^r?\ OrmmmioH U.S. DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

FEDERAL AVIATION ADMINISTRATION ,= 

mi^" ^ .„.^ 

FEDERAL AVIATION ADMINISTRATION 

Complainant, 

vs. 

AIRTRAN AIRWAYS, INC. 

Respondent. 

FAA Docket No. CP10SO0002 

Judge Benkin 

fi^ ^I t - 61 9^ 

COMPLAINANT'S ADMENDMENT TO COMPLAINT 

The Conaplainant, by and through her undersigned attorney, hereby submits in 

accordance with Section 13.214 of the Rules of Practice Complainant's amendment to the 

Complaint filed on February 24, 2010. The Complainant amends paragraph III.9 of the 

Complaint to read as follows: 

"Pursuant to 49 U.S.C. Sections 46301 (a)-(d). Respondent is subject to a civil penalty not 

to exceed $25,000 for each of the violations alleged." 

th Respectfully submitted this 26^" day of March 2010. 

^SHAWN RICH\GE0RG E /] 

Attorney ^ 

Office of the Regional Counsel 
CERTIFICATE OF SERVICE 

I certify that I have mailed a copy of the foregoing Complainant's Amendment to 

Complaint via Federal Express to: 

Stephen J. Kolski, Executive Vice President 

Operations & Corporate Affairs 

Airtran Airways, Inc. 

9955 Airtran Blvd 

Orlando, FL 32827 

and via Federal Express to: 

The Honorable Isaac D. Benkin 

DOT, Administrative Law Judge 

Office of Hearings, M-20 

Room 5411 

400 Seventh Street, SW 

Washington, DC 20590 

and 

Hearing Docket (Original + 1 copy) 

FAA, AGC-400, Room 2014 

600 Independence Avenue, SW 

Washington, DC 20591 

Dated •' 
U.S. DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

FEDERAL AVIATION ADMINISTRATION 

FEDERAL AVIATION ADMINISTRATION, 

Complainant, 

vs. 

AIRTRAN AIRWAYS, INC. 

Respondent. 

••'• " .;''-'»'i , ••=.ai2- >^i ^ ^ 'f3SK51 -. ;.5j . 

MA:; 2 ;i : m 

FAA Docket No. CP10SO0002 

Judge Benkin 

AGENCY'S RESPONSE TO RESPONDENT'S MOTION TO DISMISS COMPLAINT 

Complainant, by and through the undersigned counsel, pursuant to §13.218(d) of the 

Rules of Practice (14 Q.F.R. 13.218(d)), hereby files its Response to Respondent's Motion to 

Dismiss Complaint. In response to the motion. Complainant states the following: 

On or about October 27, 2008, the Complainant issued a Notice of Proposed Civil Penalty 

to Respondent for a violation of 14 C.F.R. Section 121.467(b)(13) of the Federal Aviation 

Regulations under the authority granted to the Complainant in Title 49 U.S.C. §46301. Title 49 

U.S.C. §46301 estabhshes that Respondent is subject to a civil penalty not to exceed $25,000 per 

violation. See Exhibit 1. The Complainant proposed a civil penalty of $15,000 for the violations 

cited therein. On February 11, 2010, the Final Notice of Proposed Civil Penalty was issued in 

this matter for $15,000 pursuant to the authority granted to the Complainant in Title 49 U.S.C. 

§46301. See Exhibit 2. The Final Notice contained a typographical error, which indicated that 

Complainant was subject to a civil penalty not to exceed $11,000. On February 17, 2010 
Respondent appealed the Final Notice and filed its Answer. The Complainant issued the 

Complaint in the matter on February 24, 2010, which also included a typographical error 

regarding the applicable civil penalty limit.' 

In the Respondent's Motion to Dismiss Complaint, Respondent argues that the 

Complainant's complaint should be dismissed because the Complainant has cited Respondent for 

violation of a specific rule for a one-time violation. Respondent further explains that 49 U.S.C. 

§46301 specifies that Respondent is subject to a civil penalty not to exceed $11,100 for a single 

violation. See Exhibit 3. Therefore, Respondent has concluded that the Complainant seeks a 

monetary civil penalty that is beyond that which can be granted. As a result, it requests that the 

Complaint be dismissed. 

However, a review of the statutory authority reveals that the monetary limitation for 

violations by persons other than individual or small business concerns under 49 U.S.C. 

§46301(a)(l)(A) or (B) is $25,000 per violation. On December 12, 2003, the President signed 

into law the "Vision 100—Century of Aviation Reauthorization Act," Public Law 108-176 

(Vision 100). Vision 100 made several changes to the FAA's authority to assess civil penalties, 

including: 

1. Reset several of the FAA's civil monetary penalty amounts for some violators. 

2. Increased the maximum civil penalties in 49 U.S.C. 46301. 

3. Revised portions of Section 46301 to create specific maximum civil monetary 

penalty amounts for individuals and small business concerns. 

' The Complainant has this date issued an Amendment to paragraph III.9 of the Conplaint issued Febraary 26*, 

2010. To read as follows: "Pursuant to 49 U.S.C. Sections 46301(a)-(d), Respondent is subject to a civil penalty not 

to exceed $25,000 for each of the violations alleged." 
See Exhibit 4, Department of Transportation Federal Aviation Administration 14 C.F.R., Part 13 

Revisions to the Civil Penalty Inflation Adjustment Rule and Tables; Final Rule. Vision 100 

provided for a general civil penalty of $25,000, maximum, for a violation of most sections in 

Title 49, including the regulations promulgated or orders issued imder authority of those sections. 

(49 U.S.C. 46301(a)(1)(A) and (B). 

By reason of the statutory limits established in Vision 100, the FAA incorporated the civil 

penalty limitations in its Table of Sanctions included in FAA Order 2150.3B effective October 1, 

2007. In the Table of Sanctions, the civil penalty ranges for civil penalty actions are based on the 

type of violator (i.e. individual, small business concern, or large business concern.) See Exhibit 

5. A review of the Table of Penalties indicates for violations commited by U.S. Air Carriers or 

U.S. Commercial Operators who are classified as large business concerns, the maximum civil 

penalty is $25,000 per violation. See Exhibit 5 at pages B-3 through B-4. The Respondent is a 

U.S. Air Carrier who meets the definition of a large business concern. As a result, the maximum 

civil penalty applicable to Respondent per violation is $25,000. Therefore, in accordance with 

Sections 46301(a)-(d) of Title 49 of the United States Code (Transportation) (49 

U.S.C.§46301(a)-(d)), Respondent is Uable for a civil penalty not to exceed $25,000 for each 

violation of the FARs. 
WHEREFORE, Complainant respectfully requests that the Respondent's Motion to 

Dimiss Complaint be DENIED. 

th Respectfully submitted this 26 day of March 2010 

Attoffley 

Office of the Regional Counsel 
CERTIFICATE OF SERVICE 

I hereby certify that a copy of the foregoing Agency Response to Respondent's Motion to 

Dismiss was mailed by Federal Express to: 

Stephen J. Kolski, Executive Vice President 

Operations & Corporate Affairs 

Airtran Airways, Inc. 

9955 Airtran Blvd 

Orlando, FL 32827 

and via Federal Express to: 

The Honorable Isaac D. Benkin 

DOT, Administrative Law Judge 

Office of Hearings, M-20 

Room 5411 

400 Seventh Street, SW 

Washington, DC 20590 

and 

Hearing Docket 

FAA, AGC-400, Room 2014 

600 Independence Avenue, SW 

Washington, DC 20591 

(Original + 1 copy) 

2 6 2010 

Dated 
Q a FILE 

Southern Region 

Office of the Regional Counsel 

U.S. Department 

of Transportation 

Federal Aviation 

Administration 

OCT 2 7Z008 

CERTIFIED - RETURN RECEIPT REQUESTED 

AND REGULAR MAIL 

P.O. Box 20636 

Atlanta, Georgia 30320 

(404) 305-5200 

(404) 305-5223 FAX 

2008SO370045 

Richard Magumo, Esq. 

