# RECEIVED U.S. DEPARTMENT OF TRANSPORTATION 

# JUN 1 12013

FEDERAL AVIATION ADMINISTRATION OFFICE OF HEARINGS 

# HEARING DOCKET

WASHINGTON, D.C.
Inthe Matter ofNortheastern Aviation Corp., Respondent DocketNos. FAA-2012-1264

CaseNos. 2012EA110030 Administrative Law Judge J.E. Sullivan AGENCY'S SUBMISSIONS UNDERFEDERAL RULE OF CIVIL PROCEDURE 26(a)(l)(A)
COMES NOW the Agency, by counsel, and hereby submits its initial disclosures pursuant to F.R.C.P. 26(a)(l)(A), as perthe Order Setting Litigation Dates and Procedures dated June 4, 2013. DISCLOSURE UNDERF.R.C.P. 26(a)(l)(A)(i) The individuals likely to have discoverable information that the Agency may use to support its claims are as follows: (1) Aviation Safetv Inspector (ASI) Theodore Burzynski,Farmingdale Flight Standards District Office (FSDO), 7150 Republic Airport, Administration Building, Suite 235, Farmingdale, NY 11735. Subject matter: The FAA investigation related to Enforcement Investigative Report (EIR) 2012EA110030. (2) Michael D. Kalish. Subject matter: His flight operations, rest periods, and record flight and rest entries during the period on or about August 23, 2011.

## DISCLOSUREUNDERF.R.C.P. 26(a)(l)(A)(ii) The documents inpossession, control or custody ofthe Agency that may be used to support its claims are the documents contained in the EIR, Section C, Items ofProof. They are listed in the attached index titled "Section C Items of Proof) and copies of the listed documents are attached herein. Respectfully submitted, Alfred R. Johnson, Jr. Regional Counsel



## By

# ~,- Zachary
. erman Attorney Federal AviationAdministration 1AviationPlaza Jamaica, NY 11434 TEL:718 553-3258 FAX: 718 995-5699 Date: June 6, 2013

2

## CERTIFICATE OF SERVICE
I hereby certify that the foregoing AGENCY'S SUBMISSIONS UNDERFEDERAL RULE OF CIVIL PROCEDURE 26(a)(1)(A) have been sentvia first class mail and facsimile to the following: Mr. James Ehrig, Esq. Eckert Seamans Cherin & 

## Mellot, LLC 1717 PennsylvaniaAvenue, NW, 12th 

## Floor Washington, DC 20006- FAX 202-659-6699 Judge J.E. Sullivan U.S. Administrative LawJudge Office ofHearings, M-20 U.S. Department ofTransportation 1200NewJerseyAvenue, S.E. (Ell-310) Washington, DC 20590 FAX: (202)366-7536 I hereby certify that the foregoing AGENCY'S SUBMISSIONS UNDERFEDERAL RULE OF CIVIL PROCEDURE 26(a)(1)(A) have been sent via first class mail to the following: FederalAviation Administration (Original and one copy via first class mail) 800 Independence Avenue, S.W. Washington, D.C. 20591 Attn: Hearing Docket Clerk, AGC-430 Wilbur Wright Building- Room 2014

I 

## ooks Paralegal Specialist FederalAviation Administration Office ofRegional Counsel 1Aviation Plaza Jamaica, NY 11434

3

## SECTION C Items ofProof


### 1. 

### .Northeastern Aviation Corporation Operations Specifications Paragraph A-001. (2 Pages) 2. 

### Sundance Aviation Inc. Operations Specifications Paragraph A-00 1. (2 Pages) 3. Northeastern Aviation Corporation Operations Specifications Paragraph A-006. (1 

### Page) 4. 

### Sundance Aviation Inc. Operations Specifications Paragraph A-006. (2 Pages) 5. 

### Northeastern Aviation Corporation Operations Specifications Paragraph D-085. (2 Pages) 6. 

### Sundance Aviation Inc. Operations Specifications Paragraph D-085. (1 Page) 7. Sundance Aviation Inc. Aircraft Flight Log page dated August 22,2011 for BE-58 aircraft, registration number N345MJ (1 Page) 8. Sundance Aviation Inc. Pilot Duty and Flight Time Record for Michael Kalish dated August 2011 (1 Page) 

### 9. NortheasternAviation Corporation Flight and Duty Time Record for Michael Kalish dated August 2011 (1 Page) 10. 

### Northeastern Aviation Corporation Aircraft Flight Log page 024-178 for GA-IV-X aircraft, registration number N451CM, Serial number 4024 showing flight legs dated August 23, 2011. Michael Kalish is the PIC (1 Page) 11. 

