# RECEIVE D Befor e th e U.S . Departmen t o f Transportatio n MA Y 3 \201 1 i DK-A* [ V , Federa l Aviatio n Administratio n LJ ^ A I-^IK.. ^ 

# ! HEARIN G DOCKE T

M & RHELICOPTE R Docke t No . CPlOSOOOl l FA A Cas e No . 2009SO95043 4 Chie f Judg e Ronni e A . Yode r

COMPLAINANT' S PRE-HEARIN G BRIE F Complainan t

file s thi s Pre-Hearin g Brie f i n complianc e with th e Chie f Administrativ e La w Judge' s orde r give n durin g th e Marc h 25 , 2011 , pre-hearin g conference . Durin g that

pre-hearin g conference, th e Chie f Administrativ e La w Judg e directe dth e Complainan t t o submi t

apre-hearin g brie f

regardin g th e followin g issues : 1 . Th e applicabilit y o f

moonlightin g t o thi s matte r an dth e amendment s t o Appendi x I withou t

a n amendmen t

t o Appendi x J ; 2 . Th e applicabilit y o f

FA A v . Davi dE . Everson , d/b/a , Nort h Valley Helicopters , FA A Docke t No . CP99WA000 2 (2000) ; 3 . Complainant' s positio n with respec t t o providin g a

n un-redacte d Enforcemen t

Investigativ e Report ; an d 4 . Th e calculatio n o f

th e civi l penalty an dwhethe r th e amoun t

o f th e penalty shoul db e reduce dbase do n th e financial document s M & RHelicopters , LL C C' M & RHelicopters" ) provide dt o th e FAA .DISCUSSIO N

1 . Th e moonlightin g loophol e i s no t applicabl e i n thi s cas e becaus e th e moonlightin g loophol e i n th e dru g testin g regulation s di dno t exis t a t th e tim e o f M & RHelicopters ' violation s an dneve r existe di n th e alcoho l testin g regulations . Prio r t o 2004 , amoonlightin g loophol e existe di n 1 4 C.F.R. , part 121 , Appendi x I o f th e dru g testin g regulation s tha t allowe demployer s t o us e individual s t o perform safety-sensitiv e function s whil e bein g include di n th e dru g progra mo f anothe r employer. ' Th e languag e cite dfor

thi s moonlightin g loophol e wa s containe di n 1 4 C.F.R . part 121 , Appendi x I , § 1 1 (2003 ) prio r t o th e revision s enacte di n 2004 , an dwa s a s follows : Employe r h apai i 12 1 certificat e holder , apart 13 5 certificat e holder , a n operato r a s define di n § 135.1(c ) o f thi s chapter , o r

a n ai r traffi c contro l facility no t

operate db y th e FA A o r

b y o r unde r contrac t t o th e U.S . military . Provided , however , tha t a n employe r

may us e aperso n wh o i s no t include dunde r

that employer' s dru g progra mt o performasafety

sensitiv e function , i f

tha t perso n i s subjec t

t o th e requirement s o f

anothe r employer' s FAA-approve dantidru g program . Thi s languag e create dasituatio n wherein , [ujnde r th e moonlightin g loophole , whe n a n employe e wa s covere dunde r a n employer' s dru g testin g progra m(Employe r A) , anothe r

employe r (Employe r

B ) coul dhav e use dthat

employe e t o performsafety-sensitiv e function s eve n whe n th e wor k wa s unrelate dt o th e wor k with Employe r A . Antidru g an dAlcoho l Misus e Preventio n Program s for Persorme l Engage di n Specifie d Aviatio n Activities ; Fina l Rule , 6 9 Fed . Reg . 1840 , 184 3 (Jan . 12 , 2004) . Thi s arrangement , however , create dsignifican t safety issue s i n that

employer s coul db e unawar e o f

it s employee' s activitie s for th e othe r employer . Id , Fo r

example , i f a n employe e wa s terminate db y th e employe r unde r whos e dru g testin g progra mh e wa s

' Effectiv e Jul y 13 , 2009 , th e FAA' s dru g an dalcoho l regulation s i n 1 4 C.F.R . part 121 , Appendice s I an dJ wer e recodifiedan dar e no w foundi n 1 4 C.F.R , par t

120 , subpart s E an dF . Se e Fina l Rule , 7 4 Fed . Reg . 2264 9 (May 14 , 2009) . Th e Final Rul e i s als o availabl e a t th e followin g interne t

address : http://www.faa . gov/about/officeorg/headquartersoffices/avs/offices/aam/drug^alcohol/testing /covered , th e othe r employe r

may neve r

findou t an dwoul dthe n allo w th e individua l t o perfor msafety-sensitiv e wor

k withou t bein g covere db y th e FAA-mandate ddru g testin g program . Id . Th e FA A change dth e languag e o f 1 4 C.F.R . part

121 , Appendi x I , § I I i n 2004 , t o mak e i t

clear tha t n o employe r

can us e acontrac t

employe e t o performa safety-sensitiv e functio n unles s th e contrac t employee : i s include dunde r tha t employer' s FAA-mandate dantidru g program ; o r i s include dimde r

th e contractor' s FAA-mandate dantidru g progra man di s performin g asafety

sensitiv e flectio n o n behal f o f th e contractor . /^a t 1842-43 . Wit h thi s revision , th e FAA mad e i t clear tha t "employer s wil l onl y b e permitte dt o rel y o n companie s wit h who mthe y hav e contractua l relationship s t o cove r testin g o f

thei r employees. " Id . a t

1843 . Th e revise dlanguag e o f 1 4 C.F.R . par t

121 , Appendi x I , § I I (2005 ) wa s a s follows : Employe r i s apart 12 1 certificat e holder , apart 13 5 certificat e holder , a n operato r a s define di n § 135.1(c ) o f thi s chapter , o r

a n ai r traffi c contro l facility no t

operate db y th e FA A o r

b y o r imde r contrac t t o th e U.S . military . A n employe r

may us e acontrac t

employe e wh o i s no t

include d imde r tha t employer' s FAA-mandate dantidru g progra mt o performa safety-sensitiv e functio n onl y i f that contrac t employe e i s include dunde r th e contractor' s FAA-mandate dantidru g progra man di s performin g a safety-sensitiv e functio n o n behal f o f tha t contracto r

{i.e. , withi n th e scop e o f employmen t

with th e contractor) . With regar dt o th e alcoho l testin g regulation s containe di n 1 4 C.F.R . par t 121 , Appendi x J , th e sam e moonlightin g loophol e di dno t exis t prior t o 200 4 an dtherefore , di d no t requir e closin g durin g th e revision s mad e i n 2004 . Specifically , th e languag e i n 1 4 C.F.R . par t

121 , Appendi x J , § I. D (2003 ) state dth e following : '^Employer mean s apar t 12 1 certificat e holder ; apart 13 5 certificat e holder ; a

n ai r traffi c contro l facility no t operate db y th e FA A o r

b y o r imde r contrac t t o th e U.S . military ; a

n operato r

a s define di n 1 4 C.F.R . 135.1(c). " After th e revision s mad e i n 2004 , th e languag e i n 1 4 C.F.R . part 121 , Appendi x J , § I. D wa s unchanged . Th e moonhghtin g loophol e tha t wa s containe di n 1 4 C.F.R . part 121 , Appendi x I create dman y safety concern s tha t le dt o th e closin g o f

th e loophol e i n 2004 . Th e sam e moonlightin g loophol e wa s never i n existenc e withi n 1 4 C.F.R . part 121 , Appendi x J , an d therefor e di dno t

nee dt o b e addresse dthroug h th e amendment s mad e i n 2004 . Accordingly , ther e wa s n o moonlightin g loophol e i n eithe r th e dru g o r

alcoho l testin g regulation s tha t

pertaine dt o M & RHelicopter' s regulator y violation s i n 200 7 an d2008 . Th e moonlightin g loophol e tha t existe di n th e dru g testin g regulation s prio r t o 200 4 wa s n o longe r i n existenc e a

t th e tim e o f

M & RHelicopters ' regulator y violations . I n addition , ther e neve r

wa s amoonlightin g loophol e i n th e alcoho l testin g regulation s an d ther e wa s certainl y n o suc h loophol e i n existenc e a t th e tim e o f

M & RHelicopters ' regulator y violations . Therefore , contrac t employee s wh o performe dsafety-sensitiv e function s fo r

M & RHelicopter s wer e require dt o eithe r b e include di n M & R Helicopters ' dru g an dalcoho l testin g program s o r b e include di n th e dru g an dalcoho l testin g program s o f

acompan y with who mM & RHelicopter s contracte dt o provid e suc h safety-sensitiv e functions . I n this case , Mr . Bake r

wa s no t unde r M & RHelicopters ' dru g an dalcoho l testin g program s o r unde r th e dru g an dalcoho l testin g program s o f a compan y tha t

wa s contracte dwith M & RHelicopter s t o provid e safety-sensitiv e functions .2 . Th e holdin g i n Everso n i s no t applicabl e i n thi s cas e becaus e a t th e tim e o f th e regulator y violations , M & RHelicopter s ha da n activ e par t 11 9 certificat e wit h operation s specification s authorizin g i t t o conduc t

operation s unde r

par t 13 5 tha t require dcomplianc e wit h FA A dru g an dalcoho l testin g regulations . A t th e tim e o f

th e violation , M & RHelicopter s ha da n activ e 1 4 C.F.R . part 11 9 certificat e with operation s specification s authorizin g i t t o conduc t

operation s unde r

part 13 5 tha t require dit s complianc e with th e FA A Dru g an dAlcoho l Testin g Regulation s foun di n Appendice s I an dJ o f 1 4 C.F.R . part

121 . a . M & RHelicopter s Ha dCommence dOperatin g Unde r Par t 13 5 I n Everson , Judg e Koik o foun dthat th e "Responden t

wa s no t obligate dt o creat e o r implemen t

a n antidru g progra mo r

a n AMP P prio r

t o th e carrier' s actual submissio n o f suc h plan s t o th e FAA. " Everso n a t 2 . I n tha t

case , th e 1 4 C.F.R . part

11 9 certificat e holde r wit h operation s specification s authorizin g i t t o conduc t

operation s unde r

part 13 5 wa s cite dfor

numerou s violation s includin g failin g t o implemen t dru g an dalcoho l testin g program s an dt o perfor msuc h testin g o n it s safely-sensitiv e employees . Id . However , th e Responden t

i n Everso n hadneve r

commence dpart

13 5 operations . In Everson , th e company wa s no t require dt o follo w a n antidru g progra mbecaus e i t di dno t hav e t o submi t

a n antidru g progra mpla n t o th e FA A an dobtai n approva l prior t o beginnin g part

13 5 operations . Se e 1 4 C.F.R . part 121 , Appendi x I , § IX.2(a ) (1996) . Th e dru g testin g progra mneede dt o b e implemente d"n o late r tha n th e dat e o f

inceptio n o f operations. " Id . In tha t

case , th e company ha dno t commence dpar t

13 5 operation s an dtherefor e di dno t

nee dt o implemen t

it s dru g testin g program . Thi s requiremen t wa s amende di n 200 4 suc h tha t 1 4 C.F.R . part

