filed is a true and complete memorandum thereof. (3) Copies of correspondence evidencing contracts or agreements shall be accompanied by the certifications of the secretary or other duly authorized officer of the filing party or parties to the effect that such copies are true and complete copies of the originals of such correspondence. (4) One copy of each contract or agreement evidenced by resolution or other action of associations of air carriers shall bear the certification of the secretary of the association to the effect that such copy is a true and complete copy of the resolution duly adopted by the association on a certain date. The secretary shall also specify in such certification the names of each air carrier who concurred in such resolution or other action and the name of each air carrier member who did not so concur. (f) Modifications or cancellations. This section shall be applicable to all modifications or cancellations of contracts or agreements required to be filed under the provisions of section 412 (a) of the Civil Aeronautics Act of 1938. (g) Contracts Or agreements previously filed. Contracts or agreements which have been filed prior to the effective date hereof shall not be subject to the provisions of this section, except to the extent that the Authority may by appropriate request in particular cases require compliance with any specific provision or provisions hereof. (h) Effective date. This section shall be effective from and after the 1st day of August, 1939. (Secs. 205 (a), 412, 52 Stat. 984, 1004; 49 U.S.C., Sup., 425 (a), 492) [As amended by Reg. 412-A-1, Amdt. 1, Sept. 26, 1939, effective Aug. 1. 1939; 4 F.R. 4069] PART 280-FORMS AND APPLICATIONS 31, 1939, inclusive, in the persons mentioned in section 407 (c) of the Act. C. From and after January 1, 1940, each individual who is appointed or elected to the position of officer or director of any air carrier, and who has not transmitted to the Authority a report covering the preceding calendar year, shall transmit to the Authority, within 30 days after such appointment or election, a report covering the stocks and other interests held by him in the persons mentioned in section 407 (c) of the Act at any time from the beginning of the preced § 280.1 Reports of ownership of stock and other interests by officers and directors of air carriers. Reports describing the shares of stock and other interests held by officers and directors of air carriers required to be transmitted to the Authority pursuant to section 407 (c) of the Act shall be prepared and transmit-ing calendar year to and including the date ted in accordance with the instructions in "C. A. A. Form No. ER-1," and shall contain the information called for in said form. Said form and the instructions and other matter contained therein are hereby adopted by the Authority for such purpose. This section shall become effective immediately. (Secs. 205 (a), 407 E. Each report shall be prepared in trip(c), 52 Stat. 984, 1000; 49 U.S.C., Sup.,licate. Two copies, which shall be properly 425 (a), 487 (c)) [Reg., Oct. 3, 1939; 4 F.R. 4199] A. Section 407 (c) of the Civil Aeronautics Act of 1938 provides as follows: "Each officer and director of an air carrier shall annually and at such other times as the Authority shall require transmit to the Authority a report describing the shares of stock or other interests held by him in any air carrier, any person engaged in any phase of aeronautics, or any common carrier, and in any person whose principal business, in purpose or in fact, is the holding of stock in, or control of, air carriers, other persons engaged in any phase of aeronautics, or common carriers." B. Reports shall be filed annually on or before March 1st of each year, and shall be transmitted by each individual who was at any time during the preceding calendar year and at the time of making the report an officer or director of any air carrier. Such reports shall cover stocks and other interests held by such individuals at any time during the preceding calendar year in the persons mentioned in section 407 (c) of the Act, but need not cover any portion of said preceding calendar year covered by the reporting individual in any previous report filed pursuant to paragraph D hereof. However, the initial report filed on or before March 1, 1940, shall be transmitted by each individual who was at any time during the period from August 22, 1938 to December 31, 1939, inclusive, and at the time of making the report, an officer or director of any air carrier. Such initial report shall cover stocks and other interests held by such individuals at any time during the period from August 22, 1938 to December of the report. However, such report need not cover any portion of the preceding calendar year as may have been covered by the reporting individual in any previous report filed pursuant to this paragraph. D. Upon good cause shown, the Authority may grant an extension of time for the filing of any report required to be filed hereunder. executed and verified in accordance with the attached form of oath, shall be transmitted to the Bureau of Economic Regulation, Civil Aeronautics Authority, Washington, D. C. The third copy should be retained by the reporting individual for further reference in connection with correspondence with the Authority relating thereto. F. Reports should be prepared on strong, durable paper 81⁄2" by 10" in size, except that schedules may be larger but folded to that size. G. The cover page of each report shall be in the form attached, designated "Form of cover page." H. Insofar as practicable, reports should be typewritten, but if pen and ink are used, the ink should be black and of durable quality. All reports must be plainly legible. I. The information called for by each item should be fully and accurately reported. Each response shall bear the same numerical or alphabetical designation as the item calling for the information. Comprehenindividual's reasons for not fully reporting sive but succinct statements of the reporting any information called for should be given. "none," or where the item is not applicable, When the response to a particular item is that fact should be so stated. J. The reporting individual shall report direct and indirect interests, beneficial and non-beneficial interests, including interests (1) beneficially owned by him and held for him by any other person