# ^r? \Ormmmio H U.S . DEPARTMEN T O FTRANSPORTATIO N

OFFIC E O FHEARING S FEDERA LAVIATIO N ADMINISTRATIO N , = 

# mi^" ^ 

# .„. ^ FEDERA LAVIATIO N ADMINISTRATIO N Complainant , vs . AIRTRA N AIRWAYS , INC . Respondent . FA A Docke t No . CP10SO000 2 Judg e Benki n 

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COMPLAINANT' S ADMENDMEN T T O COMPLAIN T Th e Conaplainant , b y an dthroug hhe r undersigne dattorney , hereb y submit s i n accordanc e withSectio n 13.21 4 o f th e Rule s o f

Practic e Complainant' s amendmen t t o th e Complain t

filedo n February 24 , 2010 . Th e Complainan t amends paragrap hIII. 9 o f th e Complain t

t o reada s follows : "Pursuan t t o 4 9 U.S.C . Section s 4630 1 (a)-(d) . Responden t i s subjec t

t o acivi l penalty no t to excee d$25,00 0 for

eac ho f th e violation s alleged. "

t h Respectfull y submitte dthi s 26^ " day o f Marc h2010 .

^SHAW N RICH\GE0RG E/ ] Attorne y ^ Offic e o f th e Regional Counse lCERTIFICAT E O FSERVIC E

I certif y that I hav e maile dacop y o f th e foregoin g Complainant' s Amendmen t t o Complain t

vi aFedera l Expres s to : Stephe n J . Kolski , Executiv e Vic e Presiden t Operation s & Corporate Affair s Airtran Airways , Inc . 995 5 Airtran Blv d Orlando , FL3282 7 andvi aFederal Expres s to : Th e Honorabl e Isaa c D . Benki n DOT , Administrativ e Law Judg e Offic e o f Hearings , M-2 0 Roo m541 1 40 0 Sevent

hStreet , S W Washington , D C 2059 0 and Hearin g Docke t

(Origina l + 1 copy ) FAA , AGC-400 , Roo m201 4 60 0 Independenc e Avenue , S W Washington , D C 2059 1

Date d• 'U.S . DEPARTMEN T O FTRANSPORTATIO N OFFIC E O FHEARING S FEDERA LAVIATIO N ADMINISTRATIO N

FEDERA LAVIATIO N ADMINISTRATION , Complainant , vs . AIRTRAN AIRWAYS , INC . Respondent . ••'• " .;''-'»'i , ••=.ai2 - >^ i ^ ^ 'f3SK5 1 - . ;.5j . MA: ; 

### 2 ; i : m

FA A Docke t

No . CP10SO000 2 Judg e Benki n

AGENCY' S RESPONS E T O RESPONDENT' S MOTIO N T O DISMIS S COMPLAIN T Complainant , b y an dthroug hth e undersigne dcounsel , pursuan t t o §13.218(d ) o f

th e Rule s of Practic e (1 4 Q.F.R . 13.218(d)) , hereb y file s it s Respons e t o Respondent' s Motio n t o Dismis s Complaint . I n respons e t o th e motion . Complainan t state s th e following : On o r abou t Octobe r 27 , 2008 , th e Complainan t issue daNotic e o f

Propose dCivi l Penalty t o Responden t

fo r aviolatio n o f

1 4 C.F.R . Sectio n 121.467(b)(13 ) o f th e Federa l Aviatio n Regulation s unde r

th e authorit y grante dt o th e Complainan t i n Titl e 4 9 U.S.C . §46301 . Titl e 4 9 U.S.C . §4630 1 estabhshe s tha t Responden t

i s subjec t

t o acivi l penalt y not

t o excee d$25,00 0 pe r violation . Se e Exhibi t

1 . Th e Complainan t

propose dacivi l penalt y o f $15,00 0 for

th e violation s cite dtherein . O n February 11 , 2010 , th e Fina l Notic e o f Propose dCivi l Penalt y was issue di n thi s matte r

fo r $15,00 0 pursuan t

t o th e authority grante dt o th e Complainan t i n Title 4 9 U.S.C . §46301 . Se e Exhibi t

2 . Th e Fina l Notic e containe datypographica l error , whic hindicate dthat Complainan t

was subjec t

t o acivi l penalt y no t

t o excee d$11,000 . O n February 17 , 201 0Responden t appeale dth e Fina l Notic e an dfiledit s Answer . Th e Complainan t issue dth e Complain t

i n th e matte r

o n February 24 , 2010 , whic hals o include datypographica l erro r regardin g th e applicabl e civi l penalt y limit. ' I n th e Respondent' s Motion t o Dismis s Complaint , Responden t argue s that

th e Complainant' s complain t

shoul db e dismisse dbecaus e th e Complainan t ha s cite dResponden t

for violatio n o f

aspecifi c rul e for

aone-tim e violation . Responden t further explain s tha t

4 9 U.S.C . §4630 1 specifie s that

Responden t

i s subjec t

t o acivi l penalt y not

t o excee d$11,10 0 fo

r asingl e violation . Se e Exhibi t

3 . Therefore , Responden t ha s conclude dtha t

th e Complainan t

seek s a monetary civi l penalt y tha t i s beyon dthat

whic hcan b e granted . A s aresult , i t request s that

th e Complain t

b e dismissed . However , arevie w o f

th e statutory authority reveal s tha t th e monetar y limitatio n fo r violation s b y person s othe r tha n individua l o r

smal l busines s concern s unde r 4 9 U.S.C . §46301(a)(l)(A ) o r

(B ) i s $25,00 0 pe r

violation . O n Decembe r 12 , 2003 , th e Presiden t

signe d into law th e "Visio n 100—Century o f Aviatio n Reauthorizatio n Act, " Publi c Law 108-17 6 (Visio n 100) . Visio n 10 0 mad e severa l change s t o th e FAA' s authorit y t o asses s civi l penalties , including : 1 . Rese t

severa l o f

th e FAA' s civi l monetary penalt y amount s for som e violators . 2 . Increase dth e maximu mcivi l penalties i n 4 9 U.S.C . 46301 . 3 . Revise dportion s o f Sectio n 4630 1 t o creat e specifi c maximu mcivi l monetary penalt y amount s for

individual s an dsmal l busines s concerns .

' Th e Complainan

t ha s thi s dat

e issueda n Amendmen

t t o paragraphIII. 9 of

th e Conplain t

issuedFebraar

y 26* , 2010 . T o rea das follows : "Pursuan

t t o 4 9 U.S.C . Section s 46301(a)-(d) , Responden t i s subject t o acivil penalt

y no t t o excee d$25,000 fo

r eac hof th e violation s alleged. "Se e Exhibi t 4 , Departmen t

o f Transportatio n Federa l Aviatio n Administratio n 1 4 C.F.R. , Part 1 3 Revision s t o th e Civi l Penalt y Inflatio n Adjustmen t Rul e an dTables ; Fina l Rule . Visio n 10 0 provide dfo

r agenera l civi l penalt y o f $25,000 , maximum , for aviolatio n o f

mos t section s i n Titl e 49 , includin g th e regulation s promulgate do r order s issue dimde r

authority o f

thos e sections . (4 9 U.S.C . 46301(a)(1)(A ) an d(B) . B y reaso n o f

th e statutory limit s establishe di n Visio n 100 , th e FA A incorporate dth e civi l penalty limitation s i n it s Tabl e o f Sanction s include di n FA A Orde r 2150.3 B effectiv e Octobe r 1 , 2007 . I n th e Tabl e o f

Sanctions , th e civi l penalty range s fo r civi l penalt y action s ar e base do n th e typ e o f violato r (i.e . individual , smal l busines s concern , o r larg e busines s concern. ) Se e Exhibi t 5 . A revie w o f

th e Tabl e o f

Penaltie s indicate s for

violation s commite db y U.S . Ai r Carrier s o r U.S . Commercial Operator s wh o are classifie da s larg e busines s concerns , th e maximu mcivi l penalty i s $25,00 0 pe r

violation . Se e Exhibi t

5 a t page s B- 3 throug hB-4 . Th e Responden t i s a U.S . Air Carrie r wh o meet s th e definitio n o f alarg e busines s concern . A s aresult , th e maximu m civi l penalty applicabl e t o Responden t pe r violatio n i s $25,000 . Therefore , i n accordanc e with Section s 46301(a)-(d ) o f Titl e 4 9 o f

th e Unite dState s Cod e (Transportation ) (4 9 U.S.C.§46301(a)-(d)) , Responden t i s Uable fo

r acivi l penalt y not

t o excee d$25,00 0 for

eac h violatio n o f

th e FARs .WHEREFORE , Complainan t respectfull y request s tha t th e Respondent' s Motio n t o Dimis s Complain t

b e DENIED .

t h Respectfull y submitte dthi s 2 6 day o f Marc h201 0

Attoffle y Offic e o f th e Regiona l Counse lCERTIFICAT E O FSERVIC E

I hereb y certif

y that acop y o f

th e foregoin g Agenc y Respons e t o Respondent' s Motion t o Dismis s wa s maile db y Federa l Expres s to : Stephe n J . Kolski , Executiv e Vic e Presiden t Operation s & Corporat e Affair s Airtran Airways , Inc . 995 5 Airtran Blv d Orlando , F

L3282 7 andvi aFederal Expres s to : Th e Honorabl e Isaa c D . Benki n DOT , Administrativ e Law Judg e Offic e o f Hearings , M-2 0 Roo m541 1 40 0 Sevent

hStreet , S W Washington , D C 2059 0 and Hearin g Docke t FAA , AGC-400 , Roo m201 4 60 0 Independenc e Avenue , S W Washington , D C 2059 1 (Origina l + 1 copy )

2 6 201 0 Date d

# Q 

# a FIL E

Souther n Regio n Offic e o f th e Regiona l Counse l U.S . Departmen t o f Transportatio n Federa l Aviatio n Administratio n



### OC T2 7Z00 8 CERTIFIE D - RETURN RECEIP T REQUESTE D AN D REGULA RMAIL P.O . Bo x20636 Atlanta , Georgi a 3032 0 (404 ) 305-520 0 (404 ) 305-522 3 FA

X 2008SO37004 5 Richar dMagumo , Esq . Sr . Vice-presiden t

an dGenera l Counse l AirTran Airways , Inc . 995 5 AirTran Blv d Orlando , FL3282 7 NOTIC E O FPROPOSE D CIVI LPENALT Y W e hav e considere dareport o f investigation , includin g your Septembe r

15 , 200 8 letter , indicatin g that : 1 . A t al l relevan t

time s AirTran Airways , Inc . (hereafter AirTran ) hel dAi r

Carrie r Operatin g Certificate ZZDA612U . 2 . Fro mJul y 9 throug h16 , 2008 , AirTra n employe dChristophe r Marti n a s aflight

attendant . 3 . Fro mJul y 9 throughl6 , 2008 , Mr . Marti n wa s schedule dfo r duty i n ai r

transportatio n a s follow s [repor

t time-finis htim e (2 4 hou r clock)] : a . Jul y 9 : 2000-233 0 b . Jul y 10 : 0815-191 5 c . Jul y 11 : 0530-141 2 d . Jul y 12:0515-154 6 e . Jul y 13 : 0615-200 0 f Jul y 14 : 2000-224 3 g . Jul y 15 : 1051-223 1 h . Jul y 16 : 1717-205 3 4 . Fro mJul y 1 3 a

t 200 0 t o Jul y 1 4 at

2000 , AirTran assigne dMr . Marti n t o hom e cal l reserv e status . 5 . Hom e cal l reserv e status , whil e no t considere dduty , i s no t

rest . 6 . AirTran schedule dMr . Marti n for duty i n ai r

transportatio n for

seve n consecutiv e calenda r day s withou t

relievin g hi mfromal l further dut y for at leas t 2 4 consecutiv e hour s durin g th e 7 consecutiv e calendar

days . 