121 , Appendi x I , § IX.B. l (2004 ) require dtha t acompan y applyin g t o conduc t operation s unde r

part 13 5 mus t

"[i]mplemen t

a n FA A

^ Th e Everso n cas e is no t preceden t fo r th e purposes o

f thi s matter. Th

e FA A chos e no t t o appea l Judg e Kolko' s initia

l decisio n an dth e FA A Decisionmake

r di dno t mak e afinding a

s t o Judg e Kolko' s decision .antidru g progra mn o late r than th e dat e yo u start

operations , an dmee t

th e requirement s o f this appendix. " In thi s case , M & RHelicopter s commence d1 4 C.F.R . part 13 5 operation s i n or prio r t o 200 5 an dcontinue s t o hav e a n activ e 1 4 C.F.R . par t 11 9 certificat e wit h operation s specification s authorizin g i t t o conduc t

operation s unde r

part 135."^ M & R Helicopter s certifie di n it s Operation s Specification s ("OPSPECS" ) that , "th e certificat e holde r wh o operate s unde r

Title 1 4 Cod e o f

Federa l Regulation s (CFR ) Part 13 5 certifie s that i t wil l compl y with th e requirement s o f 1 4 C.F.R . Par t

12 1 Appendice s I an dJ an d4 9 CF RPart 4 0 for it s Antidru g an dAlcoho l Misus e Preventio n Program. " OPSPEC S A449.a.' ' Th e OPSPEC S "remai n i n effec t a s lon g a s th e certificat e holde r continue s t o mee t th e requirement s o f

Par t 11 9 a s specifie dfo

r certification. " OPSPEC S AOO l .b. ^ M & RHelicopters , a s apart 1 4 C.F.R . part

11 9 certificat e holde r

with operation s specification s authorizin g i t t o conduc t

operation s unde r

part 135 , wa s require dunde r 1 4 C.F.R . par t

121 , Appendi x I , § IX.B. l t o implemen t a n antidru g progra mn o late r tha n th e dat e i t starte doperation s an dt o mee t th e requirement s o f

Appendi x I . In addition , unde r 1 4 C.F.R . part

121 , Appendi x J , § VII.B.1, M & RHelicopter s wa s require dt o implemen t a n alcoho l misus e preventio n progra mn o late r than th e dat e i t

starte doperation s an dt o mee t th e requirement s o f

Appendi x J . Th e requirement s i n Appendice s I an dJ include d th e rando mtestin g o f

safety-sensitiv e employees , whic h include dindividual s performin g aircraf t maintenanc e and/o r

preventiv e maintenanc e duties . Se e 1 4 C.F.R . part 121 , Appendi x I , § V. B (2006) , 1 4 C.F.R . part 121 , Appendi x J , § III. C (2006) .

^ M & RHelicopters ' fligh t log s contai n record s o f

part 13 5 operation s startin g i n 2005 . * Attachmen t

A . ' Attachmen t

B .M & RHelicopter s ha dcommence dpart 13 5 operations , whic h triggere dth e requiremen t

t o compl y with th e FA A dru g an dalcoho l testin g regulations . M & R Helicopter s als o certifie dtha t i t woul dcompl y with th e dru g an dalcoho l testin g regulation s whe n i t

receive dit s OPSPECS . Appendice s I an dJ both require dtha t M & R Helicopter s performrando mdru g an dalcoho l testin g o n it s safety-sensitiv e employees . Mr . Edwar dBake r

performe daircraf

t maintenanc e and/o r

preventiv e maintenanc e o n M & RHelicopters ' aircraf t fo r M & RHelicopter s an dtherefor e shoul dhav e bee n include di n M & RHelicopters ' rando mdru g an dalcoho l testin g pool s o r i n th e rando m dru g an dalcoho l testin g pool s o f acompan y contracte db y M & RHelicopter s t o perform aircraf t maintenanc e and/o r

preventiv e maintenanc e o n M & RHelicopters ' aircraft . b . Par t

13 5 Require dAdherenc e t o th e Dru g an dAlcoho l Testin g Regulation s Foun d i n 1 4 C.F.R . Part

121 , Appendice s 1 an dJ 1 4 C.F.R . § 135.25(a ) (2006 ) state s that "[e]xcep t a s provide di n paragrap h (d ) o f thi s section , n o certificat e holde r ma y operat e a

n aucraf t unde r thi s part unles s tha t aircraf t - (2 ) [i] s i n a n airworth y conditio n an dmeet s th e applicabl e airworthines s requirement s o f

this chapter , includin g thos e relatin g t o identification an dequipment. " 1 4 C.F.R . § 135.25(b ) (2006 ) state s that "[e]ac h certificat e holde r mus t hav e th e exclusiv e us e o f

a t leas t on e aircraf

t that meet s th e requirement s for a t leas t on e kin do f operatio n authorize di n th e certificat e holder' s operation s specifications. " I n this case , a Bell-206-B , Registratio n No . N98CM , i s liste dmsectio n D08 5 o f th e OPSPEC S a s th e sol e aircraf

t operate dunde r

M & RHelicopters ' 1 4 C.F.R . par t 11 9 certificat e wit

h operatin g specification s authorizin g i t t o conduc t

operation s unde r

part 13 5 an di s therefor e require dt o mee t th e requhement s for

part 13 5 operation s a s authorize dunde rM & RHelicopters ' OPSPECS. ^ Again , unde r 1 4 C.F.R . part

121 , Appendi x I , § V. B an d1 4 C.F.R . part

121 , Appendi x J , § III.C , M & RHelicopter s wa s require dt o conduc t rando mdru g an dalcoho l testin g o n it s employee s wh o performsafety-sensitiv e function s suc h a s aircraf

t maintenanc e and/o r

preventiv e maintenanc e fo r acompan y engage di n part 13 5 operafions . I n alette r o f interpretation , th e FA A directl y addresse dth e issu e o f th e interrelationshi p o f

th e dru g an dalcoho l testin g requirement s with holdin g apart 11 9 certificat e with operatio n specification s authorizin g operation s unde r part 135 . Se e FA A Lette r o f Interpretatio n issue db y Rebecc aMacPherson , Assistan t Chie f Counsel , Regulafions , t o Fran DeJosep h (200 6 W L 379206 3 (D.O.T.) ) J In this letter , th e FAA mad e i t clea r tha t aircraf t liste do n OPSPEC S issue dunde r 1 4 C.F.R . part

13 5 mus t

b e maintaine di n accordanc e with part 135 . Id . Thi s include s havin g al l maintenanc e that i s performe do n th e aircraf

t t o b e don e b y amechani c wh o meet s th e dru g an dalcoho l testin g requirement s o f

part 121 . Id . T o illustrate , th e FAA note dtha t 1 4 C.F.R . § 135.251(c ) "contemplate s asituatio n i n whic h a n aircraf t require s emergenc y maintenanc e an dther e ar e n o maintenanc e provider s subjec t t o appendi x I o f

part 12 1 a t th e airport. " Id . I

n thes e cases , 1 4 C.F.R . § 135.251(c ) woul dallo w for maintenanc e t o b e performe db y a

n individua l no t

subjec t t o Appendi x I , bu t

th e operato r

woul dthe n hav e t o notif

y th e FA A withi n 1 0 day s o f thi s maintenanc e an dals o hav e th e aircraf t inspecte da t

th e nex t airport wher e the y coul dhav e individual s wh o ar e unde r th e drug

testin g regulation s performth e inspecfion . Id . Th e FA A the n mad e i t clear tha t "[ojthe r tha n i n th e circumstance s describe di n sectio n 135.251(c) , maintenanc e b y person s no t Attachmen t C. ^ Attachmen

t D .teste dpursuan t t o appendi x I o f

part 12 1 i s prohibite do n aircraf t operate dunde r

part 135. " Id . Non-emergenc y maintenanc e o n a n aircraf t that i s liste do n th e OPSEC S o f a part 11 9 certificat e holde r

with operation s specification s authorizin g i t t o conduc t operation s unde r

part 13 5 b y aperso n no t

unde r th e dru g an dalcoho l testin g requirement s "woul db e aviolatio n o f

th e regulations , whic h coul dresul t i n penaltie s an drequir e correctiv e actions , includin g th e possibl e remova l o f th e aircraf

t fromth e certificat e holder' s operation s specifications. " DeJosep h Lette r o f Interpretation , citin g 14C.F.R . § 119.51 . Th e DeJosep h Lette r

o f Interpretatio n als o addresse dth e issue s surroundin g what regulation s mus t

b e adhere dt o whe n apart 11 9 certificat e holde r

wit h operation s specification s authorizin g i t t o conduc t

operation s unde r

part 13 5 i s no t

operatin g unde r part 135 , bu t unde r part 91 . Th e FA A acknowledge dtha t whe n conductin g part

9 1 operations , flights may b e conducte dunde r par t 9 1 operatin g rules , bu t

"[i] f a n aircraf t i s liste do n th e operatio n specification s o f apart 13 5 certificat e holder , certai n part 13 5 requirements , suc h a s complianc e with approve dmaintenanc e programs , appl y continuousl y withou t

interruption. " DeJosep h Lette r o f Interpretation . Eve n i f

a n aircraf t liste do n apart

13 5 certificat e holder' s OPSPEC S i s operate dunde r part 91 , th e operato r "woul db e require dt o compl y with th e dru g an dalcoho l testin g requirement s o f 1 4 C.F.R . section s 135.249-135.25 5 an dals o sectio n 135.253. " Id . An y maintenanc e performe do n a

n aircraf t tha t i s liste do n apart

13 5 operator' s OPSEC S tha t i s "don e b y a mechani c tha t

doe s no t mee t th e dru g an dalcoho l requirement s o f FA R13 5 an d121 " i s a violation , an dsuc h "violatio n woul doccu r a t th e tim e suc h maintenanc e i s performed. " Id . In thes e situations , "[w]hethe r th e aircraf

t i s flown i s no t

relevant. " Id .Th e holde r o f apart 11 9 certificat e with operation s specification s authorizin g operation s unde r

part 13 5 i s require dt o maintai n th e aircraf t liste di n th e holder' s OPSPEC S i n accordanc e with part 135 . Thi s include s havin g an y maintenanc e performe do n suc h aircraf t b e don e b y a

n individua l tha t

meet s th e dru g an dalcoho l requirement s o f

part s 13 5 an d12 1 regardles s o f whethe r th e operato r

i s conductin g flights. M & RHelicopter s i s th e holde r o f apart 11 9 certificat e with operation s specification s authorizin g operation s unde r par t 13 5 an di s therefor e require dt o maintai n it s aircraf t i n accordanc e with par

t 135 . Therefore , M & RHelicopter s wa s require dt o hav e any maintenanc e performe do n a n aircraf t liste di n it s OPSPEC S b e don e b y a n individua l tha t

meet s th e dru g an dalcoho l testin g requirement s o f part s 13 5 an d121 . M & RHelicopter s ha dmaintenanc e performe do n it s aircraf t b y a n individua l that

di d no t mee t thos e requirements . c . Th e Applicabilit y Languag e Foun dI n 1 4 C.F.R . § 135.24 1 Di dNo t Appl y t o 1 4 C.F.R . $ $ 135.25 1 an d135.25 5 I n Everson , Judg e Kolk o foun dtha t th e respondent , wh o ha dye t t o commenc e operatin g a s apar t

13 5 certificat e holder , ha dn o obligatio n t o adher e t o th e dru g testin g requirement s foun di n 1 4 C.F.R . part s 13 5 an d121 . Everso n a t 2 . Judg e Kolk o base dhi s decisio n i n larg e par t

o n languag e foun di n 1 4 C.F.R . § 135.24 1 tha t limit s th e applicabilit y o f

bot h 1 4 C.F.R . § § 135,25 1 an d135.255 . However , th e languag e foun di n 14C.F.R.§ § 135.25 1 an d135.25 5 show s tha t th e applicabilit y o f

1 4 C.F.R . § § 135.25 1 an d135.25 5 wa s containe dwithi n th e section s themselves .

