[Code of Federal Regulations]

[Title 14, Volume 4]

[Revised as of January 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 14CFR211.20]



[Page 25-27]

 

                     TITLE 14--AERONAUTICS AND SPACE

 

   CHAPTER II--OFFICE OF THE SECRETARY, DEPARTMENT OF TRANSPORTATION 

                         (AVIATION PROCEEDINGS)

 

PART 211_APPLICATIONS FOR PERMITS TO FOREIGN AIR CARRIERS--Table of 

Contents

 

                   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



[[Page 26]]



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;



[[Page 27]]



    (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 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]