### Copy ofSection I, Chapter 4, page 4-11, showing paragraph 4.9 ofthe Northeastern Aviation Corporation General Operations Manual (GOM) (I Page) 12. 

### Copy ofexcerpt from the Northeastern Aviation Response and Action Plan to the original in-depth audit finding number 14. (I 

### Page) 13. 

### Copy ofLetter oflnvestigation (LOI) sent to Northeastern Aviation Corporation. (2 Pages)U.S. Department of Transportation Federal Aviation Administration 

### AOOl. Issuance and Applicabilitv Operations Specifications 

### HQ Control: HQ Revision: 05/09/03 02c

a. These operations specifications are issued to Northeastern Aviation Corp-, whose principal base of operation 

### is located 

### at Primary Business Address: 65-07 Fresh Meadow Lane Fresh Meadows, NY 11365 The holder ofthese operations specifications is the holder ofAir Carrier Certificate Number AOYA206C and shall hereafter be referred to as the certificate holder. The certificate holder is authorized to conduct: On Demand (135)
On Demand (135) o-perations in Common
operations in Common carriage pursuant to Title 14 Code of Federal RegulatiOns (CFR) Section carriage pursuant to Title 14 Code of Federal Regulations (CFR) Section 1192l(a)(5)-0n Dernandl35 l19.25(b)- On Demand HEL and provided, at all times, the certificate holder has appropriate written economic authority issued by the Dep_artment ofTransportation. and provided, at all times, the certificate holder has appropriate written economic authority issued by the Department ofTransportation. The certificate holder shall conduct these kinds of operations in accordance with the specific authorizations, limitations, and procedures in these operations specifications and all appropriate Parts ofthe CFR. b. These operations specifications are effective as ofthe "Date Approval is effective" listed in each paragraph and shall remain in effect as long as the certificate holder continues to rTieet the requirements ofPart 119 as specified for certification.
c. The certificate holder is authorized to conduct the operations described in subparagraph a under the following other business names: SMC AVIATION INC. d. The certificate holder is authorized to conduct flights under 14 CFR Part 91 for crewmember training, maintenance tests, ferrying, re-positioning, and the carriage ofcompany officials using the applicable authorizations in these operations specifications, without obtaining·a Letter of Authorization, provided the flights are not conducted for compensation or hire and no charge ofany kind is made for the conduct ofthe flights.

Print Date: 5/5/2009 ADO l-1 Northeastern Aviation Corp Certiftcate No.: AOYA206CU.S. Department of Transportation Federal Aviation Administration Operations Specifications
1. Issued by the Federal Aviation Administration. 2. Support information reference: 3 These Operations Specifications are approved by drrection of the Administrator.

# M~~-:;;.**~"---** Principal Operations Inspector EAll 4.

# D~a~:rovalrs effective. 212109 Amendment Number 5. I hereby accept and receive the Operations Specifications in this paragraph.

# ~/k_ ,(2-pd;A/)

Russo, Michael J Director of Operations Date: 2/2109 

### 6

Print Date: 5/5/2009 AOOl-2 Northeastern Aviation Corp Certifrcate No.: AOYA206C 

# \**~** 

# ' 

# \ I 

# 1 i

# IU.S. Department of Transportation Federal Aviation Administration AOOl. Issuance and Applicability Operations Specifications 

### HQ Control: 

### HQ Revision: 05/09/03 02c

a. These operations specifications are issued to SUNDANCE AVIATION INC, whose principal base of operation is located at: · Primary Business Address: SUITE 