Sr. Vice-president and General Counsel 

AirTran Airways, Inc. 

9955 AirTran Blvd 

Orlando, FL 32827 

NOTICE OF PROPOSED CIVIL PENALTY 

We have considered a report of investigation, including your September 15, 2008 letter, 

indicating that: 

1. At all relevant times AirTran Airways, Inc. (hereafter AirTran) held Air Carrier Operating 

Certificate ZZDA612U. 

2. From July 9 through 16, 2008, AirTran employed Christopher Martin as a flight attendant. 

3. From July 9 throughl6, 2008, Mr. Martin was scheduled for duty in air transportation as 

follows [report time-finish time (24 hour clock)]: 

a. July 9: 2000-2330 

b. July 10: 0815-1915 

c. July 11: 0530-1412 

d. July 12:0515-1546 

e. July 13: 0615-2000 

f July 14: 2000-2243 

g. July 15: 1051-2231 

h. July 16: 1717-2053 

4. From July 13 at 2000 to July 14 at 2000, AirTran assigned Mr. Martin to home call reserve 

status. 

5. Home call reserve status, while not considered duty, is not rest. 

6. AirTran scheduled Mr. Martin for duty in air transportation for seven consecutive calendar 

days without relieving him from all further duty for at least 24 consecutive hours during the 7 

consecutive calendar days. 

BCHIBTL 
ft)^ 

As a result, AirTran violated Section 121.467 (b)(13) of the Federal Aviation Regulations in that 

each certificate holder conducting domestic, flag, or supplemental operations must relieve each 

flight attendant engaged in air transportation from all further duty for at least 24 consecutive 

hours during any 7 consecutive calendar days. 

Under Title 49 U. S. C. §46301 you are subject to a civil penalty not to exceed $25,000 for each 

violation noted. By reason of the foregoing facts and circumstances, we propose to assess a civil 

penalty in the amount of $15,000. 

Enclosed is information concerning your options in responding to this Notice. The options include 

participating in an informal conference with an FAA attorney, and submission of information to the 

FAA for consideration. You must submit, in writing, your choice of the alternatives explained on 

the enclosed information form, on or before thirty (30) days after you receive this Notice. If you fail 

to submit your choice within that time, you will have no further right to participate in the two (2) 

informal procedures listed above. 

EDDIE L. THOMAS 

REGIONAL COUNSEL 

original signed by/i^LP 

By: 

RASHAWN RICH GEORGE 

Attorney 
CERTIFICATE OF SERVICE 

I hereby certify that the foregoing Notice of Proposed Civil Penalty has been sent by certified 

mail and regular mail this date to: 

Richard Magumo, Esq. 

Sr. Vice-president and General Counsel 

AirTran Airways, Inc. 

9955 AirTran Blvd 

Orlando, FL 32827 

OCT B 7 zgoa 

Dated 

cc: AirTran CMO (Orlando FL)- FSDO-37, AFS-750 

AS0-7:DES: 10/24/08 

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Federal Aviation 

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Southern Region 

Office of the Regional Counsel 

a FILE 

P.O. Box 20636 

Atlanta, Georgia 30320 

(404) 305-5200 

(404) 305-5223 FAX 

CERTIFIE ZERTIFtED - RETUR 1 N RECEIPT REQUESTED 

& REGULAR MAIL 

2008SO370045 

Richard Magumo, Esq. 

Sr. Vice-president and General Counsel 

AirTran Airways, Inc. 

9955 AirTran Blvd 

Orlando, FL 32827 

HNAL NOTICE OF PROPOSED CIVIL PENALTY 

On October 27, 2008, you were advised through a Notice of Proposed Civil Penalty that the FAA 

proposed to assess a civil penalty in the amount of $15,000. 

After considering all the evidence in this matter, it appears that: 

1. At all relevant times AirTran Airways, Inc. (hereafter AirTran) held Air Carrier Operating 

Certificate ZZDA612U. 

2. From July 9 through 16, 2008, AirTran employed Christopher Martin as a flight attendant. 

3. From July 9 through 16, 2008, Mr. Martin was scheduled for duty in air transportation as 

follows [report time-finish time (24 hour clock)]: 

a. July 9: 2000-2330 

b. July 10: 0815-1915 

c. July 11: 0530-1412 

d. July 12: 0515-1546 

e. July 13: 0615-2000 

f July 14: 2000-2243 

g. July 15: 1051-2231 

h. July 16:1717-2053 

4. From July 13 at 2000 to July 14 at 2000, AirTran assigned Mr. Martin to home call reserve 

status. 

5. Home call reserve status, while not considered duty, is not rest. 

EXHIBrL » 
6. AirTran scheduled Mr. Martin for duty in air transportation for seven consecutive calendar 

days without relieving him fi-om all further duty for at least 24 consecutive hours during the 7 

consecutive calendar days. 

7. As a result, AirTran violated Section 121.467 (b)(13) of the Federal Aviation Regulations in 

that each certificate holder conducting domestic, flag, or supplemental operations must 

relieve each flight attendant engaged in air transportation fi-om all ftirther duty for at least 24 

consecutive hours during any 7 consecutive calendar days. 

Under 49 U.S.C. Sections 4630I(a)-(d), you are subject to a civil penalty not to exceed $11,000 

for each of the violations noted. By reason of the foregoing facts and circumstances, we propose 

to assess a civil penalty in the amount of $15,000. 

Unless you mail or personally deliver, in writing, your request for a hearing in this matter, on or 

before fifteen (15) days after you receive this Final Notice, we will issue an Order Assessing 

Civil Penalty and you will have no further right to a hearing. If you do not submit a written 

request for a hearing, you must pay the proposed civil penalty. 

Your request for a hearing must be sent to the Hearing Docket, FAA, AGC-400, Room 2014, 600 

Independence Ave., SW, Washington, DC 20591, Attention: Hearing Docket Clerk, and a Copy 

must be sent to the undersigned FAA attorney. Your request must be dated and signed, in 

accordance with section 13.16 of the Federal Aviation Regulations, sent to you with the Notice of 

Proposed Civil Penalty (14 C.F.R. §13.16). 

You may pay the proposed penalty by submitting a certified check or money order payable to the 

"Federal Aviation Administration" to the undersigned. 

EDDIE L. THOMAS 

REGIONAL COUNSEL 

^-^Grt5e> ^ BY: 

RASH\W N RICH GEORG E 0 

Attorney 

Office of the Regional Counsel 
CERTIFICATE OF SERVICE 

I hereby certify that the foregoing Final Notice of Proposed Civil Penalty has been mailed by 

Certified Mail & Regular Mail to: 

Richard Magumo, Esq. 

Sr. Vice-president and General Counsel 

AirTran Airways, Inc. 

9955 AirTran Blvd 

Orlando, FL 32827 

Dated 

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For delivery information visit our website at www.usps.com 

OFFICIA L USE 

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(Endorsement Required) 

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U.S. DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

FEDERAL AVIATION ADMINISTRATION 

Federal Aviation Administration 

Complainant 

vs. 

AirTran Airways, Inc. 

Respondent 

FAA Docket No. 

Judge 

(2008SO470045) 

RESPONDENT'S MOTION TO DISMISS COMPLAINT 

In accordance with 14 C.F.R. §13.218(f)(2)(ii) Respondent files this motion to dismiss 

Complainant's COMPLAINT instead of filing an ANSWER and in support thereof 

submits the following: 

1. On February 24, 2010, Complainant filed its COMPLAINT in the above styled 

matter. 

2. On October 27, 2008, Complainant issued a Notice of Proposed Civil Penalty to 

Respondent proposing to assess a civil penalty in the amount of $15,000. 

