14 CFR 211.20 - Initial foreign air carrier permit or transfer of a permit.

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§ 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.

(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.

(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 preceding 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]

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code
U.S. Code: Title 49 - TRANSPORTATION

§ 40101 - Policy

§ 40102 - Definitions

§ 40103 - Sovereignty and use of airspace

§ 40104 - Promotion of civil aeronautics and safety of air commerce

§ 40105 - International negotiations, agreements, and obligations

§ 40106 - Emergency powers

§ 40107 - Presidential transfers

§ 40108 - Training schools

§ 40109 - Authority to exempt

§ 40110 - General procurement authority

§ 40111 - Multiyear procurement contracts for services and related items

§ 40112 - Multiyear procurement contracts for property

§ 40113 - Administrative

§ 40114 - Reports and records

§ 40115 - Withholding information

§ 40116 - State taxation

§ 40117 - Passenger facility charges

§ 40118 - Government-financed air transportation

§ 40119 - Security and research and development activities

§ 40120 - Relationship to other laws

§ 40121 - Air traffic control modernization reviews

§ 40122 - Federal Aviation Administration personnel management system

§ 40123 - Protection of voluntarily submitted information

§ 40124 - Interstate agreements for airport facilities

§ 40125 - Qualifications for public aircraft status

§ 40126 - Severable services contracts for periods crossing fiscal years

§ 40127 - Prohibitions on discrimination

§ 40128 - Overflights of national parks

§ 40129 - Collaborative decisionmaking pilot program

§ 41101 - Requirement for a certificate

§ 41102 - General, temporary, and charter air transportation certificates of air carriers

§ 41103 - All-cargo air transportation certificates of air carriers

§ 41104 - Additional limitations and requirements of charter air carriers

§ 41105 - Transfers of certificates

§ 41106 - Airlift service

§ 41107 - Transportation of mail

§ 41108 - Applications for certificates

§ 41109 - Terms of certificates

§ 41110 - Effective periods and amendments, modifications, suspensions, and revocations of certificates

§ 41111 - Simplified procedure to apply for, amend, modify, suspend, and transfer certificates

§ 41112 - Liability insurance and financial responsibility

§ 41113 - Plans to address needs of families of passengers involved in aircraft accidents

§ 41301 - Requirement for a permit

§ 41302 - Permits of foreign air carriers

§ 41303 - Transfers of permits

§ 41304 - Effective periods and amendments, modifications, suspensions, and revocations of permits

§ 41305 - Applications for permits

§ 41306 - Simplified procedure to apply for, amend, modify, and suspend permits

§ 41307 - Presidential review of actions about foreign air transportation

§ 41308 - Exemption from the antitrust laws

§ 41309 - Cooperative agreements and requests

§ 41310 - Discriminatory practices

§ 41311 - Gambling restrictions

§ 41312 - Ending or suspending foreign air transportation

§ 41313 - Plans to address needs of families of passengers involved in foreign air carrier accidents

§ 41501 - Establishing reasonable prices, classifications, rules, practices, and divisions of joint prices for foreign air transportation

§ 41502 - Establishing joint prices for through routes with other carriers

§ 41503 - Establishing joint prices for through routes provided by State authorized carriers

§ 41504 - Tariffs for foreign air transportation

§ 41505 - Uniform methods for establishing joint prices, and divisions of joint prices, applicable to commuter air carriers

§ 41506 - Price division filing requirements for foreign air transportation

§ 41507 - Authority of the Secretary of Transportation to change prices, classifications, rules, and practices for foreign air transportation

§ 41508 - Authority of the Secretary of Transportation to adjust divisions of joint prices for foreign air transportation

§ 41509 - Authority of the Secretary of Transportation to suspend, cancel, and reject tariffs for foreign air transportation

§ 41510 - Required adherence to foreign air transportation tariffs

§ 41511 - Special prices for foreign air transportation

§ 41701 - Classification of air carriers

§ 41702 - Interstate air transportation

§ 41703 - Navigation of foreign civil aircraft

§ 41704 - Transporting property not to be transported in aircraft cabins

§ 41705 - Discrimination against handicapped individuals

§ 41706 - Prohibitions against smoking on passenger flights

§ 41707 - Incorporating contract terms into written instrument

§ 41708 - Reports

§ 41709 - Records of air carriers

§ 41710 - Time requirements

§ 41711 - Air carrier management inquiry and cooperation with other authorities

§ 41712 - Unfair and deceptive practices and unfair methods of competition

§ 41713 - Preemption of authority over prices, routes, and service

§ 41714 - Availability of slots

§ 41715 - Phase-out of slot rules at certain airports

§ 41716 - Interim slot rules at New York airports

§ 41717 - Interim application of slot rules at Chicago O’Hare International Airport

§ 41718 - Special rules for Ronald Reagan Washington National Airport

§ 41719 - Air service termination notice

§ 41720 - Joint venture agreements

§ 41721 - Reports by carriers on incidents involving animals during air transport

§ 41722 - Delay reduction actions

§ 41723 - Notice concerning aircraft assembly

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