### 103, ATLANTIC AVIATION BLDG REPUBLIC AIRPORT FARMINGDALE, 

### NY 11735 The holder ofthese operations specifications is the holder ofAir Carrier Certificate Number SDPA480K and shall hereafter bereferred to as the certificate holder. The certificate holder is authorized to conduct: On Demand (135) operations in Common carriage pursuant to Title I 4 Code of Federal Regulations (CFR) Section I I9.2I(a)(5)- On Demand and provided, at all times, the certificate holder has appropriate written economic authority issued by the Department ofTransportation. The certificate holder shall conduct these kinds ofoperations in accordance with the specific authorizations, limitations, and procedures in these operations specifications and all appropriate Parts ofthe CFR. b. These operations specifications are effective as ofthe "Date Approval is effective" listed in each par:agraph and shall remain in effect as long as the certificate holder continues to meet the requirements ofPart 119 as specified for certification.
c. The cettificate holder is authorized to use only the business name which appears on the certificate to conduct the operations described in subparagraph a.

d. The certificate holder is authorized to conduct flights under 14 CFRPart 91 for crewmember training, maintenance tests, ferrying, re-positioning, and tl:ie carriage ofcompany officials using the applicable authorizations .in these operations specifications. without obtaining a Letter ofAuthorization, provided the flights are not conducted for compensation or hire and no charge ofany kind is made for the conduct of the flights.

Print Date: 4/2/2004 AOOI-1 SUNDANCE AVIATION INC Certificate No.: SDPA480KU.S. Department of Transportation Federal Aviation Administration 

### Operations Specifications
1. Issued by the Federal Aviation Administration. !Q1;=c:ficationsare approved by direction ofthe Administrator.

Moinian, Shapour Principal Operations Inspector EAll 3. Date Approval is effective: 4/2/04 Amendment Number: 1 4. I hereby accept and receive the Operations Specifications in this paragraph.

# i£10~/)#£~

Kalish, Michael David

Print Date: 4/2/2004 Director of Operations

AOOl-2 SUNDANCE AVIATION INC Date: 4/2/04

Certificate No.: SDPA480KU.S. Department ofTransportation Federal Aviation Administration Operations Specifications

A006
. Management Personnel

The certificate holder 

### is authorized the following management positions: 

### HQ Control: 10/19/2009 

### HQ Revision: 030

a. The certificate holder uses the following named personnel in the 14 CFR Part 135 management positions listed below. All management personnel listed in this operations specification must be direct employees ofthe certificate holder. Table 1- Authorized Management Positions and Personnel Part 119 Position Title Name CompanyEquivalent Position Title
_ ChiefPilot Labrozzi, Joseph William ChiefPilot Director ofMaintenance Oppedisano, Michael Director ofMaintenance Director ofOperations Russo, Michael 1 President



### I. Issued by the Federal Aviation Administration. 2. Support information reference: 3. These Operations Specifications are approved by direction ofthe Administrator.

2011.06.15 13:35:02 Central Daylight Time Location: WebOPSS Digitally signed by Theodore WBurzynski. Principal Operations Inspector (EA 11)

4. Dat7'tpproval is effective: 06/15/2011
. . Amendment Number: 11 5;22:i:;:t

## ~:;2:::; ;eratrons SpecificatiOns m thrs paragraph.

# If!?~.·~-~~

Print Date: 6/15/2011 A006-1 Northeastern Aviation Corp Date: 06/15/2011

Certificate No.: AOYA206CU.S. Department ofTransportation Federal Aviation Administration Operations Specifications

A006
. Management Personnel HQ Control: 

### 10/19/2009 HQ Revision: 030 The.certificate holder is authorized the following management positions:

a. The certificate holder uses the following named personnel in the 14 CFR Part !35 management positions listed below. All management personnel listed in this operations specification must be direct employees ofthe certificate holder. Table 1- Authorized Management Positions and Personnel Part 119 Position Title Director ofMaintenance Director ofOperations ChiefPilot

Print Date: 1/5/2010 Name Company Equivalent Position Title Jones, Stephen L. Director ofMaintenance Kalish, Michael David Director ofOperations Weston, Douglas W. ChiefPilot

A006-l SUNDANCE AVIATION INC Certificate No.: SDPA480KU.S. Department ofTransportation Federal Aviation Administration 

### Operations Specifications

1. 

