MESABA AIRLINES ''••RTMENT OF 

: : J?! 10 ^. !0: 23 

January 7, 2011 

U.S. Department of Transportation 

Docket Management System 

West Building Ground Floor, Room W12-140 

1200 New Jersey Avenue, SE 

Washington, DC 20590 

Re: Petition of Mesaba Aviation. Inc. for Exemption from 14 CFR Part 120 

and 49 CFR Part 40 

Ladles and Gentlemen: 

Pursuant to 14 C.F.R. Part 11, Mesaba Aviation, Inc. d/b/a Mesaba Airlines and Delta Connection 

("Mesaba"), which holds certificate MALA007A, respectfully requests that the Federal Aviation 

Administration ("FAA") exempt Mesaba and Colgan Airlines, Inc. {"Colgan") from certain provisions of 14 

C.F.R. Part 120 and 49 C.F.R. Part 40.^ The requested exemption would permit Mesaba to operate its 

drug and alcohol testing program in unison with the drug and alcohol testing program of Colgan as the 

merger of Colgan into Mesaba is documented in a single FAA operating certificate {the "SOC"). Mesaba 

anticipates that the FAA will issue the SOC on or before May 1, 2011, and It wishes Mesaba's and 

Colgan's drug and alcohol testing programs to operate in unison beginning as soon as possible and until 

the date the FAA issues the SOC (the "SOC Date"). 

DESCRIPTION OF AND RATIONALE FOR REQUESTED EXEMPTIONS 

The requested exemptions, identified in the table below, are consistent with relief granted by the FAA in 

two recent airline mergers involving Delta Air Lines and Northwest Airlines (Exemption No. 9927) and 

Continental Airlines and Continental Micronesia (Exemption No. 10160). Just as the carriers in those 

cases contended, the drug and alcohol testing programs of Mesaba and Colgan are similar, and both 

ensure that active substance abusers will be detected and prevented from performing safety-sensitive 

functions. The requested exemptions fell into several classes.^ 

Pre-Employment Requirements 

Mesaba and Colgan comply with the pre-employment testing requirements of Part 120. All new-hire 

employees have successfully completed pre-employment drug screening and background checks. These 

1/ Mesaba understands that Part 40 issues are within the primary jurisdiction of the Department of 

Transportation's (DOT) Office of Drug St Alcohol Policy & Compliance. To the extent necessary, Mesaba 

requests action on this application by DOT under 49 CFR 40.7 and 49 CFR Part 5. 

2/ Items bearing only numbers in the table are numbered identically to the Continental requests for relief. 

Those bearing numbers and letters (i.e., items 2a-2d, 15a-15b, and 16a) were specifically listed only in the 

Delta application, but they reflect forms of relief encompassed by the FAA's exemption for Continental. 

looo BLUE GENTIA N ROAD, SUITE 200, EAGAN, M N 55121-1679 
Mesaba Aviation, Inc. 

Exemption Request 

January?, 2011 

Page 2 

employees have been continually covered under an FAA drug and alcohol testing program since they 

were hired and have been subjected to random testing as required. Thus, Mesaba requests relief from 

performing pre-employment testing on individuals that transfer from the Colgan certificate to the SOC. 

New hires will continue to be screened through pre-employment testing as required. (Item 11) 

Mesaba and Colgan also verify the drug and alcohol testing records of their employees before they 

begin performing safety-sensitive duties. Thus, Mesaba requests relief from performing drug and 

alcohol violation checks as required by section 40.25 on individuals that transfer from the Colgan 

certificate to the SOC. New hires will continue to be subject to such checks. (Item 1) 

Service Agents 

Mesaba and Colgan use various collection sites, on-site collectors, and vendors to perform drug screen 

collections and breath alcohol testing across our systems. Both companies are aware of the 

requirements in Part 40 for service agents, including collectors and breath alcohol technicians, to have 

the proper DER contact information, and they realize the importance of communication between the 

DER and service agents. Until the SOC Date, all service agents will be advised through written 

correspondence of the changes in the DER name, phone numbers, mailing addresses, and additional 

contact information. This correspondence will be distributed to primary service agents in person to 

ensure compliance with the regulations. However, replacement of the chain of custody forms (CCF) and 

breath alcohol testing forms (ATF) currently distributed to service agents would take time and could not 

feasibly be completed on the SOC Date. Thus, Mesaba requests temporary relief, to extend six months 

from the SOC Date, from the requirement that chain of custody forms or breath alcohol testing forms 

list correct DER contact information. Mesaba also requests temporary relief permitting it to modify the 

CCF and ATF during the transition phase. (Items 3-8,10) 

Education and Training 

After the SOC Date, Colgan employees will perform the same safety-sensitive functions they performed 

at Colgan, and they will already have been educated and trained in drug and alcohol issues through 

Colgan's comprehensive FAA-approved drug testing program. Thus, Mesaba requests permanent relief 

from the education and training requirements for Colgan employees who are currently trained and who 

transfer to the Mesaba SOC (Items 14,18) 