^ I n th e EAJ A cas e hel dafter th e rulin g i

n Everson , th e FA A Decisionmake r di dno t make adeterminatio n a s t o whethe r

Judge Kolko' s decisio n wa s appropriate . Se e In th e Matte r of : Davi dE . Everson , d/b/ aNort h Valle y Helicopters , Inc. , FAA Orde r No . 2004-5 , Docke t

No . CPOOWAOOO

l (EAJA ) (Sep . 22 , 2004) . However , th e FA A Decisionmake r di dfindther e wer e reasonable argument s mad e that th e regulation s i n questio n wer e applicable , notin g that th e regulation s citie di n Everso n di drefer t o "eac h certificat e holder " 1 0Th e decisio n i n Everson , relie do n languag e i n 1 4 C.F.R . § 135.24 1 tha t stated , "thi s subpar t

[Subpart E ] prescribe s th e flight

crewmembe r

requirement s for

operation s unde r thi s subpart. " Everso n a t 2 . O f not e i s tha t

1 4 C.F.R . § 135.24 1 sai dtha t th e subpar t applie di o fligh t

crewmember s (emphasi s added ) wh o ar e conductin g operation s unde r Subpar t E . It i s tru e that

aflight crewmembe r

ca n conduc t flights tha t

ar e covere d b y 1 4 C.F.R . part

135 , for whic h th e dru g testin g requirement s apply , o r 1 4 C.F.R . part 91 , fo r whic h the y don't . Althoug h 1 4 C.F.R . § § 135.25 1 an d135.25 5 fell withi n Subpar t E a t th e tim e o f

M & RHelicopters ' violations , th e languag e i n thes e section s indicate dtha t

the y covere dmor e tha n flight crewmembers . Th e plai n languag e o f § 135.25 1 state dtha t

"[e]ac h certificat e holde r o r operato r shal l tes t eac h o f it s employee s wh o perform s afijnctio n liste di n appendi x I t o part 12 1 o f thi s chapte r

i n accordanc e wit

h tha t appendix." ^ 1 4 C.F.R . § 135.25 1 (1997 ) (emphasi s added) . Th e function s liste di n appendi x I include dflight crewmembe r

duties , flight

attendan t duties , flight instructio n duties , aircraf t dispatche r

duties , aircraf

t maintenanc e o r

preventiv e maintenanc e duties , groun dsecurity coordinato r dufies , aviatio n screenin g duties , an dai r traffi c contro l duties . 1 4 C.F.R . part 121 , Appendi x I , II I (1997) . Wit h regar dt o alcoho l testing , 1 4 C.F.R . § 135.25 5 state dthat .

an dtherefor e coul db e interprete dt o appl y t o an y certificat e holde r regardles s o f

th e operation s flown . Id . I n addition , th e FA A Decisionmake r note dthat

languag e i n th e preambl e t o th e fina l rul e for alcoho l testin g promulgate di n 200 4 state dtha t "th e rul e woul dinclud e "essentiall y th e sam e classe s o f employer s a s ar e covere db y th e anti-dru g rule : 1 4 C.F.R . part 12 1 certificat e holders , 1 4 CF Rpart 13 5 certificat e holder s . . . ." ' Id . {citin g 5 9 Fed . Reg . 7380 , 738 1 (Februar y 15 , 1994) . Th e FA A Decisionmake r als o note s tha t

th e "FAA' S guideline s for

implementin g anti-dru g program s state dthat : "[EJvery single-perso n aviatio n busines s [unde r

Part 135 ] .. . mus t

b e par t o f adru g progra mapprove db y th e FAA.' " Id . (citin g Offic e o f Aviatio n Medicme , Dru g Abatemen t Branch , ''Guideline s for

Single-Perso n Aviatio n Businesses : Implementin g th e FA A Anti-Dru g Program, " p . 3 (Feb . 1990) . ^ 1 4 C.F.R . §§25 1 an d255 , a s wel l a s 1 4 C.F.R . par t 121 , Appendb t

1 , §111 , 1 4 C.F.R . part

121 , Appendi x J , § I.D , an d1 4 C.F.R . par t 121 , Appendi x J , § I I remaine dunchange dunti l th e dru g an dalcoho l regulation s wer e recodifie dt o 1 4 C.F.R . par t 120 i n 2009 . 1 1[n] o certificat e holde r o r operato r shal l us e an y perso n wh o meet s th e definitio n o f

"covere demployee " i n appendi x J t o part 12 1 t o performa safety-sensitiv e functio n liste di n that appendi x unles s suc h perso n i s subjec t t o testin g for

alcoho l misus e i n accordanc e with th e provision s o f appendi x J . 1 4 C.F.R . § 135.25 5 (1997 ) (emphasis added) . A "covere demployee " wa s define di n 1 4 C.F.R . part 121 , Appendi x J , § I. D (1997 ) a s " a perso n wh o performs , eithe r directl y o r

b y contract , asafety-sensitiv e fijnction liste di n sectio n II o f

thi s appendi x fo

r a n employe r

. . . . " Th e fiinctions liste di n sectio n II o f Appendi x J include dflight crevymember

duties , flight

attendan t duties , flight

instructio n duties , aircraf

t dispatche r

duties , aircraf

t maintenanc e o r

preventiv e maintenanc e duties , groun dsecurit y coordinato r duties , aviatio n screenin g duties , an dai r traffi c duties . 1 4 C.F.R . par t

121 , Appendi x J , § II (1997) . Therefore , whil e 1 4 C.F.R . § § 135.25 1 an d 135.25 5 wer e containe dwithi n Subpart E , th e applicabilit y o f

thes e section s covere da greate r scop e o f individual s than th e flight crewmember s contemplate di n 1 4 C.F.R . § 135.241 . Thustheapplicabilit y o f 14C.F.R . § § 135.25 1 an d135.25 5 wa s foun dwithi n thes e regulation s themselve s an dno t withi n 1 4 C.F.R . § 135.241 . 3 . Redactio n o f

th e Enforcemen t

Investigativ e Repor t

wa s proper . O n Octobe r

21 , 2010 , Complainan t

provide dacop y o f

th e Enforcemen t Investigativ e Repor t

("EIR" ) t o Responden t

with alette r

statin g a s follows : Enclose dyo u wil l find acop y o f th e Federa l Aviatio n Administration' s enforcemen t

investigativ e report

(EIR ) i n th e above-reference dcase . Th e enclose dEI Rinclude s al l releasabl e document s upo n whic h th e FA A reliedi n preparin g an dinitiatin g th e above-reference denforcemen t action . Th e portion s o f

th e EI Rtha t

hav e no t bee n release dar e withhel da s privilege dbecaus e the y contai n th e investigator' s analysis , recommendations , an dopinions . The y ar e privilege dbecaus e the y ar e deliberative , pre-decisiona l materials , rendere db y agenc y staf f member s i n th e cours e o f

reachin g afinal determinatio n o r positio n o n aparticula r matte r unde r agenc y consideration . 1 2See , e.g. , Jorda n v. Departmen t o f Justice , 59 1 F.2 d753 , 77 4 (D.C . Cir . 1978 ) (e n banc) . Th e redaction s mad e wer e consisten t with th e FAA' s practice s fo r releasin g EIR s i n enforcemen t

cases . ^ ^ Al l EIR s contai n thre e section s labele dA , B , an dC . Se e FA A Orde r 2150.3B , Chapte r

8 , Subparagraph s 3(a ) (b ) an d(c) . Sectio n A i s FA A For m 2150-5 , Secfio n B i s th e Statemen t o f Cas e an dFactor s Affectin g Sanction , an dSectio n C i s th e Item s o f

Proof . Id . Sectio n A FA A For m2150-5 , containe di n Sectio n A , contain s variou s fields o f information. " Amon g othe r things , i t allow s th e investigatin g fieldoffic e t o mak e a recommendatio n regardin g th e sanctio n typ e an damoun t an dindicat e th e regulation s i t believe s wer e violated . Thi s i s merel y arecommendation , however ; i t i s no t final. Ther e i s the n asectio n where , after reviewin g th e case , th e regiona l divisio n (generall y atea m coordinato r

o r regiona l manager ) make s arecommendatio n regardin g th e sanctio n typ e an damoun t

andindicate s th e regulation s i t believe s hav e bee n violated . Thes e interna l recommendafion s an dcommunications , containe do n FA A For m2150-5 , ar e late r reviewe db y th e Dru g Abatemen t Divisio n a

t FA A Headquarter s an dth e Offic e o f Chie f Counse l before an y final agenc y determinatio n i s mad e with regar dt o th e regulation s that hav e bee n violated , th e typ e o f actio n tha t

wil l b e taken , or

th e sanctio n tha t

wil l b e sought . The y may o r

may no t b e adopted . Becaus e thes e recommendation s an d impression s are no t

final agenc y decisions , bu t rathe r ar e th e inspector's , tea m

'* * Section s A an dB o f th e EI Rar e provide di n Attachmen

t E . W e ar e submittin g aredacte dcop y o f th e E[ Rtha t clarifies wher

e th e redactions occurred . W

e hav e als o include dth e heading s i

n th e documen t t o illustrat e th e deliberativ

e natur e o f thes e secfion s o f th e EIR . ' ' Attachmen

t F. 1 3coordinator's , o r regiona l manager' s recommendations , interpretations , opinions , o r analyses , th e fields o f

FA A For m2150- 5 tha t

reflec t th e recommende dsanction , amount , an dregulation s believe dviolated , ar e routinel y redacte dfromFA A Form2150- 5 i n Sectio n A o f

th e EI Rbefore i t

i s release di n an y FA A enforcemen t case . Sectio n B Sectio n B o f

th e EIRcontain s th e inspector' s Statemen t o f Cas e an dFactor s Affectin g Sanction . Thi s i s astatemen t o f th e fact s an dallege dstatutor y o r regulator y violation s foun ddurin g th e investigation , th e investigator' s evaluatio n o f th e case , an d opinion s abou t

th e case . Th e investigato r set s fort h th e regulation s believe dviolated , set s fort h thei r recommendation s o n sanction , an danalyze s th e factor s affectin g sanction . Sinc e thi s sectio n i s acombinafio n o f facts , opinions , an danalysis , i t typicall y require s redactio n upo n release . Sectio n B o f th e EI Ri n thi s matte r

als o containe da

n Enforcemen t Decisio n Proces s (EDP ) Workshee t tha t wa s complete db y th e inspecto r an dth e Dru g Abatemen t

Divisio n o f

th e FAA . Thi s workshee t aid s th e inspecto r

i n determinin g th e appropriat e typ e o f

enforcemen t

actio n o n acase-by-cas e basis . Th e EIRrelease dt o Responden t

i s typica l o f

thos e provide di n enforcemen t cases ; Sectio n B i s provided , with factual statement s fromth e inspecto r released , bu t

opinions , analysis , recommendations , deliberativ e proces s withheld . Sectio n C Sectio n C contain s anumerica l inde x o f th e Item s o f

Proo f an dth e original s o r certifie dcopie s o f

eac h piec e o f

evidenc e obtaine dt o prov e th e apparen t violations . Id . In mos t cases , an dth e presen t

cas e i s n o exception , th e evidenc e containe di n Sectio n C form s th e basi s for

Complainant' s case . Sinc e th e evidenc e itsel f i s factual , very littl e i s

1 4generall y withhel dunde r adeliberativ e proces s exception . In thi s case , nothin g wa s redacte do r

withhel dfro mth e entir e Sectio n C o r Item s o f Proo f release dt o Responden t i n this case . Every piec e o f evidenc e wa s produce dt o responden t i n it s original , im

redacte dform .