### Issued by the Federal Aviation Administration
. 2. Support information reference: 3. 

### These Operations Specifications are approved by direction oftheAdministrator. 

# • \ )**~----** 20JO.OUl514:30:27 Ccntml Stumhmi Time Location: \VchOPSS Digitally sign,::d by Kicholas**Tsokri~,** PrUtcip<ll Operntio.ns lllspct.!1or



### 4. Date Approval is effective: OI/05/2010 Amendment Number: 4 5. 

### I hereby accept and receive the Operations Specifications in

### this paragraph.

Kalish, Michael David, Director

## ofOperations

Print Date: I/5/20I0 

# II/J

# ~

# L~d!~

A006-2 SUNDANCE AVIATION INC Date: 01/05/2010

Certificate No.: SDPA480K

### U.S. Department of Transportation Federal Aviation Administration



### DOSS . Aircraft Listing 

### Operations Specifications
HQ Control: 02/06/1998 

### HQ Revision: 02a



### a. The certificate holder is authorized to conduct operations under 14 CFR Part !35 using the aircraft identified on this operations specification. Registration No. N104FT N72MM N16671 N604LC N605WG N155MM N451CM N156WJ N345LC N56MM N55NY N973HR N8282P



### Print Date: 5/26/20II Serial No. Aircraft M/M/S 20121 BD-100-1A10 BB-497 BE-200-200 2087 BHT-206-B 5373 CL-600-2816 14500980 EMB-135-BJ 325 GA-1159-A 4024 GA-1V-X 1347 G-IV 5145 G-V-SP 332 LR-24-F 55-020 LR-55-55 60-260 LR-60-60 34-8170022 PA-34-200T



### DOSS-I 

### Northeastern Aviation Corp Certificate No.: AOYA206CU.S. Department of Transportation Federal Aviation Administration Operations Specifications

I. The Certificate Holder applies for the Operations in this paragraph. 2. Support infonnation reference: 3. These Operations Specifications are approved by direction ofthe Administrator.

.211 J 1.05
..21.' I**11::1:~:.22** ('c:nir<li Del\ l.i!.!.lll lim.: lllt:,lliun: \\ cb< lPSS ·**~ L)l~itally**  signud**h~** :-..-!:.u"k 11urndl, Pr'lm:"1p,d .\lnink'll;I[ICl' )llSjl!.:d.ur 

### u:xr I)

4. Date Approval is effective: 05/26/2011 Amendment Number: 18 5. I hereby accept and receive the Operations Specifications 

### in this paragraph. Oppedisano, Michael, Director ofMaintenance

Print Date: 5/26/2011 D085-2 Northeastern Aviation Corp Date: 05/26/2011

Certificate No.: AOYA206CU.S. Department of Transportation Federal Aviation Administration



### 0085 •Aircraft Listing Operations Specifications


### HQ Control: 02/06/1998 HQ Revision: 02a

a. The certificate holder is authorized to conduct operations under 14 CFR Part 135 using the aircraft identified on this operations specification. Registration No. Serial No. Aircraft M/M/S Nl06MB TH-1935 BE-58-58 N345MJ TH-1823 BE-58-58



### 1. Issued by the Federal Aviation Administration. 2. Support information reference: 3. These Operations Specifications are approved by direction ofthe Administrator.
2011.04
..13**14:07~30** Central. Dayhght Time Location: \VebO.PSS Digi1al.ly s·ign(:d by Cm.nu.d J DePinto, PrJ.ncipaJ·Yhrirricnance Jn:speci.N (EA J 1)

4. Date Approval is effective: 04/13/2011 Amendment Nmnber: 6 5. I hereby accept and receive the Operations Specifications in this paragraph.

Kalish, Michael David, Director ofOperations

Print Date: 4/13/2011 D085-l SUNDANCE AVIATION INC Date: 04/13/2011

Certificate No.: SDPA480K

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# NORTHEASTERN AVIATION CORP OPERATIONS MANUAL AIR CARRIER CERTIFICATE NUMBERAOYA206C 4.9 OTHER COMMERCIAL FLYING TIME (a) Pilots shall report, or make available, to the Director ofOperations flight time records from all other commercial flying activities within seven days prior to duty. (h) 

### Other Commercial Flying time includes: (I) 

### Any flight instruction activities (2) Anybusiness flying even ifnot on an hourlybasis (3) 

### Anyflying, or flight training, orferrying, for anybusiness concern whether they are an aviation company ornot (4) 

### Other airline flying. (c) Military flying in the National Guard or Reserves is not considered Commercial Flying Time for air carrier purposes. Although the flight time does not figure into any calculation against the limitations for a later air carrier flight, 

### it is the companypolicy that you not accept a flight without meeting the minimum rest period requirements of 10 hours ofuninterrupted rest imposed by 135.267.