### BCHIBT L

# ft)^ A s aresult , AirTran violate dSectio n 121.46 7 (b)(13 ) o f th eFedera l Aviatio n Regulation s i n that eac hcertificate holde r

conductin g domestic , flag, o r supplementa l operation s mus t reliev e eac h flight attendan t engage di n ai r

transportatio n fromal l further duty fo r at leas t 2 4 consecutiv e hour s durin g an y 7 consecutiv e calendar days . Under Titl e 4 9 U . S . C . §4630 1 yo u are subjec t t o acivi l penalt

y no t t o excee d$25,00 0 fo

r eac h violatio n noted . B y reaso n o f th e foregoin g fact s an dcircumstances , w e propos e t o asses s acivi l penalt y in th e amoun t

o f $15,000 . Enclose di s informatio n concernin g your option s i n respondin g t o thi s Notice . Th e option s includ e participatin g i n a

n informal conferenc e wit ha n FAA attorney , an dsubmissio n o f informatio n t o th e FAA fo r consideration . Yo u mus t submit , i n writing , your

choic e o f

th e alternative s explaine do n th e enclose dinformatio n form , o n o r before thirt

y (30 ) day s afte

r yo u receiv e thi s Notice . If you fail t o submi t your choic e withi n that

time , yo u wil l hav e n o furthe r right t o participat e in th e tw o (2 ) informa l procedure s liste dabove . EDDI E L . THOMA S REGIONA LCOUNSE L 

# origina l signe d by/i^L P By : RASHAWN RIC H GEORG E Attorne y

### CERTIFICAT E O FSERVIC E

I hereb y certif y tha t the foregoing Notic e of

ProposedCivil Penalt

y ha s bee n sen t b y certified mai l an dregula r mai l thi s dat e to : Richar dMagumo , Esq . Sr . Vice-presiden

t an dGenera l Counsel AirTra n Airways , Inc . 995 5 AirTra

n Blv d Orlando , F L32827 

## OC TB 7 zgo a Dated

cc : AirTra n CM O (Orlando FL)

- FSDO-37 , AFS-75 0 AS0-7:DES : 10/24/0 8 F:\Admin\Notices\Open2008\2008SO370045.do c

m J D j i m o • o o i n m 

### U.S . Posta l Service, n CERTIFIE D MAIL . RECEIP T 

# OFFJCiA L US J Postag e CertlflodFa o Retur n Receip t Fe e (Endorsemen t Required ) Restricte d Oelivei yFe e (Endorsemen t Required ) Tota l Postag e & Fee s $

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# Irrr ^ ta5,3)C y;sS?e;zrP M J ' ' o r 'Ofy , 

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U.S . Departmen t o f Transportatio n Federa l Aviatio n Administratio n Southern Regio n Office o f th e Regiona l Counse l 

# a FIL E

P.O . Bo x20636 Atlanta , Georgi a 3032 0 (404 ) 305-5200 (404 ) 305-522 3 FA

X ZERTIFtED - 1 CERTIFIE RETURN RECEIP T REQUESTE D & REGULA RMAIL 2008SO37004 5 RichardMagumo , Esq . Sr . Vice-presiden t

an dGenera l Counse l AirTran Airways , Inc . 995 5 AirTran Blv d Orlando , F

L3282 7 HNA LNOTIC E O FPROPOSE D CIVI LPENALT Y On October

27 , 2008 , yo u wer e advise dthroug haNotic e o f Propose dCivi l Penalty tha t th e FA A propose dto asses s acivi l penalt y i n th e amount o f $15,000 . Afte r considerin g al l th e evidenc e in thi s matter , i t appear s that : 1 . A t al l relevant

time s AirTra n Airways , Inc . (hereafter AirTran ) hel dAi r

Carrie r Operatin g Certificate ZZDA612U . 2 . Fro mJul y 9 throug h16 , 2008 , AirTran employe dChristophe r Marti n a s aflight

attendant . 3 . Fro mJul y 9 throug h16 , 2008 , Mr . Marti n wa s schedule dfor dut y i n ai r

transportatio n a s follow s [repor

t time-finis htim e (2 4 hou r clock)] : a . Jul y 9 : 2000-233 0 b . Jul y 10 : 0815-191 5 c . Jul y 11 : 0530-141 2 d . Jul y 12 : 0515-154 6 e . Jul y 13 : 0615-200 0 f Jul y 14 : 2000-224 3 g . Jul y 15 : 1051-223 1 h . Jul y 16:1717-205 3 4 . Fro mJul y 1 3 a

t 200 0 t o Jul y 1 4 a

t 2000 , AirTra

n assigne dMr . Marti n t o hom e cal l reserv e status. 5 . Hom e cal l reserv e status , whil e no t considere dduty , i s not

rest . 

## EXHIBr L »6 . AirTran schedule dMr . Marti n fo r duty i n ai r

transportatio n fo

r seve n consecutiv e calenda r day s withou t

relievin g hi mfi-omal l further dut y fo r a t leas t 2 4 consecutiv e hour s durin g th e 7 consecutiv e calendar

days . 7 . A s aresult , AirTran violate dSectio n 121.46 7 (b)(13 ) o f th e Federal Aviatio n Regulation s i n tha t eac hcertificat e holde r

conductin g domestic , flag, o r supplementa l operation s mus t reliev e eac hflight

attendan t engage di n ai r

transportatio n fi-omal l ftirther dut y for a t leas t 24 consecutiv e hour s durin g an y 7 consecutiv e calendar days . Under 4 9 U.S.C . Section s 4630I(a)-(d) , you are subjec t to acivi l penalty no t

t o excee d$11,00 0 fo r eac ho f th e violation s noted . B y reaso n o f th e foregoin g fact s an dcircumstances , w e propos e to asses s acivi l penalty i

n th e amoun t

o f $15,000 . Unles s yo u mai l o r personall y deliver , i n writing , your reques t fo r ahearin g i n thi s matter , o n or before fifteen (15 ) day s afte r you receiv e thi s Fina l Notice , w e wil l issu e a n Orde r Assessin g Civi l Penalty andyou wil l hav e n o further righ t to ahearing . I

f yo u d o not

submi t awritte n reques t fo r ahearing , you mus t

pay th e propose dcivi l penalty . Your reques t fo r ahearin g mus t

b e sen t t o th e Hearin g Docket , FAA , AGC-400 , Roo m2014 , 60 0 Independenc e Ave. , SW , Washington , D C 20591 , Attention : Hearin g Docke t Clerk , andaCop

y mus t b e sen t t o th e undersigne dFA A attorney . You r reques t mus t b e date dan dsigned , i

n accordanc e wit

hsectio n 13.1 6 o f

th e Federa l Aviatio n Regulations , sent t o yo u withth e Notic e o f Propose dCivi l Penalty (1 4 C.F.R . §13.16) . Yo u ma y pay th e propose dpenalty b y submittin g acertifie dchec k o r mone y orde r

payabl e t o th e "Federal Aviatio n Administration " t o th e undersigned . EDDIE L . THOMA S REGIONA LCOUNSE L



## ^-^Grt5e> ^ BY : RASH\W NRIC H GEORG E0 Attorne y Offic e o f th e Regiona l Counse lCERTIFICAT E O FSERVIC E

I hereb y certif

y that th e foregoin g Final Notic e o f Propose dCivi l Penalty ha s bee n maile db y Certifie dMai l & Regular

Mai l to : RichardMagumo , Esq . Sr . Vice-presiden t

an dGenera l Counse l AirTran Airways , Inc . 995 5 AirTra

n Blv d Orlando , F

L3282 7

Date d

m H I t o • J ] m a • • T J 4 3 O l r • • r U.S . Posta l Servic e CERTIFIE D MAI L RECEIP T (Domesti cMai l Only ; N o Insuranc e Coverag e Provided ) Fo rdeliver yinformatio n visi t ou rwebsit e a t www.usps.co m 

## OFFICIA L US E Postag e Certifie d Fe e Retur n Receip t Fe e (Endorsemen t Required ) Restricte d DeliveryFe e (Endorsemen t Required ) Tota l Postag e & Fee s $

$ J Postma * * Hei e

SenlT< r •StKeim'No- : orPOBoxNo . 

## %fi}c\& ^ (.?fk%tirntx/£s ^ aty . state , SP* 4U.S . DEPARTMEN T O F TRANSPORTATIO N OFFIC E O F HEARING S FEDERA L AVIATIO N ADMINISTRATIO N

Federa l Aviatio n Administratio n Complainan t vs . AirTra n Airways , Inc . Responden t FA ADocke t No . Judg e (2008SO470045 )

RESPONDENT' S MOTIO N T O DISMIS S COMPLAIN T I n accordanc e wit h 1 4 C.F.R . §13.218(f)(2)(ii ) Responden t file s thi s motio n t o dismis s Complainant' s COMPLAIN T instea d o f filin g a n ANSWE R an d i n support thereo f submit s th e following : 1 . O n Februar

y24 , 2010 , Complainan t file d it s COMPLAIN T i n th e abov e style d matter . 2 . O n Octobe r27 , 2008 , Complainan t issue d a Notic e o f Propose d Civi l Penalt yt o Responden t proposin g t o asses s a civi l penalt yi n th e amoun t o f $15,000 . 3 . O n February11 , 2010 , Complain t issue d a Fina l Notic e o f Propose d Civi l Penalt y t o Responden t proposin g t o asses s a civi l penalt yo n Responden t i n th e amoun t o f $15,000 . 4 . Bot h Complainant' s Octobe r27 , 200 8 Notic e o f Propose d Civi l Penalt yan d it s February11 , 201 0 Fina l Notic e o f Propose d Civi l Penalt ycit e a violatio n o f on e specifi crul e Containe d i n th e Federal Aviatio n Regulations , tha t bein g FA R 121.467(b)(3) . Complainant' s COMPLAINT , i n Paragrap h 8 , doe s likewise . 5 . Bot h Complainant' s Octobe r27 , 200 8 Notic e o f Propose d Civi l Penalt yan d it s February11 , 201 0 Fina l Notic e o f Propose d Civi l Penalt y$pei5if^^h^tlf g f ] y j



