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| Order of the Civil Aviation Administration of China | | 中国民用航空总局令 |
(No. 149) | |
（第149号） |
The Provisions on the Administration of Alliance, Reorganization or Restructure of Civil Aviation Enterprises or Airports, which were adopted at the executive meeting of the Civil Aviation Administration of China on July 18, 2005, are hereby promulgated and shall come into force as of August 20, 2005. | |
《民用航空企业机场联合重组改制管理规定》已经2005年7月18日中国民用航空总局局务会议通过，现予公布，自2005年8月20日起施行。 |
Director General Yang Yuanyuan | |
局长：杨元元 |
July 20, 2005 | |
二00五年七月二十日 |
Provisions on the Administration of Alliance, Reorganization or Restructure of Civil Aviation Enterprises or Airports | |
民用航空企业机场联合重组改制管理规定 |
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| Chapter I General Provisions | | 第一章 总则 |
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| Article 1 In order to regulate the alliance, reorganization or restructure of civil aviation enterprises or airports, ensure safe production and aviation, promote the establishment of a fair, orderly and competitive market order, prevent any monopoly or malicious competition and safeguard the legitimate rights and interests of the state, enterprises, airports and consumers, the present Provisions are formulated according to the provisions of the Administrative Licensing Law of the People's Republic of China and of the Decision of the State Council on Establishing Administrative Licensing on the Administrative Examination and Approval Items That Really Need to Be Preserved on the examination and licensing items of alliance, reorganization, purchase of stocks or restructure of civil aviation enterprises or airports and other relevant laws and regulations. | | 第一条 为规范民用航空企业、机场联合重组改制行为，保证安全生产和安全飞行，推进建立公平有序竞争的市场秩序，防止垄断和恶性竞争，维护国家、企业、机场和消费者的合法权益，根据《中华人民共和国行政许可法》、《国务院对确需保留的行政审批项目设定行政许可的决定》中有关设定民航企业及机场联合、重组、参股和改制审核许可项目的规定和其他有关法律、法规，制定本规定。 |
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| Article 2 The present Provisions shall apply to the following acts of alliance, reorganization or restructure of civil aviation enterprises or airports (hereinafter referred to as civil aviation enterprises): | | 第二条 本规定适用于民用航空企业、机场（以下统称民航企业）的下列联合重组改制行为： |
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| (1)The term “alliance” means that two or more civil aviation enterprises with independent legal-person status are allied into one enterprise. | | （一）合并，指两个或两个以上具有独立法人资格的民航企业合并为一家企业。 |
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| (2)The term “purchase of stocks” means that two or more civil aviation enterprises with independent legal-person status purchase stocks there between or a non-civil aviation enterprise purchases the stock of any civil aviation enterprise. | | （二）参股，指两个或两个以上具有独立法人资格的民航企业之间投资参股和非民航企业向民航企业投资参股。 |
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| (3)The term “restructure of the corporation system” means that a civil aviation enterprise with independent legal-person status and a single investor is reformed into a limited liability corporation or a joint stock company. | | （三）公司制改制，指具有独立法人资格、单一投资主体的民航企业改制为有限责任公司或股份有限公司。 |
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| (4)The term “reorganization of stock right” means that a civil aviation enterprise with the legal-person status alters the structure of stock right except the case that the shareholders of a listed company that hold less than 5% of tradable shares change; | | （四）股权重组，指具有公司法人资格的民航企业改变股权结构，但上市公司流通股5%股份以下持有者发生变化除外。 |
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| (5)The term “split-up” means that a civil aviation enterprise with independent legal-person status is split up into two or more civil aviation enterprises with independent legal-person status. | | （五）分立，指一个具有独立法人资格的民航企业分立为两个或两个以上具有独立法人资格的民航企业。 |
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| (6)Public offer of shares and listing of stocks. | | （六）公开发行募集股份和股票上市。 |
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| (7)Converting debt right into stock right and offering corporation bonds that may be converted into stocks. | | （七）债权转换股权以及发行可转换为股票的公司债券。 |
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| (8)Transferring ownership or operational right. | | （八）所有权、经营权转让。 |
