### CHAUTAUQUA AlRUNES AREPUBLIC AIRWAYS COMPANY

U.S. DepartmentofTransportation Docket ManagementSystem 1200 NewJerseyAvenue, S.E. West Building Ground Floor, Room W12-140 Washington, DC 20590
Via overnight letterand electronic submission: http:/ /dms.dot.gov/ Subject 

## SHUTTLE AMERlCA A REPUlltiC AIRWAYS COMPANY

10October2014

In advance of the conversion to a Single Operating Certificate (SOCL Chautauqua Airlines Inc., in accordance with 14 CFR §11.61(b) is petitioning the Federal Aviation Administration (FAA) for·an exemption from Part 120, Code of Federal Regulations (14 CFR) and Department of Transportation (DOT} procedural regulations, 49 CFR Part 40. Approval of this exemption would permit Chautauqua Airlines Inc. to migrate its drug and alcohol testing program into the existing FAA approved Shuttle America Corporations' Drug and Alcohol Testing Program. It is assumed that employees covered under Shuttle America's current operating certificate will not require the need forthis exemption.
The Anti-Drug and Alcohol programs at Chautauqua Airlines and Shuttle America are currently managed in exactly the same way. Both carriers participate in the Regional Airline Consortium (RAA) using the same Medical Review Officer (MRO} services and labs. Granting an exemption in the areas of preemployment requirements, education and training, and administration will significantly improve the oversight of both corporations. The capability to share program administration combines valuable resources and reduces the burden of managing separate programs. The ability to cross-utilize supervisors that are trained to detectthe symptoms ofdrug and alcohol use increases the availability of this valuable resource. The availability of additional supervisors will have a positive impact on the timeliness of making these determinations and will increase the level of safety for both operating certificates.

Drug and Alcohol Testing Programs Both Chautauqua Airlines and Shuttle America recognize that many of the critical processes and procedures used by each corporation are identical. The best practices that are already in use by each corporation will further enhance the Shuttle America SOC process. Both Chautauqua Airlines and Shuttle America have well-established drug and alcohol testing programs as mandated by the DOT. Both corporation's FAA-approved programs comply with 14 CFR Part 120, which states in part: the drug and alcohol testing program is designed to prevent accidents and injuries that result from the use of prohibited drugs and the misuse ofalcohol by any employee who performs safety-sensitivefunctionsfor a Part 119 certificate holder with authority to operate under Parts 121 and/or 135, or an operator as defined in§91.147.
Shuttle America submits a petition for an exemption from the regulatory requirements to maintain two separate drug and alcohol testing programs prior to issuance of a single operating certificate for its mergerwith Chautauqua Airlines.



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### IChautauqua Airlines- 8909 Purdue Road, Indianapolis, IN 46268

### CHAUTAUQUA AlRUNES 

## SHUTTLE AMERlCA AREPUBl..lC AIRWAYS COMPANY A REPUBliC AIRWAYS COMPANY

Pre-Employment Requirements Chautauqua Airlines and Shuttle America comply with the pre-employment requirements set forth by Part 120. All new hire employees have successfully completed pre-employment drug screening and background checks. These employees have been continually covered under an FAA drug and alcohol testing program since theywere hired, and have been subjected to random testing as required.

• Shuttle America requests relief from performing pre-employment drug testing on individuals that transfer from the Chautauqua Airlines certificate to the Shuttle America Single Operating Certificate. New-hires willcontinue to bescreenedthrough pre-employmentdrug testing as required. (item 10) Chautauqua Airlines and Shuttle America comply with the DOT procedural regulations, 49 CFR Part 40, specifically §40.25, that requires the employer to verify drug and alcohol testing records of its employees prior to the employee performing safety-sensitive duties. This regulation applies only to employees seekingto begin performingsafety-sensitive dutiesforthefirsttime.