### EXHIBIT . 

# 3 i j [} • MA R I 2 201 0

FA,- - RFG::NA ; COUNSE L ^CLiTHtRrJRLGiO N 

# R l



# IH /violatio n occurre d on e time . Complainant' s COMPLAINT , i n Paragrap h 7 , doe s

likewise . 6 . 4 9 U.S.C . §4630 1 (a)-(d ) specifie s tha t Responden t i s subjec t t o a civi l penalt y no t t o excee d $11,10 0 fo ra singl e violation . Respondent' s COMPLAINT , i n Paragrap h 9 , recite s thi s statut e an d it s 'no t t o exceed ' penalt yo f $11,10 0 fo ra singl e violation . 7 . Complainan t seek s a civi l penalt yi n exces s o f tha t permitte d bystatute . I n paragrap h 1 0 o f it s COMPLAINT , Complainan t seek s a civi l penalt yo f $15,000 , whic h i s i n exces s o f tha t provide d fo ri n 4 9 U.S.C . §4630 1 (a)-(d) . Complainan t ha s consistentl yallege d (i n it s Notic e o f Propose d Civi l Penalty , an d i n it s Fina l Notic e o f Propose d Civi l Penalt yan d i n it s COMPLAINT ) a singl e violatio n o f on e Federa l Aviatio n Regulatio n an d ha s sough t (i n it s Notic e o f Propose d Civi l Penalt yan d i n it s Fina l Notic e o f Propose d Civi l Penalty ) an d continue s t o see k (paragrap h 1 0 o f it s COMPLAINT ) a Civi l Penalt yo f $15,000 , whic h i s a n amoun t i n exces s o f tha t provide d fo rby4 9 U.S.C . §4630(a)-(d) . Therefore , Complainant' s COMPLAIN T seeks relief , i n th e for m o f a monetarycivi l penalty , whic h i s beyon d tha t whic h ca n b e granted . It s COMPLAIN T shoul d b e dismissed . WHEREFORE , Responden t request s tha t it s Motio n b e grante d an d tha t Complainant' s COMPLAIN T b e dismissed . Respectfull ysubmitte d thi s /lf_da yo f March , 201 0

le n J . Kolsk i Florid a Ba rNumbe r0103408 2 Executiv e Vic e Presiden t Corporat e Affair s AirTra n Airways , Inc . 995 5 AirTra n Blvd . Orlando , F L 3282 7 Phon e (407 ) 315-510 8 FAX : (4078)318-590 1 Emial : Steve.Kolski(a)AirTran.co mCERTIFICAT E O F SERVIC E

I hereb ycertif ytha t th e foregoin g RESPONDENT' S MOTIO N T O DISMIS S COMPLAIN T ha s bee n maile d thi s dat e to : Federal Aviatio n Administratio n (origina l + 1 copy ) 800 Independenc e Avenue , S W Hearin g Docke t Cler k AGC-400 , Roo m 201 4 Wilbu rWright Building-Suit e 2W100 0 Washington , D C 2059 1 Eddi e L . Thoma s Regiona l Counse l Souther n Region , FA

A P.O . Bo x2963 6 Atlanta , G A3032 0 Rashaw n Ric h Georg e Attorne y Souther n Region , FA

A P.O . Bo x2963 6 Atlanta , G A3032 0 Accomplishe d an d date d thi s 1 6 da yo f March , 201 0 at Orlando , Florida .

Rebecc a McKenzi e Executiv e Assistan t t o Stephe n J . Kolsk i Executiv e Vic e Presiden t Operation s & Corporat e Affair s AirTra n Airways , Inc .Tuesday , Ma y 16,200 6 Par t II I Departmen t

o f Transportatio n Federa l Aviatio n Administratio n 1 4 CF RPar t

1 3 Revision s t o th e Civi l Penalt y Inflatio n Adjustmen t

Rul e an dTables ; Fina l Rul e (Originall y publishe di n 7 1 F R2851 8 (Ma y 16,2006) , wit hcorrection s publishe di n 7 1 F R 4707 7 (Augus t

16,2006 ) an d7 1 F R5240 7 (Septembe r 6,2006 ) incorporate dint o th e text . N.B . change s fro mth e Augus t 1 6 correctio n ar e highlighte di n yellow ; change s fro mth e Septembe r

6 correctio n ar e highlighte di n green ; change s fro mbot hth e Augus t 1 6 an d Septembe r

6 documen t

ar e highlighte di n yello w an dunderlined. ] 2851 8 Federa l Registe r

/ Vol . 71 , No . 9 4 /

Tuesday , Ma y 16 , 200 6 / Rule s an dRegulation s DEPARTMEN T O FTRANSPORTATIO N Federa l Aviatio n Administratio n 1 4 CF RPar t

1 3 [Docke t No . FAA-2002-11483 ; Amendmen t No . 13-33 ] RI N 212a-AI5 2 Revision s t o th e Civi l Penalt y Inflatio n Adjustmen t Rul e an dTable s AGENCY : Federa l Aviatio n Administratio n (FAA) , DOT . ACTION : Final rule . SUMMARY : Thi s fina

l rul e update s informatio n i n th e FAA' s regulation s o n certai n civi l monetary penalties authorize dfo r violation s o f

statute s an dregulation s w e enforc e i n accordanc e wit hlegislatio n enacte dsinc e th e las t update . Th e rul e als o include s reference s t o additiona l an d revise dstatute s an dregulations . I n addition , th e rul e make s inflation-base dadjustment s t o civi l penaltie s wher e indicated . Finally , i t make s atechnica l correctio n t o conformregulatory languag e o n th e inflatio n adjustmen t proces s t o th e provision s o f th e applicabl e statute. DATES : Thi s amendmen t become s effectiv e Jun e 15 , 2006 . FO RFURTHE RINFORMATIO N CONTACT : Joyc e Redos , Offic e o f

th e Chie f Counsel , Enforcemen t

Division , AGC-300 , Federa l Aviatio n Administration , 80 0 Independenc e Avenue , SW. , Washington , D C 20591 ; telephon e (202 ) 267

- 3137 ; facsimil e (202 ) 267-5106 ; Qmzi l joyce.redos@faa.gov .



## EXHIBIT .SUPPLEMENTAR Y INFORMATION :

Availabilit y of

Rulemakin g Document s You ca n ge t a n electroni c cop y usin g th e Interne t by ; (1 ) Searchin g th e Departmen t o f Transportation' s electroni c Docke t Managemen t

Syste m (DMS ) Web pag e {http://dms.dot.gov/search) ; visitin g th e FAA' s Regulation s an dPolicie s Web pag e a t http://www.faa.gov/residations_policJes/ : o r (2 ) Accessin g th e Governmen t Printin g Office' s Web pag e at http://www.gpoaccess.gOv/fr/inde.x.html . Yo u ca n als o ge t acop y b y sendin g areques t t o th e Federa l Aviatio n Administration , Offic e o f Rulemaking , ARM-1 , 80 0 hidependenc e Avenue , SW. , Washington , D C 20591 , o r b y callin g (202 ) 267-9680 . Mak e sur e t o identif y th e amendmen t

numbe r o r docke t numbe r o f thi s rulemaking . Anyon e i s abl e t o searc hth e electroni c for mo f al l comment s receive dint o an y o f ou r docket s b y th e nam e o f

th e individua l submittin g th e commen t (o r signin g th e comment , i f submitte do n behal f

o f a n association , business , labo r union , etc.) . Yo u ma y revie w DOT' s complet e Privac y Ac t

statemen t

i n th e Federa l Registe r

publishe do n Apri l 11 , 200 0 (Volum e 65 , Numbe r

70 ; Page s 19477-78 ) o r

yo u may visi t

http://dms . dot.gov . Smal l Busines s Regulator y Enforcemen t Fairnes s Ac t Th e Smal l Busines s Regulator y Enforcement Fairnes s Ac t

(SBREFA ) o f

199 6 require s FA A t o compl y withsmal l entit y request s fo r informatio n o r

advic e abou t

complianc e with statute s an dregulation s withi n it s jurisdiction . Therefore , an y smal l entit y that ha s aquestio n regardin g thi s documen t

ma y contac t

thei r local FA A official , o r

th e perso n liste dunde r

FO R FURTHE RINFORMATIO N CONTACT . Yo u can find out mor e abou t

SBREF A o n th e Interne t at our site , http://www.faa.gov/regulations_policies/rulemakins/sbr e act / Authorit y fo r

Thi s Rulemakin g Th e FAA' s authority t o issu e rule s regardin g aviatio n safety i s foun di n Titl e 4 9 o f th e Unite dState s Code . Subtitl e I , sectio n 10 6 describe s th e authority o f th e FA A Administrator . Subtitl e VII , Aviatio n Programs , describe s i n mor e detai l th e scop e o f th e agency' s authority . Backgroun d Applicabl e Statute s Th e Federa l Civi l Penaltie s Inflatio n Adjustmen t Ac t o f 199 0 (Adjustmen t

Act) , Publi c Law (Pub . L. ) 101-410 , a s amende db y th e Deb t Collectio n Improvemen t Ac t o f 199 6 (Collectio n Act) , Publi c La w 104-134 , whic hi s codifie da t 2 8 U.S.C . 246 1 note , require s Federal agencie s t o adjus t th e minimu man dmaximu mamount s o f civi l monetar y penaltie s fo r inflatio n t o preserv e thei r deterren t impact . Unde r

thos e laws , eac hagenc y ha dt o mak e a n initial inflationary adjustmen t

for al l applicabl e civi l monetary penalties , an dmak e afurther adjustment o f th e penaltie s a

t leas t onc e ever y 4 years .Prio r

FA A Rulemaking s I n 199 6 (6 1 F R67445 ; Decembe r 20 , 1996) , w e adde dsubpart H , Civi l Monetar y Penalty Inflatio n Adjustment , t o 1 4 CF Rpart 13 . W e adjuste dth e maximimi civi l penalt y amount s fo r violation s o f

th e statutes , regulations , an dorder s w e enforc e i n accordanc e withpart 13 . In 1997 , w e mad e som e mino r

corrections ; that

amendmen t

was No . 13-2 8 (6 2 FR4134) . Th e first subpar t H applie dt o violation s that occurre do n o r

afte r January 22 , 1997 . I n Amendmen t

No . 13-31 , issue db y th e Administrato r o n Decembe r

27 , 2001 , an d publishe din th e Federa l Registe r o n February 11 , 200 2 (6 7 FR6364) , w e mad e ou r secon d adjustment

o f civi l monetary penaltie s unde r th e statute s describe dabove . T o th e origina l subpar t H , w e adde dadjuste dcivi l monetar y penahie s fo r violation s that

occurre do n o r

afte r Marc h14 , 2002 . Recent Statutory Change s O n Decembe r

12 , 2003 , th e Presiden t

signe dint o law th e "Visio n 100—Century o f Aviatio n Reauthorizatio n Act, " Publi c Law 108-17 6 (Visio n 100) . Visio n 10 0 mad e severa l change s t o th e FAA' s authority t o asses s civi l penalties . Visio n 100 : 1 . Rese t severa l o f

th e FAA' s civi l monetary penalt y zimount s fo r som e violators . 2 . Increase dcertai n maximu mcivi l monetary penalties i n 4 9 U.S.C . 46301 . 3 . Revise dportion s o f

sectio n 4630 1 t o creat e specifi c maximu mcivi l monetary penalty amount s fo

r individual s an dsmal l busines s concerns . 4 . Redesignate dportion s o f sectio n 46301 ; e.g. , sectio n 46301(a)(5 ) was redesignate da s sectio n 46301(a)(3) . 5 . Adde danew , mandator y civi l penalty , 4 9 U.S.C . 46319 , fo r permanen t

closur e o f

a n airpor t withou t providin g th e FA A sufficient notice . O n Augus t

10 , 2005 , th e Presiden t

signe dint o law th e Safe , Accountable , Flexible , Efficient Transportatio n Equit y Act : A Legac y fo r User s (SAFETEA-LU) , Publi c Law 109-59 , 11 9 Stat . 1144 . Title VU o f SAFETEA-LU , th e Hazardou s Material s Safety an dSecurit y Reauthorizatio n Ac t

o f 2005 , revise dparagrap h(a)(1 ) o f 4 9 U.S.C . 512 3 generall y t o increas e t o $50,00 0 th e maximu mcivi l penalt y for aviolatio n o f