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| (9)Contracted operation. | | （九）承包经营。 |
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| (10)Entrusted management. | | （十）委托管理。 |
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| (11)Lease. | | （十一）租赁。 |
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| (12)Any other act that may cause any change of asset owner, structure of stock right or operational right of a civil aviation enterprise. | | （十二）其它任何导致民航企业的资产所有者、股权结构和经营权发生改变的行为。 |
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| Article 3 The term “civil aviation enterprises” as mentioned in the present Provisions refers to but is not limited to such enterprises and civil airports (including the part for civil use of the airports that are used for both military and civil purposes) or legal-persons that have the operational rights thereof: public aviation transportation, central aviation, aviation fuel, computer information of aviation transportation, aircraft maintenance, the ground services of aviation transportation. | | 第三条 本规定所称民航企业，包括但不限于：公共航空运输、通用航空、航空油料、航空运输计算机信息、航空器维修、航空运输地面服务等企业和民用机场（包括军民合用机场的民用部分）或对其拥有经营权的法人。 |
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| Article 4 The alliance, reorganization or restructure of civil aviation enterprises shall meet the following requirements: | | 第四条 民航企业联合重组改制应当符合下列条件： |
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| (1)Meeting the provisions of the state on domestic investment in the civil aviation industry and foreign investment in the civil aviation industry and the provisions on combating monopoly and promoting fair competition; | | （一）符合国家国内投资民航业规定、外商投资民航业规定和反对垄断、推进公平竞争规定； |
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| (2)Meeting the policies of the state on industrial development and macro control; | | （二）符合国家产业发展和宏观调控政策； |
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| (3)Complying with the relevant laws, regulations and ministerial rules and regulations of the state; | | （三）符合国家有关法律、法规和政府部门规章； |
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| (4)Benefiting the guarantee of safe production and safe aviation; | | （四）有利于保证安全生产和安全飞行； |
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| (5)Benefiting equally the interests of the state, enterprises and consumers; and | | （五）有利于兼顾国家、企业、消费者利益； |
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| (6)The interested persons having no big demurral against the application for alliance, reorganization or restructure. | | （六）利害关系人对联合重组改制申请无重大异议。 |
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| Article 5 The alliance, reorganization or restructure of civil aviation enterprises shall be subject to the licensing of the Civil Aviation Administration of China (hereinafter referred to as the CAAC) or the regional administrative bureau of civil aviation of China (hereinafter referred to as the RABCA). In particular, the public offer of shares and listing of stocks by a civil aviation enterprise shall be subject to the examination of the CAAC. | | 第五条 民航企业联合重组改制应经中国民用航空总局（以下简称民航总局）或中国民用航空地区管理局（以下简称民航地区管理局）许可。其中民航企业公开发行募集股份和股票上市应经民航总局审核。 |
No civil aviation enterprise may carry out any alliance, reorganization or restructure without the licensing or examination of the CAAC or the RABCA. | |
未经民航总局或民航地区管理局许可、审核，民航企业不得联合重组改制。 |
The civil aviation enterprises that have been approved for alliance, reorganization or restructure and have been allied, reorganized or restructured shall be subject to the supervision and control of the CAAC or the RABCA. | |
已经许可并联合重组改制的民航企业应接受民航总局或民航地区管理局的监管。 |
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| Article 6 The CAAC shall take charge of the licensing and supervision of the alliance, reorganization or restructure of civil aviation enterprises in different regions and the examination and supervision of public offer of shares, transfer of stock right and listing of shares of civil aviation enterprises. | | 第六条 民航总局负责民航企业跨地区联合重组改制的许可、监管以及民航企业公开发行募集股份、转让股权以及股票上市的审核、监管。 |
The RABCA shall take charge of the licensing and supervision of the alliance, reorganization or restructure of civil aviation enterprises within the administrative regions thereof. | |
民航地区管理局负责所辖区域内民航企业联合重组改制的许可、监管。 |
