UNITED STATES OF AMERICA

DEPARTMENT OF TRANSPORTATION

OFFICE OF THE SECRETARY

WASHINGTON, DC

Issued by the Department of Transportation on September 17, 2014

 NOTICE OF ACTION TAKEN -- DOCKETS DOT-OST-2014-0120 and DOT-OST-2004-19148 _______________________________________________________________________________________________________________________________________

This serves as notice to the public of the action described below, taken by the Department official indicated (no additional 

confirming order will be issued in this matter).

1. Docket DOT-OST-2014-0120

Application of GERMANWINGS GmbH (Germanwings), filed 7/15/2014 for:

XX Exemption under 49 U.S.C. § 40109 to provide the following service:

Scheduled foreign air transportation of persons, property and mail to the extent necessary to display the “UA*” 

designator code of United Airlines, Inc. (United) on Germanwings’ flights in conjunction with foreign air 

transportation (1) between European Union (EU) points; (2) between points in the EU and points in the European 

Common Aviation Area (ECAA) where an open-skies agreement is being applied; (3) between any point in the EU 

or an open-skies ECAA country and any open-skies point(s); and (4) beyond the EU to any point(s).

XX Blanket statement of authorization under 14 C.F.R. Part 212 in order to engage in the following code-share services:

Germanwings requests a blanket statement of authorization permitting it to display the “UA*” designator code of 

United on flights Germanwings operates in conjunction with foreign air transportation of persons, property and 

mail: (1) between EU points; (2) between points in the EU and points in the ECAA where an open-skies agreement 

is being applied; (3) between any point in the EU or an open-skies ECAA country and any open-skies point(s); and 

(4) beyond the EU to any point(s). 1 2

XX Waiver of the 45-day advance filing requirement under 14 CFR Part 212.

2. Docket DOT-OST-2004-19148 

Application of UNITED AIRLINES, INC. (United), filed 7/15/2014 for:

XX Amendment of blanket exemption for two years under 49 U.S.C. § 40109 to provide the following service:

Scheduled foreign air transportation of persons, property and mail between points in the United States and points 

worldwide on a third-country code-share basis pursuant to blanket code-sharing statements of authorization 

previously approved by the Department, under which United’s “UA” designator code is displayed on flights 

operated by its foreign code-share partners, as well as on flights operated by foreign carriers that are currently 

authorized, or that in the future become authorized, to operate flights on behalf of United’s blanket code-share 

foreign partners.

3 4 

 1 See initial codeshare points in Appendix D. 2 On July 16, 2014, Eurowings Luftverkehrs AG (Eurowings) filed an application in Docket DOT-OST-2009-0106 for amended 

exemption authority and a statement of authorization to the extent necessary to enable Eurowings to display United’s designator code 

on Eurowings flights operated on behalf of Germanwings. We are acting on that request concurrently. 3 The authorized foreign carriers are: Deutsche Lufthansa AG (Lufthansa), and other carriers that operate flights on Lufthansa’s behalf 

(Lufthansa CityLine, Air Dolomiti, Condor Flugdienst, and PrivatAir GmbH); Aer Lingus Limited (Aer Lingus); Air Canada and 

other carriers operating on its behalf (Air Canada Jazz, and Air Canada Rouge); All Nippon Airways Co. Ltd. (ANA); Air New 

Zealand Limited (ANZ); Asiana Airlines, Inc. (Asiana); Austrian Airlines, Osterreichische Luftverkehrs AG (Austrian); Avianca del 

Continente Americano S.A. Avianca (Avianca); Blue1 Ltd. (Blue1); Brussels Airlines N.V./S.A. (Brussels Airlines); Compania 

Panamena de Aviacion, S.A. (COPA); Croatia Airlines d.d. (Croatia); Eurowings Luftverkehrs AG (Eurowings); Ethiopian Airlines 

Enterprise (Ethiopian); EVA Airways Corporation (EVA); Jet Airways; Lauda Air Luftfahrt GmbH (Lauda); Polskie Linie Lotnicze 

LOT S.A. (LOT); Scandinavian Airlines System (SAS); Singapore Airlines Limited (Singapore); Swiss Air International Air Lines 
Applicant reps: Gerald F. Murphy and Steven J. Seiden (United) (202) 624-2500;

and Arthur J. Mollins (Deutsche Lufthansa AG and Germanwings) (516) 296-9234

DOT Analyst: Darren Jaffe (202) 366-2512

DISPOSITION

XX Granted, Germanwings’ exemption authority (subject to conditions, see below).

XX Granted, blanket statement of authorization to Germanwings (subject to conditions, see below)

XX Granted, waiver of 45-day advance filing requirement under 14 C.F.R. Part 212.