4 9 U.S.C . chapte r

51 , o r aregulation , order , specia l permit , o r

approva l issue dthereunder . However , Title VI I create da n exceptio n t o that maximu mb y providin g that , i f aviolatio n result s i n death , seriou s illness , o r sever e injur

y t o any person , o r

substantia l destructio n o f property , th e Secretary o f Transportatio n ma y increas e th e amoun t

o f th e civi l penalt y fo

r suc hviolatio n t o no t

mor e tha n $100,000 . Unde r Titl e VI I o f

SAFETEA-L U th e genera l minimu mcivi l penalt y fo r aviolatio n o f 4 9 U.S.C . chapte r

51 , o r aregulation , order , specia l permit , o r approva l issue dthereunde r was se t a t $250 ; however , th e minimu mcivi l penalt y fo r ahazardou s material s trainin g violatio n wa s increase dt o $450 .2851 9 Federa l Registe r / Vol . 71 , No . 9 4 /

Tuesday , Ma y 16 , 200 6 / Rule s an dRegulation s Thi s Rulemakin g I n light o f th e statutory change s mad e b y Visio n 10 0 an dSAFETEA-LU , w e are makin g avariety o f

change s t o 1 4 CF Rpart

13 , subpart

H , whic hdescribe s th e civi l penalt y inflatio n adjustment

proces s an dth e civi l penaltie s that appl y to variou s violations . Subpar t H incorporate s aTabl e One , whic hspecifie s th e maximu man dminimu mcivi l penalty amount s that

appl y t o violation s unde r 4 9 U.S.C . chapte r

46 3 an d4 9 U.S.C . 4753 1 that occurre dprio r

t o Decembe r

12 , 2003 , an dt o violation s unde r 4 9 U.S.C . chapte r

5 1 tha t occurre d prio r to Augus t

10 , 2005 . Tabl e On e als o include s reference s t o certai n section s that wer e no t include di n th e previou s rulemaking s o n part 13 , subpar

t H . Section s 4752 8 throug h4753 0 o f Titl e 4 9 prohibi t

th e operatio n o f

certai n aircraf

t whe n thos e aircraf t d o no t compl y withth e Stag e 3 nois e level s (se e 1 4 CF Rpart 91 , subpart

I) . Sectio n 4753 1 o f Titl e 4 9 provide s tha t

aperso n violatin g on e o f thos e statutor y provision s i s subjec t t o th e sam e civi l penalt y amount s an dprocedure s unde r chapte r 46 3 ji s aperso n violatin g sectio n 44701(a ) o r

(b) , o r an y o f secfion s 44702-44716 . W e are als o addin g referenc e t o sectio n 46301(a)(5 ) (redesignate da s sectio n 46301(a)(3 ) b y Visio n 100) , whic hpertain s t o th e penalty fo r diversio n o f

aviatio n revenues . Fo r eas e o f usin g th e tables , th e column "Civi l monetar y penalt y description, " contain s abbreviate ddescription s em dtherefor e ma y no t

b e al l inclusiv e o f

th e type s o f

violation s covered . Fo r example , althoug h4 9 U.S.C . 4631 8 i s describe da s "interferenc e wit hcabi n o r flight crew, " violation s o f

thi s sectio n can als o involv e assault s o n passengers . It i s necessar y t o readfully th e Unite dState s Cod e provision s cite di n th e first colum n o f

th e table s t o understan dth e exten t o f violation s that

are subjec t

t o th e variou s civi l penalties liste di n th e tables . Tabl e Tw o specifie s th e ne w amount s o f civi l monetary penaltie s se t o r rese t i n Visio n 100 , whic happl y t o violation s that occu r o n o r afte r Decembe r

12 , 2003 , a s wel l a s som e inflatio n adjustment s that ar e discusse dbelow . Visio n 100 provide dfor

agenera l civi l penah y o f $25,000 , maximum , for

aviolatio n o f mos t o f th e section s i n Title 4 9 that w e enforce , includin g th e regulation s promulgate do r order s issue dunde r

authority o f

thos e secfions . (4 9 U.S.C . 46301(a)(1)(A ) an d(B). ) (Not e that Sectio n 4630 1 doe s no t

addres s violation s o f

th e hazardou s material s provision s unde r 4 9 U.S.C . chapte r 51 , an dth e $25,00 0 maximu mcivi l penalty doe s no t appl y t o suc hviolations. ) Sectio n 46301(a)(1 ) provide s for

amaximu mpenalty o f

$1,10 0 for

violation s b y an individua l o r smal l busines s concern . However , Visio n 10 0 als o containe dane w paragrap h(a)(5 ) i n sectio n 46301 , whic hset s amaximu mcivi l penalt y amoun t o f $10,00 0 fo

r individual s an dsmal l busines s concern s fo r violation s o f

statutory provision s liste di n paragrap h(a)(5)(A)(i) , o r aregulatio n prescribe do r orde r issue dunde r

thos e statutory provisions . Paragrap h(a)(5)(A ) provide s a n exceptio n fo

r "a n airman servin g a s an airman; " th e maximu mpenalty for suc hindividual s i s $1,100 . Whil e sectio n 46301(a)(1)(A ) contain s anumbe r o f provision s not

include di n sectio n 46301(a)(5)(A)(i) , th e provision s cite di n (a)(5)(A)(i ) ahnos t completel y overlap withth e provision s cite di n sectio n 46301(a)(1)(A ) that are enforce db y th e FAA . (A n exampl e o f a differenc e i s that

sectio n 4630 1 (a) ( 1 )(A ) include s 4 9 U.S.C . 44718(a) , whil e sectio n 4630l(a)(5)(A)(i ) doe s not. ) Th e resul t i s that ther e are onl y tw o type s o f exception s t o th e $10,00 0 statutory civi l penalt y liability for individual s an dsmal l businesses : First , i f th e allege dviolato r

i s a n airman servin g a s a

n airman ; an dsecond , i f

th e basi s for

th e violate dprovisio n i s cite din sectio n 46301(a)(1)(A) , but no t cite di n sectio n 46301(a)(5)(A ) (e.g. , 4 9 U.S.C . 44718(a)) . Th e change s du e t o th e ne w languag e i n section s 46301(a)(1 ) an d(5)(A) , an ddescribe d above , are lai dou t

i n th e followin g table , an dals o reflecte di n Tabl e Two . Allege dViolato r Perso n no t

a n individual or smal l busines s concern Perso n no t

an individua l o r smal l busines s concern Airman servin g a s an airman Airman servin g a s an airman Individual no t

a n airman servin g a s a

n airman Individual no t

an airma n servin g a s a

n airman Smal l busines s concern Smal l busines s concern I s th e violate dprovisio n cite d 4 9 U.S.C . 46301(a)(1) ? Ye s Ye s Ye s Ye s Ye s Ye s Ye s Ye s I s th e violate dprovisio n als o cite din 4 9 U.S.C . 46301(a)(1 ) Ye s N o Ye s N o Ye s N o Ye s N o What i s th e maximu m penalty amount ? $25,00 0 $25,00 0 $1,10 0 $1,10 0 $10,00 0 $1,10 0 $10,00 0 $1,10 0 Base do n ane w inflatio n adjustment , discusse dbelow , th e $10,00 0 maximu mpenaltie s liste di n thi s tabl e wil l becom e $11,000 . Thi s adjustment i s reflecte di n Tabl e 2 . Sectio n 46301(a)(5)(B ) list s maximu mcivi l penaltie s fo r specifi c type s o f

violation s b y individual s andsmal l busines s concerns ; an airman actin g a s a n airma n i s no t

afforde dalower maximu mpenalty unde r

thes e provisions . Th e covere dviolation s includ e thos e unde r 4 9 U.S.C . 46301(a)(1 ) relate dt o th e transportatio n o f hazardou s material s (Titl e 1 4 o f th e CFR) , registratio n o r

recordatio n unde r

4 9 U.S.C . chapte r

441 , th e limitatio n i n 4 9 U.S.C . 44718(d ) o n constructio n o r

establishmen t

o f landfills , an dth e prohibitio n i n 4 9 U.S.C . 4472 5 o n unsaf e disposal o f

Hfe-limite daircraf

t parts . A s se t

b y Congres s in Visio n 100 , th e maximu mpenalty fo r violation s o f

thes e provision s occurrin g o n o r afte r Decembe r

12 , 200 3 unti l Jun e 15 , 2006 , i s $10,000 . Base do n ane w inflatio n adjustment , discusse dbelow , for aviolatio n occurrin g afte r th e effectiv e dat e o f

th e rule , th e maximu mpenalty i s $11,000 . W e are addin g areferenc e t o sectio n 46319 , whic hprovide s for amandator y civi l penalty fo r eac hpubli c agenc y tha t

permanentl y close s a

n airpor t liste di n th e nationa l pla n o f integrate d airport s withou t

providin g th e notificatio n require db y that section . Whe n th e provisio n becam e effectiv e o n Decembe r

12 , 2003 , th e penalt y was $10,00 0 pe r day . Base do n ane w inflatio n adjustment , a s o f

Jun e 16,2006 . th e penalt y i s $11.00 0 pe r day . Tabl e Tw o als o include s citation s t o th e section s no t previousl y include di n previou s rulemaking s i n part

13 , subpart

H , i.e. , 4 9 U.S.C . 4752 8 throug h47530 , 47531 , an d46301(a)(3) , formerl y sectio n 46301(a)(5) . Visio n 100 di dnot

chang e sectio n 46301(b) ; that sectio n stil l specifie s a2852 0 Federa l Registe r / Vol . 71 , No . 9 4 /

