FAA 14 CFR PART 204-2011 DATA TO SUPPORT FITNESS DETERMINATIONS《支持适当性决定的数据》.pdf

1、10 14 CFR Ch. II (1111 Edition) 203.3 298 of this chapter that (a) are not com-muter air carriers, (b) do not partici-pate in interline agreements, and (c) do not engage in foreign air transpor-tation. 203.3 Filing requirements for adher-ence to Montreal Agreement. All direct U.S. and foreign air ca

2、r-riers shall have and maintain in effect and on file in the Departments Docu-mentary Services Division (Docket 17325) on OST Form 4523 a signed coun-terpart to Agreement 18900, an agree-ment relating to liability limitations of the Warsaw Convention and Hague Protocol approved by CAB Order E 23680,

3、 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 be-comes a party. U.S. air taxi operators registering under part 298 of this chap-ter and

4、 Canadian charter air taxi oper-ators registering under part 294 of this chapter may comply with this require-ment by filing completed OST Forms 4507 and 4523, respectively, in accord-ance with the provisions of those parts. Docket No. 47939, 57 FR 40100, Sept. 2, 1992, as amended at 60 FR 43523, Au

5、g. 22, 1995; 70 FR 25767, May 16, 2005 203.4 Montreal Agreement as part of airline-passenger contract and con-ditions of carriage. (a) As required by the Montreal Agreement, carriers that are otherwise generally required to file tariffs shall file with the Departments Tariffs Divi-sion a tariff that

6、 includes the provi-sions of the counterpart to Agreement 18900. (b) As further required by that Agree-ment, each participating carrier shall include the Agreements terms as part of its conditions of carriage. The par-ticipating carrier shall give each of its passengers the notice required by the Mo

7、ntreal Agreement as provided in 221.175 of this chapter. (c) Participation in the Montreal Agreement, whether by signing the Agreement, filing a signed counterpart to it under 203.3, or by operation of law under 203.5, shall constitute a spe-cial agreement between the carrier and its passengers as a

8、 condition of car-riage that a liability limit of not less than $75,000 (U.S.) shall apply under Ar-ticle 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 negligen

9、t. (The reporting provisions contained in para-graph (a) were approved by the Office of Management and Budget under control num-ber 30240064.) ER1324, 48 FR 8044, Feb. 25, 1983, as amend-ed by ER1338, 48 FR 31013, July 6, 1983; Dock-et No. 47939, 57 FR 40100, Sept. 2, 1992 203.5 Compliance as condit

10、ion on op-erations in air transportation. It shall be a condition on the author-ity of all direct U.S. and foreign car-riers 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 carrier

11、s other-wise 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 for-eign air carrier issued license author-ity (including exemptions) by the De-partment or operat

12、ing in air transpor-tation 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 exe-cuted counterpart to that Agreement and tariff. ER1324, 48 FR 8044, Feb. 25, 1983, as amend-ed by Docket No. 47939, 5

13、7 FR 40100, Sept. 2, 1992 PART 204DATA TO SUPPORT FITNESS DETERMINATIONS Subpart AGeneral Provisions Sec. 204.1 Purpose. 204.2 Definitions. Subpart BFiling Requirements 204.3 Applicants for new certificate or com-muter air carrier authority. 204.4 Carriers proposing to provide essential air service.

14、 VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00020 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-,-,-11 Office of the Secretary, DOT 204.2 204.5 Certificat

15、ed and commuter air carriers undergoing or proposing to undergo sub-stantial change in operations, ownership, or management. 204.6 Certificated and commuter air carriers proposing a change in operations, owner-ship, or management which is not sub-stantial. 204.7 Revocation for dormancy. AUTHORITY: 4

16、9 U.S.C. Chapters 401, 411, 417. SOURCE: Docket No. 47582, 57 FR 38766, Aug. 27, 1992, unless otherwise noted. Subpart AGeneral Provisions 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 servi

17、ce 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 requi

18、rements applicable to carriers that hold dor-mant authority. 72 FR 20036, Apr. 23, 2007 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 Stat-ute auth

19、orizing the transportation by aircraft in interstate air transpor-tation of only property or only mail, or both. (b) Certificate authority means author-ity to provide air transportation grant-ed by the Department of Transpor-tation or Civil Aeronautics Board in the form of a certificate of public co

20、n-venience and necessity under section 41102 of the Statute or an all-cargo air transportation certificate to perform all-cargo air transportation under sec-tion 41103 of the Statute. Certificated carriers are those that hold certificate authority. (c) Citizen of the United States means: (1) An indi

21、vidual who is a citizen of the United States; (2) A partnership each of whose part-ners is an individual who is a citizen of the United States; or (3) A corporation or association orga-nized under the laws of the United States or a State, the District of Co-lumbia, or a territory or possession of th

22、e United States, of which the presi-dent and at least two-thirds of the board of directors and other managing officers are citizens of the United States, which is under the actual con-trol of citizens of the United States, and in which at least 75 percent of the voting interest is owned or controlle

23、d 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 car-ries passengers on at least five round trips per week on at least one route be-tween two or more points according to its published f