XX Granted, amendment of United’s blanket exemption authority (subject to conditions, see below).

The above action granting Germanwings exemption authority is effective: September 17, 2014, through September 17, 

2016.

The above action granting a blanket statement of authorization to Germanwings is effective: September 17, 2014 and will 

remain in effect indefinitely, subject to conditions. 

The above action granting a waiver of the advance filing requirement under 14 CFR Part 212 was effective: September

17, 2014.

The above action granting amended exemption authority to United is effective when taken: September 17, 2014, through

September 17, 2016.

Action taken by: Paul L. Gretch, Director

 Office of International Aviation

XX The authority is encompassed in the U.S.-EU Air Transport Agreement.

Except to the extent exempted or waived, this authority is subject to the terms, conditions, and limitations indicated:

XX United’s certificates of public convenience and necessity

XX Standard U.S. carrier exemption conditions (attached as Appendix A)

XX Standard foreign carrier exemption conditions (attached as Appendix B)

XX Conditions for Statements of Authorization granted here (attached as Appendix C)

XX Conditions attached to previously granted statements of authorization5

Special conditions/Remarks: We note that Germanwings is operationally and financially qualified to conduct the 

proposed services, and that it is substantially owned and effectively controlled in a manner consistent with the provisions 

 Ltd. d/b/a Swiss (Swiss); TAP Air Portugal (TAP); Turkish Airlines (Turkish); Tyrolean Airways, Tiroler Luftfahrt GmbH d/b/a 

Austrian Arrows (Tyrolean). 4 United requests that its blanket exemption authority be amended to permit it to also place its designator code on flights operated by 

Germanwings GmbH. 5 See Order 98-4-8, issued April 9, 1998 (Undocketed, United-Lufthansa) and Department actions dated July 25, 2008 (Docket DOTOST-2008-0176, United-Aer Lingus); May 6, 2009 (Docket DOT-OST-2009-0095, United-Air Canada); August 7, 1998 

(Undocketed, United-ANA); August 6, 1999 (Docket DOT-OST-1999-6013, United-ANZ); December 19, 2002 (Docket DOT-OST2002-13320, United-Asiana); March 13, 2000 (Docket DOT-OT-OST-2000-6803, United-Austrian); October 28, 2011 (Docket DOTOST-2011-0163, United-Avianca); February 10, 2012 (Docket DOT-OST-2010-0171, United – Blue1); March 2, 2010 (Docket DOTOST-2010-0024, United-Brussels); July 9, 1998 and June 15, 2012 (undocketed, United-COPA); November 4, 2013 (Docket DOTOST-2007-28897, United-Croatia); June 8, 2009 (Docket DOT-OST-2009-0106, United-Eurowings); June 13,2014 (Docket DOTOST-2014-0082 United-Ethiopian); June 11, 2012 (Docket DOT-OST-2012-0088, United-EVA); November 10, 2009 (Docket DOTOST-2008-0164, United-Jet Airways); March 22, 2001 (Docket DOT-OST-2000-7751, United-Lauda and United-Tyrolean); April 19, 

2004 (Docket DOT-OST-2004-17468, United-LOT); May 24, 1999 (Docket DOT-OST-1999-5251, United-SAS); October 17, 2000 

(Docket DOT-OST-2000-7696, United-Singapore); October 19, 2005 (Docket DOT-OST-2005-22464, United-Swiss); August 11, 

2005 (Docket DOT-OST-2005-21686, United-TAP); April 17, 2008 (Docket DOT-OST-2008-0102, United-Turkish).
of the U.S.-EU Agreement.6

 We also note that United has conducted a safety audit of Germanwings under the 

Department’s Code-Share Safety Audit Program, and the FAA has advised us that it has reviewed the relevant audit report 

and found it to be acceptable. 

United’s exemption authority to support code-share operations, whereby United would display its “UA” designator code 

on flights operated by current and future foreign carriers that operate flights on behalf of United’s authorized foreign 

blanket code-share partners, remains subject to the following conditions: 1) the foreign carriers must have the requisite 

permit or exemption authority and statement of authorization from the Department to perform the proposed services; and 

2) United must conduct and keep current an FAA-approved safety audit of the applicable foreign carriers under the 

Department’s Code-Share Safety Audit Program.

On the basis of data officially noticeable under Rule 24(g) of the Department's regulations, we found the applicants

qualified to provide the exemption services authorized. Under authority assigned by the Department in its regulations, 14 

CFR Part 385, we found that (1) our action was consistent with Department policy; (2) grant of the authority was 

consistent with the public interest; and (3) grant of the authority would not constitute a major regulatory action under the 

Energy Policy and Conservation Act of 1975. To the extent not granted, we denied all requests in the referenced Docket. 