Tuesday , Ma y 16 , 200 6 / Rule s an dRegulation s civi l penalty no t

to excee d$2,00 0 fo

r tamperin g with , disabling , o r destroyin g alavatory smok e alar mdevic e o n a

n aircraf t providin g ai r

transportatio n o r

intrastat e ai r

transportation . In th e 199 7 inflatio n adjustment , w e increase dtha t maximu mt o $2,200 . Tabl e Tw o list s that previousl y adjuste dmaximum . W e are addin g aTabl e Thre e t o reflec t th e curren t

maximu man dminimu mcivi l penaltie s under 4 9 U.S.C . 5123(a ) fo

r aviolatio n o f

on e o f th e hazardou s material s transportatio n laws , o r aregulation , order , specia l permit , o r approva l issue dthereunder . Th e maximu mcivi l penalt y generall y i s $50,00 0 for

eac hviolatio n o n o r

afte r Augus t 10 , 2005 . W e ar e als o includin g th e maximu mcivi l penalt y amoun t o f $100,00 0 fo

r ahazardou s material s violatio n wher e th e resul t i s death , seriou s illnes s o r sever e injur

y t o aperson , o r

substantial destructio n o f property . That maximu mwil l als o appl y onl y t o aviolatio n o n o r afte r Augus t 10 , 2005 . In Tabl e Three , w e ar e leavin g th e minimu mcivi l monetar y penalt y unde r 4 9 U.S.C . 5123(a ) fo

r aviolatio n a

t $250 , excep t

a s provide dfor

atrainin g violation . Becaus e th e Congres s specificall y chos e t o increas e th e minimu mpenalty fo r atrainin g violation , but

di dno t d o s o fo r an y othe r hazmat violation , w e hav e conclude dtha t th e minimu mpenalt y ha s bee n "reset " t o $250 . Th e $45 0 minimu mcivi l penalty applie s onl y t o ahazma t trainin g violatio n o n o r

after Augus t 10,2005 . Civi l Penalt y Inflatio n Adjustmen t Metho do f

Calculatio n Under th e rule s i n part

13 , subpar

t H , whic himplemente dth e requirement s o f th e Adjustmen t

Act , a s amende db y th e Collectio n Act , w e determin e th e inflatio n adjustmen t fo r eac happlicabl e civi l penalt y b y increasin g th e maximu mcivi l penalt y o r rang e o f minimu man d maximu mcivi l penalt y b y th e "cost-of-livin g adjustment " (COLA) . Eac hsuc hincreas e i s rounde doff

, a s describe di n sectio n 13.305(a ) o f part 13 . Sectio n 5(b ) o f

th e Adjustmen t

Ac t an d sectio n 13.305(b ) defin e th e "cost-of-livin g adjustment " a s "th e percentag e (i f any ) fo r eac h civi l monetary penalt y b y whic hth e Consume r Pric e Inde x (CPI ) for

th e mont ho f

Jun e o f th e calendar yea r precedin g th e adjustmen t exceed s th e CP I for

th e montho f

Jun e o f th e calendar yea r i n whic hth e amoun t

o f suc hcivi l penalty wa s las t se t o r adjuste dpursuan t

t o law. " Thus , fo r thi s rulemaking , w e looke dt th e increas e (i f

any ) o f th e CP I o f

June , 200 5 ove r th e CPI' s o f

Jun e o f th e calendar

year s fo r eac ho f th e las t penalt y setting s o r

adjustments . W e calculate dth e percentag e o f eac hincrease , multiplie dth e correspondin g las t se t o r adjuste d penalty b y th e percentag e increase , applie dth e appropriat e rounding-of f number , an dadde deac h rounde dnumbe r

t o th e las t

se t o r adjuste dpenalty . I f

an increas e wa s roundedt o zero , th e las t se t o r adjuste dpenalt y remaine dth e same . Th e CP I for

June , 200 5 (th e montho f Jun e o f th e calendar

year precedin g thes e adjustments ) was 194.5 . Th e CP I fo r th e mont ho f Jun e o f th e calendar

year s i n whic hth e amoun t o f eac hcivi l monetar y penalt y was las t se t o r adjuste dvaries , dependin g o n th e particular provision . The y ar e a s follows : 160. 3 fo r Jun e 1997 ; 172. 4 fo

r Jun e 2000 ; an d183. 7 fo

r Jun e 2003 . Sectio n 13.305(a ) o f th e FAA' s regulation s describe s th e rounding-of f numbers . A n increas e determine dunde r sectio n 13.305(a ) i s roundedt o th e nearest :(1 ) Multipl e o f $l 0 i n th e cas e o f

penalties les s than o r

equa l t o $100 ; (2 ) Multipl e o f

$10 0 i n th e cas e o f

penalties greate r

than $10 0 but

les s tha n o r

equal to $1,000 ; (3 ) Multipl e o f

$1,00 0 i n th e cas e o f

penaltie s greate r

tha n $1,00 0 but

les s tha n o r

equal t o $10,000 ; (4 ) Multipl e o f

$5,00 0 i n th e cas e o f

penalties greate r

tha n $10,00 0 bu t

les s tha n $100,000 ; (5 ) Multipl e o f

$10,00 0 i n th e cas e o f

penaltie s greate r

tha n $100,00 0 but

les s than o r equal t o $200,000 ; (6 ) Multipl e o f

$25,00 0 i n th e cas e o f

penaltie s greate r

tha n $200,000 . Finally , regardles s o f

th e roundin g formula , a

n initia l adjustmen t

t o apenalt y i s limite dt o 1 0 percent . Wit

hrespec t t o th e 1 0 percen t

limitation , thi s rul e als o amends 1 4 CF R13.305(c ) b y deletin g th e las t

sentenc e i n that

paragrap han drevisin g th e remainde r o f th e paragrap ht o confor mto th e actual languag e o f sectio n 6 t o 2 8 U.S.C . 246 1 note . Th e las t sentenc e o f

1 4 CFR 13.305(c ) incorrectl y states , "[t]hi s limitatio n applie s onl y t o th e initia l adjustment , effectiv e o n January 21 , 1997. " Sectio n 6 o f th e statut e i s no t

limite dt o th e initia l adjustmen t mad e o n tha

t particula r date ; it applies a s wel l t o th e initia l adjustment mad e t o acivi l penalt y provisio n enacte dafte

r January 21 , 1997 , e.g. , 4 9 U.S.C . 46318 . Result s o f Calculation s fo r

Inflatio n Adjustment In preparin g thi s revisio n t o subpart H , w e reviewe dal l th e civi l monetar y penalty provision s i n th e FAA' s statute s an dapplie dth e inflatio n adjustmen t an drounding-of

f formulae describe dabove . W e conclude dthat on e provisio n no t

rese t b y Congres s i n Visio n 100 o r SAFETEA-L U i s read y t o b e adjusted , i.e. , 4 9 U.S.C . 4631 8 fi^omamaximu mpenalt y o f $25,00 0 to $27,500 . In addition , severa l provision s rese t i n Visio n 10 0 ar e subjec t t o adjustment . Thes e provision s are 4 9 U.S.C . 46301(a)(5)(A) , 4630 1 (a)(5)(B)(i-iv) , an d4 9 U.S.C . 46319 . Thes e are bein g raise dfromamaximu mo f $10,00 0 to $11,000 . Non e o f th e provision s affecte d b y SAFETEA-L U ar e read y t o b e adjusted . Internationa l Compatibility In keepin g withU.S . obligation s unde r th e Conventio n o n Internationa l Civi l Aviation , i t i s FA A polic y to compl y withInternationa l Civi l Aviatio n Organizatio n (ICAO ) Standard s an d Recommende dPractice s t o th e maximu mexten t practicable . Th e FA A determine dtha t there are n o ICA O Standard s an dRecommende dPractice s that correspon dt o thes e regulations . Paperwor k

Reductio n Ac t Ther e ar e n o curren t

o r ne w requirement s fo

r informatio n collectio n associate dwiththi s amendment . Goo dCaus e I findgoo dcaus e exist s unde r 5 U.S.C . 553(b)(3)(B ) o f th e Administrativ e Procedure s Ac t fo r adoptio n o f

thi s final rul e withou t

prio r notic e an dcomment . Thi s rul e effectuate s th eintent

o f th e Federa l Civi l Penaltie s Inflatio n Adjustmen t Ac t t o allo w for

regular adjustment , fo

r inflation , o f

civi l monetary penaltie s an dt o maintai n th e deterren t effec t o f civi l monetary penaltie s andpromot e complianc e withth e law . Th e inflatio n adjustment s t o penaltie s unde r thi s rul e appl y aformul amandate db y Congress . It woul dno t

b e i n th e publi c interes t

t o delay thes e adjustment s in orde r

t o receiv e publi c comment . In an y event , suc hdela y woul dno t allo w th e FA A to develo p an y basi s t o chang e th e metho do r applicatio n o f

th e mandatory inflatio n adjustments . Executiv e Orde r

1286 6 an dDO T Regulator y Policie s an dProcedure s Executiv e Orde r

12866 , Regulatory Plannin g an dReview , direct s th e FA A t o asses s both th e cost s andbenefit s o f

aregulatory change . W e are not allowe dt o propos e o r

adop t a regulatio n unles s w e mak e areasone ddeterminatio n that th e benefit s o f

th e intende dregulatio n justif y it s costs . In thi s rule , w e hav e adopte dcivi l monetary penalt y limit s a s se t fort hi n legislation . W e hav e no t

mad e an y othe r

adjustinent s t o th e limit s o n civi l penaltie s w e prosecute . 2852 1 Federa l Registe r

/ Vol . 71 , No . 9 4 /

Tuesday , Ma y 16 , 200 6 / Rule s an dRegulation s Thus , whateve r

economi c impac t

thi s regulatio n ha s i s du e solel y t o legislatio n enacte db y th e Congress , whic hdetermine dthat th e benefit s o f

th e change s describe di n thi s rul e justif y th e costs . Thus , thi s i s no t

a"significan t

regulatory action " a s define di n th e Order , an dw e hav e no t prepare da"regulator y impac t analysis. " Similarly , w e hav e no t prepare da"regulator y evaluation, " whic hi s th e writte n cost/benefi t analysi s ordinaril y require dfor al l rulemakin g proposal s under

th e DO T Regulatory Policie s an dProcedures . Economi c Evaluatio n Change s t o Federa l regulation s mus t underg o severa l economi c analyses . First , Executiv e Orde r 1286 6 direct s that

eac hFedera l agenc y shal l propos e o r adop t aregulatio n onl y upo n a reasone ddeterminatio n that Jth e benefit s o f

th e intende dregulation s justif y it s costs . Second , th e Regulatory Flexibilit y Ac t o f 198 0 require s agencie s t o analyz e th e economi c impac t o f regulatory change s o n smal l entities . Third , th e Trad e Agreement s Ac t (1 9 U.S.C . 2531-2533 ) prohibit s agencie s fi-omsettin g standard s that creat e imnecessary obstacle s t o th e foreig n commerc e o f

th e Unite dStates . I

n developin g U.S . standards , thi s Trad e Ac t require s agencie s t o conside r internationa l standard s and , wher e appropriate , that the y b e th e basi s o f