• ShuttleAmerica requests relieffrom performing drug andalcohol violation checks as requiredby§ 40.25 on individuals that transfer from the Chautauqua Airlines certificate to the Shuttle America Single Operating Certificate. New-hires willcontinue to besubject to the requirements of§40.25. (item 1)

Service Agents Both Chautauqua Airlines and Shuttle America use the same collection sites, on-site collectors, and vendors to perform drug screen collections and breath alcohol testing across our systems. Both companies are aware ofthe requirements in 49 CFR Part 40for service agents, including collectors and breath alcohol technicians, to have the proper DER contact information, and realize the link to ensuring the safety ofthe airline relies on communication between the DER and service agents. Prior to and up through commencement of a single operating certificate, 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 ofthe chain ofcustody forms (CCF) and breath alcohol testing forms (ATF) that are currently distributed tothe service agents will take time and would be next to impossible to accomplish on the exact day of the issuance of a single operating certificate.
Shuttle America requests immediate temporary reliefto extendsixmonths from the issuance ofShuttle America Single Operating Certificate from providing chain ofcustody forms or breath-alcohol testing forms which list correct DER contact information. Furthermore, Shuttle America requests immediate temporary relief of the restriction to modify the CCF and ATF during the transition phase of programs.(item 2, 3, 4, 5, 6, 

### 7, 9 ) 

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### IChautauqua Airlines- 8909 Purdue Road, Indianapolis, IN 46268

### CHAUTAUQUA AlRUNES 

## SHUTTLE AMERlCA AREPUBLIC AIRWAYS COMPANY A REPUBLIC AIRWAYS COMPANY



### Education and Training Chautauqua Airlines employees will continue to perform the same safety-critical functions after migrating to the Shuttle America Single Operating Certificate, when issued. Chautauqua Airlines employees performing safety-critical functions have been previously educated and trained through the comprehensive FAA-approved drugtesting program.
FAA drug and alcohol regulations require an Employee Assistance Program to educate and train employees on drug and alcohol use. Regulations also require that supervisory personnel be trained to make determinationsfortesting based on reasonable cause/suspicion.

• ShuttleAmerica requests permanentrelieffrom the education andtraining requirements torChautauqua Airlines employees who are currently trained and transfer to the Shuttle America Single Operating Certificate. (item 14, 18) Chautauqua Airlines' supervisory personnel are trained as required by the FAA to detect the signs and symptoms of drug and/or alcohol abuse. Granting permanent relief for Chautauqua Airlines currently trained supervisors for training in determining reasonable cause/suspicion testing would demonstrate confidence in the effectiveness ofChautauqua Airlines drug and alcohol testing program.

• ShuttleAmerica requests permanentrelieffor Chautauqua Airlines supervisors who are currentlytrained in determining reasonable cause/suspicion testing. (item 11, 14) The level ofsafety for Chautauqua Airlines and Shuttle America would significantly increase by allowing the use of supervisors from across operating certificates to make reasonable cause/suspicion testingdeterminations until the issuance of the Single Operating Certificate. The increased number of supervisors that would be available to make timely reasonable cause/suspicion determinations would increase the level ofsafetyand is in the public's best interest.
FAA drug and alcohol regulations require that employers have at least two of the employee's supervisors to substantiate and concur in the decision totestthe employee who is reasonably suspected ofdrug use. One ofthe two supervisors must be trained in the detection ofthe symptoms of possible drug use.

• ShuttleAmerica requests temporarymodification to the requirement thatboth supervisors thatconcurto make reasonable cause determinations be employedunder the same carrier/certificate. Shuttle America requests a grant ofexemption that allows the determination be made bysupervisors from either the Chautauqua Airlines orShuttle America certificate to be able to concur on reasonable cause/suspicion testing. (item 11,16)
In accordance with 14CFR Part 120.115,the FAA drugand alcohol regulations require distribution ofthe employer's policy regarding drug and alcohol use in the workplace.

