Narrative:

On initial contact to clearance, I was given the following clearance for the airplane, specifically: small aircraft is cleared to the 7MY airport via the westchester 9 departure, radar vectors to dixie, V276 rbv, climb and maintain 3000, expect 6000 in 5 mins, departure frequency with new york is 126.4, squawking 4257. After being cleared for takeoff from westchester county airport, we flew runway heading, climbed to 800', commenced a right turn to a heading of 320 degree, climbing to 3000' per the westchester 9 SID. At approximately 1700' tower handed me off to new york departure. On initial contact I advised departure that I was climbing to 3000', departure said fly runway heading, climb and maintain 3000. I advised departure that our heading was 320 degree. I believe that ATC hesitated and then responded something to the effect of, ok turn left heading 240 degree, I acknowledged. ATC then advised to climb and maintain 6000. I acknowledged. While climbing, ATC advised he was not receiving my transponder and I was to reset. I acknowledged and reset the transponder. The transponder was receiving interrogation. While still climbing ATC asked if I was aware of the new TCA regulations requiring encoder and altitude encoding. I responded I was. ATC asked if I had a waiver, I stated no. ATC then told me to hold present position and state intentions. After communicating back and forth, I advised ATC that we were between layers, one at 3000 and one above me approximately 10,000. ATC response was for me to find a hole and descend. After obtaining current WX, I asked ATC for vectors to the white plains airport. He advised me to find the tappan-zee bridge and then turn east, I'd find the airport. I advised ATC that I was on top of the clouds. While maneuvering for descent, we were able to find a location without clouds and descended. We found white plains airport, and landed. Upon landing, I was told to contact ground control for taxi clearance to the ramp. Ground control made reference to the TCA rules and regulations. I advised ground that we did have a transponder and encoder on board, but it apparently was inoperative. Upon securing the airplane, I made a telephone call to the long island TRACON. I spoke with a mr X, a supervisor. I advised mr X of what had happened and asked to speak to the controller. Mr X responded that the controller was not available, he was out taking a short break. I then asked for the controller's name, he refused. In august, 1989, I again contacted supervisor X at the la guardia westchester section of new york departure control. He and I spoke briefly and I again asked him first officer right the initials or the name of the controller. He refused and stated that I would have to contact an area supervisor identified as mr Y for any further information reference this incident. I strongly believe that the controller acted in an unprofessional manner with a total disregard for our personal safety. I also believe that under similar circumstances as presented by the actions of ATC, a less experienced pilot, even if familiar with the area (which writer was not), would have lost control of the airplane. Callback conversation with reporter revealed the following: the reporter stated that FAA had investigated this incident and sent him a letter of apology and assured him this would not happen again.

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Original NASA ASRS Text

Title: CTLR CANCELLED PLT'S IFR CLRNC FOR NOT HAVING TRANSPONDER 30 MILE VAIL OF NEW YORK.