We may amend, modify, or revoke the authority granted in this Notice at any time without hearing at our discretion.

Persons entitled to petition the Department for review of the action set forth in this Notice under the Department’s 

regulations, 14 CFR §385.30, may file their petitions within seven (7) days after the date of issuance of this Notice. This 

action was effective when taken, and the filing of a petition for review will not alter such effectiveness.

An electronic version of this document is available on the World Wide Web at:

http://www.regulations.gov

 6 We make this finding based on Article 2 (Reciprocal Recognition of Regulatory Determinations with Regard to Airline Fitness and 

Citizenship) of the Protocol to amend the U.S.-EU Air Transport Agreement, signed June 24, 2010.
Appendix A

U.S. Carrier Exemption Conditions

In the conduct of the operations authorized, the U.S. carrier applicant(s) shall:

(1) Hold at all times effective operating authority from the government of each country served;

(2) Comply with applicable requirements concerning oversales contained in 14 CFR 250 (for scheduled 

operations, if authorized);

(3) Comply with the requirements for reporting data contained in 14 CFR 241;

(4) Comply with requirements for minimum insurance coverage, and for certifying that coverage to the 

Department, contained in 14 CFR 205;

(5) Except as specifically exempted or otherwise provided for in a Department Order, comply with the 

requirements of 14 CFR 203, concerning waiver of Warsaw Convention liability limits and defenses;

(6) Comply with all applicable requirements of the Federal Aviation Administration, the Transportation 

Security Administration, and with all applicable U.S. Government requirements concerning security, 

including, but not limited to, 49 CFR Part 1544. To assure compliance with all applicable U.S. Government 

requirements concerning security, the holder shall, before commencing any new service (including charter 

flights) to or from a foreign airport, contact its Principal Security Inspector (PSI) to advise the PSI of its 

plans and to find out whether the Transportation Security Administration has determined that security is 

adequate to allow such airport(s) to be served;

(7) Comply with such other reasonable terms, conditions, and limitations required by the public interest as 

may be prescribed by the Department of Transportation, with all applicable orders and regulations of other 

U.S. agencies and courts, and with all applicable laws of the United States.

The authority granted shall be effective only during the period when the holder is in compliance with the 

conditions imposed above.

 

1/2008
Appendix B

Foreign Air Carrier Exemption Conditions

In the conduct of the operations authorized, the foreign carrier applicant shall:

(1) Not conduct any operations unless it holds a currently effective authorization from its homeland for such operations, 

and it has filed a copy of such authorization with the Department;

(2) Comply with all applicable requirements of the Federal Aviation Administration, the Transportation Security 

Administration, and with all applicable U.S. Government requirements concerning security, including, but not 

limited to, 14 CFR Parts 129, 91, and 36 and 49 CFR Part 1546 or 1550, as applicable. To assure compliance with 

all applicable U.S. Government requirements concerning security, the holder shall, before commencing any new 

service (including charter flights) from a foreign airport that would be the holder’s last point of departure for the 

United States, contact its International Industry Representative (IIR) (formerly referred to as International 

Principal Security Inspector) to advise the IIR of its plans and to find out whether the Transportation Security 

Administration has determined that security is adequate to allow such airport(s) to be served;

(3) Comply with the requirements for minimum insurance coverage contained in 14 CFR Part 205, and, prior to the 

commencement of any operations under this authority, file evidence of such coverage, in the form of a completed OST 

Form 6411, with the Federal Aviation Administration’s Program Management Branch (AFS-260), Flight Standards 

Service (any changes to, or termination of, insurance also shall be filed with that office);

(4) Not operate aircraft under this authority unless it complies with operational safety requirements at least equivalent to 

Annex 6 of the Chicago Convention;

(5) Conform to the airworthiness and airman competency requirements of its Government for international air 

services;

(6) Except as specifically exempted or otherwise provided for in a Department Order, comply with the requirements of 14 

CFR Part 203, concerning waiver of Warsaw Convention liability limits and defenses;

(7) Agree that operations under this authority constitute a waiver of sovereign immunity, for the purposes of 28 U.S.C. 

