CHAUTAUQUA AlRUNES 

A REPUBLIC AIRWAYS COMPANY 

U.S. Department of Transportation 

Docket Management System 

1200 New Jersey Avenue, S.E. 

West Building Ground Floor, Room W12-140 

Washington, DC 20590 

Via overnight letter and electronic submission: http:/ /dms.dot.gov/ 

Subject 

SHUTTLE AMERlCA 

A REPUlltiC AIRWAYS COMPANY 

10 October 2014 

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 for this 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 detect the symptoms of drug 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 of alcohol by any employee who performs safety-sensitive functions for 

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 

merger with Chautauqua Airlines. 

--------------------~ Shuttle America Corporation I Chautauqua Airlines- 8909 Purdue Road, Indianapolis, IN 46268 
CHAUTAUQUA AlRUNES SHUTTLE AMERlCA 

A REPUBl..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 they were 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 will continue to be screened through pre-employment drug 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 seeking to begin performing safety-sensitive duties for the first time. 

• Shuttle America requests relief from performing drug and alcohol violation checks as required by § 40.25 

on individuals that transfer from the Chautauqua Airlines certificate to the Shuttle America Single 

Operating Certificate. New-hires will continue to be subject 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 of the requirements in 49 CFR Part 40 for service agents, including collectors and 

breath alcohol technicians, to have the proper DER contact information, and realize the link to ensuring 

the safety of the 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 of the chain of custody forms 

(CCF) and breath alcohol testing forms (ATF) that are currently distributed to the 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 relief to extend six months from the issuance of Shuttle 

America Single Operating Certificate from providing chain of custody 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 A TF during the transition phase of 

programs. (item 2, 3, 4, 5, 6, 7, 9 ) 

----------r&· Shuttle America Corporation I Chautauqua Airlines- 8909 Purdue Road, Indianapolis, IN 46268 
CHAUTAUQUA AlRUNES SHUTTLE AMERlCA 

A REPUBLIC 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 drug testing 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 determinations for testing based on reasonable cause/suspicion. 

• Shuttle America requests permanent relief from the education and training requirements tor Chautauqua 

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 of Chautauqua Airlines drug and alcohol testing program. 

• Shuttle America requests permanent relief for Chautauqua Airlines supervisors who are currently trained 

in determining reasonable cause/suspicion testing. (item 11, 14 ) 

The level of safety 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 of safety and 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 to test the employee who is reasonably suspected 

of drug use. One of the two supervisors must be trained in the detection of the symptoms of possible 

drug use. 

• Shuttle America requests temporary modification to the requirement that both supervisors that concur to 

make reasonable cause determinations be employed under the same carrier/certificate. Shuttle America 

requests a grant of exemption that allows the determination be made by supervisors from either the 

Chautauqua Airlines or Shuttle America certificate to be able to concur on reasonable cause/suspicion 

testing. (item 11,16) 

In accordance with 14 CFR Part 120.115, the FAA drug and alcohol regulations require distribution of the 

employer's policy regarding drug and alcohol use in the workplace. 

Shuttle America Corporation I Chautauqua 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 that in place at Shuttle America and therefore should not require redistribution 

by Shuttle America. Therefore, Shuttle America requests permanent relief from redistributing its 

company policy on drug and alcohol use in the workplace to employees that transfer from Chautauqua 

Airlines. (item 17) 

Confidentiality and 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 

laboratory and Medical Review Officer resources. 

• Shuttle America requests immediate relief and temporary exemption from confidentially requirements so 

that information pertaining to each employee's drug and alcohol testing records can be shared between 

Chautauqua Airlines and Shuttle America. (item 8, 13) 

FAA drug and alcohol testing regulations require that employers must have the ability to produce all 

records, for the purpose of examination, at the employer's workplace. 

• 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 and alcohol testing records tor both Chautauqua 

Airlines and Shuttle America will be produced at one central employer location within 12 months of the 

issuance of the 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 to transfer from one operating certificate to the other without performing preemployment testing. Shuttle America requests relief from pre-employment testing requirements that do 

not differ materially from those of the precedent-setting grant of exemption number 6960. 

