UNITED STATES OF AMERICA

DEPARTMENT OF TRANSPORTATION

OFFICE OF THE SECRETARY

WASHINGTON, DC

Issued by the Department of Transportation on April 6, 2010

 NOTICE OF ACTION TAKEN -- DOCKETS DOT-OST-2010-0055, DOT-OST-2004-19148, 

and DOT-2003-16219

 

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-2004-19148: 

Application of UNITED AIR LINES, INC. (United), filed 3/2/10, for:

XX Amendment of exemption under 49 U.S.C. 40109 to provide the following service:

Scheduled foreign air transportation of persons, property and mail between 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.1 2

2. Docket DOT-OST-2003-16219:

Application of SPANAIR, filed 3/2/10, for:

XX Amendment of exemption under 49 U.S.C. 40109 to provide the following service:

Scheduled foreign air transportation of persons, property, and mail, through code-share service with any 

U.S. partner, including United, between any point or points in any Member State of the European 

Community, on the one hand, and any point or points in the U.S. and beyond to any point or points in third 

countries, on the other hand.3

3. Docket DOT-OST-2010-0055: 

Joint Application and Notice of UNITED and SPANAIR (collectively, “Joint Applicants”) filed 3/2/10, for 

blanket statements of authorization to permit:

United to display Spanair’s (JK*) designator code on flights operated by United between: (1) any point in the 

United States and any point in the European Union (EU) (either non-stop or via third country intermediate 

points); (2) any points within the United States in conjunction with services held out by Spanair to or from 

 

1 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); Air New Zealand Limited (ANZ); All Nippon 

Airways Co. Ltd. (ANA); Asiana Airlines, Inc. (Asiana); Austrian Airlines, Osterreichische Luftverkehrs AG (Austrian);

Brussels Airlines N.V./S.A. (Brussels Airlines); Lauda Air Luftfahrt GmbH (Lauda); Polskie Linie Lotnicze LOT S.A. (LOT); 

Scandinavian Airlines System (SAS); Singapore Airlines Limited (Singapore); Tyrolean Airways, Tiroler Luftfahrt GmbH 

d/b/a Austrian Arrows (Tyrolean); TAP Air Portugal (TAP); Swiss Air International Air Lines Ltd. d/b/a Swiss (Swiss); Qatar 

Airways Q.C.S.C. (Qatar Airways); Air One, S.p.A. (Air One); Turkish Airlines (Turkish); Aer Lingus Limited (Aer Lingus); 

Jet Airways (India) Ltd. (Jet Airways); and Brussels Airlines N.V./S.A. (Brussels Airlines). 

2 United requests that its exemption authority be amended to the extent necessary to permit it to also place its designator code

on flights operated by Spanair, S.A. (Spanair). 

3

Spanair currently holds broad exemption authority to provide code-share services in open-skies countries with US Airways, 

Inc. (US Airways) (see Notice of Action Taken dated August 5, 2008, in Docket DOT-OST-2003-16219). Spanair requests 

amendment of that authority to the extent necessary to permit it to also provide code-share services with any U.S. carrier, 

including United. 
the United States (either non-stop or via third country intermediate points); and (3) any point in the United 

States or the EU and any point in any third country.

Spanair to display United’s (UA*) designator code on flights operated by Spanair between: (1) any point in 

the EU and any point in the United States (either non-stop or via third country intermediate points; (2) any

points within the EU in conjunction with services held out by United between the United States and the EU 

(either non-stop or via third country intermediate points); and (3) any point in the EU or the United States 

and any point in any third country.

The Joint Applicants state that they plan to commence these reciprocal code-share services on or about 

May 1, 2010.4

Applicant reps: Jeffrey A. Manley for United (301) 229-8571 and Michael F. Goldman for Spanair (202) 944-3305 

DOT Analyst: Linda L. Lundell (202) 366-2336

D I S P O S I T I O N

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

 (see Remarks, below)

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

 (see Remarks, below)5

XX Granted blanket statements of authorization to the Joint Applicants (subject to conditions,

 see below) (see Remarks)

XX Granted Joint Applicants’ request for waiver of the 45-day advance filing requirement

The above action granting United’s amended exemption authority was effective when taken: April 6, 2010,

through June 15, 2011.