Th e Redacte dPortion s o f th e EI RWer e Properl y Withhel dDeliberative , Pre

Decisiona l Material s Becaus e th e actua l evidenc e tha t form s th e basi s for

Complainant' s allegation s wa s produce dt o Responden t i n it s entirety (un-redacted ) i n Sectio n C , th e onl y item s a t issu e are th e portion s o f

th e inspector' s statemen t i n Secfio n B , an dFA A Form2150- 5 i n Sectio n A , whic h wer e appropriatel y redacte dt o withhol dth e inspector' s analysis , recommendations , an dopinions . Th e redactedportion s o f

th e EI Rwer e properl y withhel dimde r 5 U.S.C . § 552(b)(5 ) whic h contain s th e exemption s fromth e Freedo mo f Informatio n Ac t

tha t includ e "matter s that

ar e inter-agenc y o r

intra-agenc y memorandum s o r letter s whic h woul dno t

b e availabl e b y la w t o aparty othe r tha n a n agenc y i n litigatio n with th e agency. " Th e purpos e o f th e exempfio n containe di n 5 U.S.C . § 552(b)(5 ) i s "t o encourag e th e 'fran k

discussio n o f

legal an dpolic y issues.' " Wolf e v . Departmen t

o f Healt h an dHuma n Services , 83 9 F.2 d768 , 77 3 (C.A.D.C . 1988 ) {citin g S.Rep . no . 813 , 89* ^ Cong. , 1'

^ Sess . 9 (1965)) . Se e als o Jorda n v . Departmen t o f Justice , 59 1 F.2 d753 , 77 2 (D.C . Cir . 1978 ) (e n banc ) (statin g tha t th e deliberativ e proces s exemptio n "protect s th e 'consultativ e fiinctions' o f governmen t

b y maintainin g th e confidentiality o f 'advisor y opinions , recommendation s an ddeliberation s compromisin g part o f aproces s b y whic h

' ^ I n alette r date dApri l 6 , 2011 , Dr . Seli g referre dt o several document s h e claim s wer e "dedacted " from th e EIR . H e attache dsevera l document s t o that letter . Th e document s attache dwer e no t mth e agency' s EIR , wer e no t

considere db y th e agenc y i n thi s enforcemen t

matter , an dd o no t

appear relevan t t o thi s case . 1 5governmenta l decision s an dpolicie s are formulated'") . Thi s include s "protectin g th e

'decisionmakin g processe s o f governmen t

agencies.' " Wolf

e a t 77 3 {citin g NLR

B v . Sears , Roebuc k

& Co. , 42 1 U.S . 132 , 150,95S.Ct . 1504 , 1516 , 4 4 L.Ed.2 d2 9 (1975)) . Se e als o Jorda n a

t 772- 3 (statin g that

th e exemptio n itsel f

i s intende dt o protec t

th e agenc y decision-makin g proces s an dencourage candi dcommunicatio n betwee n agenc y official s durin g th e decision-makin g process) . Thi s exemptio n "attache s t o inter

- an d intra-agenc y communication s tha t ar e par t o f th e deliberativ e process. " Jorda n a t 772 . "Thus , th e Suprem e Court ha s limite dth e deliberativ e proces s privileg e t o material s whic h ar e both predecisiona l an ddeliberative. " Wolf e a t 77 3 {citin g EP

A v . Mink , 41 0 U.S . 73 , 88 , 9 3 S.Ct . 827 , 836 , 3 5 L.Ed.2 d11 9 (1973)) . Th e basi s for

th e redacfio n o f

th e EI Rwa s th e FAA' s assertio n o f th e 5 U.S.C . § 552(b)(5 ) exemptio n becaus e th e withhel dmaterial s wer e deliberative , pre-decisiona l materials , rendere db y agenc y staf f member s i n th e cours e o f reachin g afinal determinatio n o r

positio n o n aparticular

matte r unde r agenc y consideration . Th e FA A release s EIR s t o companie s involve di n civi l penalty action s withou t aformal Freedo mo f Informatio n Ac t

("FOIA" ) request , a s i t

di di n this case.' ^ However , th e FA A perform s a n analysi s undei

r FOI A t o determin e what i s releasabl e prior

t o releasin g an y EIR . Th e redacte dportion s o f

th e EI Rconstitute dpre-decisiona l deliberativ e communication s betwee n agenc y employee s regardin g th e regulation s believe dviolated , possibl e agenc y

'• ' Durin g th e informal conferenc e mthi s case . Dr . Seli g inquire dabou t th e evidenc e compiled . Th e agenc y attorne y handlin g th e matte r a t th e time , Laur aPonto , sent acop y o f

th e file t o Dr . Seli g o n Octobe r 21 , 2010 , befor e th e Complain t i n thi s matte r

wa s filed . Dr . Seli g ha s neve r requeste dth e document s i n th e EI R throug h discovery . 1 6actions , an dothe r non-fina l step s i n th e agency' s process . Thi s fall s squarel y withi n th e deliberativ e proces s exemption . ^ ^ 4 . Th e civi l penalt y impose di n thi s cas e i s prope r unde r FA A guidanc e an d M & RHelicopter s ha s provide dlimite dinformatio n whic h migh t demonstrat e a n inabilit y t o pa y th e propose dpenalty . Th e civi l penalt y i n thi s matte r wa s assesse di n accordanc e with FA A Orde r 2150.3B , .specifically , Appendi x B - Tabl e o f Sancfions.' ^ M & RHelicopter s i s classifie da s aGrou p IV ai r carrie r o r operator . Unde r

4 9 U.S.C . § 46301(a)(5)(A) , M & RHelicopter s i s subjec t t o acivi l penalty no t

t o excee d$ 11,000 . FA A Orde r 2150.3 B delineate s penalt y range s for differen t type s o f violation s b y differen t

type s o f enfifies . In thi s case , FA A Orde r 2150.3 B set s fort

h th e followin g penalt y ranges : Maximu m- $4,400-$ ! 1,000 ; Moderat e - $2,200-$4,399 ; an dMinimu m- $550-$2,199 . Id . a t B-4 . Fo r th e Federa l Aviatio n Regulation s violate db y M & RHelicopters, ' FA A Orde r 2150.3B , Figur e B-5-b(l ) provide s guidanc e that amaximu mpenalty shouldb e levied . Id . atB-31 . FA A Orde r 2150.3 B state s "tha t

th e middl e o f

eac h recommende d sanctio n rang e woul db e for asingl e violatio n withou t aggravatin g o r

mitigatin g factors. " Id . a t B-2 . Th e middl e o f

th e maximu mrang e for

aGrou p I

V ai r carrie r o r operato r i s $7,70 0 pe r

violation . I n thi s case , becaus e M & RHelicopters ' violation s ste mfro mth e sam e omission , th e FA A determine dthat base do n th e totalit y o f

th e fact s an d

' * Whil e no t

precedent , i n th e case of/«th e Matte r ofMalc o Products . Inc . Judge Yode r foun dtha t redacte dportion s o f

a n EIRma y b e protecte db y th e deliberativ e proces s exemptio n unles s apart y demonstrate s aparticularize dnee dfo r th e informatio n tha t

ha s bee n redacted . In th e Matte r ofMalc o Products . Inc. , FA

A Docke t No . CP02SO0015 , a

t 3 (Apr . 24 , 2003 ) (citing Bachma n Paw n & Gun , FAA Docke t No . CP94WP016 6 (Orde r issue dDecembe r

6 , 1994)) . ' ^ Th e relevan t

portion s o f

Orde r 2150.3 B hav e bee n provide dmAttachmen t G . ' ^ Th e Complain t

allege s violation s o f

th e followin g regulations : 1 4 C.F.R . § 135.251(a ) an d1 4 C.F.R . § 135.255(b) . 1 7circumstance s areductio n o f th e penalt y fromasuggeste damoun t o f $15,40 0 t o $5,40 0 wa s warranted . Base do n th e limite dfinancial documentatio n submitte db y M & RHelicopters , Complainan t

finds that

M & RHelicopter s ha s evidence dsom e minima l indicatio n o f inability t o pay th e sanctio n a s levie di n th e Complain t an dmay warran t

som e reductio n 1 % i n th e civi l penalty amount . I f M & RHelicopter s provide dmor e complet e financial information , specificall y it s federal incom e tax return s includin g al l schedules , M & R Helicopters ' ability t o absorb th e civi l penalty amoun t coul db e mor e fully explored . I n an y event , th e recor dsupport s tha t M & RHelicopter s committe dth e regulatory violation s allege di n th e Complain t an dafinding o f

violatio n i s warranted . [Signatur e Pag e Follows ]

" Th e Complain t

wa s amende do n Decembe r 10 , 2010 , t o delet e stal e allegation s an da n appropriat e adjustmen t

t o th e penalty amoun t

wa s mad e a

t tha t tim e bringin g i

t dow n t o th e curren t

$4,40 0 civi l penalty . M & RHelicopter s provide dPermsylvani astat e incom e tax returns . M & RHelicopter s ha s no t provide d an y o f it s federal incom e ta x return s o r an y o f th e associate dschedules. 1 8Respectfull y submitted , Pete r Lync h Assistan t Chie f Counse l for Enforcemen t By: _ Charle s Raley , Attorne y Enforcemen t

Division , AGC-30 0 Offic e o f th e Chie f Counse l Federa l Aviatio n Administratio n 80 0 Independenc e Avenue , S.W . Washington , D C 2059 1 Phone : (202)267-335 7 Facsimile : (202)267-510 6 Email : charles.raley@faa.gov

Dated : May 27 , 201 1

1 9ATTACHMEN T A [OPSEC S A449 ]U.S . Departmen t o f Transportatio n Federa l Aviatio n Administratio n Operation s Specification s A449 . Antidru E an dAJcoho I Misus e Preventio n Progra m

b . H Q Control : H Q Revision : 01/22/0 4 00 0 Th e certificat e holde r

wh o operate s unde r

Titl e 1 4 Cod e o f

Federa l Regulation s (CFR ) Par t 13 5 certifie s tha t

i t wil l compl y with th e requirement s o f 1 4 CF RPar t

12 1 Appendice s I an dJ an d 4 9 CF Rpar t

4 0 fo r it s Antidru g an dAlcoho l Misus e Preventio n Program . Antidru g an dAlcoho l Misus e Preventio n Progra mrecord s ar e maintaine dan davailabl e fo r inspectio n b y th e FAA' s Dru g Abatemen t Complianc e an dEnforcemen t Inspector s a t

th e locatio n liste di n Tabl e 1 below ;