1605(a), but only with respect to those actions or proceedings instituted against it in any court or other tribunal in 

the United States that are: (a) based on its operations in international air transportation that, according to the 

contract of carriage, include a point in the United States as a point of origin, point of destination, or agreed 

stopping place, or for which the contract of carriage was purchased in the United States; or (b) based on a claim 

under any international agreement or treaty cognizable in any court or other tribunal of the United States. In this 

condition, the term "international air transportation" means "international transportation" as defined by the Warsaw 

Convention, except that all States shall be considered to be High Contracting Parties for the purpose of this 

definition;

(8) Except as specifically authorized by the Department, originate or terminate all flights to/from the United States in 

a Member State of the European Union;

(9) Comply with the requirements of 14 CFR Part 217, concerning the reporting of scheduled, nonscheduled, and 

charter data;

(10) If charter operations are authorized, except as otherwise provided in the applicable aviation agreement, comply 

with the Department's rules governing charters (including 14 CFR Parts 212 and 380); and

(11) Comply with such other reasonable terms, conditions, and limitations required by the public interest as may be 

prescribed by the Department, with all applicable orders or regulations of other U.S. agencies and courts, and with 

all applicable laws of the United States.

This authority shall not be effective during any period when the holder is not in compliance with the conditions 

imposed above. Moreover, this authority cannot be sold or otherwise transferred without explicit Department approval 

under Title 49 of the U.S. Code.

EU carrier 01/2008
Appendix C

The statement of authorization granted is subject to the following conditions:

(a) The statement of authorization will remain in effect only as long as (i) Germanwings and United continue to hold 

the necessary underlying authority to operate the code-share services at issue, and (ii) the code-share agreement 

providing for the code-share operations remains in effect.

(b) Germanwings and United must promptly notify the Department (Office of International Aviation) if the code-share 

agreement providing for the code-share operations is no longer effective or if the carriers decide to cease operating 

all or a portion of the approved code-share services. Such notices should be filed in Docket DOT-OST-2014-0120.

1

(c) Germanwings and/or United must notify the Department no later than 30 days before they begin any new codeshare service under the code-share services authorized here. Such notice shall identify the market(s) to be served, 

which carrier will be operating the aircraft in the code-share market added, and the date on which the service will 

begin.2 Such notices should be filed in Docket DOT-OST-2014-0120.

(d) The code-sharing operations conducted under this authority must comply with 14 CFR 257 and with any 

amendments to the Department’s regulations concerning code-share arrangements that may be adopted. 

Notwithstanding any provisions in the contract between the carriers, our approval here is expressly conditioned 

upon the requirements that the subject foreign air transportation be sold in the name of the carrier holding out such 

service in the computer reservation systems and elsewhere; that the carrier selling such transportation (i.e., the 

carrier shown on the ticket) accept responsibility for the entirety of the code-share journey for all obligations 

established in its contract of carriage with the passenger; that the passenger liability of the operating carrier be 

unaffected; and that the operating carrier shall not permit the code of its U.S. code-sharing partner to be carried on 

any flight that enters, departs, or transits the airspace of any area for whose airspace the Federal Aviation 

Administration has issued a flight prohibition.

(e) Any service provided shall be consistent with all applicable agreements between the United States and the foreign 

countries involved. Furthermore, (i) nothing in the award of this blanket statement of authorization should be 

construed as conferring upon United rights (including code-share, fifth-freedom intermediate and/or beyond rights) 

to serve markets where U.S. carrier rights are limited unless United notifies us of its intent to serve such market and 

unless and until the Department has completed any necessary carrier selection procedures to determine which 

carrier(s) should be authorized to exercise such rights;3 and (ii) should there be a request by any carrier to use the 

limited-entry route rights that are included in United’s authority by virtue of the blanket statement of authorization 

granted here, but that are not being used by United, the holding of such authority will not be considered as 

providing any preference for United in a carrier selection proceeding to determine which carrier(s) should be 

entitled to use the authority at issue.

(f) The authority granted here is specifically conditioned so that neither Germanwings nor United shall give any force 

or effect to any contractual provisions between themselves that are contrary to these conditions.

(g) We may amend, modify, or revoke the authority granted at any time without hearing at our discretion. 

 1 We expect this notification to be received within 10 days of such non-effectiveness or of such decision. 2 Pursuant to the Department’s Notice In the Matter of Blanket Notification of Code-Share Service to Open-Skies Partners and 

Points dated February 9, 2009, Germanwings and United have provided notification of their intent to engage in code-share services 

between EU points; between points in the EU and points in the ECAA where an open-skies agreement is being applied; and 

between any point in the EU or an open-skies ECAA country and any open-skies point(s). Germanwings and United will provide 

the Department with 30-day notice for code-share services to and from non-open-skies points or on routes for which they do not 

otherwise hold authority. See Appendix D. 3 The notice referenced in condition (c) above may be used for this notification.
APPENDIX D

INITIAL CODESHARE NOTICE

Germanwings and United provide blanket notification of their intent to engage in codeshare services:

• Between EU points;

• Between points in the EU and points in the ECAA where an open-skies agreement is being applied; 

and 

• Between any point in the EU or an open-skies ECAA country and any open-skies point(s).