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JoTREY M. HARPER 

F A A OFFICE OF REGIONAL COL>.'SEL 

1601 LIND AVENUE SOUTHWEST 

RENTON, WASHINGTON 98057 

TELEPHONE: (425)227-2161 

FACSn.<ILE: (425) 227-1007 

- QMS 

HEPARfiviEMTOF 

ihANSPORTATtON 

:'OCKET OPERATIONS 

20!! NOV l b A S: 2U 

(^002/01 3 

PAGE Q2J13 

UNITED STATES OF AMERICA 

DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, DC. 

m the Matter of: 

Sky West Airlines, Inc. 

FAA DOCKET Not Assigned 

FAA Case No. 2011NM060033 

DMS No. F.A/ii.-20U-06S0 

Judge Richard C. Goodwin 

To: SkyWesTAirlines. Inc. 

COMPLAINANT'S FIRST RESPONSE TO RESPONDENT'S FIRST REQUEST FOR 

PRODUCTION OF DOCUMENTS AND OTHER DISCOVERY 

Pursuant to 14 C.F.R. § 13.220, and consistent with Fcd.R.CJv.Pro. 26, 33, 34, and 36, 

ihz Administrator (Complainant) responds to Respondent's First Request for Production of 

Documents and Other Discovery. Complainant is aware of and understands the continuing nature 

of his disccven' obligation. This discovery will be supplemented as necessary. Where an 

objection is noted, hut a substantive response is provided, the substantive response is provided 

•without waiving the objection. 

— Requ«st» for Production 

REQUEST FOR PRODUCTTON NO. 1.1; Complainant's case file bearing Case No. 

2011NM060033 in its entirety, including, but not limited to, items of proof exhibits, 

correspondence, memoranda, and ail other dociunents contained therein. 

Cociplai.ii's Ist Response tc Respondent's 1st Requtfil for 

ProdUctiOD of Documents nnd Other Discovery 

In the Matter of Sty"W«t AirLints, Inc. 

DMS No. FAA-2011-0680; FAA Case No. ZOI1NM060033 

Page I o n 2 

JEFTP^y M. HA-VUK, FAA ATTOF>iEY 

TZV. (425) 227-;i'5l: FAX-. (425) 227-1007 
11/16/2011 09-25 FAX 2024935142 

11/03/2011 13:50 4252271007 

FAA ^ DMS 

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"RESPONSE: Object, to the extent thai the case file contains material protected "by the 

attorney work-product and attorney-client privUeges. The non-privileged portions of the file were 

previously provided on May 17, 2011, ptirsuant to Respondent's request of May 11, 2011. 

REQUEST FOR PRODUCTION NO. 1.2: All documents pertaining to the allegations set 

forth iu the Final Notice of Proposed Civil Penalty Case No. 2011NM060033^ which serves as 

the Complaint in this matter. 

RESPONSE: See response to Request For Production (KF?) No. 1.1. Additionally, FAA 

Order V 50.3B and Advisory Circular 120-27E also pertain to the allegations; those documents 

are available to the public at http://www.faa.gov. 

REQUEST FOR PRODUCTION NO. 1.3: All docoiments which Complainant intends to 

utilize as exhibits at the hearing in this matter. 

RESPONSE: See response to RFP 1.2. A detailed exhibit list -will be provided prior to 

trial. 

REQUEST FOR PRODUCTION NO. 1.4: AU statements and documents pertaining to or 

concert!ing statements made to Complainant by SKYWEST. 

RESPONSE; Object, to the extent thai the request encompasses attorney notes protected 

by the attorney work-product or attomey-cliem privileges. Object, overbroad. To the extent the 

Request encompasses statements made regarding the allegations in this case. Complainant is 

unaware of any statements made other than those previously provided (See RFP 1.1) or made by 

Respondent's counsel during negotiations. 

REQUEST FOR PRODUCTION NO. 1.5: All statements and documents pertaining to or 

concerning statements made to Complainant b>' any employees or former employees of 

SKYWEST. 

Complaint's I jt Response to RcspondenTj Isi Reque-rtfor 

Production of Documeno and Other Oiscovcry 

InthcManerofSkyWestAirlinca, Ire. 