24、light 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 sec-tion 419 of the Federal Aviation Act of 1958 as in effect before October 1, 1988; (2) Receive

25、d scheduled air transpor-tation at any time between January 1, 1990, and November 4, 1990; and (3) Is not listed in Department of Transportation Orders 89937 and 89 1252 as a place ineligible for com-pensation under Subchapter II of Chap-ter 417 of the Statute. (f) Essential air service is that air

26、transportation which the Department has found to be essential under Sub-chapter II of Chapter 417 of the Stat-ute. (g) Fit means fit, willing, and able to perform the air transportation in ques-tion properly and to conform to the provisions of the Statute and the rules, regulations and requirements

27、issued under the Statute. (h) Interstate air transportation means the transportation of passengers or property by aircraft as a common car-rier for compensation, or the transpor-tation of mail by aircraft (1) Between a place in (i) A State, territory, or possession of the United States and a place i

28、n the VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00021 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-,-,-12 14 CFR Ch. II (1111 Edition) 204.3 District of

29、 Columbia or another State, territory, or possession of the United States; (ii) Hawaii and another place in Ha-waii through the airspace over a place outside Hawaii; (iii) The District of Columbia and an-other place in the District of Columbia; or (iv) A territory or possession of the United States

30、and another place in the same territory or possession; and (2) When any part of the transpor-tation is by aircraft. (i) Key personnel include the direc-tors, president, chief executive officer, chief operating officer, all vice presi-dents, the directors or supervisors of operations, maintenance, an

31、d 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 opera

32、tions posed by the carriers limited experience. (k) Relevant corporations are the ap-plicant 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 inter

33、est), and any company (including a sole proprietorship or partnership) which has a significant fi-nancial or managerial influence on the applicant or air carrier. The latter in-cludes: (1) Any company (including a sole proprietorship or partnership) holding more than 50 percent of the out-standing v

34、oting 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 ap-plicant or air carrier and which has significant influence over the applicant or air carrier as indica

35、ted, for example, by 25 percent representation on the board of directors, participation in pol-icy-making processes, substantial inter-company transactions, or mana-gerial personnel with common respon-sibilities in both companies. (l) Substantial change in operations, ownership, or management includ

36、es, but is not limited to, the following events: (1) Changes in operations from char-ter to scheduled service, cargo to pas-senger service, short-haul to long-haul service, or (for a certificated air car-rier) small-aircraft to large-aircraft op-erations; (2) The filing of a petition for reorga-niza

37、tion or a plan of reorganization under Chapter 11 of the federal bank-ruptcy laws; (3) The acquisition by a new share-holder or the accumulation by an exist-ing shareholder of beneficial control of 10 percent or more of the outstanding voting stock in the corporation; and (4) A change in the preside

38、nt, chief executive officer or chief operating of-ficer, 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 bene-ficial control of 10 percent or more of the ou

39、tstanding voting stock. Docket No. 47582, 57 FR 38766, Aug. 27, 1992, as amended at 60 FR 43523, Aug. 22, 1995; 64 FR 12085, Mar. 11, 1999; 72 FR 20036, Apr. 23, 2007 Subpart BFiling Requirements 204.3 Applicants for new certificate or commuter air carrier authority. An applicant for a type of certi

40、ficate authority it does not currently hold or for commuter air carrier authority shall file the data set forth in para-graphs (a) through (v) of this section. In addition, the Department may re-quire an applicant to provide addi-tional data if necessary to reach an in-formed judgment about its fitn

41、ess. 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 car-riers fitness, the applicant may in-stead identify the data and pr

42、ovide a citation for the date(s) and place(s) of filing. Prior to filing any data, the ap-plicant may contact the Air Carrier Fitness Division to ascertain what data required by this section are already VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00022 Fmt 8010 Sfmt 8010 Y:SGML223046.

43、XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-13 Office of the Secretary, DOT 204.3 available to the Department and need not be included in the filing. NOTE: If the applicant intends to use as evide

44、nce data it has previously filed pursu-ant to part 241 reporting requirements and those data contain errors, the applicant must first file corrected reports in accord-ance with 241.22(g). (a) The name, address, and telephone number of the applicant. (b) The form of the applicants orga-nization. (c)

45、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 in-corporated, certifying that the appli-cant corporation is in good standing. (e) A swo

46、rn 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 appli-cant, including: (1) Their names and addresses; (2) The experience, expertise, and re-sponsibilities of each; (3) The number of shares of the appli-cant

47、s voting stock held by each and the percentage of the total number of such shares issued and outstanding, and the citizenship and principal busi-ness 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 officershi

48、ps, directorships, shares of stock (if 10 per-cent or more of total voting stock out-standing), and other interests each holds or has held in any air carrier, for-eign air carrier, common carrier, per-son substantially engaged in the busi-ness of aeronautics or persons whose principal business (in p

49、urpose or fact) is the holding of stock in or control of any air carrier, common carrier or per-son substantially engaged in the busi-ness of aeronautics. (g) A list of all persons having a sub-stantial interest in the applicant. Such list shall include: (1) Each persons name, address and citizenship; (2) The number of shares of the appli-cants voting stock held by each such person and the corresponding percent-age of the total number of s