either in a "street name," or as trustee, or in any other capacity (2) beneficially owned by any other person and held by the reporting individual either as trustee, nominee, or in any other capacity (3) beneficially owned by the reporting individual and other persons (including but not limited to co-partnerships, trusts, joint tenancies, etc.). K. In reporting interests in persons "whose principal business, in purpose or in fact, is the holding of stock in, or control of air carriers, other persons engaged in any phase of aeronautics, or common carriers," | tively, give the following information with the reporting individual shall include all interests in any persons whose principal business, in purpose or in fact, is dealing in stocks of air carriers, other persons engaged in any phase of aeronautics, or common carriers. L. In reporting the name of any corporation, the exact corporate name shall be used. M. As used in this form: or (1) the term "interest" includes any type of security, including stocks, bonds, notes, debentures, evidence of indebtedness, any options, warrants, or rights to subscribe to any stocks, as well as any other pecuniary or proprietary interest of any nature whatsoever. Each interest shall be fully and adequately described in each schedule. (2) The term "person" has the meaning defined in the Civil Aeronautics Act of 1938 (any individual, firm, copartnership, corporation, company, association, joint stock association, or body politic; and includes any trustee, receiver, assignee, or other similar representative thereof.) 3. Unless the context otherwise requires, other words and phrases have the meaning defined in such Act. N. All records of air carriers or of officers and directors of air carriers containing the information called for in the attached form of report shall be maintained by the reporting individual in such manner as to be readily accessible, and shall be made available to the Authority or its duly authorized representative upon request. [Form of cover page] REPORT OF OWNERSHIP OF STOCK AND OTHER INTERESTS UNDER SECTION 407 (c) OF THE CIVIL AERONAUTICS ACT OF 1938 BY (Name of officer or director) (Post office address) respect to all shares of stock or other interests held by the reporting individual, beneficially or otherwise, directly or indirectly, (A) in any air carrier, (B) in any person engaged in any phase of aeronautics (C) in any common carrier, and (D) in any person whose principal business in purpose or in fact is the holding of stock in, or control of, air carriers, other persons engaged in any phase of aeronautics, or common carriers: (a) Correct name of person in which the interest is or was held; (b) Classes of stock or type and exact title of bond, note, or other interest; (c) Number of shares of each class of stock, or principal amount of bonds, notes, or other interests; (d) Par or stated value of stock; (e) Date of issue of bonds, notes, or interests other than stocks; (f) Date of maturity of bonds, notes or interests other than stocks; (g) Interest rate of bonds, notes or interests other than stocks; (h) Description of conversion rights, if any; (1) Description of voting rights, if any; (j) Date or dates of acquisition; (k) If disposed of, date or dates of disposition; (1) Names and addresses of any person by whom the interest is held for the reporting individual; (m) Names and addresses of any persons for whom the interest is held by the reporting individual: (n) If the interest is beneficially owned by the reporting individual together with other persons, the nature of the relationship (co-partnership, trust, etc.) In the case of stock or other interests listed on nationally known exchanges, the information required by items (d) to (i) inclusive, need not be reported, but reference should be made to that fact and the name of the exchange given. 1. Name and address of reporting individ- complete and accurate preparation of such ual. 2. Name of air carrier or air carriers and title of position or positions held therein. 3. Occupation of reporting individual. 4. On separate sheets which shall be designated as Schedule A, B, C, and D, respec report; that I have carefully examined or caused to be examined each and every answer or statement herewith submitted; that, to the best of my knowledge, information and belief, all of said answers and statements are true and correct, and completely state all relevant and material facts now available proceeding. from the aforesaid books, records, and other | Any matter not disposed of informally sources of information; that each and every may be made the subject of a formal question is fully and completely answered, except as otherwise described and explained, and that I, or others at my direction and under my general supervision, have made diligent efforts to obtain all facts necessary to make each and every answer full and complete. Sec. 285.1 Proceedings. (b) Conformity to rules. Any person wishing to institute a proceeding should consult the rules, regulations and orders of the Authority under the various sections of the Act. The Authority's rules, regulations and orders are numbered to correspond with the section numbers of the Act and any person wishing to proceed under any particular section of the Act may readily ascertain whether the Authority has issued any rules, regulations, or orders under such section. (c) Requirements in absence of rules. In case there is no rule, regulation or order of the Authority which prescribes the contents of the formal application, complaint or petition in a given case, the 285.2 General requirements as to papers in application, complaint or petition should proceedings. 285.3 Form and filing of documents. 285.4 Appearances by third persons and formal interventions. 285.5 Hearings, argument, examiner's report and proceedings subsequent thereto. 285.6 Exhibits. 285.7 Hearings before the Authority and before boards of examiners. 285.8 Petition for rehearing, reargument, or reconsideration. 285.9 Memoranda in opposition or support. § 285.1 Proceedings. There shall be one form of formal proceeding (to be known as a "proceeding") under Title IV and section 1002 (d)-(i) of the Act. A proceeding may be instituted (1) by order to show cause or other process of the Authority, (2) by the filing with the Authority of a formal application, complaint or petition.