3. On February 11, 2010, Complaint issued a Final Notice of Proposed Civil Penalty 

to Respondent proposing to assess a civil penalty on Respondent in the amount 

of $15,000. 

4. Both Complainant's October 27, 2008 Notice of Proposed Civil Penalty and its 

February 11, 2010 Final Notice of Proposed Civil Penalty cite a violation of one 

specific rule Contained in the Federal Aviation Regulations, that being FAR 

121.467(b)(3). Complainant's COMPLAINT, in Paragraph 8, does likewise. 

5. Both Complainant's October 27, 2008 Notice of Proposed Civil Penalty and its 

February 11, 2010 Final Notice of Proposed Civil Penalty $pei5if^^h^tlfg f] yj 

EXHIBIT. 3 

i j [}• MAR I 2 2010 

FA,-- RFG::NA; COUNSEL 

^CLiTHtRrJRLGiON 

Rl 

IH/ 
violation occurred one time. Complainant's COMPLAINT, in Paragraph 7, does 

likewise. 

6. 49 U.S.C. §46301 (a)-(d) specifies that Respondent is subject to a civil penalty 

not to exceed $11,100 for a single violation. Respondent's COMPLAINT, in 

Paragraph 9, recites this statute and its 'not to exceed' penalty of $11,100 for a 

single violation. 

7. Complainant seeks a civil penalty in excess of that permitted by statute. In 

paragraph 10 of its COMPLAINT, Complainant seeks a civil penalty of $15,000, 

which is in excess of that provided for in 49 U.S.C. §46301 (a)-(d). 

Complainant has consistently alleged (in its Notice of Proposed Civil Penalty, and in its 

Final Notice of Proposed Civil Penalty and in its COMPLAINT) a single violation of one 

Federal Aviation Regulation and has sought (in its Notice of Proposed Civil Penalty and 

in its Final Notice of Proposed Civil Penalty) and continues to seek (paragraph 10 of its 

COMPLAINT) a Civil Penalty of $15,000, which is an amount in excess of that provided 

for by 49 U.S.C. §4630(a)-(d). Therefore, Complainant's COMPLAINT seeks relief, in 

the form of a monetary civil penalty, which is beyond that which can be granted. Its 

COMPLAINT should be dismissed. 

WHEREFORE, Respondent requests that its Motion be granted and that Complainant's 

COMPLAINT be dismissed. 

Respectfully submitted this /lf_day of March, 2010 

len J. Kolski 

Florida Bar Number 01034082 

Executive Vice President Corporate Affairs 

AirTran Airways, Inc. 

9955 AirTran Blvd. 

Orlando, FL 32827 

Phone (407) 315-5108 

FAX: (4078)318-5901 

Emial: Steve.Kolski(a)AirTran.com 
CERTIFICATE OF SERVICE 

I hereby certify that the foregoing RESPONDENT'S MOTION TO DISMISS 

COMPLAINT has been mailed this date to: 

Federal Aviation Administration (original + 1 copy) 

800 Independence Avenue, SW 

Hearing Docket Clerk 

AGC-400, Room 2014 

Wilbur Wright Building-Suite 2W1000 

Washington, DC 20591 

Eddie L. Thomas 

Regional Counsel 

Southern Region, FAA 

P.O. Box 29636 

Atlanta, GA 30320 

Rashawn Rich George 

Attorney 

Southern Region, FAA 

P.O. Box 29636 

Atlanta, GA 30320 

Accomplished and dated this 16 day of March, 2010 at Orlando, Florida. 

Rebecca McKenzie 

Executive Assistant to Stephen J. Kolski 

Executive Vice President Operations & Corporate Affairs 

AirTran Airways, Inc. 
Tuesday, May 16,2006 

Part III 

Department of Transportation 

Federal Aviation Administration 

14 CFR Part 13 

Revisions to the Civil Penalty Inflation 

Adjustment Rule and Tables; Final Rule 

(Originally published in 71 FR 28518 (May 16,2006), with corrections published in 71 FR 

47077 (August 16,2006) and 71 FR 52407 (September 6,2006) incorporated into the text. 

N.B. changes from the August 16 correction are highlighted in yellow; changes from the 

September 6 correction are highlighted in green; changes from both the August 16 and 

September 6 document are highlighted in yellow and underlined.] 

28518 Federal Register / Vol. 71, No. 94 / Tuesday, May 16, 2006 / Rules and Regulations 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Part 13 

[Docket No. FAA-2002-11483; Amendment No. 13-33] 

RIN 212a-AI52 

Revisions to the Civil Penalty Inflation Adjustment Rule and Tables 

AGENCY: Federal Aviation Administration (FAA), DOT. 

ACTION: Final rule. 

SUMMARY: This final rule updates information in the FAA's regulations on certain civil 

monetary penalties authorized for violations of statutes and regulations we enforce in accordance 

with legislation enacted since the last update. The rule also includes references to additional and 

revised statutes and regulations. In addition, the rule makes inflation-based adjustments to civil 

penalties where indicated. Finally, it makes a technical correction to conform regulatory 

language on the inflation adjustment process to the provisions of the applicable statute. 

DATES: This amendment becomes effective June 15, 2006. 

FOR FURTHER INFORMATION CONTACT: 

Joyce Redos, Office of the Chief Counsel, Enforcement Division, AGC-300, Federal Aviation 

Administration, 800 Independence Avenue, SW., Washington, DC 20591; telephone (202) 267-

3137; facsimile (202) 267-5106; Qmzil joyce.redos@faa.gov. 

EXHIBIT. 
SUPPLEMENTARY INFORMATION: 

Availability of Rulemaking Documents 

You can get an electronic copy using the Internet by; 

(1) Searching the Department of Transportation's electronic Docket Management System 

(DMS) Web page {http://dms.dot.gov/search); visiting the FAA's Regulations and Policies Web 

page at http://www.faa.gov/residations_policJes/: or 

(2) Accessing the Government Printing Office's Web page at 

http://www.gpoaccess.gOv/fr/inde.x.html. 

You can also get a copy by sending a request to the Federal Aviation Administration, 

Office of Rulemaking, ARM-1, 800 hidependence Avenue, SW., Washington, DC 20591, or by 

calling (202) 267-9680. Make sure to identify the amendment number or docket number of this 

rulemaking. 

Anyone is able to search the electronic form of all comments received into any of our 

dockets by the name of the individual submitting the comment (or signing the comment, if 

submitted on behalf of an association, business, labor union, etc.). You may review DOT's 

complete Privacy Act statement in the Federal Register published on April 11, 2000 (Volume 

65, Number 70; Pages 19477-78) or you may visit http://dms. dot.gov. 

Small Business Regulatory Enforcement Fairness Act 

The Small Business Regulatory Enforcement Fairness Act (SBREFA) of 1996 requires 

FAA to comply with small entity requests for information or advice about compliance with 

statutes and regulations within its jurisdiction. Therefore, any small entity that has a question 

regarding this document may contact their local FAA official, or the person listed under FOR 

FURTHER INFORMATION CONTACT. You can find out more about SBREFA on the 

Internet at our site, http://www.faa.gov/regulations_policies/rulemakins/sbre act/ 

Authority for This Rulemaking 

The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the 

United States Code. Subtitle I, section 106 describes the authority of the FAA Administrator. 

Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. 

Background 

Applicable Statutes 

The Federal Civil Penalties Inflation Adjustment Act of 1990 (Adjustment Act), Public 

Law (Pub. L.) 101-410, as amended by the Debt Collection Improvement Act of 1996 

(Collection Act), Public Law 104-134, which is codified at 28 U.S.C. 2461 note, requires 

Federal agencies to adjust the minimum and maximum amounts of civil monetary penalties for 

inflation to preserve their deterrent impact. Under those laws, each agency had to make an initial 

inflationary adjustment for all applicable civil monetary penalties, and make a further adjustment 

of the penalties at least once every 4 years. 
Prior FAA Rulemakings 

In 1996 (61 FR 67445; December 20, 1996), we added subpart H, Civil Monetary Penalty 

Inflation Adjustment, to 14 CFR part 13. We adjusted the maximimi civil penalty amounts for 

violations of the statutes, regulations, and orders we enforce in accordance with part 13. In 1997, 

we made some minor corrections; that amendment was No. 13-28 (62 FR 4134). The first 

subpart H applied to violations that occurred on or after January 22, 1997. 