Colgan's supervisory personnel are trained as required by the FAA to detect the signs and symptoms of 

drug and/or alcohol abuse. Thus, Mesaba requests permanent relief from training for Colgan's 

supervisors who are currently trained in directing reasonable cause/suspicion testing. Allowing 

supervisors from across both carriers' operating certificates, until the SOC Date, to make reasonable 

cause/ suspicion testing determinations, even where the required concurrence is between supervisors 

from different carriers, would increase the number of supervisors available to make such 

determinations in a timely fashion and therefore enhance safety. (Items 12,14,16,18) 

While section 120.115 requires distribution of an employer's drug and alcohol policy, Mesaba 

contends that Colgan's company policy on drug and alcohol use in the workplace is substantially 

similar to that in place at Mesaba and therefore should not require redistribution by Mesaba. Thus, 
Mesaba Aviation, Inc. 

Exemption Request 

January?, 2011 

Pages 

Mesaba requests permanent relief from having to redistribute its company policy on workplace drug 

and alcohol use to employees that transfer from Colgan. (Item 17) 

Confldentialitv and Administrative Rules 

The drug and alcohol programs of both Mesaba and Colgan, as required by Part 40, maintain the 

confidentiality of employees' drug and alcohol testing records. Nonetheless, Mesaba contends that 

allowing such records to be shared between the carriers during the transition would allow for better 

management of shared laboratory and Medical Review Officer resources. Thus, Mesaba requests 

temporary relief from confidentiality requirements so that information pertaining to each employee's 

drug and alcohol testing records can be shared between Mesaba and Colgan. (Items 9,13,16a) 

Integrating the Mesaba and Colgan certificates will also mean integrating their recordkeeping 

systems. Mesaba requests temporary relief to permit Mesaba and Colgan to store records at 

different locations for six months after the SOC Date while records are centralized. (Items 15,15a15b) 

Finally, during the Colgan/Mesaba transition it is possible that anomalies will occur in random testing 

accounting methods or in annual MIS reports. For example, the latter reports may improperly indicate 

that random testing rates were not met simply because of the timing of the SOC Date, even though both 

carriers Intend to comply fully with random testing requirements. Mesaba Airlines requests temporary 

relief from statistical anomalies regarding the random testing completion rates as a result of the 

migration of employees from the Colgan certificate to the SOC. (Items 2, 2a-2d) 
Mesaba Aviation, Inc. 

Exemption Request 

January?, 2011 

Page 4 

TABLE OF SECTIONS AFFECTED (DERIVED FROM EXEMPTION NO. 10160) 

Item 

1 

2 

2a 

2b 

2c 

2d 

3 

4 

5 

6 

? 

8 

Regulation 

49 CFR 

40.25 

49 CFR 

40.26 

14 CFR 

120.109(b) 

(6)(i)(B) 

14 CFR 

119(a) 

14 CFR 

217(c)(6) 

(i){B) 

14 CFR 

219(b) 

49 CFR 

40.35 

49 CFR 

40.45(c)(2) 

49 CFR 

40.209(c) 

49 CFR 

40.215 

49 CFR 

40.225 

49 CFR 

40.2?5 

Summary of 

Requirement 

Drug and alcohol 

violation checks 

MIS Reports 

DER Contact 

Information 

CCF Required 

Information 

Corrective Action 

DER Contact 

Information 

Breath Alcohol 

Testing ATF 

Corrective Action 

-BAT 

Exemption Requested 

Waive requirement to conduct 

drug and alcohol records checks 

on current employees covered by 

Colgan program. 

Relief regarding possible MIS 

statistical anomalies resulting 

from the merger. 

Waive requirement to provide 

appropriate DER contact 

information to collectors on preprinted forms. 

Waive the restriction to modify 

and revise the CCF during 

program transition. 

Waive enforcement action based 

on lack of documentation 

correcting administrative errors 

on drug tests. 

Waive requirement to provide 

appropriate DER contact 

information to collectors on preprinted forms. 

Waive the restriction to modify 

and revise the ATF during 

program transition. 

Waive enforcement action based 

on lack of documentation 

correcting administrative errors 

on akohol tests. 

Type of 

Relief 

Permanent 

Temporary 

Temporary 

Temporary 

Temporary 

Temporary 

Temporary 

Temporary 

Duration of 

Relief 

n/a 

Calendar 

year ofSOC 

Date 

Until SOC 

Date 

Until 6 

months 

after SOC 

Date 

Until 6 

months 

after SOC 

Date 

Untile 

months 

after SOC 

Date 

Until 6 

months 

after SOC 

Date 

Until 6 

months 

after SOC 

Date 
Mesaba Aviation, Inc. 

Exemption Request 

January?, 2011 

Pages 

TABLE OF SECTIONS AFFECTED (DERIVED FROM EXEMPTION NO. 10160) 

Item 

9 

10 

11 

12 

13 

14 

15 

15a 

15b 

16 

16a 

1? 

18 

Regulation 

49 CFR 

40.321 

49 CFR 40 

Subpart 0 

14 CFR 

120.109(a) 

14 CFR 

120.109(d) 

14 CFR 

120.111(c) 

14 CFR 

120.115 

14 CFR 

120.117 

(d)(iv) 

49 CFR 

40.333(d) 

14 CFR 

219(a) 

14 CFR 

120.21? 