U.S . standards . An dfourth , th e Unfiinde dMandate s Refor mAc t o f 199 5 require s agencie s t o prepar e awritte n assessmen t

o f th e costs , benefits , an dothe r effect s o f

propose do r

final rule s that

includ e a Federal mandat e likel y t o resul t i n th e expenditur e b y State , local , o r triba l governments , i n th e aggregate , o r

b y th e privat e sector , o f

$10 0 millio n o r

more , i n an y on e year

(adjuste dfo

r inflation) . However , fo

r regulation s withan expecte dminima l impact , th e above specifie danalyse s are no t required . DO T Orde r

2100. 5 prescribe s policie s an dprocedure s for simplification , analysis , andrevie w o f

regulations . I f

i t i s determine dthat

th e expecte dimpac t

i s s o minima l that th e proposa l doe s no t

warran t afiill evaluation , astatemen t t o that effec t an dth e basi s fo

r i t i s include di n th e propose dregulation . Sinc e thi s final rul e onl y identifie s th e increas e i n penaltie sa s require db y th e Deb t Collectio n Improvemen t Ac t o f 1996 , th e impac t

o f thi s rulemakin g i s minimal . Regulator y Flexibilit y Ac t Determinatio n Th e Regulatory Flexibiht y Ac t o f 198 0 (RFA ) establishe s "a s aprincipl e o f regulatory issuanc e that

agencie s shal l endeavor , consisten t withth e objectiv e o f

th e rul e an do f

applicabl e statutes , t o fit

regulator y an dinformationa l requirement s t o th e scal e o f th e business , organizations , an dgovernmenta l jurisdiction s subjec t to th e regulation. " T o achiev e that principle , th e Ac t

require s agencie s t o solici t an dconside r

flexible regulator y proposal s an dt o explai n th e rational e fo

r thei r actions . Th e Ac t

cover s awid e rang e o f

smal l entities , includin g smal l businesses , not-for-profi t organization s an dsmal l governmenta l jurisdictions . However , i f

a n agenc y determine s that

apropose do r

final rul e i s not

expecte dt o hav e a significant economi c impac t

o n asubstantia l numbe r

o f smal l entities , sectio n 605(b ) o f th e 198 0 ac t provide s tha

t th e hea do f

th e agenc y may s o certif

y andaregulator y flexibility analysi s i s no t required . Th e certificatio n mus t includ e astatemen t

providin g th e factual basi s fo r thi s determination , an dth e reasonin g shoul db e clear . Thi s actio n simpl y identifie s th e civi l monetary penaltie s fo r violation s o f

th e statutory an dregulatory provision s w e enforce . Th e penalty amount s ar e thos e specifie db y statut e o r calle dfo r under th e inflatio n adjustmen t

statutes , an dth e informatio n i n thi s rul e i s require db y th e Deb t Collectio n Improvemen t Ac t o f 1996 . Consequently , w e certif y tha t thi s rul e wil l no t hav e asignifican t

economi c impac t

o n asubstantia l numbe r

o f smal l entities . Internationa l Trad e Impac t Assessmen t Th e Trad e Agreement s Ac t o f 197 9 prohibit s Federal agencie s fromengagin g i n an y standard s o r

relate dactivitie s tha t

creat e unnecessary obstacle s t o th e foreig n commerc e o f th e Unite dStates . Legitimat e domesti c objectives , suc ha s safety , ar e not considere dunnecessary obstacles . Th e statut e als o require s u s t o conside r internationa l standard s and , wher e appropriate , that the y b e th e basi s fo

r U.S . standards . In addition , consisten t withth e Administration' s belie f in th e general superiorit y an ddesirabilit y o f fi^ee trade , i t

i s th e polic y o f

th e Administratio n t o remov e o r

diminis ht o th e exten t

feasible , barrier s t o internationa l trade , includin g bothbarrier s affectin g th e export

o f America n good s an dservice s t o foreig n countrie s an dbarrier s affectin g th e impor t o f foreig n good s an dservice s into th e Unite dStates . I n accordanc e withth e above statut e an dpolicy , w e hav e assesse dth e potentia l effect o f thi s final rul e t o b e negligible . Thi s rul e onl y summarize s civi l monetar y penalties , establishe db y legislation , fo

r violation s o f

safety provision s that

appl y equall y t o domesti c an dforeig n entities ; therefore , w e hav e determine dthat thi s rul e wil l no t

resul t i n a n impac t o n internationa l trad e b y companie s doin g busines s i n o r withth e Unite dStates . Executiv e Orde r

13132 , Federalis m Th e FA A ha s analyze dthi s final rul e unde r th e principle s an dcriteri ao f Executiv e Orde r 13132 , Federalism . Th e FA A determine dthat thi s actio n woul dno t

hav e asubstantia l direc t effec t o n th e States , o r

th e relationshi p betwee n th e Nationa l Governmen t an dth e States , o r

o nth e distributio n o f powe r an dresponsibilitie s amon g th e variou s level s o f government . Therefore , th e FAA ha s determine dthat thi s final rul e doe s no t

hav e federalis mimplications . Unfunde dMandate s Refor mAc t Titl e I I o f th e Unfunde dMandate s Refor mAc t o f 199 5 require s eac hFedera l agenc y t o prepar e awritte n statemen t assessin g th e effect s o f

an y Federal mandat e i n apropose do r final agenc y rul e tha

t may resul t

i n a n expenditur e o f

$10 0 millio n o r

mor e (adjuste dannuall y fo r inflation ) i n an y on e year

b y State , local , an dtriba l governments , i n th e aggregate , o r b y th e privat e sector . Th e FA A currentl y use s a n inflation-adjuste dvalu e o f $120. 7 millio n i n he u o f $10 0 million . Sinc e thi s final rul e onl y identifie s th e increas e i n penaltie s a s require db y th e Deb t Collectio n Improvemen t

Ac t o f 1996 , i t doe s no t contai n suc hamandate . Th e requirement s o f Titl e I I d o no t apply . Plai n Englis h Executiv e Orde r

1286 6 (5 8 FR51735 , Oct . 4 , 1993 ) require s eac hagenc y t o writ e regulation s that

are simpl e an deas y t o understand . W e invit e you r comment s o n ho w t o mak e thes e regulation s easie r

t o understand , includin g answer s t o question s suc ha s th e following : • Are th e requirement s i n th e regulation s clearl y stated ? • D o th e regulation s contai n unnecessary technica l languag e o r jargo n that

interfere s wit

h thei r clarity ? • Woul dth e regulation s b e easie r t o understan di f

the y wer e divide dint o mor e (bu t shorter ) sections ? • I s th e descriptio n i n th e preambl e helpfu l i n understandin g th e final rule ? Pleas e sen dyou r

comment s t o th e addres s specifie di n th e ADDRESSE S section . Lis t o f Subject s i n 1 4 CF RPar t 1 3 Administrativ e practic e an dprocedure . Ai r transportation . Hazardou s material s transportation , 2852 2 Federa l Registe r

/ Vol . 71 , No . 9 4 /

Tuesday , Ma y 16,200 6 / Rule s an dRegulation s Investigations , Law enforcement . Penalties . Th e Amendmen t

• In consideratio n o f

th e foregoing , th e Federal Aviatio n Administratio n amends part 1 3 o f Titl e 14 , Cod e o f

Federa l Regulation s a s follows : PAR T 13—INVESTIGATIV E AN D ENFORCEMEN T PROCEDURE S

• 1 . Revis e th e authorit y citatio n fo r part 1 3 t o reada s follows :

1 0Authority : 1 8 U.S.C . 6002 , 2 8 U.S.C . 246 1 (note) ; 4 9 U.S.C . 106(g) , 5121-5124 , 40113^0114 ,

44103^4106 , 44702-44703 , 44709^4710 , 44713 , 44718 , 44725 , 46101-46110 , 46301^6316 , 46318 , 46501^6502 , 46504-^6507 , 47106 , 47111 , 47122 , 47306 , 47531

- 47532 .

• 2 . Amen d§ 13.30 5 b y revisin g paragraph s (c ) an d(d ) t o rea da s follows : § 13.30 5 Cos t

of livin g adjustment s o f

civi l monetar y penalties . * :( c:t ci c :) : (c ) Limitatio n on initia l adjustment . Th e initial adjustmen t o f acivi l monetar y penalt y unde r thi s subpar t doe s no t excee d1 0 percen t

o f th e civi l penalt y amount . (d ) Inflatio n adjustment . Minimu man dmaximu mcivi l monetar y penaltie s withi n th e jurisdictio n o f th e FA A are adjuste dfor inflatio n a s follows :

1 1Minimu man dMaximu mCivi l Penalties-Adjuste dfo r Inflation . Tabl e One : Tabl e o f

Minimu man dMaximu mCivi l Monetary Penalty Amount s fo r Certai n Violation s befor e Decembe r 12,2003 , an dfo

r Hazardou s Material s Violation s before Augus t 10,2005 . Unite dState s Cod e citatio n Civi l monetary penalt y descriptio n Minimu mNe w adjuste dMaximu mpenalt y amoun t penalty minimu mwhe n las t se t o r adjuste d amoun t penalty pursuan t t o la w amoun t Ne w o r adjuste d inaximu m penalty amoun t 4 9 us e 5123(a ) 4 9 us e 46301(a)(1 ) 4 9 us e 46301(a)(2 )

4 9 us e 46301(aK3KA) 4 9 us e 46301(a)(3XB ) Violatio n o f hazardou s material s transportatio n law , regulation , o r orde r Violation s unde r

4 9 US C 4630 1 (a) ( 1) .