In Amendment No. 13-31, issued by the Administrator on December 27, 2001, and 

published in the Federal Register on February 11, 2002 (67 FR 6364), we made our second 

adjustment of civil monetary penalties under the statutes described above. To the original subpart 

H, we added adjusted civil monetary penahies for violations that occurred on or after March 14, 

2002. 

Recent Statutory Changes 

On December 12, 2003, the President signed into law the "Vision 100—Century of 

Aviation Reauthorization Act," Public Law 108-176 (Vision 100). Vision 100 made several 

changes to the FAA's authority to assess civil penalties. Vision 100: 

1. Reset several of the FAA's civil monetary penalty zimounts for some violators. 

2. Increased certain maximum civil monetary penalties in 49 U.S.C. 46301. 

3. Revised portions of section 46301 to create specific maximum civil monetary penalty 

amounts for individuals and small business concerns. 

4. Redesignated portions of section 46301; e.g., section 46301(a)(5) was redesignated as 

section 46301(a)(3). 

5. Added a new, mandatory civil penalty, 49 U.S.C. 46319, for permanent closure of an 

airport without providing the FAA sufficient notice. 

On August 10, 2005, the President signed into law the Safe, Accountable, Flexible, 

Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Public Law 109-59, 

119 Stat. 1144. Title VU of SAFETEA-LU, the Hazardous Materials Safety and Security 

Reauthorization Act of 2005, revised paragraph (a)(1) of 49 U.S.C. 5123 generally to increase to 

$50,000 the maximum civil penalty for a violation of 49 U.S.C. chapter 51, or a regulation, 

order, special permit, or approval issued thereunder. However, Title VII created an exception to 

that maximum by providing that, if a violation results in death, serious illness, or severe injury to 

any person, or substantial destruction of property, the Secretary of Transportation may increase 

the amount of the civil penalty for such violation to not more than $100,000. 

Under Title VII of SAFETEA-LU the general minimum civil penalty for a violation of 

49 U.S.C. chapter 51, or a regulation, order, special permit, or approval issued thereunder was set 

at $250; however, the minimum civil penalty for a hazardous materials training violation was 

increased to $450. 
28519 Federal Register / Vol. 71, No. 94 / Tuesday, May 16, 2006 / Rules and Regulations 

This Rulemaking 

In light of the statutory changes made by Vision 100 and SAFETEA-LU, we are making 

a variety of changes to 14 CFR part 13, subpart H, which describes the civil penalty inflation 

adjustment process and the civil penalties that apply to various violations. 

Subpart H incorporates a Table One, which specifies the maximum and minimum civil 

penalty amounts that apply to violations under 49 U.S.C. chapter 463 and 49 U.S.C. 47531 that 

occurred prior to December 12, 2003, and to violations under 49 U.S.C. chapter 51 that occurred 

prior to August 10, 2005. Table One also includes references to certain sections that were not 

included in the previous rulemakings on part 13, subpart H. 

Sections 47528 through 47530 of Title 49 prohibit the operation of certain aircraft when those 

aircraft do not comply with the Stage 3 noise levels (see 14 CFR part 91, subpart I). Section 

47531 of Title 49 provides that a person violating one of those statutory provisions is subject to 

the same civil penalty amounts and procedures under chapter 463 jis a person violating section 

44701(a) or (b), or any of secfions 44702-44716. We are also adding reference to section 

46301(a)(5) (redesignated as section 46301(a)(3) by Vision 100), which pertains to the penalty 

for diversion of aviation revenues. 

For ease of using the tables, the column "Civil monetary penalty description," contains 

abbreviated descriptions emd therefore may not be all inclusive of the types of violations covered. 

For example, although 49 U.S.C. 46318 is described as "interference with cabin or flight crew," 

violations of this section can also involve assaults on passengers. It is necessary to read fully the 

United States Code provisions cited in the first column of the tables to understand the extent of 

violations that are subject to the various civil penalties listed in the tables. 

Table Two specifies the new amounts of civil monetary penalties set or reset in Vision 

100, which apply to violations that occur on or after December 12, 2003, as well as some 

inflation adjustments that are discussed below. 

Vision 100 provided for a general civil penahy of $25,000, maximum, for a violation of 

most of the sections in Title 49 that we enforce, including the regulations promulgated or orders 

issued under authority of those secfions. (49 U.S.C. 46301(a)(1)(A) and (B).) (Note that Section 

46301 does not address violations of the hazardous materials provisions under 49 U.S.C. chapter 

51, and the $25,000 maximum civil penalty does not apply to such violations.) Section 

46301(a)(1) provides for a maximum penalty of $1,100 for violations by an individual or small 

business concern. 

However, Vision 100 also contained a new paragraph (a)(5) in section 46301, which sets 

a maximum civil penalty amount of $10,000 for individuals and small business concerns for 

violations of statutory provisions listed in paragraph (a)(5)(A)(i), or a regulation prescribed or 

order issued under those statutory provisions. Paragraph (a)(5)(A) provides an exception for "an 

airman serving as an airman;" the maximum penalty for such individuals is $1,100. While 

section 46301(a)(1)(A) contains a number of provisions not included in section 

46301(a)(5)(A)(i), the provisions cited in (a)(5)(A)(i) ahnost completely overlap with the 

provisions cited in section 46301(a)(1)(A) that are enforced by the FAA. (An example of a 

difference is that section 46301 (a)( 1 )(A) includes 49 U.S.C. 44718(a), while section 

4630l(a)(5)(A)(i) does not.) The result is that there are only two types of exceptions to the 

$10,000 statutory civil penalty liability for individuals and small businesses: First, if the alleged 
violator is an airman serving as an airman; and second, if the basis for the violated provision is 

cited in section 46301(a)(1)(A), but not cited in section 46301(a)(5)(A) (e.g., 49 U.S.C. 

44718(a)). 

The changes due to the new language in sections 46301(a)(1) and (5)(A), and described 

above, are laid out in the following table, and also reflected in Table Two. 

Alleged Violator 

Person not an individual or 

small business concern 

Person not an individual or 

small business concern 

Airman serving as an 

airman 

Airman serving as an 

airman 

Individual not an airman 

serving as an airman 

Individual not an airman 

serving as an airman 

Small business concern 

Small business concern 

Is the violated provision cited 

49 U.S.C. 46301(a)(1)? 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Yes 

Is the violated provision 

also cited in 49 U.S.C. 

46301(a)(1) 

Yes 

No 

Yes 

No 

Yes 

No 

Yes 

No 

What is the maximum 

penalty amount? 

$25,000 

$25,000 

$1,100 

$1,100 

$10,000 

$1,100 

$10,000 

$1,100 

Based on a new inflation adjustment, discussed below, the $10,000 maximum penalties 

listed in this table will become $11,000. This adjustment is reflected in Table 2. 

Section 46301(a)(5)(B) lists maximum civil penalties for specific types of violations by 

individuals and small business concerns; an airman acting as an airman is not afforded a lower 

maximum penalty under these provisions. The covered violations include those under 49 U.S.C. 

46301(a)(1) related to the transportation of hazardous materials (Title 14 of the CFR), 

registration or recordation under 49 U.S.C. chapter 441, the limitation in 49 U.S.C. 44718(d) on 

construction or establishment of landfills, and the prohibition in 49 U.S.C. 44725 on unsafe 

disposal of Hfe-limited aircraft parts. As set by Congress in Vision 100, the maximum penalty for 

violations of these provisions occurring on or after December 12, 2003 until June 15, 2006, is 

$10,000. Based on a new inflation adjustment, discussed below, for a violation occurring after 

the effective date of the rule, the maximum penalty is $11,000. 