DMS So. FAA-2011-0680; FAA Case No. 2011KM060033 

Page 2 of]2 

JEFFREY M. HABPES, FAA A-rroRKiY 

TEL: (i25)237-2161;F.\X: (425) 227-1007 
11/16/201 1 09:2 5 FAX 2024935112 

11/0S/281 1 13 : ^B '4252271007 

FAA - DMS 

ANM7 

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RESPONSE: Object, to the extent that the request encompasses attorney notes protected 

by the attorney work-product or attoniey<lient privileges. Object, overbroad. To tlie extent the 

request encompasses statements made regarding the allegations in this cs^z, see RFP 1.4. 

REQUEST FOR PRODUCnON NO. 1.6: All statements and documents peruining to or 

concerning statements made to Complainant by any other person, firm or corporation, concerning 

the matters alleged in Complaint. 

RESPONSE: Object, overbroad. Complainant is not aware of any statements regarding 

the allegations in this case made by third parties that have not been previously provided. 

REQUEST FOR PRODUCTION NO. 1.7: Resumes, curriculum vitac and any and aJl 

written qualifications of all persons whom Complainant expects to utilize as expert witnesses at 

the hearing in this matter. 

RESPONSE: Complainant does not anticipate callmg any expert witnesses at this time. 

P.EQUEST FOR PRODUCTTON NO. 1.8: All documents pertaining to facts and 

opinions held by Complainant's experts acquired or developed in anticipation of li.tigation and/or 

for the hearing in this jnattcr. 

RESPONSE: Object, to the extent that the request encompasses atroiney notes protected 

by the attorney work-product or attorney-client privileges. Complainant does not anticipate 

calling any expert witnesses at this time. 

-REQUEST-FOP. PRODUCTTON NO. 1.9: All documentsreviewed-byComplainact's--

experts in connection with the anticipated litigation or hearing in this matter. 

RESPONSE: Objea, to the extent that the request encompasses attorney notes protected 

by the attorney work-product or attomey-client privileges. Complainant does not anticipate 

calling any expert wimcsses at this time. 

Complaint's l.^t Response lo Rcspoodcm's 1st Rcqxicst for 

Pcoduction of DoaimcTTts and Other Disco^'Gy 

In the Mancr of SIcyWest Airlines. Inc. 

DMSND . FAA-2011-0680; FAA Case Nf>. 201 lMwlO6D033 

Pa€z3ofl2 

jETlTiEYM.HAXt'ER.FAAArrORNcy 

TEL; (425) 227-2161; FAX: (425) 227-1007 
11/16/2011 09:25 FAX 2024935142 

U/RS/2011 13:50 4252271007 

FAA - DMS 

\m7 

13005/013 

PAGE 05/13 

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REQUEST FOR PRODUCTION NO. 1.10: All documents generated by Complainant's 

experts in connection with the anticipated litigation or heariiig in this matter. 

RESPONSE: Object, to the extent that the request encompasses ailomey notes proteciiid 

by the attorney work-product or attorney-client pri^'ilege3. Complainant does not anticipate 

calling any expert v-imcsses at this time. 

Interrogatories 

INTERROGATORY NO. 2.1: State the name, occupation, address and telepbone number 

of each person Complainant intends to call as a witness (including but not limited to expert 

-witnesses) at the hearing. 

RESPONSE: 

Name Occupation Address & Tekphone 

James H. McKenna. Ji. Aviation Safety Inspector 

Lynn Richards AirAfo.nbiness Technical 

Soecialist 

Sky West CMO 

1020 N. Flyer \V^' 

SaltLake City, UT 84116 

(801)257-5100 

ANM-240 

1601 LmdAv^. SW. 

Renton. WA9S03 8 

(425)227-2328 

INTERROGATORY NO. 2.2: ProWde a brief statement regarding the subject matter of 

the testimony of each witness. 

RESPONSE: 

Name Testimony 

James H. McKenna. Jr. N^f, McKenna will testify to his count of baggage being offloaded from Flight 4451 in Casper, W>'. Anticipate that 

Complaint's J si Rcsponau ta JleEpondcnt's I rt Request for 

Production of Documenc sa^ Other Discovery 

In the MftlTer of Sk>'Wcst Airlinos, Inc. 