Narrative: ON INITIAL CONTACT TO CLRNC, I WAS GIVEN THE FOLLOWING CLRNC FOR THE AIRPLANE, SPECIFICALLY: SMA IS CLRED TO THE 7MY ARPT VIA THE WESTCHESTER 9 DEP, RADAR VECTORS TO DIXIE, V276 RBV, CLIMB AND MAINTAIN 3000, EXPECT 6000 IN 5 MINS, DEP FREQ WITH NEW YORK IS 126.4, SQUAWKING 4257. AFTER BEING CLRED FOR TKOF FROM WESTCHESTER COUNTY ARPT, WE FLEW RWY HDG, CLIMBED TO 800', COMMENCED A RIGHT TURN TO A HDG OF 320 DEG, CLIMBING TO 3000' PER THE WESTCHESTER 9 SID. AT APPROX 1700' TWR HANDED ME OFF TO NEW YORK DEP. ON INITIAL CONTACT I ADVISED DEP THAT I WAS CLIMBING TO 3000', DEP SAID FLY RWY HDG, CLIMB AND MAINTAIN 3000. I ADVISED DEP THAT OUR HDG WAS 320 DEG. I BELIEVE THAT ATC HESITATED AND THEN RESPONDED SOMETHING TO THE EFFECT OF, OK TURN LEFT HDG 240 DEG, I ACKNOWLEDGED. ATC THEN ADVISED TO CLIMB AND MAINTAIN 6000. I ACKNOWLEDGED. WHILE CLIMBING, ATC ADVISED HE WAS NOT RECEIVING MY XPONDER AND I WAS TO RESET. I ACKNOWLEDGED AND RESET THE XPONDER. THE XPONDER WAS RECEIVING INTERROGATION. WHILE STILL CLIMBING ATC ASKED IF I WAS AWARE OF THE NEW TCA REGS REQUIRING ENCODER AND ALT ENCODING. I RESPONDED I WAS. ATC ASKED IF I HAD A WAIVER, I STATED NO. ATC THEN TOLD ME TO HOLD PRESENT POSITION AND STATE INTENTIONS. AFTER COMMUNICATING BACK AND FORTH, I ADVISED ATC THAT WE WERE BETWEEN LAYERS, ONE AT 3000 AND ONE ABOVE ME APPROX 10,000. ATC RESPONSE WAS FOR ME TO FIND A HOLE AND DSND. AFTER OBTAINING CURRENT WX, I ASKED ATC FOR VECTORS TO THE WHITE PLAINS ARPT. HE ADVISED ME TO FIND THE TAPPAN-ZEE BRIDGE AND THEN TURN EAST, I'D FIND THE ARPT. I ADVISED ATC THAT I WAS ON TOP OF THE CLOUDS. WHILE MANEUVERING FOR DSCNT, WE WERE ABLE TO FIND A LOCATION WITHOUT CLOUDS AND DESCENDED. WE FOUND WHITE PLAINS ARPT, AND LANDED. UPON LNDG, I WAS TOLD TO CONTACT GND CTL FOR TAXI CLRNC TO THE RAMP. GND CTL MADE REFERENCE TO THE TCA RULES AND REGS. I ADVISED GND THAT WE DID HAVE A XPONDER AND ENCODER ON BOARD, BUT IT APPARENTLY WAS INOPERATIVE. UPON SECURING THE AIRPLANE, I MADE A TELEPHONE CALL TO THE LONG ISLAND TRACON. I SPOKE WITH A MR X, A SUPVR. I ADVISED MR X OF WHAT HAD HAPPENED AND ASKED TO SPEAK TO THE CTLR. MR X RESPONDED THAT THE CTLR WAS NOT AVAILABLE, HE WAS OUT TAKING A SHORT BREAK. I THEN ASKED FOR THE CTLR'S NAME, HE REFUSED. IN AUGUST, 1989, I AGAIN CONTACTED SUPVR X AT THE LA GUARDIA WESTCHESTER SECTION OF NEW YORK DEP CTL. HE AND I SPOKE BRIEFLY AND I AGAIN ASKED HIM FO R THE INITIALS OR THE NAME OF THE CTLR. HE REFUSED AND STATED THAT I WOULD HAVE TO CONTACT AN AREA SUPVR IDENTIFIED AS MR Y FOR ANY FURTHER INFO REFERENCE THIS INCIDENT. I STRONGLY BELIEVE THAT THE CTLR ACTED IN AN UNPROFESSIONAL MANNER WITH A TOTAL DISREGARD FOR OUR PERSONAL SAFETY. I ALSO BELIEVE THAT UNDER SIMILAR CIRCUMSTANCES AS PRESENTED BY THE ACTIONS OF ATC, A LESS EXPERIENCED PLT, EVEN IF FAMILIAR WITH THE AREA (WHICH WRITER WAS NOT), WOULD HAVE LOST CONTROL OF THE AIRPLANE. CALLBACK CONVERSATION WITH REPORTER REVEALED THE FOLLOWING: THE REPORTER STATED THAT FAA HAD INVESTIGATED THIS INCIDENT AND SENT HIM A LETTER OF APOLOGY AND ASSURED HIM THIS WOULD NOT HAPPEN AGAIN.

Data retrieved from NASA's ASRS site as of August 2007 and automatically converted to unabbreviated mixed upper/lowercase text. This report is for informational purposes with no guarantee of accuracy. See NASA's ASRS site for official report.