ROBERT SPITZER FAA OFfiCE OF REGIONAL COUNSEL 1601 LIND AVE., SW 

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RENTON, WASHINGTON 98057 TELEPHONE: (425) 227-1417 FACSIMILE: (425)227-1007 

## HEARING DOCKET**~0** 

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# d.-L\L\5 UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION OFFICE OF HEARINGS

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In the Matter of: Rotor FIXLLC FAA Case No. 2013WP910153 Judge Not Assigned
COMPLAINT The Federal Aviation Administration (FAA), by counsel, hereby files its Complaint, pursuant to Rule 208 ofthe Rules ofPractice (14 Code ofFederal Regulations (C.P.R.) Section 13.208), and states as follows: 

### I. On July 21,2015, Rotor FIXLLC (Rotor), was advised through a Final Notice of Proposed Civil Penalty that the FAAproposedto assess a civil penalty inthe amount of$9,625. OnJuly 28, 2015, Rotor submitted a writtenrequest for ahearing. 

### II. 1. Rotor is now, and at all times mentioned herein, authorized to conduct commercial air tour operations pursuantto 14 Code ofFederal Regulations (C.P.R.) Section 91.147. 2. At all times relevant herein, Rotor was required to comply withthe requirements of 14 C.P.R. Part 120 and 49 C.P.R. Part 40 for its drug and alcohol testing program.

COMPLAINT FAA v Rotor FIX LLC FAA Case No. 2013WP910153 Page 2 of7 ROBERT SPITZER, FAA ATTORNEY TEL: (425) 227-1417; FAX: (425) 227-10073. On or about July 26,2012, Rotor hired John Mowatt as a pilotto perfom1 safetysensitive functions. 4. Atthe time that John Mowatt was hired, Rotor had not conducted a pre-employment drug test, nor had 

### itreceived a verified negative drug test result for John Mowatt. 5. John Mowatt subsequently conducted fom (4) flights as pilot-in-commandpmsuant to Rotor's 14 C.F.R. Section 91.147 air tom authorization. 6. On or about August 9, 2012, Rotor hired James Ivy as an Airframe and Powerplant mechanic to perform safety-sensitive functions. 7. Atthe time that James Ivy was hired, Rotor had not conducted a pre-employment drug test, nor had it received a verified negative drug test result for James Ivy. 8. James Ivy subsequentlyperformed safety sensitive functions, specifically maintenance work on an aircraft used inRotor's 14 C.F.R. Section 91.147 operations. 9. Rotor hiredthe following individuals to perform safety-sensitive functions:
a. MarkAletky on or about July 26, 2012; b. Dane Helvig on or about October 29, 2012;
c. James Ivy on or about August 9, 2012; d. George Marciniw on or about October 17, 2012;
e. John Mowatt on or about July 26, 2012; f. William Rembert on or about August 9, 2012; g. Robert Settle on or about July 26, 2012; h. James Valenzuelaon or about March 27, 2013; and
1. Kevin Kahl on or about August 13, 2012. 1

0. Rotor failed to ask the employees, described inparagraph 9 above, whether they had tested positive orrefused to test on any pre-employment drug or alcohol test administratedby an employer for whichthe employee applied for, but did not obtain, safety-sensitive transportation work covered by Department ofTransportation (DOT) agency drug and alcohol testing rules dming the pasttwo (2) years.
COMPLAINT FAAv Rotor FIX LLC FAA Case No. 2013WP910153 Page 3 of7 ROBERT SPITZER, f AAATTORNEY TEL: (425) 227-1417; FAX: (425) 227-100711. Rotor failed to provide educational materials that explained alcohol testing requirements and its policies andprocedures withrespect to meeting the testing requirements. 12. Rotor failed to ensure that a copy ofthe materials described inparagraph 11 above were distributed to each covered employee prior to the start ofalcohol testing under Rotor's FAA mandated alcohol testing program.

.. _-· __**__ll._Rotodaile_dto_ha.Y.eits...Emplo¥ee.Assistance..Er.ogram__(EAI'_)Jnclude_dis.pla~r_and___** _ ___ distribution ofinformational material, a community service hot-line telephone number for employee assistance, and Rotor's policyregarding drug use in the workplace. 14. Rotor failed to implement a reasonable program ofinitial training for its employees, including at least the effects and consequences ofdrug use on individual health, safety, and work environment. 15. Rotor failed to implement a reasonable program ofinitial training for employees including at least the manifestations and behavioral cues that may indicate drug use and abuse. III. 1. Byreason ofthe foregoing facts and circumstances, Rotor violated the following sections ofthe Federal Aviation Regulations (14 C.F.R.):

a. Section 120.109(a)(l), in that Rotor hired individuals for safety-sensitive functions listed in 14 C.F.R. Section 120.105 whenRotor had not first conducted a preemployment test and received a verified negative drug test result for those individuals; b. Section 120.223(a)(1), inthat Rotor failed to provide educational materials that explain the alcohol testing requirements and Rotor's policies and procedures withrespectto meeting to those requirements to each covered employee prior to the start ofalcohol testing under Rotor's FAA-mandated alcohol testing program;
c. Section 120.115(b), in that Rotor's EAP testing program did notinclude at least (i) display and distribution ofinformational material, (ii) display and distribution ofa community service hot-line telephone number for employee assistance, and (iii) display and distribution ofthe employer's policy regarding drug use inthe workplace; and
COMPLAINT FAAv Rotor FIX LLC FAA Case No. 2013\\'1'910153 Page 4 of7 ROBERT SPITZER, FAAATTORNEY TEL: (425) 227-1417; FAX: (425) 227-1007d. Section 120.115(c)(1), 