ShuttleAmerica Corporation 

### IChautauqua Airlines- 8909 Purdue Road, Indianapolis, IN 46268

### CHAUTAUQUA AlRUNES A REPUBLIC AlRWAYS COMPANY 

## SHUTTLE AMERlCA A REPUBliC AIRWAYS COMPANY

**~**

• Shuttle America contends that Chautauqua Airlines company policy on drug and alcohol use in the workplace is identical to thatin place atShuttleAmerica andtherefore shouldnot require redistribution by Shuttle America. Therefore, Shuttle America requests permanent relief from redistributing its companypolicy on drug andalcohol use in the workplace to employees that transfer from Chautauqua Airlines. (item 17)

Confidentialityand Administrative Rules Chautauqua Airlines and Shuttle America comply with the FAA drug and alcohol testing regulations, which requires that employees' drug and alcohol testing records be kept confidential. The FAA confidentiality requirements are regulated by the DOT's procedural regulation 49 CFR Part 40, specifically §40.321 and §120.111. Shuttle America contends that allowing confidentiality requirements to be extended across both operating certificates would allow for better management of shared laboratoryand Medical Review Officer resources.

• ShuttleAmerica requests immediate reliefandtemporaryexemption from confidentiallyrequirements so thatinformation pertaining to each employee's drug andalcohol testing records can be sharedbetween ChautauquaAirlines andShuttleAmerica. (item 8, 13)
FAA drug and alcohol testing regulations require that employers must have the ability to produce all records, forthe purpose ofexamination, atthe employer'sworkplace.

• Shuttle America requests temporary relief from this requirement. Chautauqua Airlines and Shuttle America will store historical records at different locations prior to and tor 12 months after the Shuttle America Single Operating Certificate is issued. All drug andalcohol testing records torboth Chautauqua Airlines andShuttle America will be producedatone centralemployerlocation within 12 months ofthe issuance ofthe Single Operating Certificate. (item 10, 12, 15)

Conclusion The FAA has previously issued a precedent-setting grant of exemption (number 6960) in which individuals were allowed totransferfrom one operating certificatetothe otherwithout performing preemploymenttesting. Shuttle America requests relieffrom pre-employmenttesting requirementsthatdo notdiffer materiallyfrom those ofthe precedent-setting grantofexemption number6960.
In addition, a grant of relief was issued to Delta Airlines during the merger of Delta and Northwest Airlines as well as to Continental Airlines duringthe mergerwith United Airlines. Shuttle America closely reviewed the FAA's public document "Grant of Exemption Number 9927" that was issued to Delta Airlines on September 2, 2009. The FAA agreed with Delta Airlines' statement that employees of Northwest Airlines that perform safety sensitive functions had already been, and continue to be, screened for substance use. Each of Delta's requests for relief, including supporting materials, thatwas presented tothe FAA is similar in mostaspects tothose presented here by Shuttle America.
In each of the instances cited above, the FAA found that a grant of exemption would not adversely impact safety and was in the public interest. Shuttle America contends that good cause exists for not 

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### I Chautauqua Airlines- 8909 Purdue Road, Indianapolis, IN 46268

### CHAUTAUQUA AlRUNES 

## SHUTTLE AMERlCA AREPUBLIC AIRWAYS COMPANY A REPUBLIC AIRWAYS COMPANY

publishing a summary ofthe petition in the Federal Register because the requested exemption would not set a precedent, and any delay in acting on this petition would be detrimental to Chautauqua Airlines' and Shuttle America's efforts. Shuttle America also contends thatgood cause exists forwaiving the requirementforthe 120 day advanced notice ofrequest and associated Federal Register publication, in accordance with Section 11.87 ofthe Federal Aviation Regulations. Shuttle America further contends there would be no risk to safety and any delay in acting on this petition would be detrimental to the flying public and ShuttleAmerica.
The followingtable contains adetailed list ofeach regulation from which ShuttleAmerica seeks relief.