Violatio n unde r

4 9 US C 4630l(aXl ) relatin g t o th e transportatio n o f hazardou s material s b y air . Violatio n relate dt o th e registratio n o r recordatio n unde r

4 9 US C chapte r

44 1 o f a n aircraf t no t use dt o provid e ai r transportatio n $25 0 pe r Same violation , las t set 199 0 N/ A N/

A N/ A

N/ A N/ A N/

A

N/ A N/ A $30,00 0 pe r violation , adjuste d3/13/0 2 Sam e $1,I(X ) pe r

violation , adjuste dSam e 1/21/199 7 $ 1 1 ,(X) 0 pe r violatio n adjuste d1/21/199 7 $11,(K) 0 pe r

violation , adjuste d1/21/199 7 $11,00 0 pe r

violation , adjuste d1/21/199 7 Sam e

Sam e Sam e

4 9 US C 46301(a)(3)(e ) 4 9 us e 46301(a)(3)(D ) 4 9 USC 4630 1 (aX5 )

4 9 US C 46301(b ) 4 9 us e 46302(a ) 4 9 us e 46303 4 9 us e 4631 8 4 9 US C 4753 1 Violatio n o f 4 9 US C 44718(d ) relatin g N/ A t o limitin g constructio n o r establishmen t

o f landfills . Violatio n o f

4 9 US C 447 2 relatin g t o N/ A th e saf e disposa l o f

life-limite daircraf

t parts . Violatio n o f

4 9 US C 47107(b ) (o r

an y N/

A assuranc e mad e unde r

suc hsection ) o r 4 9 US C 47133 . Tamperin g wit

hasmok e alarmdevice . N/A Knowingl y providin g fals e informatio n abou t allege dviolatio n involvin g th e special aircraf

t jurisdictio n o f

th e Unite dState s Carryin g aconceale ddangerou s weapon ! Interferenc e withcabi n o r flight cre w Violatio n o f

4 9 US C 47528-4753 0 relatin g t o th e prohibition o f operatin g certai n aircraf

t no t complyin g with stag e 3 nois e level s N/A

N/A N/

A N/ A N/ A

N/A N/ A N/ A $ 10,00 0 pe r violation , se t

Sam e 10/9/199 6 $ 10,000 , se t

4/5/200 0 Sam e Increas e abov e otherwis e Sam e applicabl e maximu mainoun t no t t o excee d3 time s th e amoun t o f revenue s that

ar e use di n violatio n o f

suc h sectio n $2,200 , adjuste d1/21/199 7 Sam e $11,000 , adjuste d1/21/199 7 Sam e $11,000 , adjuste d1/21/199 7 Sam e N/ A N/A N/

A N/A $25,000 , se t 4/5/200 0 Se e 4 9 US C 46301(aXl ) an d (aX2) , abov e Sam e Sam e

FA A prosecute s violation s unde r thi s sectio n that

occurre dbefore Februar

y 17,2002 .

1 2

### 2852 3 Federal Registe r / Vol . 71 , No . 94 /

Tuesday , Ma

y 16 , 200 6 /

Rule s an dRegulation s Tabl e Two : Tabl e o f

Minimu man dMaximu mCivi l Monetary Penalty Amount s fo r Certai n Violation s Occurrin g o n o r afte r Decembe r

12 , 2003 . UnitedState s Cod e citatio n Civi l monetary penalt y descriptio n Minimu m penalty amoun t Maximu mpenalty amoun t whe n las t se t o r adjuste dpursuan t

t o law Ne w o r

adjuste d maximu m penalt y amoun t 4 9 US C 4630 1 (aX D 4 9 US C 46301(aXI ) 4 9 USC 4630 1 (aX D 4 9 US C 46301(aX3 ) 4 9 US C 4630 1 (aK5)(A ) 4 9 us e 46301(aX5XB(i) ) 4 9 US C 46301(aX5XBXii ) 4 9 us e 46301(aX5XBXiii ) 4 9 US C 4630 1 (aX5)(B)(iv ) 4 9 US C 46301(b ) 4 9 US C 4630 2 4 9 US C 4631 8 4 9 us e 4631 9 4 9 us e 4753 1 Violatio n b y perso n othe r than individual o r

N/A smal l busines s concern under 4 9 US C 4630l(aXlXA)or(B) . Violatio n b y airma n servin g a s airman unde r N/A 4 9 US C 4630 1 (a

X 1XA ) o r (B ) (bu t no t covere db y 46301(aX5XA ) o r (B)) . Violatio n b y individua l o r smal l busines s N/ A concern unde r

4 9 US C 4630 1 (a

X 1 XA) o r

(B ) (bu t no t covere di n 46301(aX5)) . Violatio n o f

4 9 US C 47107(b ) (o r

an y N/

A assuranc e mad e unde r

suc hsection ) or

4 9 US C 47133 . Violatio n b y a

n individua l o r

smal l busines s N/

A concern (excep t

a n airman servin g a s a

n airman ) unde r

4 9 US C 4630I(a)(5XAXi ) or (ii) . Violatio n b y a

n individua l o r

smal l busines s N/

A concer n unde r

4 9 US C 46301(aXl ) relate dt o th e transportatio n o f

hazardou s materials . Violatio n b y a

n individua l o r

smal l busines s N/

A concern relate dt o th e registratio n o r recordatio n unde r

4 9 US C chapte r

441 , o f a n aircraf t no t use dt o provid e ai r

transportation . Violatio n b y a

n individua l or

smal l busines s N/

A concern o f

4 9 US C 44718(d ) relatin g t o limitatio n o n constructio n o r establishmen t

o f landfills . Violatio n b y a

n individua l o r

smal l busines s N/

A concern o r

4 9 US C 4472 5 relatin g t o th e saf e disposa l o f

life-limite daircraf

t parts . Tamperin g wit

hasnK>k e alarmdevic e N/A Knowingl y providin g fals e informatio n abou t N/ A allege dviolatio n involvin g th e special aircraf t jurisdictio n o f

th e Unite dState s Interferenc e wit

hcabi n o r

flight cre w N/

A Permanen t

closur e o f

a n airport withou t providin g sufficien t

notic e Violatio n o f

4 9 US C 47528-47530 , o r regulatio n prescribe do r

orde r issue dunder thos e sections , relatin g t o th e prohibitio n o f operatin g certai n aircraf

t no t complyin g with stag e 3 nois e level s N/ A N/ A $25,00 0 pe r violation , reset

N o chang e 12/12/200 3 $1,10 0 pe r

violation , rese t

N o chang e 12/12/200 3 $I,1(X ) pe r

violation , rese t

N o chang e 12/12/200 3 Increas e abov e otherwis e applicabl e N o chang e maximumamoun t

no t t o excee d3 time s th e amoun t

o f revenue s that ar e use di n violatio n o f

suc hsectio n $ 10,00 0 pe r

violation , rese t

$ 11,00 0 pe r 12/12/200 3 violation ' $10,00 0 pe r

violation , rese t

$11,00 0 pe r 12/12/200 3 violation ' $10,00 0 pe r

violation , reset

$11,00 0 per 12/12/200 3 violation ' $10,00 0 pe r

violation , rese t

$11,00 0 pe r 12/12/200 3 violation ' $ 10,00 0 pe r

violation , rese t

$ 11,00 0 per 12/12/200 3 violation ' $2,20 0 pe r

violation , adjuste dN o chang e 1/21/199 7 $11,00 0 pe r

violation , adjuste dN o chang e 1/2I/I99 7 $25,00 0 pe r

violation , se t

4/5/200 0 $27,50 0 per

violation ' $ 10,00 0 per

day , se t 12/12/200 3 $ 11,00 0 pe r

violation ' Se e 4 9 US C 4630 1 (a) ( 1 XA) an dN o chang e (a)(5) , abov e

' Th e maximu mpenalty for aviolatio n fro m12/12/200 3 unti l 6/15/200 6 i s $10,000 . ' Th e maximu mpenalty fo r aviolatio n from4/5/200 0 unti l 6/15/200 6 i s $25,000 .



### 1 3Tabl e Three : Tabl e o f Minimu man dMaximu mCivi l Monetary Penalty Amount s fo r Hazardou s Material s Violation s Occurrin g o n o r afte r Augus t 10,2005 . Unite dState s Cod e citatio n Civi l monetary penalt y descriptio n Minimu mpenalty amoun t Maximu mpenalty

amoun t 4 9 US C 5123(a) : Subparagrap h(I ) Subparagrap h(2 ) Violatio n o f hazardou s material s transportatio n law , regulation , order , special permi t

o r approva l - genera l Violatio n o f

hazardou s material s transportatio n law , regulation , order , $25 0 pe r violation , specia l permi t

o r approva l - result s i

n death , seriou s illness , severe injury , o r rese t 8/10/200 5 substantia l property destructio n $25 0 pe r violation , $50,00 0 pe r reset 8/10/200 5 violation , se t

8/10/200 5 $100,00 0 pe r violation , se t 8/10/200 5 2852 4 Federa l Registe r

/ Vol . 71 , No . 9 4 /

Tuesday , Ma y 16 , 200 6 / Rule s an dRegulation s Unite dState s Cod e citatio n Civi l monetary penalt y descriptio n Minimu mpenalt y amoun t Maximu mpenalty amoun t Subparagrap h(3 ) Violatio n o f hazardou s material s transportatio n law , regulation , order , special permi t

o r approva l - trainin g violatio n . $45 0 pe r violation , se t

$50,00 0 pe r

violation , 8/10/200 5 se t 8/10/200 5

Issue din Washington , DC , o n Apri l 25 , 2006 . Mario n C . Blakey , Administrator . [F RDoc . 06-^52 4 File d5-15-06 ; 8:4 5 am ] BILLIN GCOD E 49ia-13- P

1 410/01/0 7 2150.3 B Appendi x B Tabl e o f Sanction s Al l 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 that occurre do n o r

after Octobe r I , 2007 . Fo r

violation s occurrin g befor e Octobe r I , 2007 , FA A enforcemen t personne l appl y th e sanctio n guidanc e principle s i n FA A Orde r

2150.3 A usin g u

p t o th e statutor y maximu msanctio n amoun t i n effec t a t th e tim e o f

th e violation . 2 . Abbreviations . Th e followin g abbreviation s are use din thi s Table : API S mean s approve dproductio n inspectio n syste m A/f V mean s airworthines s A W C mean s airworthines s certificat e 573 " mean s Unde r

Secretar y for

Borde r an dTransportatio n Securit y l A mean s inspectio n authorizatio n L E mean s law enforcemen t P C mean s productio n certificat e ST C mean s supplementa l typ e certificat e T C mean s typ e certificat e TFRmean s Temporar y Fligh t 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 on e da y o r ove r mor e tha n on e flight . It als o ma y involv e aviolatio n tha t i s ongoing.yb r

example , a

n ongoin g refusa l t o provid e require drecord s t o th e FA A for inspection . Punitiv e sanction s ar e appropriat e for

continuin g violation s tha t ar e no t currentl y ongoing . Sanctio n guidsinc e for thes e violation s i s se t

fort hin paragraph s 6 an d7 {multipl e act s o r multipl e violations ) o f chapte r 7 . A combinatio n o f

punitiv e an dremedia l sanction s i s appropriat e whe n 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—Century o f Aviatio n Reauthorizatio n Ac t (CARA ) amende d4 9 U.S.C . § 4630 1 t o chang e th e civi l penalt y amount s th e FA A ma y see k for violation s tha t

occu r o n o r after Decembe r

12 , 2003 ; th e la w set s differen t

limit s o n th e civi l penaltie s th e FA A may see k for violation s b y smal l busines s concerns. , a s oppose dt o violation s b y othe r entities . Visio n 10 0 CAR A give s smal l busines s concer n th e sam e meanin g a s i n th e Smal l Busines s Ac t (1 5 U.S.C . § 632) . Sectio n 63 2 define s smal l busines s concer n a s an enterpris e "whic hi s independentl y owne dan d operate dan dwhic hi s no t dominan t

i n it s fieldo f

operation. " Th e Smal l Busines s Administratio n regulation s implemen t th e Smal l Busines s Ac t

an ddefin e busines s concer n a s B- 1 

### EXHIBF L^ —10/01/0 7 2150.3 B

" abusines s entit y organize dfor profit , withaplac e o f

busines s locate din th e U.S. , an dwhic h operate s primaril y withi n th e U.S . o r whic hmake s asignifican t contributio n t o th e U.S . econom y throug hpaymen t 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 . Th e S B A regulation s ftirther defin e sma//6Msme5 5 concer n i n tables , describin g eac hkin do f

entit y b y it s economi c activit y o r industry , an dlistin g th e limi t for smal l b y annua l receipt s or , mor e commonly , numbe r o f employees . (Th e siz e limit s generall y ar e establishe dunde r

th e NorthAmerica n Industr y Classificatio n Syste m(NAICS). ) Fo r th e complet e list , se e 1 3 C.F.R . § 121.20 1 o r th e SBA' s websit e a t

www.sba.gov . Thus , i f 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 withi n th e applicabl e SB A limit , i t i s asmal l busines s concern , an dth e FA A wil l determin e th e civi l penalt y usin g th e applicabl e range . Limit s for commo n aviatio n entitie s follo w (i n number s o f

employees , unles s otherwis e noted) . Manufacturin g Aircraf t - 1,500 employee s Aircraft-engin e an dpart