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 during the merger with 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, that was 

presented to the FAA is similar in most aspects to those 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 

-------------------# Shuttle America Corporation I Chautauqua Airlines- 8909 Purdue Road, Indianapolis, IN 46268 
CHAUTAUQUA AlRUNES SHUTTLE AMERlCA 

A REPUBLIC AIRWAYS COMPANY A REPUBLIC AIRWAYS COMPANY 

publishing a summary of the 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 that good cause exists for waiving 

the requirement for the 120 day advanced notice of request and associated Federal Register publication, 

in accordance with Section 11.87 of the 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 Shuttle America. 

The following table contains a detailed list of each regulation from which Shuttle America seeks relief. 

Request Regulation Summary of Exemption Requested Type of Duratl.on 

Number Requirement Relief ofR~Ii~f 

Drug and Waive requirement to conduct drug 

and alcohol records checks on 1 49 CFR 40.25 alcohol 

current employees covered by the Permanent N/A 

violation checks Chautauqua Airlines program. 

Waive requirement to provide 6 months 

2 49 CFR 40.35 DER Contact appropriate DER contact Temporary past SOC Information information to collectors on preprinted forms. issuance 

49 CFR CCF Required Waive the restriction to modify and 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 of documentation 4 40.209(c) Action correcting administrative errors on Temporary past SOC 

drug tests. issuance 

Waive requirement to provide 6 months 

5 49 CFR 40.215 DER Contact appropriate DER contact Temporary past SOC Information information to collectors on preprinted forms. issuance 

Breath Alcohol Waive the restriction to modify and 6 months 

6 49 CFR 40.225 Testing ATF revise the ATF during program Temporary past SOC 

transition phase. issuance 

Waive enforcement action based 

6 months Corrective on lack of documentation 7 49 CFR 40.275 Action- BAT correcting administrative errors on Temporary past SOC 

alcohol tests. issuance 

Waive requirement of employee 

consent to release information Until 

8 49 CFR 40.321 Confidentiality between employers to allow Temporary issuance of Records sharing of personnel information of SOC between Chautauqua Airlines and 

Shuttle America. 

Shuttle America Corporation I Chautauqua 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 of service agents Until 

9 

49 CFR 40 Service Agents so that each airline can be mutually Temporary issuance Subpart Q used as a service agent to each of SOC other. 

Waive pre-employment drug test 

14 CFR Part Pre- requirements for active and 

10 120.109 (a) Employment inactive employees currently Permanent N/A 

Testing covered under Chautauqua Airlines' 

approved programs. 

Waive requirement of employee's 

supervisor to determine reasonable Until 

11 14 CFR Part Reasonable cause to allow for supervisors of Temporary issuance 120.109 (d) Cause Testing Chautauqua Airlines or Shuttle of SOC America to make determination of 

need to conduct testing. 

12 

12 14 CFR Part MRO Record Waive requirement to move MRO Temporary months 

120.111 (a)(2) Retention records within 10 days. past SOC 

issuance 

Waive restrictions for releasing 

14 CFR Part Release of drug employee information between Until 

13 120.111(c) testing Chautauqua Airlines and Shuttle Temporary issuance 

information America during transition of of SOC 

programs but prior to SOC. 

Waive requirements for employee 

14 CFR Part EAP Training and supervisor training. Allow for 

14 all currently trained employees and Permanent N/A 120.115 Programs supervisors to transition training 

records to Shuttle America. 

Ops Specs 12 

14 CFR Part Waive requirement to list a specific months 15 120.117 (d)(iv) address location for all testing records. Temporary past SOC requirement issuance 

Waive requirement of employee's 

Reasonable supervisor to determine reasonable Until 

16 

14 CFR Part Suspicion suspicion to allow for supervisors of Temporary issuance 120.217 (d) (2) Alcohol Testing Chautauqua Airlines or Shuttle of SOC America to make determination of 

need to conduct testing. 

17 14 CFR Part Policy on Waive requirements to distribute Permanent N/A 120.223 (a) Alcohol Misuse policy to employees. 

Waive requirements for employee 

14 CFR Part Supervisor and supervisor training. Allow for 

18 120.223 (b) Training all currently trained employees and Permanent N/A 

supervisors to transition training 

records to new company. 

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* 

CHAUTAUQUA AlRUNES SHUTTLE AMERlCA 

A REPUBLIC AIRWAYS COMPANY A REPUBUC AIRWAYS COMPANY 

If you need assistance or further clarification on any of the 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 

Director of Operations 

Shuttle America Corporation 

Accepted by I Date 

Printed Name 

--~-------------------------!~ Shuttle America Corporation I Chautauqua Airlines- 8909 Purdue Road, Indianapolis, IN 46268