### inthat Rotor failed to implement a reasonable program ofinitial training for employees that included at least (i) the effects and consequences ofdrug use onindividual health, safety, and work environment, (ii) the manifestations and behavioral cues that may indicate drug use and abuse.

e. Rotor additionally violated 49 C.F.R. Section 40.25(j) in that Rotor failed to ask the above-listed employees whetherthey hadtested positive, or refused to test, on any pre-

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**~----** - ---emple-yment-drug-er-aleehel-t-est-aclmi-nisterefr-by-aR-empleyer-te-whieh-the-emp-loyeeapplied for, but did not obtain, safety-sensitive transportation work covered by DOT agency drug and alcohol testing rules during the pasttwo (2) years. 2. In accordance with Sections 4630l(a) and (d) ofTitle 49 ofthe United States Code (U.S.C.) (Transportation) [49 U.S.C. Sections 46301(a) and (d)], Rotor is liable for a civil penalty not to exceed $11,000 for each ofthe violations noted. 3. Under the facts and circumstances ofthis case, a civil penalty of$9,625 is appropriate. WHEREFORE, the Agency, by counsel, respectfully requests thatthe Administrative LawJudge enter an OrderthatRotor be assessed a civil penalty 

### inthe amount of$9,625.
Respectfully submittedthis 11th day ofAugust, 2015.

Robert Spitzer FAA Attorney

COMPLAINT FAAv RotorFIX LLC FAA Case No. 2013WP910153 Page 5 of7 ROBERT SPITZER, FAAAITOR:."\!EY TEL: (425) 227-1417: FAX: (425) 227-1007ANSWER In accordance with Section 13.209 ofthe Federal Aviation Regulations, Rotor FIXLLC, must answer this Complaint not later than thirty (30) days from the time it is served onit. Failure to file anAnswer within thirty (30) days without good cause shall be deemed an admission ofthe truth ofeach allegation contained in the Complaint [14.C.F.R. § 13.209(f)J.

COMPLAINT FAA v Rotor FIX LLC FAA Case No. 2013WP910153 Page 6 of7 ROBERT SPITZER, FAAAITOR.."'!EY TEL: (425) 227-1417; FAX: (425) 227-1007

### CERTIFICATE OF SERVICE I hereby certify that the foregoing Complaint has been served via facsimile and Certified Mail

- Return Receipt Requested this date, to the following: Federal Aviation Administration 800 Independence Avenue SW Attn: Hearing Docket Clerk, AGC-430 Wilbur Wright Building- Suite 2Wl000**---~--~wa:sfi}ngton;~u:czos91~~ ~~~---~-~~~** 

COMPLAINT FAAv Rotor FIXLLC Fax: (202) 267-1293 President Rotor FIXLLC 16209 Victory Blvd #267 VanNuys, CA91406 Dated this 11th day ofAugust, 2015.

1\ rri Kirk Office ofRegional Counsel (ANM-7) Federal Aviation Administration 1601 Lind Ave. SW Renton, WA 98057 (425) 227-2007

ROBERT SPITZER. FAAATTORNEY TEL: (425) 227-1417; FAX: (425) 227-1007 FAA Case No. 2013WP910153 Page 7 of7Rotor F/X LLC 16209 Victory Blvd #267 Van Nuys, CA 91406 July 28, 2015 Federal Aviation Administration 

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.. .**Attention:..Hearing.DockeLCierk,.AGC~430_** .._ Wilbur Wright Building - Suite 2W1 000 800 Independence Avenue SW Washington, DC 20591
To Whom It May Concern: . 

# I D ·1 7 2015 

## 11\lG DOCKET Regional Counsel 

### AUG 10

## 2015**ANM~'1**

In response to FAA Case No. 2013WP910153, Rotor F/X LLC would like to request a hearing forthis matter. Ifyou should have any questions, please contact us at 818.462.3333. Sincerely, 

# d/1.**~ -H~f-:?"'"-** U.S. Deportment of Transportation Federal Aviation Administration August 11,2015 Northwest Mountain Region Office of Regional Counsel Colorado, Idaho, Montana, Oregon, Utah, Washington, Wyoming 1601 Lind Avenue S.W Renton, Washington 98057 Tel: (425) 227-1417 Fax: (425) 227-1007 robertspitzer@faa.gov

VIAFACSIMILE AND CERTIFIED MAIL -RETURNRECEIPT REQUESTED Attn··**HearingDockerClerk;AGc~zr3·o** -- Hearing Docket Federal Aviation Administration (Wilbur Wright Bldg

-- Room 2Wl000) 800 Independence Avenue S.W. Washington, D.C. 20591 

### Re: In the Matter ofRotor 

### FIX LLC, FAA CaseNo. 

### 2013WP910153 

## AUG 17 20!5

Enclosed is an original and one copy ofa request for hearing and Complaint in the abovereferenced proceeding. The Federal Aviation Administration (FAA) requests that the hearing inthis matter be held in Los Angeles, California, and expects thatthe hearing will last one (I) day. For scheduling purposes, FAA attorney, Robert Spitzer will be unavailable August 24, 2015 through August 28, 2015; and .November 16,2015 throughNovember 27, 2015. Please address all communications for the FAAto the undersigned at:

Sincerely,

# Ro~itzer FAAAttorney RS/tek Federal AviationAdministration Northwest Mountain Region, ANM-7 1601 Lind Avenue S.W. Renton, Washington 98057 Telephone: (425) 227-1847 FAX: (425) 227-1007

Enclosures: Request for Hearing (Appeal) Complaint