- 1,000 employee s Othe r aircraf t part an dequipmen t

- 1,000 employee s Ai r transportatio n Schedule dpassenge r

- 1,500 employee s Schedule dfreight - 1,500 employee s Nonschedule dpassenge r - 1,500 employee s Nonschedule doffshor e marin e passenge r - $25. 5 millio n annua l receipt s Nonschedule dfreigh t

- 1,500 employee s Nonschedule doffshor e marin e freigh t - $25. 5 millio n annua l receipt s Othe r nonschedule d- $6. 5 millio n annua l receipt s Suppor t activitie s - $6. 5 millio n annua l receipt s Fligh t Trainin g - $23. 5 millio n armual receipt s Airpor t operation s Airpor t operator , organize dfor

profi t - $6. 5 millio n annua l receipt s Othe r operations , excludin g ai r 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 concer n 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 eac h busines s concer n tha t

exceed s th e maximu mlimi t fo r smal l busines s concern , a s wel l a s an y othe r 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 . Fo r th e 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 ar e define di n subparagraph s (I ) throug h(9 ) o f thi s paragraph . Not e tha t th e middl e o f

eac h recommende dsanctio n rang e woul db e fo r asingl e violatio n withou t aggravatin g o r

mitigatin g factors .

B-210/01/0 7 2150.3 B

(I ) VIOLATIO N COMMITTE D B Y U.S . AI RCARRIER S O RU.S . COMMERCIA L OPERATOR . CLASSIFICATIO N O FAI RCARRIE RAN D OPERATO R GROU P 1 - Eac hai r

carrie r operatin g unde r

part 12 1 o r par t 135 , wit han 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 t o DOT' s "Ai r Carrie r Industry Schedule dServic e Traffi c Statistic s Quarterly. " Se e http://ostpxweb.dot.gov/aviation/index.html . an dclic k o n "Airlin e Financia l Review. " GROU P I

I - Eac hai r

carrie r o r commercia l operato r

operatin g unde r

par t 12 1 wit ha n annua l operatin g revenu e o f

les s than $100,000,000 , o r unde r par t 13 5 withan annua l operatin g revenu e o f

les s than $100,000,000 , if th e 13 5 operato r

ha s 5 0 o r

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

Carrie r Industr y Schedule dServic e Traffi c Statistic s Quarterly. " GROU P 11 1 - Eac hai r

carrie r o r commercia l operato r

operatin g unde r

par t 13 5 with6 t o 4 9 pilot s o r 6 to 24 aircraft . GROU P I

V - Eac hai r

carrie r o r commercia l operato r

operatin g unde r

par t 13 5 withn o mor e tha n 5 pilot s an dn o mor e tha n 5 aircraft . GROU P I - larg e busines s concer n

Maximu m$18,750-$25,00 0 Moderat e $10,000- $ 18,74 9 Minimu m$2,000-$9,99 9 GROU P 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- $ 11,00 0 Moderat e $4,400-$8,24 9 Minimu m$l,l00-$4,39 9 GROU P 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)(5XA)) : Maximu m$850- $ 1,100 Moderat e $650-$84 9 Minimu m$50 0 $64 9 GROU P II - 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$I,850-$8,74 9 GROU P 1 1 - smal l busines s concer n (for violation s covere dunde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$8,250- $ II,00 0 Moderat e $3,850-$8,24 9 Minimu m$935-$3,84 9 GROU P I

I - smal l busines s concer n (for 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- $ 1,100 Moderat e $450- $ 74 9 Minimu m$250 $ 44 9 GROU P III -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 - for

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

violation s covere dunde r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$4,400- $ 11,00 0 Moderat e $2,200-$4,39 9 Minimu m$550-$2,l9 9

GROU P I V - for

violation s covere dunde r 4 9 U.S.C . § 46301(a)( l )(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-$49 9 B- 410/01/0 7 2150.3 B Minimu m$IOO-$29 9 (2 ) VIOLATIO N COMMITTE D B Y PAR T 12 9 OPERATO R Maximu m$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 Concem ; 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 Conce m(fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$8,250- $ 11,00 0 Moderat e $3,850-$8,24 9 Minimu m$935-$3,84 9 Smal l Busines s Conce m(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- $ 1,100 Moderat e $450-$74 9 Minimu m$25 0 $44 9 (4 ) VIOLATIO N COMMITTE D B Y AI RAGENC Y (INCLUDIN GREPAI RSTATION) . Larg e Busines s Concem : 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 Conce m(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 $3,850-$7,14 9 Minimu m$935-$3,84 9 B- 510/01/0 7 2150.3 B

Smal l Busines s Conce m(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- $ 1,100 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 Concem : 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 Conce m(fo r violation s covere dunde r 4 9 U.S.C . § 46301 (a)(5)(A)) : Maximu m$8,250- $ 11,00 0 Moderat e $4,400-$8,24 9 Minimu m$l,I00-$4,39 9 Smal l Busines s Conce m(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$850- $ 1,100 Moderat e $650-$84 9 Minimu m$50 0 $64 9 (6 ) LARG E BUSINES S CONCER N - DOE S NO T HOL D CERTIFICAT E

Maximu m$18,750-$25,00 0 Moderat e $10,000- $ 18,74 9 Minimu m$2,000-$9,99 9 (7 ) SMAL LBUSINES S CONCER N - DOE S NO T HOL D CERTIFICAT E

Fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$4,400- $ 11,00 0 Moderat e $2,200-$4,39 9 Minimu m$550-$2,19 9 B- 610/01/0 7 2150.3 B

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-$49 9 Minimu m$IOO-$29 9 (8 ) VIOLATIO N RELATIN GT O TH E TRANSPORTATIO N O FA HAZARDOU S

MATERIA L(1 4 CFR) . TH E REGISTRATIO N O RRECORDATIO N O FA N AIRCRAF T NO T USE D T O PROVID E AI RTRANSPORTATION . TH E LIMITATIO N O N TH E CONSTRUCTIO N O RESTABLISHMEN T O FA LANDFILL . O RTH E SAF E DISPOSA L O FA LIFE-LIMITE D AIRCRAF T 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 Ai r

Carrie r o r Operator) : 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 Conce m(i f no t withi n amor e specifi c categor y fo r example . Grou p I

I Ai r Carrie r

o r Operator ) o r

Individual : Fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(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-$49 9 Minimu m$IOO-$29 9 (9 ) OTHE RVIOLATIO N COMMITTE D B Y A N INDIVIDUAL . AIRMA N SERVIN GA S A N AIRMA N - INDIVIDUA L SERVIN GI N CAPACIT Y O FA N AIRMAN . AL LVIOLATION S EXCEP T THOS E LISTE D IN (8) .

Maximu m$850- $ 1,100 B- 710/01/0 7 2150.3 B 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 . § 46301(a)(5)(A) : Maximu m$4,400- $ 11,00 0 Moderat e $2,200-$4,39 9 Minimu m$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- $ 1,100 Moderat e $300-$49 9 Minimu m$IOO-$29 9 (10 ) ENGINEERIN GAN D MANUFACTURIN GVIOLATIONS . Larg e Busines s Concem :

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- $ 11,00 0 Moderat e $4,400-$8,24 9 Minimu m$l,100-$4,39 9

Smal l Busines s Conce mo r Individua l (fo r

violation s covere dunde r 4 9 U.S.C . § 4630l(a)(lXA ) o r

(B ) bu t no t unde r 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

B- 810/01/0 7 2150.3 B

d . Pendin g complianc e o r correctiv e action : injunctiv e relie f Fo r man y kind s o f

violations , ther e ma y b e circumstance s wher e th e FA A shoul dno t allo w th e offendin g entit y t o continu e to operat e o r

t o continu e i n business . Example s includ e acertificat e holde r that doe s no t allo w an FA A inspecto r

t o inspec t

th e holder' s operatio n o r facilities , o r

a n unapprove dmanufacture r that produce s aircraf

t part s in 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 o r correctiv e action , o r injunctiv e relie f

agains t a n entit y that

doe s no t hol da n FA A approval , woul db e appropriate . In egregiou s circumstance s revocatio n o f th e entity' s certificat e o r othe r approva l may b e warranted . Suc hactio n o r relie f may b e considere di n additio n to th e assessmen t o f acivi l penalt y a s recommende di n th e followin g tables . Furthermore , amendmen t o r modificatio n o f

acertificat e o r

approva l ma

y b e appropriat e i

n th e circumstanc e wher e adefinitiv e part o f th e offendin g entity' s operatio n ca n b e safel y exclude d fro mth e operationa l approval . An exampl e i s an 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 kin do f

part . Suc h actio n may b e considere din additio n t o th e assessmen t o f acivi l penalt y a s recommende di n th e followin g tables . Far 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 12 9 Operators . Fig . B- 1 -a . Maintenanc e Manua l Fig . B-1-b . AA

V Directiv e Fig . B-l-c . Operation s Specification s Fig . B-I-d . Facilitie s an dEquipmen t Fig . B-I-e . Maintenanc e an dInspectio n Organizatio n Fig . B- 1 - f

Trainin g Progra m Fig . B-l-g . Maintenanc e o r Aircraf t Paperwor k Fig . B-l-h . Performanc e o f Maintenanc e Fig . B-l-i . SFAR3 6 Fig . B- 1 -j . Record s an dReport s Fig . B- 1 -k . Dispatc han dFligh t Releas e Rule s Fig . B-I-1 . Operatio n o f unairworth y aircraf

t Fig . B-l-m . Provision s specifi c t o passenger-carryin g Fig . B-l-n . Provision s specifi c t o flight dec k cre w Fig . B- 1 -o . Othe r

provision s Fig . B-I-p . Operation s a t airport s requirin g slot s 2 . Personne l o f

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 B- 9