P MS No. FAA'2OU-065O : F.\ A Case Ko. 2011NMO60033 

JWFREYM. HARPER, F.*LA ATTcwcr 

TEL: (425) 227-2161; FAX; (^ZS) 227-1007 
U/ie/20 n 09:2 5 FAX 2024935142 

11/09/201 1 13:5 0 d2522710O7 

FAA - OhiS 

ANM7 

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Lynn Richards 

Jvlr. McKenna will sponsor the CLR and ACARS data into 

evidence if necessary. 

Mr. Richards will testify regarding the Federal Aviation 

Administration (FAA) sanction guidance and calculation of 

sanction. 

INTERROGATORY NO. 2.3; Provide copies of all documents Complainant intends to 

offer into evidence as exhibits at the hearing. 

RESPONSE: See response to Request for Production 1.3. 

INTERROGATORY NO. 2.4: For each expert witness Complainant intends to call at Ae 

heariiig, provide a brief statement regflrdine the grounds for the opinion testimony of each expert 

witness, and copies of any documents prepared or reviewed by said expert witness. 

RESPONSE: Complainant does not anticipate calling any expert witnesses as this time. 

Should this change, opposing counsel will be notified and Complainant will produce documents 

appropriately as requested above. 

INTERROGATORY NO. 2.5: If Complainant obtains additional documents not 

mentioned in response to Request No, 2.3, above, SKYWEST requests these document.*! be 

produced as expeditiously as possible, 

RESPONSE: Complainant is aware of the ongoing nature of a discovery request, and will 

provided supplemental irtformation as required. 

INTERROGATORY NO. 2.6: If Complainant secures additional witnesses not 

mentioned in response to Request No. 2.1, above, SKYWEST requests a supplementary witness 

list and a brief statement regarding the subject mattev of the testimony of each of the witnesses. 

RESPONSE: Complainant is aware of the ongoing nanire of a discovery request, and will 

provided supplemental information as required. 

Coffplaint'j 1st Response ro Rwpcndcni's 1st Rcquesi for 

Produciion of DocumCTts and Other Discover^' 

In die Miitter of SIcyWep Airiincs, Inc. 

I5MS No. FAA-201 ] -0680; FAA CBSC KO. 201 IhfM060033 

Pagc5<if 11 

JEFFRETM. HAIU'ER, FAA ATTORNSY 

lEL: (-t25) 227-2161: FAX: (J25) 227-1007 
11/16/201 1 09-26 FAX 2024935142 

11/08/201 1 13:5 0 <i2522710e7 

FAA - OMS 

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Requests for Admission 

REQUEST FOR ADMISSION NO. 3.1: ADMIT that SkyWest Airlines' Weight and 

Balance Operations Manual. Standard Practice 4100, has been reviewed and approved by the 

FAA for use in all SkyWest operations and was in effect as of the dates of the alleged violations. 

RESPONSE: Admit. 

REQUEST FOR /U)MISSION NO. 3.2: ADMIT that the aiici^ in Flight 4451 did not 

exceed the maximum takeoff weight for the runway of use. 

RESPONSE: Admit 

REQUEST FOR ADMISSION NO. 3.3: ADMIT that Skj'West Airlines' Weight and 

Balance Operations Manual, Standard Practice 4100, provides guidance and instruction necessaoy 

for flight crew and Customer Service personnel to complete weight and balance calculations; the 

Cargo Load Report (CLR), and the Load Manifest. 

RESPONSE: Adjniu 

REQUEST FOR ADMISSION NO. 3.4: ADMIT that SkyWest Airlines' Weight and 

Balance Operations Manual, Standard Practice 4100, provides weight and balance information 

sufficient to ensure safe aircraft operations. 

RESPONSE: Deny. In addition to the information contained in Standard Practice 4100, 

an accurate assessment of the aircraft's empty weight and balance and payload (including 

baggage, cargo, and passengers),,is required to ensure_safe aircraft operations. 

REQUEST FOR ADMISSION NO 3.5: ADMIT that for the aircraft type and airports 

utilized IE the flight alleged in the Complaint, and with the aircraft loads, flight crews, fuel 

passengers, and baggage recorded in the flight release for the flight in question, any errors in load 

manifest calculations, producing a weight error of less than 300 pounds, results in: 

Complaint's 1 st Rcipanse TO Ropondrat's 1 st RequcTi- for 

Produciion of Docmn«nt$ and Other Disc/ivci^ 

[n the Maner of Sk^W«t AJrIifles, Inc. 