*+ * §§ 285.1 to 285.9, inclusive, issued under the authority contained in secs. 205 (a), 1001, 52 Stat. 984, 1017; 49 U.S.C., Sup., 425 (a), 641. In §§ 285.1 to 285.9, inclusive, the numbers to the right of the decimal point correspond with the respective rule numbers in Rules of Practice under Title IV and section 1002 (d) to (1) of the Civil Aeronautics Act of 1938, Civil Aeronautics Authority, May 9, 1939; 4 F.R. 1998. § 285.2 General requirements as to papers in proceedings—(a) Informal complaints. Complaints may be made to the Authority informally by letter or other writing and matters so presented may, if their nature warrants, be taken up by correspondence or conference with the person or persons complained of. contain a concise but complete statement of the facts relied upon as the basis for the relief sought. The names and addresses of the persons, if any, against whom relief is sought, should also be set forth in full. (d) Insufficient allegations. In any case where the Authority is of the opinion that a formal application, complaint or petition does not sufficiently set forth the material required to be set forth by any applicable rule, regulation or order of the Authority, or is otherwise insufficient, the Authority may advise the party filing the same of the deficiency and require that any additional information be supplied by amendment. (e) Answers. Answers to formal complaints, petitions and orders to show cause will not usually be required. In case the Authority deems an answer to be desirable, the parties will be notified.*+ § 285.3 Form and filing of documents-(a) Execution, number of copies, and service. Unless otherwise required by applicable rule or regulation, every application, petition and formal complaint relating to any of the provisions of Title IV or of section 1002 (d)-(i) of the Act, and every answer or other formal document in any such proceeding, shall be signed by, or on behalf of, the person filing the same, and shall be verified by the person signing the same, in the manner required by paragraph (b) of this section. Briefs and exceptions to reports of examiners shall be signed but need not | tion, waive strict compliance with any rebe verified. Any general partner may quirement of this section.*† With sign on behalf of a partnership. Docu§ 285.4 Appearances by third persons ments filed by a corporation, business and formal interventions-(a) Appeartrust or other similar organization must ances. Any person, including any state, be signed by an officer who is duly au- political subdivision thereof, state aviathorized to take such action. An exe- tion commission, or other public body, cuted original copy of each such docu- may appear at any hearing and present ment, and nine true copies thereof, which any evidence which is relevant to the isneed not be signed or verified, but which sues. Such persons may also suggest should have typed or facsimile signa- questions or interrogatories to be protures, shall be filed with the Authority. pounded by counsel for the Authority to Each person filing any such document witnesses called by other persons. shall furnish such additional copies and the consent of the examiner, or of the shall make such service of the docu- Authority, if the hearing is held before ment on other persons as the Authority the Authority, such persons may also may at any time require. Such docu- cross-examine witnesses directly. ments shall be delivered in person, through the mails, or otherwise, to the Civil Aeronautics Authority in Washington, D. C., and shall be deemed to have been filed on the date on which they are actually received by the Authority. (b) Verification. Every verification shall set forth that the person verifying the document has read and is familiar with the contents thereof and the attached exhibits, if any; that he intends and desires that in granting or denying the relief requested, the Authority shall place full and complete reliance upon the accuracy of each and every statement therein contained; that he is familiar with the facts therein set forth; that to the best of his information and belief, every statement contained in the instrument is true and no such statement is misleading. Papers may be reproduced by printing or by any other process, provided the copies are clear and legible. Appropriate notes or other indications should be used, so that the existence of deficits and any other matters normally shown in color will be accurately indicated on photostatic copies. (c) Formal specifications of papers. All papers filed in proceedings should be on strong, durable paper not larger than 82" by 13" in size except that tables, charts and other documents may be larger, folded to approximately that size. The left margin should be at least 12" wide and, if the document is bound, it should be bound on the left side. (d) Waiver of strict compliance with rule. The Authority may, in its discre (b) Formal interventions. Any person having a substantial interest in the subject matter of any proceeding may ask leave to intervene in such proceeding and become a party thereto upon compliance with the provisions of this paragraph. In general, such motions will not be granted unless the Authority, or, in appropriate cases, the examiner, shall find: (1) That such person has a statutory right to be made a party to such proceeding, or, (2) That such person will or may be bound by the order to be entered in the proceeding, or, (3) That such person has a property or financial interest which may not be adequately represented by existing parties, if such intervention would not unduly broaden the issues or delay the proceeding. However, the denial of such a motion for leave to intervene shall not prevent the moving person from participating in the proceeding in the manner described in paragraph (a) or (b) of this section. Except for good cause clearly shown, every motion for leave to intervene shall be filed with the Authority not less than 5 days before the date set for the first hearing of the proceeding. Copies of the motion papers shall be mailed or delivered to each party to the proceeding prior to the filing of the motion. The Authority, however, may pass upon any such motion without receiving testimony or argument either from the moving person or from other parties to the proceeding. The motion papers shall clearly set Page 1055 For statutory and source citations, see note to § 285.1. |