U.S . DEPARTMEN TO F TRANSPORTATI O FEDERA LAVIATIO N ADMINISTRATIO N

WASHINGTON , D C 

# J DECEIVE D FE B 

### 2 2 201 1 

## 1 [EARIN G DOCKE T I N TH E MATTE R O F GOJE TAIRLINE S LL C (Windshiel d Ice )



### 1 . 2 . FA ADocke t No . CP10CE000 4 QM S No , FAA-2010-019 0 Judg e Richar d C . Goodwi n i RESPONDEN TGOJE TAIRLINE' S PROPOSE D FINDING S O F FAC TAN D CONCLUSION S O F LA W

FINDING S O F FAC T o

Thi s Court ha s jurisdictio n t o hea rthi s matte runde r4 9 C.F.R . 82T;2 . At al l time s hereinafte rmentione d GoJe t Airlines , LL C (GoJet) , d/b/ a Unite d Expres s wa s th e holde ro fPar t 12 1 Ai rCarrie rCertificat e Numbe rN6WA249L . A t al l time s hereinafte rmentione d GoJe t wa s th e operato ro fCivi l Aircraf t N115GJ , a Canadai rCRJ-70 0 Regiona l Jet , Mode l CL-600 - 2C10 , registere d a s a n aircraf t availabl e fo rus e i n Par t12 1 revenu e operations. O n o rabou t May31 . 2008 , GoJe t operate d N115G J o n Fligh t 536 5 fro m Lambert Internationa l Airport , St . Louis , M O (STL ) t o Denve r Internationa l Airport , Denver , C O (DEN) . Durin g flight , N155G J experience d a n in-fligh t discrepancyfo rth e pilot' s lef t sid e windo wheat . Th e discrepancywa s indicate d o n a Fligh t Lo g b yth e Captai n a s " LWindo wHea t Caution " intermitten t durin g flight. Base d upo n tha t information . GoJet' s Maintenanc e Controller , Erni e Spencer , authorize d tha t th e pilot' s windshiel d anti-ic e controlle ro n aircraft N155G J b e deferre d pursuan t t o Deferre d Maintenanc e Ite m (DMI ) 590 9 i n accordanc e wit h Minimu m Equipmen t Listin g ("MEL" ) ite m 30^1-01 . Subsequen t t o Fligh t 5365 . GoJe t operate d N155G J o n Fligh t 539 3 fro m DE N t o Geral d Ford Internationa l Airport , Gran d Rapids , M l (GRR) . ••^" p rrt-O m

C O

900/LOO i 

### swa VV J StLSSGtSO S XV J erS L LLOS/SS/S O8 . Upo n reachin g GR R th e Captai n o fFligh t 539 3 note d i n th e Fligh t Lo g "pilot' s leftsid e windo wcautio n messag e intermitten t durin g flight . Thi s Captai n wa s no t th e Captai n o n Fligh t536 5 fro m ST Lt o DEN . 9 . On-deman d maintenanc e a t GR R als o entere d a discrepancyi n th e Fligh t Lo g tha t th e " Lwindo wHea d Cautio n Messag e Intermitten ti n Fligh t Re t DM I 5909 . 10 . Whil e o n th e groun d i n GRR , a n operationa l chec k wa s perfonne d o n th e sid e windo wanti-ic e controlle ran d i t wa s determine d t o b e full y operational . A t tha t sam e time , maintenanc e performe d a n operationa l chec k o fth e left windshiel d anti-ic e controller . 11 . Th e operationa l chec k wa s norma l an d th e syste m operate d normall y an d therefor e i t wa s determine d t o b e i n accordanc e wit h CR J 700M M 30-41-0 0 an d DM I 590 9 wa s cleared . 12 . Th e pilo t wh o fle wth e fligh tfro m DE N t o GR R submitte d a n Aviatio n Safet yActio n Progra m ("ASAP" ) Repor t i n accordanc e wit h A C 120 - 66B . 13 . ASA P i s a n FA

Aprogra m designe d t o encourag e ai rcarrie ran d repai r statio n employee s t o voluntaril yreport safet yinformatio n tha tmayb e critica l t o identifyin g potentia l precursors t o accidents . 14 . Unde rASAP , safetyrelate d issue s are resolve d vi a correctiv e actio n rathe rtha n throug h punishmen t o rdiscipline . 15 . Participatio n i n ASA P i s voluntary . 16 . I fa carrie rdesire s t o participat e ASAP , th e certificat e holder , it s participatin g employe e grou p an d th e FA Aente rint o a Memorandu m o fUnderstandin g ("MOU" ) settin g fort h th e purpos e for , an d term s o fit s ASAP . 17 . GoJe t an d it s pilo tgrou p entere d int o a n MO U wit h th e FA At o establis h th e GoJe t Pilo t ASAP . 18 - GoJet' s MO U provide s tha t i fa pilo treport s somethin g int o ASA P the y wil l ge t immunityfro m prosecutio n fro m bot h th e Compan yan d th e FA Aunde rmos t circumstances . 19 . Th e FAA' s publishe d an d publicl yavailabl e guidanc e document s provid e tha t althoug h th e i^A Amayconduct a n independen t investigation , neithe rth e writte n ASA P Repor t no rth e content s o fth e writte n ASA P Repor