We are adding a reference to section 46319, which provides for a mandatory civil penalty 

for each public agency that permanently closes an airport listed in the national plan of integrated 

airports without providing the notification required by that section. When the provision became 

effective on December 12, 2003, the penalty was $10,000 per day. Based on a new inflation 

adjustment, as of June 16,2006. the penalty is $11.000 per day. 

Table Two also includes citations to the sections not previously included in previous 

rulemakings in part 13, subpart H, i.e., 49 U.S.C. 47528 through 47530, 47531, and 46301(a)(3), 

formerly section 46301(a)(5). 

Vision 100 did not change section 46301(b); that section still specifies a 
28520 Federal Register / Vol. 71, No. 94 / Tuesday, May 16, 2006 / Rules and Regulations 

civil penalty not to exceed $2,000 for tampering with, disabling, or destroying a lavatory smoke 

alarm device on an aircraft providing air transportation or intrastate air transportation. In the 

1997 inflation adjustment, we increased that maximum to $2,200. Table Two lists that previously 

adjusted maximum. 

We are adding a Table Three to reflect the current maximum and minimum civil penalties 

under 49 U.S.C. 5123(a) for a violation of one of the hazardous materials transportation laws, or 

a regulation, order, special permit, or approval issued thereunder. The maximum civil penalty 

generally is $50,000 for each violation on or after August 10, 2005. We are also including the 

maximum civil penalty amount of $100,000 for a hazardous materials violation where the result 

is death, serious illness or severe injury to a person, or substantial destruction of property. That 

maximum will also apply only to a violation on or after August 10, 2005. 

In Table Three, we are leaving the minimum civil monetary penalty under 49 U.S.C. 

5123(a) for a violation at $250, except as provided for a training violation. Because the Congress 

specifically chose to increase the minimum penalty for a training violation, but did not do so for 

any other hazmat violation, we have concluded that the minimum penalty has been "reset" to 

$250. The $450 minimum civil penalty applies only to a hazmat training violation on or after 

August 10,2005. 

Civil Penalty Inflation Adjustment 

Method of Calculation 

Under the rules in part 13, subpart H, which implemented the requirements of the 

Adjustment Act, as amended by the Collection Act, we determine the inflation adjustment for 

each applicable civil penalty by increasing the maximum civil penalty or range of minimum and 

maximum civil penalty by the "cost-of-living adjustment" (COLA). Each such increase is 

rounded off, as described in section 13.305(a) of part 13. Section 5(b) of the Adjustment Act and 

section 13.305(b) define the "cost-of-living adjustment" as "the percentage (if any) for each 

civil monetary penalty by which the Consumer Price Index (CPI) for the month of June of the 

calendar year preceding the adjustment exceeds the CPI for the month of June of the calendar 

year in which the amount of such civil penalty was last set or adjusted pursuant to law." 

Thus, for this rulemaking, we looked t the increase (if any) of the CPI of June, 2005 over 

the CPI's of June of the calendar years for each of the last penalty settings or adjustments. We 

calculated the percentage of each increase, multiplied the corresponding last set or adjusted 

penalty by the percentage increase, applied the appropriate rounding-off number, and added each 

rounded number to the last set or adjusted penalty. If an increase was rounded to zero, the last set 

or adjusted penalty remained the same. 

The CPI for June, 2005 (the month of June of the calendar year preceding these 

adjustments) was 194.5. The CPI for the month of June of the calendar years in which the 

amount of each civil monetary penalty was last set or adjusted varies, depending on the particular 

provision. They are as follows: 160.3 for June 1997; 172.4 for June 2000; and 183.7 for June 

2003. 

Section 13.305(a) of the FAA's regulations describes the rounding-off numbers. An 

increase determined under section 13.305(a) is rounded to the nearest: 
(1) Multiple of $l0 in the case of penalties less than or equal to $100; 

(2) Multiple of $100 in the case of penalties greater than $100 but less than or equal to 

$1,000; 

(3) Multiple of $1,000 in the case of penalties greater than $1,000 but less than or equal 

to $10,000; 

(4) Multiple of $5,000 in the case of penalties greater than $10,000 but less than 

$100,000; 

(5) Multiple of $10,000 in the case of penalties greater than $100,000 but less than or 

equal to $200,000; 

(6) Multiple of $25,000 in the case of penalties greater than $200,000. 

Finally, regardless of the rounding formula, an initial adjustment to a penalty is limited to 

10 percent. With respect to the 10 percent limitation, this rule also amends 14 CFR 13.305(c) by 

deleting the last sentence in that paragraph and revising the remainder of the paragraph to 

conform to the actual language of section 6 to 28 U.S.C. 2461 note. The last sentence of 14 CFR 

13.305(c) incorrectly states, "[t]his limitation applies only to the initial adjustment, effective on 

January 21, 1997." Section 6 of the statute is not limited to the initial adjustment made on that 

particular date; it applies as well to the initial adjustment made to a civil penalty provision 

enacted after January 21, 1997, e.g., 49 U.S.C. 46318. 

Results of Calculations for Inflation Adjustment 

In preparing this revision to subpart H, we reviewed all the civil monetary penalty 

provisions in the FAA's statutes and applied the inflation adjustment and rounding-off formulae 

described above. We concluded that one provision not reset by Congress in Vision 100 or 

SAFETEA-LU is ready to be adjusted, i.e., 49 U.S.C. 46318 fi^om a maximum penalty of 

$25,000 to $27,500. In addition, several provisions reset in Vision 100 are subject to adjustment. 

These provisions are 49 U.S.C. 46301(a)(5)(A), 46301 (a)(5)(B)(i-iv), and 49 U.S.C. 46319. 

These are being raised from a maximum of $10,000 to $11,000. None of the provisions affected 

by SAFETEA-LU are ready to be adjusted. 

International Compatibility 

In keeping with U.S. obligations under the Convention on International Civil Aviation, it 

is FAA policy to comply with International Civil Aviation Organization (ICAO) Standards and 

Recommended Practices to the maximum extent practicable. The FAA determined that there are 

no ICAO Standards and Recommended Practices that correspond to these regulations. 

Paperwork Reduction Act 

There are no current or new requirements for information collection associated with this 

amendment. 

Good Cause 

I find good cause exists under 5 U.S.C. 553(b)(3)(B) of the Administrative Procedures 

Act for adoption of this final rule without prior notice and comment. This rule effectuates the 
intent of the Federal Civil Penalties Inflation Adjustment Act to allow for regular adjustment, for 

inflation, of civil monetary penalties and to maintain the deterrent effect of civil monetary 

penalties and promote compliance with the law. The inflation adjustments to penalties under this 

rule apply a formula mandated by Congress. It would not be in the public interest to delay these 

adjustments in order to receive public comment. In any event, such delay would not allow the 

FAA to develop any basis to change the method or application of the mandatory inflation 

adjustments. 

Executive Order 12866 and DOT Regulatory Policies and Procedures 

Executive Order 12866, Regulatory Planning and Review, directs the FAA to assess both 

the costs and benefits of a regulatory change. We are not allowed to propose or adopt a 

regulation unless we make a reasoned determination that the benefits of the intended regulation 

justify its costs. In this rule, we have adopted civil monetary penalty limits as set forth in 

legislation. We have not made any other adjustinents to the limits on civil penalties we 

prosecute. 

28521 Federal Register / Vol. 71, No. 94 / Tuesday, May 16, 2006 / Rules and Regulations 

Thus, whatever economic impact this regulation has is due solely to legislation enacted by the 

Congress, which determined that the benefits of the changes described in this rule justify the 

costs. Thus, this is not a "significant regulatory action" as defined in the Order, and we have not 

prepared a "regulatory impact analysis." Similarly, we have not prepared a "regulatory 

evaluation," which is the written cost/benefit analysis ordinarily required for all rulemaking 

proposals under the DOT Regulatory Policies and Procedures. 