(d)(2) 

14 CFR 

219(c) 

14 CFR 

120.223(a) 

14 CFR 

120.223(b) 

Summary of 

Requirement 

Confidentiality of 

Records 

Service Agents 

Pre-Employment 

Testing 

Reasonable 

Cause Testing 

Release of 

Testing 

Information 

EAR Training 

Programs 

Location 

Requirements 

Reasonable 

Suspicion Alcohol 

Testing 

Release of 

Testing 

Information 

Policy on Alcohol 

Misuse 

Supervisor 

Training 

Exemption Requested 

Waive requirement for employee 

consent to release information 

between Mesaba and Colgan. 

Waive restrictions on service 

agents so that each airline can be 

used as the service agent of the 

other. 

Waive pre-employment drug test 

requirements for active and 

inactive employees currently 

covered under Colgan program. 

Allow either Mesaba or Colgan 

supervisors to determine 

reasonable cause. 

Allow Mesaba and Colgan to 

release employee information to 

each other. 

Waive requirements for training 

of Colgan employees and 

supervisors and allow Mesaba to 

receive their records. 

Waive requirement to list and 

maintain a single, specific 

location for all testing records. 

Allow either Mesaba or Colgan 

supervisors to determine 

reasonable suspicion. 

Allow Mesaba and Colgan to 

release employee information to 

each other. 

Waive requirement to redistribute policy to employees. 

Waive requirements for training 

of Colgan employees and 

supervisors and allow Mesaba to 

receive their records. 

Type of 

Relief 

Temporary 

Temporary 

Permanent 

Temporary 

Temporary 

Permanent 

Temporary 

Temporary 

Temporary 

Permanent 

Permanent 

Duration of 

Relief 

Until SOC 

Date 

Until SOC 

Date 

n/a 

Until SOC 

Date 

Until SOC 

Date 

n/a 

Until 6 

months 

after SOC 

Date 

Until SOC 

Date 

Until SOC 

Date 

n/a 

n/a 
Mesaba Aviation, Inc. 

Exemption Request 

January?, 2011 

Pages 

a 

b 

c 

d 

ANTICIPATED CONDITIONS (DERIVED FROM EXEMPTION No. 10160) 

Mesaba and Colgan must submit MIS annual report data that is within 2 percent of the 

Administrator's annual minimum rate. Specifically, the amount to be tested for drugs is no less 

than 24.5 percent (±2% of 25%) and for alcohol no less than 9.8 percent (±2% of 10%). 

Colgan must continue to submit MIS annual report data foreachyearor portion thereof for which 

it is in operation. 

All Mesaba locations must be in compliance with the requirement to display informational 

materials and hotline numbers within 6 months of the SOC Date. 

All drug and alcohol testing records for the combined programs (Mesaba and Colgan) must be 

produced at one central employer location within 6 months of the SOC Date. 

There is ample precedent for the relief Mesaba seeks. The FAA routinely issues relief from preemployment testing requirements, based on precedential Exemption No. 6960, to allow employees to 

transfer from one operating certificate to another without "repeating" pre-employment testing. 

Mesaba's requests for relief in this regard do not differ materially from those granted in Exemption No. 

6960 and later exemptions. Mesaba's request also mirrors the amended request of Continental Airlines 

and Continental Micronesia that the FAA granted in Exemption No. 10160 on November 10, 2010 

(Docket FAA-2010-1089). That request, in turn, was based on the request for relief of Delta Air lines 

and Northwest Airlines that was granted in Exemption No. 9927. 

In both cases, the applicants stated that employees from both carriers had already been, and would 

continue to be, screened for substance use pursuant to a comprehensive, effective testing program. 

The FAA found that a grant of the requested exemptions, as conditioned, would not impact safety 

adversely and would be in the public interest. The same findings are warranted in this case and support 

the requested relief. 

PROCEDURAL MATTERS 

Since Mesaba's request is consistent with those granted by the FAA in the Delta and Continental cases 

identified above, it should not be controversial, and no party would be prejudiced by an earlier decision. 

Thus, Mesaba requests that the FAA consider this petition and act without regard to the 120-day period 

contemplated by section 11.63(d) or publication of a notice in the Federal Register publication and 

public comment under section 11.8?. Mesaba is not seeking to exercise the privilege of the exemption 

outside of the United States at this time. 

CONCLUSION 

Mesaba respectfully requests that the FAA grant this petition for exemption, and such other relief as the 

FAA may deem necessary or proper, expeditiously so that Mesaba and Colgan may operate their drug 

and alcohol testing programs in unison during the merger process. If we can provide additional 
Mesaba Aviation, Inc. 

Exemption Request 

January 7, 2011 

Page? 

information or be of any other assistance, please contact me or Susan M. Gulden, Leave & Compliance 

Manager and Designated Employer Representative, at 651-36?-52?7 (fax 651-367-5392). 

Respectfully submitted, 

\ 

-f^^'^mc 

Peggy G roe be 

Vice President - Human Resources