Address : Address : City : State : Zi p code : Tabl e 1

Locatio n o f

Antidru g an dAlcoho l Misus e Preventio n Progra mRecords : 204 5 Westgat e Driv e Bethlehe m P A 1801 7 Telephon e Number : (610)769-700 0

c . Limitation s an dProvisions . (1 ) Antidru g an dAlcoho l Misus e Preventio n Progra minspection s an denforcemen t activit y wil l b e conducte dexclusivel y b y th e Dru g Abatemen t Division . Al l question s regardin g thi s progra m shoul db e directe dt o th e Dru g Abatemen t Division . (2 ) Th e certificat e holde r mus t implemen t

it s Antidru g an dAlcoho l Misus e Preventio n Program s flill y i n accordanc e wit h 1 4 CF RPar t 121 , Appendice s I an dJ , an d4 9 CF RPar t 40 . (3 ) Th e certificat e holde r i s responsibl e for

ensurin g tha t

it s contractor s wh o performsafety-sensitiv e work fo r th e certificat e holde r

ar e subjec t

t o Antidru g an dAlcoho l Misus e Preventio n Programs . (4 ) Th e certificat e holde r i s responsibl e fo r

updatin g thi s operation s specificatio n whe n an y change s occu r i n th e following : ' : ' / • •

• . _

. , , (a ) Locatio n o r

phon e numbe r

wher e th e Antidru g an dAlcoho l Misus e Preventio n Record s ar e kep t (a s liste di n Tabl e I above) . • . . (b ) I f th e certificat e holder' s number-o f safety--sensitiY e employee s goe s t o 5 0 an dabove , o r fall s belo w 5 0 safety-sensitiv e employees . " •'•'^ ' ^

. . ' • [ ' " . .."• (5 ) Th e certificat e holde r wit h 5 0 o r

mor e employee s performin g asafety-sensitiv e fimction o n Januar y 1 o f

th e calenda r

yea r mus t submi t an annua l repor t

t o th e Dru g Abatemen t

Divisio n o f

th e FAA . Th e certificat e holde r wit h fewe r

tha n 5 0 employee s performin g asafety-sensitiv e fimction o n Januar y 1 o f

an y calenda r

yea r mus t submi t a n annua l repor t

upo n reques t

o f th e Administrator , a s specifie di n th e regulations . Th e certificat e holde r

ha s fewer

tha n 5 0 safety-sensitiv e employees .

Prin t Date : 8/15/200 5 A449- 1 M AN D RHELICOPTER S LL C Certificat e No. : MR3A020 K 

## FO R OFFICIA LUS

E ONL Y Publi cavoilabjlii yt o b e determine d unde r5 US C 55 2U.S . Departmen t o f Transportatio n Federa l Aviatio n Operation s Specification s Administratio n 1 . Issue db y th e Federa l Aviatio n Administration . 2 . TTies e Operation s Specification s ar e approve db y directio n o f th e Administrator . ALOTTA , FRAN K

Principa l Operation s Inspecto r EA0 5 3 . Dat e Approva l i s effective : 2/4/0 4 Amendmen t Number : 0 4 . I hereb y accep t

an dreceiv e th e Operation s Specification s i n thi s paragraph . Selig , Michae l B . Agen t fo r Servic e Date : 2/4/0 4

Prin t Date : 8/15/200 5 A449- 2 Certificat e No. : MR3A020 K M AN D RHELICOPTER S LL C 

## FO R OFFlClA i US

E ONL Y Publi cavailabilit yt o b e determine d unde r5 US C 55 2ATTACHMEN T B [OPSPEC S AOOl]U.S . Departmen t er f Transportatio n Federa l Aviatio n Administratio n Operation s Specification s AODl . Issuanc e an dApplicabilit y H Q Control : H Q Revision : 05/09/0 3

02 c Thes e operation s specification s ar e issue dt o M AN D RHELICOPTER S LLC , whos e principa l bas e o f operatio n i s locate dat ; Primar y Busines s Address : 204 5 Westgat e Driv e Betlilchem , P A ISO! 7 Mailin g Address : 204 5 Westgat e Driv e Bethlehem , P A 1810 7 Th e holde r

o f thes e operation s specification s i s th e iiolde r o f Ai r Canie r Certificat e Numbe r MR3A02Q K

an dshal l hereafte r

b e referre dt o a s th e certificat e holder . Tli e certifical e holde r i s authorize dt o conduct : O n Deman d (135 ) operation s i n Commo n carriag e pursuan t l o Titl e ] 4 Code o f Federa l Regulalion s (CFR ) Sectio n 119.25(b ) - O n an dprovided , a

t al l times , the Deman dHE L certificate holde

r ha s appropriat

e writte n economi c authorit

y issuedb y th e Departmen

t o f Transportation . Th e certificat e holde r

shal l conduc t

thes e kind s o f

operation s i n accordanc e wit h th e specifi c authorizations , limitations , an dprocedure s i n thes e operation s specification s an dal l appropriat e Part s o f th e CFR . b . Thes e operation s specification s ar e effectiv e a s o f [h e "Dat e Approva l i s effective " liste di n eac h paragrap h an dshal l remai n i n effec t a s lon g a s th e certificat e liolde r continue s t o mee t

th e requirement s o f Par t 11 9 a s specifie dfo r

cerfification . c . Th e certificat e holde r i s authorize dt o us e onl y tli c busines s nam e whic h appear s o n tli e certificat e t o conduc t tli e operarion s describe di n subparagrap h a . d . Th e certificat e holde r i s authorize dt o conduc t flights unde r

1 4 CF RPar t

9 1 fo r crewmembe r

training , maintenanc e tests , ferrying , re-positioning , an dth e carnag e o f compan y official s usin g th e applicabl e authorization s i n tlies e operation s specifications , witliou t obtainin g aLette r

o f Authorization , provide d th e flights ar e no t

conducte dfor

compensatio n o r

hir e an dn o charg e o f

an y kin di s mad e fo r

tli e conduc t o f th e fiights.

Prin t Date ; 2/4/200 4 AOOl- 1 M AN D RHELICOPTER S LL C Certificat e No. : MR3A020K :U.S . Departmen t o f Transportatio n Federa l Aviatio n Operation s Specification s Administratio n 1 . Issue^ db y th e Federa l Aviatio n Administration . ition s Specification s ar c approve db y directio n o f th e Administrator . ALOTTA . FICANK

Principa l Operation s Inspecto r EA0 5 3 . Dat e Approva l i s effective : 2/4/0 4 Ajnendmen t Number : 3 4 . I hereb y accep t

an dreceiv e tli e Operation s Specification s i n thi s paragraph . Selig . Michae l B . Agen t for Servic e Date : 2/4/0 4

Prin t Date : 2/4/200 4 AODI- 2 Certificat e No. : MR3A020 K M AN D RHELICOPTER S LL CATTACHMEN T C [OPSPEC S D085 ]U.S . Departmen t o f Transportatio n Federa l Aviatio n Adminisbatio n Operation s Specification s DOSS . Aircraft

Listin g H Q Control : 02/06/9 8 H Q Revision : 02 a a . Th e certificat e holde r i s authorize dt o conduc t operation s unde r

1 4 CF RPar t

13 5 usin g th e aircraf

t identifie don thi s operation s specificatio a Registratio n No . Seria l No . N98C M 405 6 Aircraft M/M/ S BELL-206- B

1 . Issue db y th e Federa l Aviatio n Administration . 2 . Thes e Operation s Specification s ar e approve db y directio n o f th e Administrator . Henninger , Geral d Principa l Maintenanc e Inspecto r EA0 5 3 . Dat e Approva l i s effective : 12/20/0 4 Amendmen t Number : 2 4 . I hereb y accep t

an dreceiv e th e Operarion s Specification s i n thi s paragraph . Selig , Michae l B . Agen t fo r Servic e Date : 12/20/0 4

Prin t Date : 8/15/200 5 D085- 1 M AN D RHELICOPTER S LL C 

# FOi ? OFFICIA LUS EONL Y avGilabilit y fo b e defemins dunde r

5 US C 55 2 Certificat e No. : MR3A020 KATTACHMEN T D [Lette r o f Interpretation ]

### Westtaw ,

200 6 W L 379206 3 (D.O.T. ) Pag e 1

200 6 W L 379206 3 (D.O.T. ) Departmen t o f Transportatio n (D.O.T. ) Federa l Aviatio n Administratio n * 1 Legal Interpretatio n 200 6 Fran DeJosep h Southern Je t

Management , LL C 180 0 Airpor t

Roa d Kennesaw , Georgi a3014 4 Dea r Mr . DeJoseph : In alette r

date dOctobe r

24 , 2005 , yo u expresse ddisagreemen t wit h alette r o f interpretatio n tha t

yo u receive d fi-omou r Dru g Abatemen t

Divisio n an daske du s thre e additiona l questions . W e hav e note dyou r disagreemen t

an d no w answe r

you r thre e additiona l question s i n th e sequence yo u presented . 1 . I f a n [sic ] FA R13 5 au-craf

t hadmaintenanc e don e b y amechani c that doe s no t mee t th e Dru g an dAlcoho l Requirement s o f

FA R13 5 an d121 , wha t doe s th e FA R13 5 Certificat e holde r hav e t o d o before h e can us e tha t aircraf t o n aFA R13 5 charter ? Ou r answer : A

n aircraf t tha t i s liste do n th e operatio n specification s o f acertificat e holde r

conductin g flights unde r Titl e 14 , Cod e o f

Federa l Regulation s (1 4 CFR ) Part 13 5 mus t

b e maintaine dunde r

th e certificat e holder' s mainte

nanc e program . Tha t

suc h a n aircraf t i s owne dan dperiodicall y operate dunde r 1 4 CF Rpart

9 1 b y aperso n othe r than th e certificat e holde r doe s no t lesse n tha t

obligatio n i

n an y way . 1 4 CF R§ 135.251(c ) contemplate s asituatio n i n whic h a

n aircraf t require s emergenc y maintenanc e an dther e ar e n o maintenanc e provider s subjec t t o appendi x I o f part 12 1 a t th e airport . I

n tha t case , th e certificat e holde r mus t provid e writte n notificatio n o f th e emergenc y main

tenanc e withi n 1 0 day s whil e retainin g copie s fo r a t leas t tw o years . I n addition , th e certificat e holde r mus t als o hav e th e aircraf

t inspecte dwhe n it

i s nex t a t a n airport wher e drug-teste dpersorme l are available . Othe r than i n th e cir

cumstanc e describe di

n sectio n 135.251fc) . maintenanc e b y person s no t teste dpursuan t

t o appendi x I o f

par t 12 1 i s prohibite do n aircraf

t operate dunde r

part 135 . I f non-emergenc y maintenanc e wa s performe do n th e aircraf t b y aperso n no t

meetin g th e dru g an dalcoho l testin g requirements , it

woul db e aviolatio n o f th e regulations , whic h coul dresul t i n penaltie s an drequir e correctiv e ac tions , includin g th e possibl e remova l o f th e aircraf

t fromth e certificat e holder' s operation s specifications . (See : 1 4 CFR§ ] 19.51" ) Th e primary maintenanc e inspecto r o r principa l operation s inspecto r o r both , a s applicable , woul d determin e vvha

t remedia l action s woul db e necessar y i n orde r for th e airplan e t o retur n t o part 13 5 sen'ice . Remedia l action s may includ e aful l conformity inspection . 2 . I n th e respons e fromth e Dru g Abatemen t Division , the y state , "Th e requiremen t t o hav e a

n FAA-mandate d dru g an dalcoho l testin g progra mapplie s t o an y individua l wh o perform s safety-sensitiv e fimctions o n Part s