Economic Evaluation 

Changes to Federal regulations must undergo several economic analyses. First, Executive 

Order 12866 directs that each Federal agency shall propose or adopt a regulation only upon a 

reasoned determination that Jthe benefits of the intended regulations justify its costs. Second, the 

Regulatory Flexibility Act of 1980 requires agencies to analyze the economic impact of 

regulatory changes on small entities. Third, the Trade Agreements Act (19 U.S.C. 2531-2533) 

prohibits agencies fi-om setting standards that create imnecessary obstacles to the foreign 

commerce of the United States. In developing U.S. standards, this Trade Act requires agencies to 

consider international standards and, where appropriate, that they be the basis of U.S. standards. 

And fourth, the Unfiinded Mandates Reform Act of 1995 requires agencies to prepare a written 

assessment of the costs, benefits, and other effects of proposed or final rules that include a 

Federal mandate likely to result in the expenditure by State, local, or tribal governments, in the 

aggregate, or by the private sector, of $100 million or more, in any one year (adjusted for 

inflation). 

However, for regulations with an expected minimal impact, the above specified analyses 

are not required. DOT Order 2100.5 prescribes policies and procedures for simplification, 

analysis, and review of regulations. If it is determined that the expected impact is so minimal that 

the proposal does not warrant a fiill evaluation, a statement to that effect and the basis for it is 

included in the proposed regulation. Since this final rule only identifies the increase in penalties 
as required by the Debt Collection Improvement Act of 1996, the impact of this rulemaking is 

minimal. 

Regulatory Flexibility Act Determination 

The Regulatory Flexibihty Act of 1980 (RFA) establishes "as a principle of regulatory 

issuance that agencies shall endeavor, consistent with the objective of the rule and of applicable 

statutes, to fit regulatory and informational requirements to the scale of the business, 

organizations, and governmental jurisdictions subject to the regulation." To achieve that 

principle, the Act requires agencies to solicit and consider flexible regulatory proposals and to 

explain the rationale for their actions. The Act covers a wide range of small entities, including 

small businesses, not-for-profit organizations and small governmental jurisdictions. 

However, if an agency determines that a proposed or final rule is not expected to have a 

significant economic impact on a substantial number of small entities, section 605(b) of the 1980 

act provides that the head of the agency may so certify and a regulatory flexibility analysis is not 

required. The certification must include a statement providing the factual basis for this 

determination, and the reasoning should be clear. 

This action simply identifies the civil monetary penalties for violations of the statutory 

and regulatory provisions we enforce. The penalty amounts are those specified by statute or 

called for under the inflation adjustment statutes, and the information in this rule is required by 

the Debt Collection Improvement Act of 1996. Consequently, we certify that this rule will not 

have a significant economic impact on a substantial number of small entities. 

International Trade Impact Assessment 

The Trade Agreements Act of 1979 prohibits Federal agencies from engaging in any 

standards or related activities that create unnecessary obstacles to the foreign commerce of the 

United States. Legitimate domestic objectives, such as safety, are not considered unnecessary 

obstacles. The statute also requires us to consider international standards and, where appropriate, 

that they be the basis for U.S. standards. In addition, consistent with the Administration's belief 

in the general superiority and desirability of fi^ee trade, it is the policy of the Administration to 

remove or diminish to the extent feasible, barriers to international trade, including both barriers 

affecting the export of American goods and services to foreign countries and barriers affecting 

the import of foreign goods and services into the United States. 

In accordance with the above statute and policy, we have assessed the potential effect of 

this final rule to be negligible. This rule only summarizes civil monetary penalties, established by 

legislation, for violations of safety provisions that apply equally to domestic and foreign entities; 

therefore, we have determined that this rule will not result in an impact on international trade by 

companies doing business in or with the United States. 

Executive Order 13132, Federalism 

The FAA has analyzed this final rule under the principles and criteria of Executive Order 

13132, Federalism. The FAA determined that this action would not have a substantial direct 

effect on the States, or the relationship between the National Government and the States, or on 
the distribution of power and responsibilities among the various levels of government. Therefore, 

the FAA has determined that this final rule does not have federalism implications. 

Unfunded Mandates Reform Act 

Title II of the Unfunded Mandates Reform Act of 1995 requires each Federal agency to 

prepare a written statement assessing the effects of any Federal mandate in a proposed or final 

agency rule that may result in an expenditure of $100 million or more (adjusted annually for 

inflation) in any one year by State, local, and tribal governments, in the aggregate, or by the 

private sector. The FAA currently uses an inflation-adjusted value of $120.7 million in heu of 

$100 million. Since this final rule only identifies the increase in penalties as required by the Debt 

Collection Improvement Act of 1996, it does not contain such a mandate. The requirements of 

Title II do not apply. 

Plain English 

Executive Order 12866 (58 FR 51735, Oct. 4, 1993) requires each agency to write 

regulations that are simple and easy to understand. We invite your comments on how to make 

these regulations easier to understand, including answers to questions such as the following: 

• Are the requirements in the regulations clearly stated? 

• Do the regulations contain unnecessary technical language or jargon that interferes with 

their clarity? 

• Would the regulations be easier to understand if they were divided into more (but 

shorter) sections? 

• Is the description in the preamble helpful in understanding the final rule? 

Please send your comments to the address specified in the ADDRESSES section. 

List of Subjects in 14 CFR Part 13 

Administrative practice and procedure. Air transportation. Hazardous materials transportation, 

28522 Federal Register / Vol. 71, No. 94 / Tuesday, May 16,2006 / Rules and Regulations 

Investigations, Law enforcement. Penalties. 

The Amendment 

• In consideration of the foregoing, the Federal Aviation Administration amends part 13 of Title 

14, Code of Federal Regulations as follows: 

PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES 

• 1. Revise the authority citation for part 13 to read as follows: 

10 
Authority: 18 U.S.C. 6002, 28 U.S.C. 2461 (note); 49 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. Amend § 13.305 by revising paragraphs (c) and (d) to read as follows: 

§ 13.305 Cost of living adjustments of civil monetary penalties. 

* :(c :tc ic :): 

(c) Limitation on initial adjustment. The initial adjustment of a civil monetary penalty under this 

subpart does not exceed 10 percent of the civil penalty amount. 

(d) Inflation adjustment. Minimum and maximum civil monetary penalties within the jurisdiction 

of the FAA are adjusted for inflation as follows: 

11 
Minimum and Maximum Civil Penalties-Adjusted for Inflation. 

Table One: Table of Minimum and Maximum Civil Monetary Penalty Amounts for Certain Violations before December 12,2003, and for 

Hazardous Materials Violations before August 10,2005. 

United States 

Code citation 

Civil monetary penalty description Minimum New adjusted Maximum penalty amount 

penalty minimum when last set or adjusted 

amount penalty pursuant to law 

amount 

New or 

adjusted 

inaximum 

penalty 

amount 

49 us e 5123(a) 

49 us e 

46301(a)(1) 

49 us e 

46301(a)(2) 

49 use 

46301(aK3KA) 

49 use 

46301(a)(3XB) 

Violation of hazardous materials 

transportation law, regulation, or order 

Violations under 49 USC 46301 (a)( 1). 

Violation under 49 USC 4630l(aXl) 

relating to the transportation of 

hazardous materials by air. 