Request Regulation Summaryof Exemption Requested 

### Type of Duratl.on Number Requirement Relief



### ofR~Ii~f Drug and Waive requirementto conduct drug and alcohol records checks on 1 49 CFR 40.25 alcohol current employees covered bythe Permanent N/A violation checks Chautauqua Airlines program. Waive requirementto provide 6 months 2 49 CFR 40.35 DER Contact appropriate DER contact Temporary past SOC Information informationto collectors on preprinted forms. issuance
49 CFR CCF Required Waive the restriction to modifyand 6 months 3 40.45.(c) (2) Information revise the CCF during program Temporary past SOC transition phase. issuance Waive enforcement action based 6 months 49 CFR Corrective on lack ofdocumentation 4 40.209(c) Action correcting administrative errors on Temporary past SOC drugtests. issuance Waive requirementto provide 6 months 5 49 CFR 40.215 DER Contact appropriate DER contact Temporary past SOC Information informationto collectors on preprinted forms. issuance
Breath Alcohol Waive the restriction to modify and 6 months 6 49 CFR 40.225 TestingATF revise theATF during program Temporary past SOC transition phase. issuance Waive enforcementaction based 6 months Corrective on lack ofdocumentation 7 49 CFR 40.275 Action- BAT correcting administrative errors on Temporary past SOC alcohol tests. issuance Waive requirement ofemployee consentto release information Until 8 49 CFR 40.321 Confidentiality between employersto allow Temporary issuance of Records sharing ofpersonnel information ofSOC between Chautauqua Airlines and ShuttleAmerica.

ShuttleAmerica Corporation 

### IChautauqua Airlines- 8909 Purdue Road, Indianapolis, IN 46268

### CHAUTAUQUA AlRUNES 

## SHUTTLE AMERlCA A REPUBLIC AIRWAYS COMPANY A REI'UBL.lC AIRWAYS COMPANY

Request Regulation Summary.of Exemption Requested Type of Duration Number Requirement Relief of

**Reii~f** Waive restrictions ofservice agents Until 9 49 CFR 40 Service Agents so that each airline can be mutually Temporary issuance Subpart Q used as aservice agentto each ofSOC other. Waive pre-employmentdrugtest 14 CFR Part Pre- requirementsfor active and 10 120.109 (a) Employment inactive employees currently Permanent N/A Testing covered underChautauqua Airlines' approved programs. Waive requirement ofemployee's supervisorto determine reasonable Until 11 14CFR Part Reasonable cause to allowforsupervisors of Temporary issuance 120.109 (d) Cause Testing Chautauqua Airlines orShuttle ofSOC America to make determination of need to conduct testing. 12 12 14CFR Part MRO Record Waive requirementto move MRO Temporary months 120.111 (a)(2) Retention records within 10 days. past SOC issuance Waive restrictions for releasing 14 CFR Part Release ofdrug employee information between Until 13 120.111(c) testing Chautauqua Airlines and Shuttle Temporary issuance information America duringtransition of ofSOC programs but priortoSOC. Waive requirements for employee 14 CFR Part EAP Training and supervisortraining. Allowfor 14 all currentlytrained employees and Permanent N/A 120.115 Programs supervisors totransition training records to ShuttleAmerica. Ops Specs 12 14CFR Part Waive requirementto list aspecific months 15 120.117 (d)(iv) address location for all testing records. Temporary past SOC requirement issuance Waive requirement ofemployee's Reasonable supervisorto determine reasonable Until 16 14 CFR Part Suspicion suspicion to allowfor supervisors of Temporary issuance 120.217 (d) (2) Alcohol Testing Chautauqua Airlines orShuttle ofSOC America to make determination of need to conducttesting. 17 14 CFR Part Policy on Waive requirements to distribute Permanent N/A 120.223 (a) Alcohol Misuse policyto employees. Waive requirements for employee 14 CFR Part Supervisor and supervisortraining. Allowfor 18 120.223 (b) Training all currentlytrained employees and Permanent N/A supervisors to transition training records to new company.



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### IChautauqua Airlines- 8909 Purdue Road, Indianapolis, IN 46268 

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### * CHAUTAUQUA AlRUNES 

## SHUTTLE AMERlCA A REPUBLIC AIRWAYS COMPANY A REPUBUC AIRWAYS COMPANY

Ifyou need assistance orfurtherclarification on any ofthe matters listed above, please contact:

Ms.Tracy Kinkade, HR Manager- Compliance 8909 Purdue Road Indianapolis, IN 46268 317-246-2607 (voice) TKinkade@rjet.com

Respectfully Submitted,

Captain Kenneth R. Barthel DirectorofOperations Shuttle America Corporation Accepted by

## I Date

Printed Name



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### I Chautauqua Airlines- 8909 Purdue Road, Indianapolis, IN 46268