© 201 1 Thomso n Reuters . N o Clai mt o Orig . U S Gov . Works .200 6 W L 379206 3 (D.O.T. ) Pag e 2

121 , 135 , an d135.1(c ) aircraft" . Doe s that mean apilot

wh o flies a

n aircraf t for a n owne r unde r FA R9 1 ha s t o mee t th e Dru g an dAlcoho l Requirement s o f FA R13 5 o r

12 1 i f that sam e aircraf

t i s use dFA R13 5 charter ? I f not , why ? Ou r answer . I f

tha t pilot t o who myo u refer

als o operate s o r

i s availabl e t o operat e an y flights unde r part 13 5 o n behal f o f th e certificat e holde r

the n h e o r

sh e mus t mee t th e applicabl e dru g an dalcoho l testin g requirements . (See : 1 4 CF R$ ? 135.249-135.255) . However , i f tha t pilo t perform s n o safety-sensitiv e ftinctions fo r th e certificat e holde r i n an y capacit y whatsoeve r the n th e dru g an dalcoho l testin g requirement s d o no t apply . * 2 We tak e thi s opportimit y t o poin t ou t tha t th e ter m*'FA R13 5 aircraft " i s amisnome r a s yo u us e i

t abov e an dmay reflec t amisimderstanding . W e appreciat e th e opportunity t o clarify . I f a n aircraf t i s liste do n th e operatio n specifi

cation s o f apart 13 5 certificat e holder , certai n par t 13 5 requirements , suc h a s complianc e wit h approve dmainte

nanc e programs , appl y continuousl y withou t interruption . O n th e othe r

hand , th e applicabilit y o f certai n portion s o f

part 13 5 regulation s t o aspecifi c flight operation , suc h a s thos e foun di n subpart s B an dD , depend s upo n whethe r aflight i s conducte dfo

r compensatio n o r

hire . I f aspecifi c flight i s no t conducte dfor

compensatio n o r

hire , (e.g . aferr

y flight, positionin g flight, o r aflight conducte db y th e owne r o f th e aircraf

t for hi s o r he r privat e use ) the n th e flight ma y b e conducte dpursuan t

t o part 9 1 operatin g rules . We ad danothe r

clarification . I f

th e owne r

o f th e aircraf

t elect s t o us e th e provision s o f sectio n 135.1(c ) t o operat e imder par t 9 1 operatin g rules , h e o r sh e woul db e require dt o compl y wit h th e dru g an dalcoho l testin g requirement s o f section s 135.249-135.25 5 an dals o sectio n 135.353 . 3 . I f a n [sic ] FA R13 5 aircraf

t ha dmaintenanc e don e b y amechani c that doe s no t mee t th e dru g an dalcoho l re quirement s o f

FA R13 5 an d121 , i s tha t FA R13 5 operato r

i n violafio n o f

FA R13 5 an d12 1 i f

h e doe s no t

fly? I f yes , why ? Absen t th e circumstance s describe di n sectio n 135.251(c) , any suc h maintenanc e woul db e aviolation . Th e violatio n woul doccu r

a t th e tim e suc h maintenanc e i s performe dan dwhethe r th e aircraf

t i s flown i s no t

relevant . We trus t that thi s answer s you r

questions . Tliank

yo u fo r you r inquiry . Sincerely , Rebecc aMacPherso n Assistan t Chie f Counsel , Regulation s 200 6 W L 379206 3 (D.O.T. ) EN D O FDOCUMEN T

201 1 Thomso n Reuters . N o Clai mt o Orig . U S Gov . Works .ATTACHMEN T E [EIRSection s A an dB ]9/14/200 9 12:40:1 7 P M



### ENFORCEMEN T INVESTIGATIV E REPOR T (Rea d Orde r2150. 3 fo r instructions ) REP O

NUMBE R 

### 2009SO95043 4 RELATE D NUMBE R ALLEGED VIOLATO R IDENTIFICATIO N 1.NAM E M AN D R HELICOPTER S LL C TELEPHON E NUMBE R (Includ e are a code ) 

### 610-769-700 0 5 FA A CEFfnFICAT E NUMBE R MR3A020 K 2 . ADDRES S (Includ e zi p code ) 204 5 WESTGAT E DRIVE , SUIT E 20 5 , BETHLEHEM . PA 1 801 7 3 . DATHOFBIRT H

6 . FA A CERTIFICAT E TYP E 

### 3 3 4 SE X MAL E FEMAL E 7 . AVIATIO N EMPLOYE R AIRCRAFT , ENGINE , PROPELLER , COMPONEN T O R APPLIANC E INVOLVE D 8 . MAK E 9 . MODE L 1 0 IDENTIFICATIO N NUMBE R 11 . OWNE R 12 . ADDRES S (Includ e zi p code ) ALLEGE D VIOLATIO N 13 . DAT E OCCURRE D 

### 2007/06/0 8 14 . TIM E 15 . DAT^ KNOW N T O FA

A 

### 2009/07/2 1 16 . REGIO N O F DISCOVERY E A 17 . LOCATIO N 18 . REGULATION S BELIEVE D VIOLATE D RELATE D DATA 19 . TYP E 

### 0 5 20 . SU B TYP E



### 0 5 21 . CATEGORY 2 2 22 . SOURC E 

### 33 23.ACCIDEM T

ASSOCIATE D 

### 0 0 24.SECURIT

Y PROGRA M INVESTIGATIN G FIEL D OFFIC E RECOMMENDATIO N

FOA M 2150- 6 £ A Fomi215 0 Pag e 1 o f 1SECTIO N B STATEMEN T O F CAS E Cas e Number : 2009SO95043 4 M an d R Helicopters , LL C i s a Par t 13 5 certificat e holder , certificat e numbe rl\flR3A020K , issue d o n Jul y8 , 2002 . M an d R Helicopters , LLC' s A44 9 Operation s Specification s paragrap h shows a n effectiv e dat e o f Februar y4 , 2004 . (lO P 1 ) O n Jul y2 1 an d 23 , 2009 , th e Federa l Aviatio n Administratio n (FAA) conducte d a n inspectio n of M an d R Helicopters , LLC' s dru g an d alcoho l testin g program . Base d o n th e documentatio n an d infomiatio n obtaine d durin g th e inspection , a lette ro f investigatio n wa s issue d o n Augus t 14 , 2009 , t o M an d R Helicopters , LLC . (lO P 2 ) Al l item s i n th e lette rof investigatio n wil l b e close d wit h administratio n actio n excep t fo ra portio n o f ite m numbe r1 , whic h i s bein g addresse d i n thi s Enforcemen t Investigativ e Report ,

FO R OFFICIA L US E ONL Y

Publi c availabilit yt o b e determine d unde r5 US C 55 2Ther e wer e n o record s that Mr . Bake rha d bee n give n a DOT pre-employmen t dru g tes t

suc h a s a Federa l Dru g Testin g Custod yan d Contro l Fon n o ra verifie d negativ e dru g tes t result . (lO P 11 ) Ther e wer e n o record s t o indicat e that Mr . Bake rha d bee n place d i n M an d R Helicopters , LLC' s Departmen t of Transportatio n (DOT) poo l o f safety sensitiv e employees . <IO P 3 ) O n Jul y21 , 2009 , documentatio n wa s obtaine d fro m th e company' s Thir d Part

yAdministrator , NADE , whic h indicate s tha t Dr . Seli g i s th e onl y employe e i n M an d R Helicopters , LLC' s rando m dru g an d alcoho l testin g pool . (lO P 3 ) Mr . Bake rperforme d maintenanc e dutie s fo rM an d R Helicopters , LL C o n Novembe r2 , 2007 , Novembe r18 , 2007 , an d Jul y24 , 2008 . (lO P 5 ) Al l of th e wor k wa s perfomrie d o n M an d R Helicopters , LLC' s Par t 13 5 aircraft , numbe rN98CM , whic h i s liste d o n it s Operation s Specifications . (lO P 4 ) There were n o record s t o indicat e Mr . Baker' s dat e of hir e suc h a s personne l records , payrol l records , employe e records , 1- 9 forms , o r contractua l agreemen t

FO R OFFICIA L US E ONL Y

Publi c availabilit yt o b e determine d unde r5 US C 55 2II . Factor s Affectin g Sanctio n

FO R OFFICIA L US E ONL Y Publi c availabilit yt o b e determine d unde r5 US C 55 2FO R OFFICIA L US E ONL Y Publi c availabilit yt o b e determine d unde r5 US C 55 2111 . othe rInfonmatio n

FO R OFFICIA L US E ONL Y Publi c availabilit yt o b e determine d unde r5 US C 55 2FO R OFFICIA L US E ONLY Publi c availabilit yt o b e determine d unde r5 US C 55 2AA M 800-00 3 F 5

## DRU G ABATEMEN T DIVISIO N

ENFORCEMEN T DECISIO N

AA M 800-00 3 F 5

## DRU G ABATEMEN T DIVISIO N

AA M 800-00 3 F 5ATTACHMEN T F [FA A Form2150-5 ]ENFORCEMEN T INVESTIGATIV E REPOR T (Rea d Orde r2150. 3 fo rinstructions ) REPOR T NUMBE R RELATE D NUMBE R ALLEGE D VIOLATO R IDENTIFICATIO N 1 . Nam e 2 . ADDRES S ^/nc/ud e Zi p code j

TELEPHON E NUMBE R (Includ e are e code ) 3 . DAT E O F BIRT H •fSE X I— I MAL E I— I FEMAL E 5 FA A CERTIFICAT E NUMBE R 6 . FA A CERTIFICAT E TYP E 7 . AVIATIO N EMPLOYE R AIRCRAFT , ENGINE . PROPELLER , COMPONEN T O R APPLIANC E INVOLVE D 8 . MAK E 9 . MODE L 1 0 IDENTIFICATIO N NUMBE R

11 . OWNE R 12 . ADDRES S (includ e zi p code ) ALLEGE D VIOLATIO N 13 . DAT E OCCURRE D 1-1 . TIM E 15 . DAT E KNOW N T O FA A 16 . REGIO N O F DISCOVER Y

17 . LOCATIO N 18 . REGULATION S BELIEVE D VIOLATE D RELATE D DAT A 19 . TYP E 20 . SU B TYP E 21 . CATEGOR Y 22 . SOURC E 

# n 23 . ACCIDEN T ASSOCIATE D 

# D 24.SECUR1T

Y PROGRA M 

# D D I n Di n Di n ni n nl n DI D DI D INVESTIGATIN G FIEL D OFFIC E RECOMMENDATIO N 26 . TYP E ACTIO N 26 . SANCTIO N REPORTIN G INSPECTO R (Typedname )

27 . DAT E 28 . INVESTIGATIN G OFFIC E CHIE F (Type d nam e an d signature }

REGIONA L DIVISIO N REVIE W 29 . REGULATION S BELIEVE D VIOLATE D 30 . RECOMMENDE D TYP E ACTIO N 3 1 RECOMMENDE D SANCTIO N 32 . DAT E 33 . REGIO N TYPE D NAME/TITLE/SIGNATUR E O F APPROVIN G OFFICIA L