DMS No. FAA-2011-0680; FAA Case No. 2011KM060033 

JEFFREY M. HAWER. FAA ATTOR^'EY 

TBL: (425)227-2161; FAX; (J25) 227-1007 
11/16/2011 09:26 FAX 2024935142 

ll/Qg/2011 13:50 4252271007 

FAA - DMS 

Ah^7 

@|008/013 

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a. No change in aircraft performance; and 

b. A nearly negligible change in aircraft center of gravity. 

RESPONSE: Deny. The FAA beheve there would be a change in aircraft perfonnance, 

although that change may be "nearly negligible." 

REQUEST FOR ADMISSION NO. 3.6: ADMITthatthe weight of Flight 4451 on 

February 11, 2011 was within the aircraft's operation limitations. 

RESPONSE: Admit. 

REQUEST FOR ADMISSION NO. 3.7: ADMIT that load manifest errors do not always 

result in a heavier than planned aircraft, that in some cases the aircraft may be lighter than 

planned. 

RESPONSE; Admit. 

REQUEST FOR ADN'flSSION NO. 3.8: ADMIT that SkyWest has beenFAA-approved 

to use die following standard baggage average weights in its Weight and Balance Program: 

Standard checked baggage - 30 pounds 

(baggage weighing more than 

50 pounds but less than 100 

pounds) 

Heavy checked baggage 60 pounds 

Planeside loaded/carry-on baggage - 30 powids 

Carry-on baggage and/or personal 

item stowed in aircraft passenger - 0 pounds 

cabin 

Non-luggage baggage (standard) 

Non-luggage baggage (heavy) 

Ticketed cabin baggage (summer) 

Ticketed cabin baggage (winter) 

CompJunfs Isr Response to Respondeat's 1st Request for 

Pfoducrtion of DocumcnC and Ovhor Discovery 

In the Matter of Sk>'Wesi Airlines, Inc. 

DMS hlo. FAA.-2011 -0680; TAA Case No. 2011KM060O33 

Page 7 of 12 

30 pound? 

60 pounds 

82 pounds 

87 pounds 

JEFFMY M. HAP.TCB. FAA ATTOKNEY 

TEL: (425) 227-2161; FO;; (425) 227.1007 
11/16/2011 09 26 FAX 2024935142 

ll/S'3/2611 13:55 4252271(337 

FAA - DWS 

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RESPONSE: Admit. 

REQUEST FOR ADMISSION NO. 3.9-3.11. 

RESPONSE; Respondent's discoveo' response does not contain Requests for Admission 

with these n-umbers, tliereforc deny. 

REQUEST FOR AD\aSSION NO. 3.12: ADMIT that FAA AC 120-27, Chapter 2, 

Section 1.200(a), states: ".. .differences between the actual weight of passengers and bags and the 

average weight of passengers and bags can occur when using average weights." 

RE.SPONSE: Admit. 

REQUEST FOR ADMISSION NO. 3.13: ADMIT that it is technically possible to have 

the correct total cargo weight even if the ntimber of b^ s listed in ±e CLR i? incorrect. 

RESPONSE: Admit 

REQUEST FOR ADMISSION NO. 3.14: ADMIT that Order 2150. 3B, FAA Compliance 

and Enforcement Program. Chapter 7, Sanction Guidance Policies. Paragraph 7.c. Penalties 

Outside the Ranges, Clause (1), Penalties lower than the ranges, states: 

It may be appropriate to select a civiJ penalty amount below the 

ranges in Figures 7-1 or 7-2 if the degree of culpability is minimal, 

the degree of potential hazard is extremely low^ and there are no 

other aggravating circumstances. 

RESPONSE; Admit 

REQUEST FOR ADMISSION NO. 3.15: ADMIT that during the subject Flight 4451, 

&om SLC to CPR, all checked baggage was loaded into the aft cargo bin. 

RESPONSE; Admit. 

Copfipliiinf 5 l3t Response to Respondent's 1st Rjequai for 

Production of t)ocujnenC and Other Discovery 

IQ Ihc Matter of SlcyWefl Airlinei, Inc. 