Violation related to the registration or 

recordation under 49 USC chapter 441 

of an aircraft not used to provide air 

transportation 

$250 per Same 

violation, 

last set 1990 

N/A N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

$30,000 per violation, 

adjusted 3/13/02 

Same 

$1,I(X) per violation, adjusted Same 

1/21/1997 

$ 11 ,(X)0 per violation 

adjusted 1/21/1997 

$11,(K)0 per violation, 

adjusted 1/21/1997 

$11,000 per violation, 

adjusted 1/21/1997 

Same 

Same 

Same 

49 USC 

46301(a)(3)(e) 

49 us e 

46301(a)(3)(D) 

49 USC 

46301 (aX5) 

49 USC 

46301(b) 

49 use 

46302(a) 

49 use 46303 

49 us e 46318 

49 USC 47531 

Violation of 49 USC 44718(d) relating N/A 

to limiting construction or 

establishment of landfills. 

Violation of 49 USC 4472 relating to N/A 

the safe disposal of life-limited aircraft 

parts. 

Violation of 49 USC 47107(b) (or any N/A 

assurance made under such section) or 

49 USC 47133. 

Tampering with a smoke alarm device. N/A 

Knowingly providing false information 

about alleged violation involving the 

special aircraft jurisdiction of the 

United States 

Carrying a concealed dangerous 

weapon! 

Interference with cabin or flight crew 

Violation of 49 USC 47528-47530 

relating to the prohibition of operating 

certain aircraft not complying with 

stage 3 noise levels 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

$ 10,000 per violation, set Same 

10/9/1996 

$ 10,000, set 4/5/2000 Same 

Increase above otherwise Same 

applicable maximum ainount 

not to exceed 3 times the 

amount of revenues that are 

used in violation of such 

section 

$2,200, adjusted 1/21/1997 Same 

$11,000, adjusted 1/21/1997 Same 

$11,000, adjusted 1/21/1997 Same 

N/A 

N/A 

N/A 

N/A 

$25,000, set 4/5/2000 

See 49 USC 46301(aXl) and 

(aX2), above 

Same 

Same 

FAA prosecutes violations under this section that occurred before February 17,2002. 

12 
28523 Federal Register / Vol. 71, No. 94 / Tuesday, May 16, 2006 / Rules and Regulations 

Table Two: Table of Minimum and Maximum Civil Monetary Penalty Amounts for Certain Violations Occurring on or after December 12, 

2003. 

United States Code 

citation 

Civil monetary penalty description Minimum 

penalty 

amount 

Maximum penalty amount when last 

set or adjusted pursuant to law 

New or 

adjusted 

maximum 

penalty amount 

49 USC 

46301 (aXD 

49 USC 

46301(aXI) 

49 USC 

46301 (aXD 

49 USC 

46301(aX3) 

49 USC 

46301 (aK5)(A) 

49 use 

46301(aX5XB(i)) 

49 USC 

46301(aX5XBXii) 

49 us e 

46301(aX5XBXiii) 

49 USC 

46301 (aX5)(B)(iv) 

49 USC 46301(b) 

49 USC 46302 

49 USC 46318 

49 us e 46319 

49 us e 47531 

Violation by person other than individual or N/A 

small business concern under 49 USC 

4630l(aXlXA)or(B). 

Violation by airman serving as airman under N/A 

49 USC 46301 (aX 1XA) or (B) (but not 

covered by 46301(aX5XA) or (B)). 

Violation by individual or small business N/A 

concern under 49 USC 46301 (aX 1 XA) or (B) 

(but not covered in 46301(aX5)). 

Violation of 49 USC 47107(b) (or any N/A 

assurance made under such section) or 49 

USC 47133. 

Violation by an individual or small business N/A 

concern (except an airman serving as an 

airman) under 49 USC 4630I(a)(5XAXi) or 

(ii). 

Violation by an individual or small business N/A 

concern under 49 USC 46301(aXl) related to 

the transportation of hazardous materials. 

Violation by an individual or small business N/A 

concern related to the registration or 

recordation under 49 USC chapter 441, of an 

aircraft not used to provide air transportation. 

Violation by an individual or small business N/A 

concern of 49 USC 44718(d) relating to 

limitation on construction or establishment of 

landfills. 

Violation by an individual or small business N/A 

concern or 49 USC 44725 relating to the safe 

disposal of life-limited aircraft parts. 

Tampering with a snK>ke alarm device N/A 

Knowingly providing false information about N/A 

alleged violation involving the special aircraft 

jurisdiction of the United States 

Interference with cabin or flight crew N/A 

Permanent closure of an airport without 

providing sufficient notice 

Violation of 49 USC 47528-47530, or 

regulation prescribed or order issued under 

those sections, relating to the prohibition of 

operating certain aircraft not complying with 

stage 3 noise levels 

N/A 

N/A 

$25,000 per violation, reset No change 

12/12/2003 

$1,100 per violation, reset No change 

12/12/2003 

$I,1(X) per violation, reset No change 

12/12/2003 

Increase above otherwise applicable No change 

maximum amount not to exceed 3 

times the amount of revenues that 

are used in violation of such section 

$ 10,000 per violation, reset $ 11,000 per 

12/12/2003 violation' 

$10,000 per violation, reset $11,000 per 

12/12/2003 violation' 

$10,000 per violation, reset $11,000 per 

12/12/2003 violation' 

$10,000 per violation, reset $11,000 per 

12/12/2003 violation' 

$ 10,000 per violation, reset $ 11,000 per 

12/12/2003 violation' 

$2,200 per violation, adjusted No change 

1/21/1997 

$11,000 per violation, adjusted No change 

1/2I/I997 

$25,000 per violation, set 4/5/2000 $27,500 per 

violation' 

$ 10,000 per day, set 12/12/2003 $ 11,000 per 

violation' 

See 49 USC 46301 (a)( 1 XA) and No change 

(a)(5), above 

' The maximum penalty for a violation from 12/12/2003 until 6/15/2006 is $10,000. 

' The maximum penalty for a violation from 4/5/2000 until 6/15/2006 is $25,000. 

13 
Table Three: Table of Minimum and Maximum Civil Monetary Penalty Amounts for Hazardous Materials Violations Occurring on or after 

August 10,2005. 

United States 

Code citation 

Civil monetary penalty description Minimum penalty 

amount 

Maximum penalty 

amount 

49 USC 5123(a): 

Subparagraph (I) 

Subparagraph (2) 

Violation of hazardous materials transportation law, regulation, order, 

special permit or approval - general 

Violation of hazardous materials transportation law, regulation, order, $250 per violation, 

special permit or approval - results in death, serious illness, severe injury, or reset 8/10/2005 

substantial property destruction 

$250 per violation, $50,000 per 

reset 8/10/2005 violation, set 

8/10/2005 

$100,000 per 

violation, set 

8/10/2005 

28524 Federal Register / Vol. 71, No. 94 / Tuesday, May 16, 2006 / Rules and Regulations 

United States Code 

citation 

Civil monetary penalty description Minimum penalty 

amount 

Maximum penalty 

amount 

Subparagraph (3) Violation of hazardous materials transportation law, regulation, 

order, special permit or approval - training violation . 

$450 per violation, set $50,000 per violation, 

8/10/2005 set 8/10/2005 

Issued in Washington, DC, on April 25, 

2006. 

Marion C. Blakey, 

Administrator. 

[FR Doc. 06-^524 Filed 5-15-06; 8:45 am] 

BILLING CODE 49ia-13-P 

14 
10/01/07 2150.3B 

Appendix B 

Table of Sanctions 

All Enforcement Programs 

Except Hazardous Materials 

Part One - Abbreviations and Definitions 

1. Applicability. This table of sanctions applies to violations that occurred on or after 

October I, 2007. For violations occurring before October I, 2007, FAA enforcement personnel 

apply the sanction guidance principles in FAA Order 2150.3A using up to the statutory 

maximum sanction amount in effect at the time of the violation. 