FOR M 2150- 5 E A Revise d 9/5/200 2ATTACHMEN T G [Orde r 2150.3B ]10/01/0 7 2150.3 B Appendi x B Tabl e of Sanction s All Enforcemen t

Program s Excep t Hazardou s Material s Par t On e - Abbreviation s an dDefinition s 1 . Applicability . Thi s tabl e o f sanction s applie s to violation s tha t occurre do

n or afte r October 1 , 2007 . For

violation s occurrin g befor e Octobe r 1 , 2007 , FA

A enforcement

personnel apply the sanctio n guidanc e principle s i n FA A Orde r 2150.3 A usin g u

p to th e statutor

y maximumsanctio n amoun t i n effect a t the time o f

the violation . 2 . Abbreviations . Th e following abbreviation s ar e usedi n thi s Table : API S mean s approve dproductio n inspectio n system ^ ^ mean s airworthines s AW C mean s airworthines s certificate BTS mean s Unde

r Secretar y fo r Border andTransportatio n Securit y l A mean s inspectio n authorizatio n LE mean s la

w enforcemen

t P C mean s productio n certificate ST C mean s supplementa

l typ e certificate T C mean s typ e certificat

e TF Rmean s Temporar

y Flight Restrictio n TS A mean s Transportatio n Securit y Administratio n 3 . Definitions : a . A continuin g violatio n arise s whe n aspecifi c violatio n occur s ove r mor e tha n one da y or ove r mor e tha n one flight . I

t als o ma y involv e aviolatio n tha

t i s ongoing, , fo r

example , a

n ongoin g refusa

l to provide require drecord s t o th e FA A fo r inspection . Punitiv e sanction s ar e appropriate fo

r continuin g violation s tha

t ar e no t currently ongoing . Sanctio n guidanc e fo r thes e violation s i s se

t fort h i n paragraph s 6 an

d7 {multipl

e act s o r multipl e violations ) o f chapter 7 . A combinatio n o f

punitiv e an

dremedia l sanction s i s appropriate when continuin g violation s ar e ongoing . b . Violatio n committe db y asmal l busines s concern . Sectio n 50 3 o f Visio n 100—Centur

y o f Aviatio n Reauthorizatio n Ac t (CARA ) amende d4 9 U.S.C . § 4630 1 to chang e th e civi l penalt y amount s th e FA

A ma y see k fo r violation s tha

t occur o n or afte r December

12 , 2003 ; th e la w set s differen

t limit s o n th e civi l penaltie s the FA A ma y see k fo r violation s b

y smal l busines s concerns , a s oppose dto violation s b y other entities . Visio n 10

0 CAR A give s smal l busines s concern th e sam

e meanin g a s i

n th e Small Busines s Ac t

(1 5 U.S.C . § 632) . Sectio n 63 2 define s smal l busines s concer n a s a n enterpris e "whic h i s independently owne dan d operate dandwhich i s not

dominant i n it s fieldo f

operation. " Th e Small Busines s Administratio n regulation s implement the Small Busines s Ac t

an ddefine busines s concer

n a s B- 110/01/0 7 2150.3 8

" abusines s entit

y organize dfo

r profit , wit

h aplac e o f

busines s locate di

n th e U.S. , an

dwhich operate s primaril y within th e U.S . o r which make s asignificant contributio n t o th e U.S . econom y throug h payment

o f taxe s o r us e o f America n products , material s o

r labor. " 1 3 C.F.R . § 121.105 . The SB A regulation s furthe r define smal l busines s concer n i n tables , describin g eac h kindo f

entit y b y its economi c activit

y or industry , an

dlistin g th e limit

fo r smal l b y annua l receipt s or , mor

e commonly , numbe

r o f employees . (The siz e limit s generall y ar e establishe dunder

th e Nort h America n Industr y Classificatio n Syste

m(NAICS). ) For

the complete list , see 1 3 C.F.R . § 121.20 1 o r th e SBA' s website a

t www.sba.aov . Thus , if

aperso n meet s th e definitio n o f

busines s concer

n an dha s annua

l receipt s o

r th e numbe

r o f employee s within th e applicabl e SB A limit , i t i s asmal l busines s concern , andth e FA A will determin e th e civi l penalt

y usin g th e applicabl e range . Limit s fo r commo n aviatio n entitie s follow (i n number s o f

employees , unles s otherwis e noted) . Manufacturin g Aircraft

- 1,50

0 employee s Aircraf t engin e an

dpar t - 1,00 0 employee s Other aircraf t par t an dequipment

- 1,00 0 employee s Ai r transportatio n Schedule dpassenger - 1,50 0 employee s Schedule dfreight- 1,500employee s Nonschedule dpassenge

r - 1,50 0 employee s Nonschedule doffshor

e marin e passenger

- $25. 5 millio n annua

l receipt s Nonschedule dfreight

- 1,50 0 employee s Nonschedule doffshor

e marin e freight - $25. 5 millio n annua l receipt s Other nonschedule d- $6. 5 million annua l receipt s Suppor t activitie s - $6. 5 million annua l receipt s Fligh t Trainin g - $23. 5 millio n annua l receipt s Airpor t operation s Airpor t operator , organize dfo

r profit - $6. 5 millio n annua

l receipt s Other operations , excludin g air

traffi c contro l - $6. 5 millio n annua l receipt s Not e tha t th e followin g guidanc e use s larg e busines s concern fo r som e civi l penalt

y ranges . Tha t i s no t astatutor y o r regulator y ter mfo r purpose s o f

FA A enforcement . I

t include s each busines s concer

n tha t exceed s th e maximu

mlimit fo r small busines s concern , a s wel l a s an y other entit y tha t doe s no t mee t th e definitio n o f

"smal l busines s concern. " c . Civi l Penalt

y Ranges . For

the purpos e o f

thi s table , whe

n civi l penalt

y actio n i s recommende dan

ddescribe da s Minimum , Moderate , o r Maximum , th e penalt

y range s are definedi n subparagraph s (1 ) through (9 ) o f thi s paragraph . Note tha

t th e middl e o f

each recommende dsanctio n rang e wouldb e fo r asingl e violatio n withou t aggravatin g or

mitigatin g factors .

B- 210/01/0 7 2150.3 B

(1 ) VIOLATIO N COMMITTE D B Y U.S . AI

RCARRIER S O RU.S . COMMERCIA L OPERATOR . CLASSIFICATIO N O FAI RCARRJE

RAN D OPERATO R GROUP I - Eac h ai

r carrier operatin g unde

r par t 12 1 o r par t 135 , wit h a n annua l operatin g revenu e o f

$100,000,00 0 o

r more . Operatin g revenu e i s determine db y referenc e to DOT' s "Ai r Carrier Industr y Schedule dServic e Traffi c Statistic s Quarterly. " Se e http://ostpxweb.dot.gov/aviation/index.html , an dclick o n "Airlin e Financia

l Review. " GROUP I I - Each ai r carrier or commercia

l operato r operatin g under

par t 12 1 wit h a n annua l operatin g revenu e of

les s tha n $100,000,000 , o r

unde r par t 13 5 wit h a n annua l operatin g revenu e of

les s tha n $100,000,000 , if

th e 13 5 operator

ha s 5 0 or mor e pilot s an d2 5 o r mor e aircraf t o n it s operation s specifications . Operatin g revenu e i s determine db y referenc e t o DOT' S "Ai

r Carrier Industr y Schedule dServic e Traffi c Statistic s Quarterly. " GROUP II

I - Each ai r carrier or commercia

l operato r operatin g under

par t 13 5 wit h 6 to 4 9 pilot s o r 6 t o 24 aircraft . GROUP I V - Each air

carrier o r commercia

l operato r operatin g under

par t 13 5 wit h no mor e tha n 5 pilot s andn o mor

e tha n 5 aircraft . GROUP I - larg e busines s concer n Maximu m$ 18,750-$25,00 0 Moderat e $ 10,000- $ 18,74 9 Minimum$2,000-$9,99 9 GROUP I - smal l busines s concer n (fo r violation s covere dunde

r 4 9 U.S.C . § 46301(a)(5)(A)) :

Maximu m$8,250-$ l 1,00

0 Moderate $4,400-$8,24 9 Minimum$l,100-$4,39 9 GROUP I - smal l busines s concer n (fo r violation s covere dunde

r 4 9 U.S.C . § 46301(a)(1)(A ) or (B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$850- $ 1,10

0 Moderate $650-$84 9 Minimum$50 0 $64 9 GROUP I I - larg e busines s concern : B- 310/01/0 7 2150.3 B Maximu m$16,250-$25,00 0 Moderat e $8,750- $ 16,24 9 Minimu m$l,850-$8,74 9 GROU P II - smal l busines s concer n (fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$8,250-$ l 1,000 Moderat e $3,850-$8,24 9 Minimu m$935-$3,84 9 GROU P I

I -smal l busines s concer n (fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$750-$l,10 0 Moderat e $450- $ 74 9 Minimu m$25 0 $ 44 9 GROU P II I -fo r

violation s covere dunde r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$7,150- $ 11,00 0 Moderat e $3,300-$7,14 9 Minimu m$825-$3,29 9 GROU P II I - fo

r violafion s covere dunde r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A) :

Maximu m$650- $ 1,100 Moderat e $400- $ 64 9 Minimu m$150- $ 39 9 GROU P IV -fo r

violation s covere dunde r 4 9 U.S.C . § 4630 1 (a)(5)(A) : Maximu m$4,400- $ 11,00 0 Moderat e $2,200-$4,39 9 Minimu m$550-$2,19 9

GROU P IV - fo r

violation s covere dunde r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A) :

Maximu m$500-$l,I0 0 Moderat e $300-$49 9 B- 410/01/0 7 2150.3 B Minimu m$100-$29 9 (2 ) VIOLATIO N COMMITTE D B Y PAR

T 12 9 OPERATO R Maximum$18,750-$25,00 0 Moderat e $10,000- $ 18,74 9 Minimu m$2,000-$9,99 9 (3 ) VIOLATIO N COMMITTE D B Y PAR

T 12 5 OPERATOR . Larg e Busines s Concern : Maximu m$ 16,250-$25,00 0 Moderat e $8,750- $ 16,24 9 Minimu m$l,850-$8,74 9 Smal l Busines s Concer

n (fo r violation s covere dunde

r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$8,250-$ l 1,00

0 Moderat e $3,850-$8,24 9 Minimu m$935-$3,84 9 Small Busines s Concer

n (fo r violation s covere dunde

r 4 9 U.S.C . § 46301(a)(1)(A ) or (B ) but not unde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$750-$l,10 0 Moderat e $450-$74 9 Minimu m$25 0 $44 9 (4 ) VIOLATIO N COMMITTE D B Y AI RAGENC Y (INCLUDIN G REPAI RSTATION) . Larg e Busines s Concern : Maximu m$16,250-$25,00 0 Moderat e $8,750- $ 16,24 9 Minimu m$],850-$8,74 9 Small Busines s Concer

n (fo r violafion s covere dunder

4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$7,150- $ 11,000 Moderat e $3,850-$7,14 9 Minimu m$935-$3,84 9 B-510/01/0 7 2150.3 8

Small Busines s Concer

n (for violafion s covere dunder

4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) but not unde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$750-$!,10 0 Moderat e $450-$74 9 Minimu m$25 0 $44 9 (5 ) VIOLATIO N COMMITTE D B Y AIRPOR