DMS No. F.AA-2011-0680; FAA CAS« NO. 201 JNM06&033 

PagfiSof U 

JrJTRFy M. H.'v.tiJ'ER. FAA ATTORKT^ 

TEL. (•i25)227-2!6I; FAX; {425)237-1007 
11/16/2011 09:2G FAX 2024935142 

11/66/2011 13:56 4252271007 

FAA ^ DMS 

ANM7 

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REQUEST FOR ADMISSION NO. 3.16: ADMIT that the FAA alleges betv-'een 20 and 

60 pounds of luggage were not accounted for on subject Fhght 4451. 

RESPONSE: Deny. FAA alleges that one heavy checked bag was not accounted for on 

Flight 4451 as a heav^^-checked bag. The FAA is without sufficient knowledge to know if the bag 

in questiojj was accowited for as a standard checked bag. 

REQUEST FOR ADMISSION NO. 3.17: Admit that the subject heavy bag on Flight 

4451 was accounted for as a standard bag, and as such, any weight miscalculation was less than 

60 pounds, 

RESPONSE: Deny. FAA alleges that one hcav)' checked bag was not accounted for on 

Flight 4451 as a heavy checked bag. The FAA is without sufficient knowledge to know if the bag 

in question was accounted for as a standard checked bag. 

REQUEST FOR ADMISSION NO. 3.18: ADMIT that the handling of an aircraft with 

the performance specifications of the subject aircraft will not be noticeably aSfectcd by a weight 

change of less than 60 pounds. 

RESPONSE; Admit 

REQUEST FOR ADMISSION NO. 3.19: ADMIT that the subject Flight 4451 had a 

takeoff weight in excess of 700 pounds below the maximum ninway takeoff weight. 

RESPONSE: Deny. The FAA is without sufficient information or knowledge of tiie 

actual-weights-of the passengenrbaggagcr and other cargo. -• - -

REQUEST FOR ADMISSION NO. 3.20: ADMIT that during the subject Flight 4451 the 

safety of flight was maintained as ail operations fell within the m^nufactuxer's operating 

envelope. 

Complftim's 1ST Response lo K.e3pondc]ii"3 1st Requesi far 

Ftodiiction of DDCummta (^nd Other Discovery 

In the Matter of SWj'Wcrt Airlines, Ire. 

DMS So. FAA-2011 -0680; FAA Caac No 201INM060033 

Page?on2 

JETPHBr M. MARPEIL F.\A Arropj^Ei' 

TEL: (415) I27.2161-. FAX'. ('i2S)2i'7-10O7 
ll/lG/201 1 03:26 FAX 2024935U2 

11/39/2E311 13:5Q 4252271007 

FAA r OM S 

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RESPONSE: Deny. The FAA is without suf&cient information or knowledge of the 

operation of Flight 4451. 

REQUEST FOR ADMISSION NO. 3.21: AD\€T that SkyWest, as an operator, may 

choose to use one weight for a fleet or group of aircraft if the weight and CG of each aircraft is 

within the limits stated in AC 120-27E for cstabhshment of the aircraft's operational empty 

w'eight. 

RESPONSE: Deny. An operator may use a fleet weighing program under AC120-27E, 

Chapter 1. paragraph 103.b; an operator rray not arbitrarily choose one weight for the fleet 

REQUEST FOR ADMISSION NO. 3.22: ADMIT that under SkyWtsx's W&B Manual, 

heavy bags are considered any bag that weighs more than 50 pounds and less than 100 pounds. 

RESPONSE: Admit. 

REQUEST FOR ADMISSION NO. 3.23: ADMIT that Onier 2150. 3B, FAA Compliance 

and Enforcement Program. Chapter 7, Sanction Guidance Policies, Paragraph 6. b, General 

Sanction Guidance, states that 

Simply adding up the individual penahies for each violation could 

result in compounding a sanction in a disproportionately harsh 

maimer for the conduct involved. 

RESPONSE: Admit. 