6

The above action granting Spanair’s amended exemption authority was effective when taken: April 6, 2010,

through August 5, 2010.

7

The above action granting blanket statements of authorization to the Joint Applicants is effective: 

April 6, 2010. 

The above action granting a waiver under 14 CFR 212.10(d)(2) was effective when taken: April 6, 2010.

Action taken by: Paul L. Gretch, Director

 Office of International Aviation

XX The authority granted is consistent with the aviation agreement between the United States and the 

European Union.

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 Spanair’s foreign air carrier permit (Order 2000-5-28)

 XX Standard U.S. carrier exemption conditions (see Attachment A to this Notice)

 

4

 The Joint Applicants provide notice that they initially plan to provide blanket open-skies code-share service, and request a 

waiver of the 45-day advance filing requirement in 14 CFR 212.10(d)(2) for such notice. 

5

 While this exemption provides Spanair with underlying authority to conduct U.S.-EU code-share operations with any U.S. 

carrier, Spanair must first obtain an appropriate Statement of Authorization under 14 CFR Part 212 before conducting codeshare operations with any other U.S. carriers, other than United and US Airways.

6

 We grant United’s exemption amendment coextensive with the expiration of its current exemption authority in Docket 

DOT-OST-2004-19148.

7

 We grant Spanair’s exemption amendment coextensive with the expiration of its current exemption authority in Docket 

DOT-OST-2003-16219.
XX Standard foreign carrier exemption conditions (see Attachment B to this Notice)

XX Conditions for statements of authorization granted here (see Attachment C to this Notice)

XX Conditions attached to previously granted statements of authorization8

Remarks: We note that United has conducted a safety audit of Spanair under the Department’s Code-Share 

Safety Audit Program, and the FAA has advised us that it has reviewed the relevant audit program and found the 

program 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 United and 

Spanair 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 or dismissed, we denied all requests in the referenced Dockets. 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:

www.regulations.gov

 

8

See Order 98-4-8, issued April 9, 1998 (Undocketed, United-Lufthansa) and Department actions dated August

6, 1999 (Docket DOT-OST-1999-6013, United-ANZ); August 7, 1998 (Undocketed, United-ANA); December 19, 2002 

(Docket DOT-OST-2002-13320, United-Asiana); March 13, 2000 (Docket DOT-OT-OST-2000-6803, United-Austrian); 

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-OST2000-7696, United-Singapore); August 11, 2005 (Docket DOT-OST-2005-21686, United-TAP); October 19, 2005 (Docket 

DOT-OST-2005-22464, United-Swiss); July 19, 2007 (Docket DOT-OST-2007-28628, United-Qatar); March 14, 2008 

(Docket DOT-OST-2008-0001, United-Air One); April 17, 2008 (Docket DOT-OST-2008-0102, United-Turkish); July 25, 

2008 (Docket DOT-OST-2008-0176, United-Aer Lingus); November 10, 2009 (Docket DOT-OST-2008-0164, United-Jet 

Airways); and March 2, 2010 (Docket DOT-OST-2010-0024, United-Brussels).
ATTACHMENT 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
ATTACHMENT B

Foreign 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 (AFS260), 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
ATTACHMENT C

The code-share operations authorized here are subject to the following conditions:

(a) The statements of authorization will remain in effect only as long as (i) United and Spanair 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) United and/or Spanair must notify the Department no later than 30 days before they begin any new code-share 

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.1Such notices should be filed in Docket DOT-OST-2010-0055.

(c) United and Spanair 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 DOTOST-2010-0055.

2

(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 

European Union, and all applicable agreements with other 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;3and (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 United nor Spanair 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

 The joint applicants provided notice that, on or about May 1, 2010, United and Spanair would begin the reciprocal codeshare services involving Open Skies points as outlined in their application.

2

 We expect this notification to be received within 10 days of such non-effectiveness or of such decision.

3

 The notice referenced in condition (b) above may be used for this notification.