T OPERATOR . Larg e Busines s Concern : Maximu m$18,750-525,00 0 Moderat e $10,000-$18,74 9 Minimu m$2,000-$9,99 9 Smal l Busines s Concer

n (fo r violation s covere dunde

r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$8,250- $ 11,000 Moderat e $4,400-$8,24 9 Minimu m$l,100-$4,39 9 Small Busines s Concer

n (fo r violation s covere dunder

4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t not under 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$850- $ 1,10

0 Moderat e $650-$84 9 Minimu m$50 0 $64 9 (6 ) LARG

E BUSINES S CONCER

N - DOE S NO T HOL

D CERTIFICATE Maximu m$I8,750-$25,00 0 Moderate $ 10,000- $ 18,74 9 Minimu m$2,000-$9,99 9 (7 ) SMAL

L BUSINES S CONCER

N - DOE S NO T HOL

D CERTIFICATE For violation s covere dunder

4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$4,400- $ 11,000 Moderate $2,200-$4,39 9 Minimum$550-$2,19 9 B- 610/01/0 7 2150.3 8

For violation s covere dunde

r 4 9 U.S.C . § 46301(a)(1)(A ) or (B ) bu t not unde r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$500- $ 1,10

0 Moderat e $300-$49 9 Minimu m$100-$29 9 (8 ) VIOLATION RELATING T O THE TRANSPORTATIO N O FA HAZARDOU S

MATEIUA

L (1 4 CFR) . THE REGISTRATION O RRECORDATIO N O FAN AIRCRAF

T NO T USE

D T O PROVIDE AI

RTRANSPORTATION , THF . LIMITATIO N O N TH E CONSTRUCTIO N O

RESTABLISHMENT O FA LANDFILL , O

RTHE SAF

E DISPOSA

L O FA LIFE-LIMITED AIRCRAFT PART . Larg e Busines s Concer

n (i f entit y i s no t withi n amor

e specifi c category , fo

r example . Grou p I Air

Carrier o r Operator) : Maximu m$16,250-$25,00 0 Moderate $8,750- $ 16,24 9 Minimum$1,850-58,74 9 Small Busines s Concer

n (i f no t within amor

e specifi c categor

y fo r example , Group I

I Air Carrier

o r Operator) or

Individual : Fo r violation s covere dunde

r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$4,400-$ ! 1,00

0 Moderat e $2,200-$4,39 9 Minimum$550-$2,19 9 Fo r violation s covere dunde

r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$500-$l,10 0 Moderate $300-$49 9 Minimum$100-$29 9 (9 ) OTHE

RVIOLATIO N COMMITTE D B Y A N INDIVIDUAL . AIRNIA N SERVING A S A

N AIRMA

N - INDIVIDUA

L SERVING I

N CAPACITY O FA

N AIRMAN . AL

L VIOLATION S EXCEPT THOS E LISTE D I N (8) . Maximu m$850- $ 1,10

0 8- 710/01/0 7 2150.3 8 Moderat e $650-$84 9 Minimu m$500-$64 9 OTHE RINDIVIDUA L - NO T SERVIN G I N CAPACIT Y O FAIRMAN . Fo r violation s covere dunde r 4 9 U.S.C . § 4630Ha)(5)(A) : Maximu m$4,400- $ 11,00 0 Moderat e $2,200-$4,39 9 Minimu m$550-$2,I9 9 Fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$500- $ 1,100 Moderat e $300-$49 9 Minimu m$100-$29 9 (10 ) ENGINEERIN G AN D MANUFACTURIN G VIOLATIONS . Larg e Busines s Concern :

Maximu m$18,750-$25,00 0 Moderat e $ 10,000- $ 18,74 9 Minimu m$2,000-$9,99 9 Smal l Busines s Concer n o r Individua l (fo r

violation s covere dunde r 4 9 U.S.C . § 46301(a)(5)(A) :

Maximu m$8,250-$ l 1,000 Moderat e $4,400-$8,24 9 Minimu m$I,I00-$4,39 9

Smal l Busines s Concer n o r Individua l (fo r

violafion s covere dunde r 4 9 U.S.C . § 46301(a)(1)(A ) o r

(B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$850-$I,l0 0 Moderat e $650-$84 9 Minimu m$50 0 $64 9

8- 810/01/0 7 2150.3 8

d . Pendin g complianc e or correctiv e action ; iniunctiv e relief . Fo r man y kind s o f violations , there ma y b e circumstance s wher

e th e FA A shoul dnot

allo w th e offending entit

y to continu e to operat e or to confinue i

n business . Example s include acertificate holde r tha t doe s no t allo w a n FA A inspecto r

t o inspec t th e holder' s operatio n or

facilities , o r

a n unapprove dmanufacture r tha t produce s aircraf

t part s i n violatio n o f

1 4 C.F.R . § 21.303 . I

n tha t circumstance , suspensio n o f a n entity' s certificat

e o r othe r approval , pendin g complianc e or correctiv e action , o r injunctiv e relie f

agains t a n entit y tha t doe s not holda n FA A approval , woul db e appropriate . I n egregiou s circumstance s revocatio n o f the entity' s certificate o

r othe r approva l ma y b e warranted . Such actio n or relie f ma y be considere di

n addifion to th e assessment o f acivil penalt y a s recommende di

n the following tables . Furthermore , amendmen

t or modificatio n o f

acertificate o

r approva l ma y b e appropriate i

n th e circumstanc e wher

e adefinitiv e par

t o f th e offending entity' s operatio n ca n b e safel y exclude d fro mth e operational approval . A n exampl e i s a

n approve daircraf

t part s manufacture

r tha t make s multipl e kind s o f

parts , bu t ha s qualit y contro l problem s fo

r onl y on e kindo f

part . Suc h actio n ma y b e considere di

n additio n to th e assessment o f acivi l penalt

y a s recommende di

n th e followin g tables . Par t Tw o - Sanctio n Guidanc e Table s

Inde x 1 . U.S . Ai r

Carriers , U.S . Commercia l Operators , Par t 12 5 Operators , an dPar t 129 Operators . Fig . B-l-a . Maintenanc e Manua l Fig . B-l-b . A/

W Directiv e Fig . B-l-c . Operation s Specification s Fig . B-l-d . Facilitie s an

dEquipmen

t Fig . B-l-e . Maintenanc e andInspecfion Organizatio n Fig . B-l-f . Trainin g Progra

m Fig . B-l-g . Maintenanc e or Aircraf t Paperwor k Fig . B-l-h . Performanc e o f Maintenanc e Fig.B-I-i . SFAR3 6 Fig . B-l-j . Record s an

dReport s Fig . B-l-k . Dispatc h an

dFligh t Releas e Rule s Fig . B-1-1 . Operatio n o f

unairworthy aircraf

t Fig . B-l-m . Provision s specifi c to passenger-carryin g Fig . B-l-n . Provision s specifi c t o flight deck cre w Fig . B-l-o . Other

provision s Fig . B-1-p . Operation s a

t airport s requirin g slot s 2 . Personne l of

Ai r Carriers , Commercia l Operators , an dPar t 12 5 Operators . Fig . B-2-a . Maintenance , includin g inspectio n Fig . B-2-b . Inspectio n 8- 910/01/0 7 2150.3 8

Fig . B-4-C . Dru g conviction s - n o falsificatio n involve d cont . (2 ) Multipl e conviction s fo r simpl e possession *

(3 ) Conviction(s ) for

othe r tha n simpl e possession * Civi l Penalt y Certificat e Actio n 120-day Suspensio n t o Revocatio n o f al l par t 61 , 63 , o r 6 5 certificate s Revocatio n o f al l par t 61 , 63,o r 6 5 certificate s *I t may b e appropriate , i n th e exercis e o f prosecutoria l discretion , no t t o tak e enforcemen t

actio n whe n aconvictio n i s severa l year s ol dwhe n discovere db y th e FA A an dther e i s evidenc e tha t th e certificat e holde r ha s bee n rehabilitate dsuc h tha t th e individua l ca n b e expecte dt o confor mhi s o r he r conduc t t o safet y requirements . 5 . DRU G AN D ALCOHO L TESTIN G VIOLATIONS . Fig . B-5-a . Dru g an dAlcoho l Testin g Violation s (1 ) Failur e o f

a n ai r carrie r operatin g unde r

part 12 1 o r part 13 5 operato r

t o obtai n a n operation s specificatio n (2 ) Failur e o f

apart 14 5 operato r

(tha t opt s t o hav e it s ow n dru g progra man dAMPP ) t o obtai n a n operation s specificatio n (3 ) Failur e o f

aSectio n 135.1(c ) ornon-FA A ai r traffi c contro l facilit y t o submi t aregistratio n t o th e FA A (4 ) Failur e o f

acontracto r

(tha t opt s t o hav e it s ow n dru g an d alcoho l programs ) t o submi t aregistratio n t o th e FA A (5 ) Failur e t o implemen t o r maintai n continuou s coverag e i n a n FA A antidru g progra mand/o r AMP P i n accordanc e wit h Appendice s i and/o r

J Civi l Penalt y Moderat e Moderat e Moderat e Moderat e Maximu m Certificat e Actio n

Indefinit e Suspensio n pendin g complianc e o r Revocatio n Fig . B-5-b . Coverag e (1 ) Failur e t o includ e asafety-sensitiv e employe e i n FA A mandate ddru g an dalcoho l testin g program s (2 ) Permittin g acontracto r employe e t o perfor mafunctio n liste di n Appendi x I o r

J wh o i s no t

covere dunde r

a n FAA

mandate dantidru g and/o r alcoho l misus e preventio n progra m Civi l Penalt y Maximu m Maximu m Certificat e Actio n

B-3 1Certificat e o f Servic e I hereb y certif

y that o n this dat e I hav e sen t

b y U.S . mail , postag e prepaid , certifie dreturn-receip t

an db y facsimil e acop y o f Complainant' s Pre-Hearin g Brie f 7^ th e Matte r ofM& RHelicopter , Docke t No . CPlOSOOOllO , FA A Cas e no . 2009SO950434 , addresse dto : Th e Honorabl e Ronni e A . Yode r

Chie f AdministraUv e La w Judg e U.S , Departmen t

o f Transportation , M-2 0 Eas t Bldg . Groun dFloor , Roo mE12-32 0 120 0 Ne w Jerse y Avenue , S.E . Washington , D C 2059 0 Facsimile : 202-366-753 6 I n addition , I hereb y certif y tha t o n this dat e I hav e sen t

b y th e U.S . mail , postag e prepaid , certifie dreturn-receip t on e cop y o f

th e foregoin g documen t

to : Dr . Michae l B . Seli g Presiden t M & RHelicopters , LL C 204 5 Westgat e Dr. , Suit e 20 5 Bethlehem , PA 1801 7 I n addition , I hereb y certif y tha t o n thi s dat e I hav e sen t

b y th e U.S . mail , postag e prepaid , certifie dreturn-receipt , th e origina l an don e cop y o f th e foregoin g documen t

to : Federal Aviatio n Administratio n 80 0 Independenc e Avenue , S.W . Washington , D.C . 2059 1 Attn : Hearin g Docke t

Clerk , AGC-43 0 Wilbu r Wrigh t Buildin g - Suit e 2W100 0

Dated : Ma y 27 , 201 1