REQUEST FOR ADMISSION NO. 3.24: ADMIT that Order 2150.3B, FA.\ Comphance 

"aSd Enforcement Program, Chapter 7» SanctidirUiiidance"PoT{cIes, Paragf^h 7.b~ LiimtatioiLi "on""' 

Total Civil Penalty Amounts for Numerous Multiple Violations, clause (1), states that 

In an average case involving numerous inadvertent, multiple 

violations resulting from a single act or omission, that is» not one 

that is covered by chapter 7, subparagraphs 7.c. or 7.d., the total 

civil penalty for the multiple violations ordinarily falls within the 

Complaint's IslRespcmsc to Respondent's IstRciiucstfbr 

Prodteiion fi Documents and Other Discovery 

In the Matter of Sky Wtst Airlinca, Inc. 

PMS No. PAA-2011-0680; FAA CnscKa. 201 IN'MO60O3J 

Pufic 10 0/12 

JEF7R£Y M. HARPEP, TAA ATTORNEY 

TEl.: (i25> ?.27-: 161; FAX: (4^5) 227-1007 
11/16/201 1 09:2 6 FAX 2024935142 

11/Q9/2Q1 1 13:5 0 4252271907 

FAft - DMS 

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ranges provided in cither Figure 7-1 or 7-2. The group 

classifications are defined in part I of Appendix B. 

RESPONSE: Admit. 

REQUEST FOR ADMISSION NO. 3.25: ADMIT that Order 2150. 3B, FA--^ Comphance 

and Enforcement Program, Chapter 7, Sanction Guidance Policies, Paragraph 7.b, Limitations on 

Total Civil Penalty Amounts for Numerous Multiple Violations, clause (2), states that 

The term isolated in Figures 7-1 and 7-2 typically describes a 

single instance of an employee's failure to follow a statutory or 

regulatory requirement, contrary to the company's own practice or 

procedure. A case may involve a number of isolated and unrelated 

violations. Each group of the multiple violations resulting from 

each isolated violation ordinarily is subject to the isolated, 

inadvertent ranges in Figures 7-1 or 7-2. 

RESPONSE: Admit. 

Dated this 9th day of Noveniber, 2011 

Jeffrey M. Harper 

F AA Attorney 

Complaiv's Ist Response lo Respondent's Jyt Rgquct for 

Piwtuction of Doeuiiients and Other Discovery 

In the Waner of SkyWesi AirUrcs, Inc. 

DMSVa . FAA-20U-06B0;PAACa£eVo. ;011NM060a33 

Page II of 12 

JEPynEY M. HARPER, FA A AnoRNcy 

TELi (425)227-2161; FAX: (425)227-1007 
n/iG/2011 09 27 ny . 2024935142 

ll/Bg/2011 13:5EJ 4252271997 

FAA - DMS 

dNM? 

@]013/013 

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CERTUTCATE OF SERVICE 

1 hereby certify that the foregoinsComplaint's Ist Response ro Respondent's 1st Request for 

Production of Documents and Otiier Discovery has been served via facsimile and Certified Mail 

- Return Receipt Requested this dale, to tlie following: 

The Honorable Richard C. Goodwin 

Office of Hearijigs, M-20 

1200 New Jersey Avenue, S.E. 

East Building Ground Floor. Rm Ei 2-320 

Washington, D.C. 20590 

TEL: (202)366-2139 

F/VX: r202) 366-7536 

Atm: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building - Suite 2W1000 

Federal Aviation Administratiou 

800 Independence Ave. S W. 

Washington, DC 20591 

FAX: (202)493-5142 

Todd EmersoHj Esq. 

SkyWest Airlines 

444 S. River Road 

St. George, UT R4790 

TEL; (435)634^3530 

FAX: (435)634-3505 

Michael Dv/orkin, Esq. 

Nfichae] L. Dworkin and Associates 

465 California Street 

San Francisco, C A 94104 

TEL: (415)421-2500 

FAX: (435)421-2560 

DATED this 9th day of November, 2011. 

MOlFAlR CHIN 

Office of Regional Counsel (ANM-71 

Federal Aviation Administration 

1601 LindAve. SW 

Renton, W A 98057 

(425)227-2160 

Complaint's 1 st Response ro Respondent's 1st Request far 

Production of Docomcnis and Othw Discovery 

In the Marter or SJryWtst Airline.^ Inc. 

DMS No. FAA-2011-O68O; FAA Case No. 2011NM060033 

Page 12otl2 

JEFFP.EYM. HAPJ^K, FAAATTORNEV 

TEl,; [425)227-21^1; FAX: (425)227-1007