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| Chapter II Application, Acceptance and Decision | | 第二章 申请、受理、决定 |
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| Article 7 Where a civil aviation enterprise conducts alliance, reorganization or restructure with any other civil aviation enterprise within the administrative region under the jurisdiction of a same RABCA or the alliance, reorganization or restructure of its own, an application for licensing shall be filed with the RABCA where the relevant enterprise is located and shall be handle by the RABCA. Upon the approval of the RABCA, it shall be reported to the CAAC for archival filing. | | 第七条 民航企业与在同一民航地区管理局所辖区域内的其他民航企业联合重组改制或者本企业重组改制，许可申请向企业所在地民航地区管理局提出，由民航地区管理局办理。民航地区管理局准予许可后，报民航总局备案。 |
Where a civil aviation enterprise carries out any alliance, reorganization or restructure across regions, an application for licensing and examination shall be filed with the CAAC. The CAAC may handle it after soliciting the opinion of the RABCA where the civil aviation enterprise is located. Where a license is granted, it shall be reported to the RABCA where the civil aviation enterprise is located. | |
民航企业跨地区联合重组改制，许可申请和审核申请向民航总局提出。民航总局征求联合重组改制企业所在地民航地区管理局意见后办理。准予许可或审核同意的，应通报企业所在地民航地区管理局。 |
The handling of an application for licensing by the CAAC or the RABCA means that the CAAC or the RABCA carries out an examination over the application of an applicant and decides whether or not to accept it, whether or not to grant a license and whether or not to approve it upon examination. | |
民航总局、民航地区管理局办理许可申请，指对申请人的申请进行审查，并作出受理、不受理，准予许可、不准予许可，审核同意、审核不同意等决定。 |
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| Article 8 The following legal person, organization or natural person may be an applicant for the licensing or examination of alliance, reorganization or restructure of civil aviation enterprises: | | 第八条 下列法人、组织或自然人为民航企业联合重组改制许可申请人或审核申请人： |
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| (1)Any of all the parties that plan to merge or the asset owner thereof; | | （一）拟合并的各方或其资产所有者； |
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| (2)Any of all the parties that plans to purchase shares or whose shares are purchased or the asset owner thereof; | | （二）拟参股、被参股的各方或其资产所有者； |
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| (3)A civil aviation enterprise that plans to carry out any restructure of corporation system, reorganization of stock right, split-up, public offer of shares or listing of stocks, conversion from debt right into stock right or offer of corporation bonds that may be converted into stocks or the asset owner thereof; | | （三）拟进行公司制改制、股权重组、分立、公开发行募集股份和股票上市、债权转换股权以及发行可转换为股票的公司债券的民航企业或其资产所有者； |
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| (4)The seller that conducts a transfer of ownership or operational right or the purchaser; | | （四）拟进行所有权、经营权转让的出售方和购买方； |
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| (5)The contract-issuing party or the undertaking party in a planned contracted operation; | | （五）拟承包经营的发包方和承包方； |
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| (6)The entrusting party or the entrusted party in a planned entrusted management; | | （六）拟委托管理的委托方和受托方； |
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| (7)The leasing party or renting party in a planned lease; or | | （七）拟租赁的出租方和承租方； |
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| (8)Any other legal person(s), organization(s) or natural person(s) that may cause any change of the ownership, stock structure or operational right of civil aviation enterprises. | | （八）其它导致民航企业资产所有权、股份结构和经营权发生改变的双方或多方法人、组织、自然人。 |
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| Article 9 An applicant shall provide the following documents to the CAAC or the RABCA when applying for the licensing or examination of alliance, reorganization or restructure: | | 第九条 申请人向民航总局或民航地区管理局申请联合重组改制许可或审核应提供下列文件： |
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(1)Basic information of the applicant, including the photocopies of such certificates and licenses as the business license of the legal person, operational license and qualification certificate and the brief introduction to the asset and operation of the applicant;
．．．．．． | | （一）申请人的基本资料，包括法人执照、经营许可证、资质证书等证照复印件和申请人资产、经营等简况；
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