- Do not use the mandatory rest periods under the air carrierrules as your duty period to conduct military flying. 

### 4.10 DEPARTURES WITH MARGINAL DESTINATION WEATHER (a) AIR CARRIER (I) 

### 135.219No person may takeoffan aircraft under !FR unless the latest weather reports or forecast indicate that the weather conditions at the estimated time ofarrival at the next airport ofintended landing will be at or above authorized !FR landing minimums. (2) 135.221 Alternate airport weather requirements. No person shall designate an alternate airport unless the weather reports or forecast indicate that the weather conditions will be at or above authorized alternate airport minimums for that airport at the estimated time ofarrival
. (h) 

### ALL FLIGHTS Passengers should be advised ofanyforecast oranticipated weather problems and a decision made as to a possible course ofaction ifthe destination weather makes completion ofthe planned flight impossible.

DATE: 

### 03/10/2010 

### REISSUANCE SECTION: 1 CHAPTER:4 PAGE: 4-11

### DISCREPANCY FAAASSESSMENT FINDINGS January 30- February 3, 2012 NORTHEASTERN AVIATION (AOYA)

RESPONSE AND ACTION PLANS 

## General Operations Manual

OtherCommercial Flying: Northeastern has a documented procedure for pilots to record OtherCommercial Flying Time requiring pilots to report ormake available flight time records from all other commercial flying 14 activities within 7 days priorto duty. [GOM Section 1 Chapter4 4.9] There are no records found from knownpilots who are actively flying outside ofNortheastern. There is a potential ofa pilot being assigned fli ht du without havin ade uate rest and!or exceedin fli ht and du time limitations.

ANALYSIS /INVESTIGATION Analysis shows NEA could utilize a better system for the tracking of Flight, Duty and rest times of flight crew members outside of the Company. The seven day notification is not realistic to ensure compliance with requirements. NEA will developed an new process and procedures utilizing industry best practices.



### CORRECTIVE ACTION PLAN IMMEDIATEACTION:



### A Company Operations Bulletin will be issued to all flight crew (full and part-time) explaining the new procedures. CORRECTIVEACTION:



### Athe GOM will be revised at the new update reflecting the newly established tracking system for Flight, Duty and rest requirements outside ofthe Company.

.



### February 27, 2012

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## IU.S. Department of Transportation Federal Aviation Administration



### CERTIFIED MAIL- RETURN RECEIPT REQUESTED File#: 2012EA110030 Mr. Michael J. Russo Director ofOperations Northeastern Aviation Corporation 65-07 Fresh Meadow Lane Fresh Meadows, NY 11365 Dear Mr. Russo: Farmingdale Flight Standards District 0 7150 Republic Airport Administration Building, Suite 235 Farmingdale, NY 11735 T-631.755.1300 x225 F·631.694.5516 Email- THEODORE.BURZYNSKI@F



### During the week ofJanuary 30, 2012, the Farmingdale Flight Standards District Office conducted an In-Depth Inspection ofthe Northeastern Aviation Corporation facility. As a result ofthe inspection, it was discovered that on August 23, 2011, PilotMichael Kalish, wh m 

### also flies for Sundance Aviation, was dispatched on a Northeastern Aviation Charter flight without beingprovided the minimum 10consecutive hours ofrest. mmALS/sto

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### This is to inform you that the FAA is investigating this matter. We wish to offer you an opportunity to discuss the incident in person or submit a written statement within 10 days following receipt ofthis letter. Your statement should contain all pertinent facts and any mitigating circumstances which you feel may have a bearing onthe incident. Ifwe do not hear from you withinthe specified time, we will process this matter without the benefit of your statement. Sincerely, 

# Original Signed By
Theodore W. Burzynski Principal Operations Inspector

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