tca n b e use d t o initiat e o rsupport compan y disciplin e o ras evidenc e fo ran ypurpos e i n a n FA Aenforcemen t action .

900/300 ®SW Q ^ VV d StLSGGtSO S XV d tL-S L LL02/S2/2 020 . Afte ra n ASA P Repor t i s filed , a grou p calle d a n Event s Revie w Committe e ("ERC") , whic h i s comprise d o fa representativ e fro m eac h partyt o th e ASA P MOU , the n meet s t o revie wan d analyz e th e report(s ) submitte d t o ASA P an d vote s whethe ro rno t t o accep t th e reportint o ASAP . 21 . I fa report i s accepte d int o ASA P i ti s close d wit h n o action , unles s th e report demonstrate s a lac k o fqualificatio n o rraise s a questio n o flac k o fqualificatio n i n whic h cas e th e appropriat e correctiv e actio n i s recommende d byth e ERC . 22 . Members o fGoJet' s ER C ar e comprise d o fa representativ e for m th e FAA , a representativ e fro m th e pilo t grou p an d a representativ e fro m GoJet . 23 . GaryCoope ri s a Principa l Maintenanc e Inspecto r(PMI ) fo rth e FA A assigne d t o GoJet' s certificate . 24 . A s a PMI , Coope ri s th e principa l regulatin g officia l o fth e maintenanc e functio n at GoJet . 25 . Coope ri s no t currently , an d wa s no t a tth e relevan t tim e period , a membe ro fth e GoJe t ERC . 26 . Coope rwa s invite d t o si t i n o n a Jun e 12 , 200 8 meetin g o fth e GoJe t ER C bya n FA

APO I [Principa l Operatio n Inspector] wh o wa s a membe ro fth e GoJe t ASA P ER C becaus e a maintenanc e relate d even t wa s goin g t o b e discusse d durin g a meetin g o fth e ERC . 27 . Prio rt o th e commencemen t o fth e meetin g o fth e ERC , Coope r execute d a n "ER C Meetin g - CONFIDENTIALITYREQUIREMENT " whic h state d tha t "al l materia l containe d i n thi s [ASAP ] report i s confidentia l an d privilege d informatio n an d tha t an yus e o fth e ASA P report outsid e th e confine s o fth e ER C meetin g require s unanimou s consen to fth e ERC. " 28 . Additionally , as a visitor , b yexecutin g th e Confidentialit yAgreement , Coope ragree d tha t h e wa s boun d byth e rule s containe d i n th e MOU , an d particularl yunderstoo d tha t al l proceeding s ar e confidentia l an d no t t o b e discusse d outsid e o fth e [ERC ] meeting . 29 . Durin g th e cours e o fthi s meetin g o fth e ER C i t wa s brough tt o Cooper' s attentio n tha to n Ma y31 , 200 8 GoJe t allegedl yimproperi y deferre d th e pilot' s windshiel d anti-ic e controlle ro n aircraftN155GJ . 30 . Immediatel yfollowin g th e meetin g o fth e ERC , base d upo n th e informatio n whic h h e learne d an d document s h e reviewe d durin g th e meeting . Coope rsough t ou tGoJet' s Chie fInspector , JeffCraig , an d

900/eooi a sw o * vv d snsestso s xvj n:s Luos/ss/s oaske d t o intervie wErni e Spence rth e maintenanc e controlle rinvolve d i n thi s incident . 31 . Durin g thi s intervie wSpence radvise d Coope rtha t base d upo n conversation s wit h th e Captai n an d on-deman d maintenanc e personne l wh o examine d th e plan e h e wa s abl e t o determin e tha t th e pilot' s windshiel d hea t wa s th e proble m an d therefore , i n hi s opinio n a s a n experience d maintenanc e controller , th e windshiel d wa s deferrabl e pursuan t t o ME L30-4 1 -01 . 32 . Afte rinterviewin g Spencer , Coope rwen t bac k t o hi s offic e an d initiate d a n Enforcemen t Investigatio n Repor t ("EIR" ) FA

ACas e #2008CE030141 . 33 . Apreponderanc e o fth e evidenc e establishe s tha tth e ASA P reportan d supportin g documentatio n discusse d an d reviewe d durin g ER C Meetin g wa s th e sol e sourc e o fCooper' s knowledg e o fth e allege d imprope rdeferra l whic h i s th e basi s o fthi s enforcemen t action . 34 . Apreponderanc e o fth e evidenc e establishe s tha tCooper' s actio n wer e i n breac h o fth e ConfidentialityAgreemen t whic h h e execute d prio rt o th e ER C Meeting .

CONCLUSIO N O F LA

W Th e Informatio n Use d bvth e FA At o Initiat e it s Investigatio n Cam e Fro m a Sol e Sourc e Repor t Whic h Accordin g t o Publishe d Guidanc e Document s Canno t B e Use d T o Initiat e A n Enforcemen tActio n an d Therefor e Mus tB e Exclude d fro m Thes e Proceeding s Becaus e th e FAA' s Action s Ar e Arbitraryan d Capriciou s 35 . Unde rASAP , th e FA Aha s invite d partie s subject t o it s jurisdictio n t o confes s thei rviolation s i n retur n fo rmor e favorabl e prosecutoria l treatment , 36 . Th e FA

Aha s publishe d A C 120-66 , cun-entl yA C 120-66B , a s it s officia l progra m documen t t o provid e guidanc e t o it s participants . 37 . Accordin g t o th e FAA' s publishe d an d publicl yavailabl e guidanc e documen t governin g ASAP , A C 120-66B , neithe rth e writte n ASA P repor t no rth e conten to fth e writte n ASA P report no rth e conten t thereo fwil l b e use d t o initiat e o rsupport compan ydisciplin e o ra s evidenc e fo ran ypurpos e i n a FA Aenforcemen taction.. . 38 . Additionally , accordin g t o th e FAA' s publishe d an d publicl yavailabl e guidanc e document , A C 120-668 , a repor tshal l b e considere d a "Sole soo/t^ooi a sw o < • VV J StLSeGtSO S XV d tL:S L LL02/S2/2 039 . 40 . 41 . 42 . Sourc e Report " whe n "al l evidenc e o fth e even t availabl e t o th e FA A outsid e i s discovere d b yo rothenvis e predicate d o n th e ASA P report. " Th e ASA P report an d document s reviewe d b yCoope rdurin g th e ER C Meetin g constitut e th e sol e sourc e o fCooper' s knowledg e o fth e allegation s givin g ris e t o thi s enforcemen t action . Cooper' s action s ar e i n direc t contradictio n o fth e FAA' s publishe d guidanc e documents . Ther e i s n o soun d reaso n fo rth e FAAt o hav e refuse d o rrescinde d its bargain . Consequently , th e FAA' s action s i n bringin g thi s enforcemen t actio n predicate d upo n a sole-sourc e report ar e arbitraryan d capricious . Dated : Febnjary^.201 1 

# A .

Davi d J.A . Hayes , 11 1 Esq C

Vic e Presiden t & Genera l Counse l Tran s State s Holdings . Inc . 1149 5 Navai d Rd. , Ste . 34 0 Bridgeton . M O 6304 4 Phone : 314-222-431 6 Fax : 314-222-431 1 dhayes@transstates.ne t Attorne yfo rResponden t GoJe t Airiine s LL C

900/500 ® SW O VV d Sl7LSeGl7S0 2 XV d t?L:S LLL02/SS/£ 0CERTIFICAT E O F SERVIC E

I hereb ycertifytha t a cop yo fth e foregoin g Propose d Finding s o fFac t an d Conclusion s o fLa wwas sen t thi s J ^ da yo fFebruary , 2011 , a s indicate d below , t o th e following : Origina l & On e Copy : vi a U.S . Mail , al l postag e pre-paid . Federa l Aviatio n Administratio n 800 Independenc e Avenue , S.W . Washington , D C 2059 1 Attention : Hearin g Docke t Clerk , AGC-43 0

Wilbu rWrigh t Buildin g - Suit e 2W100 0 On e Copy : Vi a Emai l an d US . Mail , al l postag e pre-paid . Davi d B . Kessle r Offic e o fRegiona l Counse l Centra l Region , ACE- 7 Federa l Aviatio n Administratio n 90 1 Locust , Roo m 50 6 Kansa s City . M O 64106-264 1 Vi a Federa l Expres s Th e Honorabl e Richard C . Goodwin , AL J Offic e o fHearings . M-2 0 U.S . Departmen t o fTransportatio n 120 0 Ne wJerse yAve. , SE . Eas tBuildin g Groun d Floor , Roo m E12-32 0 Washington , D C 2059 0 

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