2. Abbreviations. The following abbreviations are used in this Table: 

APIS means approved production inspection system 

A/fV means airworthiness 

A WC means airworthiness certificate 

573" means Under Secretary for Border and Transportation Security 

lA means inspection authorization 

LE means law enforcement 

PC means production certificate 

STC means supplemental type certificate 

TC means type certificate 

TFR means Temporary Flight Restriction 

TSA means Transportation Security Administration 

3. Definitions: 

a. A continuing violation arises when a specific violation occurs over more than one day 

or over more than one flight. It also may involve a violation that is ongoing.ybr example, an 

ongoing refusal to provide required records to the FAA for inspection. Punitive sanctions are 

appropriate for continuing violations that are not currently ongoing. Sanction guidsince for 

these violations is set forth in paragraphs 6 and 7 {multiple acts or multiple violations) of 

chapter 7. A combination of punitive and remedial sanctions is appropriate when continuing 

violations are ongoing. 

b. Violation committed by a small business concern. Section 503 of Vision 100—Century 

of Aviation Reauthorization Act (CARA) amended 49 U.S.C. § 46301 to change the civil 

penalty amounts the FAA may seek for violations that occur on or after December 12, 2003; 

the law sets different limits on the civil penalties the FAA may seek for violations by small 

business concerns., as opposed to violations by other entities. Vision 100 CARA gives small 

business concern the same meaning as in the Small Business Act (15 U.S.C. § 632). Section 

632 defines small business concern as an enterprise "which is independently owned and 

operated and which is not dominant in its field of operation." The Small Business 

Administration regulations implement the Small Business Act and define business concern as 

B-1 

EXHIBFL ^ — 
10/01/07 2150.3B 

"a business entity organized for profit, with a place of business located in the U.S., and which 

operates primarily within the U.S. or which makes a significant contribution to the U.S. 

economy through payment of taxes or use of American products, materials or labor." 13 

C.F.R. § 121.105. The SB A regulations ftirther define sma//6Msme55 concern in tables, 

describing each kind of entity by its economic activity or industry, and listing the limit for 

small by annual receipts or, more commonly, number of employees. (The size limits generally 

are established under the North American Industry Classification System (NAICS).) For the 

complete list, see 13 C.F.R. § 121.201 or the SBA's website at www.sba.gov. Thus, if a person 

meets the definition of business concern and has annual receipts or the number of employees 

within the applicable SBA limit, it is a small business concern, and the FAA will determine the 

civil penalty using the applicable range. Limits for common aviation entities follow (in 

numbers of employees, unless otherwise noted). 

Manufacturing 

Aircraft - 1,500 employees 

Aircraft-engine and part - 1,000 employees 

Other aircraft part and equipment - 1,000 employees 

Air transportation 

Scheduled passenger - 1,500 employees 

Scheduled freight - 1,500 employees 

Nonscheduled passenger - 1,500 employees 

Nonscheduled offshore marine passenger - $25.5 million annual receipts 

Nonscheduled freight - 1,500 employees 

Nonscheduled offshore marine freight - $25.5 million annual receipts 

Other nonscheduled - $6.5 million annual receipts 

Support activities - $6.5 million annual receipts 

Flight Training - $23.5 million armual receipts 

Airport operations 

Airport operator, organized for profit - $6.5 million annual receipts 

Other operations, excluding air traffic control - $6.5 million annual receipts 

Note that the following guidance uses large business concern for some civil penalty ranges. 

That is not a statutory or regulatory term for purposes of FAA enforcement. It includes each 

business concern that exceeds the maximum limit for small business concern, as well as any 

other entity that does not meet the definition of "small business concern." 

c. Civil Penalty Ranges. For the purpose of this table, when civil penalty action is 

recommended and described as Minimum, Moderate, or Maximum, the penalty ranges are 

defined in subparagraphs (I) through (9) of this paragraph. Note that the middle of each 

recommended sanction range would be for a single violation without aggravating or mitigating 

factors. 

B-2 
10/01/07 2150.3B 

(I) VIOLATION COMMITTED BY U.S. AIR CARRIERS OR U.S. COMMERCIAL 

OPERATOR. 

CLASSIFICATION OF AIR CARRIER AND OPERATOR 

GROUP 1 - Each air carrier operating under part 121 or part 135, with an annual operating 

revenue of $ 100,000,000 or more. Operating revenue is determined by reference to DOT's 

"Air Carrier Industry Scheduled Service Traffic Statistics Quarterly." See 

http://ostpxweb.dot.gov/aviation/index.html. and click on "Airline Financial Review." 

GROUP II - Each air carrier or commercial operator operating under part 121 with an annual 

operating revenue of less than $100,000,000, or under part 135 with an annual operating 

revenue of less than $100,000,000, if the 135 operator has 50 or more pilots and 25 or more 

aircraft on its operations specifications. Operating revenue is determined by reference to 

DOT's "Air Carrier Industry Scheduled Service Traffic Statistics Quarterly." 

GROUP 111 - Each air carrier or commercial operator operating under part 135 with 6 to 49 

pilots or 6 to 24 aircraft. 

GROUP IV - Each air carrier or commercial operator operating under part 135 with no more 

than 5 pilots and no more than 5 aircraft. 

GROUP I - large business concern 

Maximum $18,750-$25,000 

Moderate $10,000-$ 18,749 

Minimum $2,000-$9,999 

GROUP I - small business concern (for violations covered under 49 U.S.C. 

§ 46301(a)(5)(A)): 

Maximum $8,250-$ 11,000 

Moderate $4,400-$8,249 

Minimum $l,l00-$4,399 

GROUP I - small business concern (for violations covered under 49 U.S.C. § 46301(a)(1)(A) 

or (B) but not under 49 U.S.C. § 46301(a)(5XA)): 

Maximum $850-$ 1,100 

Moderate $650-$849 

Minimum $500 $649 

GROUP II - large business concern: 

B-3 
10/01/07 2150.3B 

Maximum $16,250-$25,000 

Moderate $8,750-$ 16,249 

Minimum $I,850-$8,749 

GROUP 11 - small business concern (for violations covered under 49 U.S.C. § 46301(a)(5)(A)): 

Maximum $8,250-$ II,000 

Moderate $3,850-$8,249 

Minimum $935-$3,849 

GROUP II - small business concern (for violations covered under 49 U.S.C. § 46301(a)(1)(A) 

or (B) but not under 49 U.S.C. §46301(a){5)(A)): 

Maximum $750-$ 1,100 

Moderate $450-$ 749 

Minimum $250$ 449 

GROUP III -for violations covered under 49 U.S.C. § 46301(a)(5)(A): 

Maximum $7,150-$ 11,000 

Moderate $3,300-$7,149 

Minimum $825-$3,299 

GROUP III - for violations covered under 49 U.S.C. § 46301(a)(1)(A) or (B) but not under 49 

U.S.C. §46301(a)(5)(A): 

Maximum $650-$ 1,100 

Moderate $400-$ 649 

Minimum $150-$ 399 

GROUP IV -for violations covered under 49 U.S.C. § 46301(a)(5)(A): 

Maximum $4,400-$ 11,000 

Moderate $2,200-$4,399 

Minimum $550-$2,l99 

GROUP IV - for violations covered under 49 U.S.C. § 46301(a)(l )(A) or (B) but not under 49 

U.S.C. § 46301(a)(5)(A): 

Maximum $500-$ 1,100 

Moderate $300-$499 

B-4 
10/01/07 2150.3B 

Minimum $IOO-$299 

(2) VIOLATION COMMITTED BY PART 129 OPERATOR 

Maximum $18,750-$25,000 

Moderate $10,000-$ 18,749 

Minimum $2,000-$9,999 

(3) VIOLATION COMMITTED BY PART 125 OPERATOR. 

Large Business Concem; 

Maximum $16,250-$25,000 

Moderate $8,750-$ 16,249 

Minimum $l,850-$8,749 

Small Business Concem (for violations covered under 49 U.S.C. § 46301(a)(5)(A)): 

Maximum $8,250-$ 11,000 

Moderate $3,850-$8,249 

Minimum $935-$3,849 

Small Business Concem (for violations covered under 49 U.S.C. § 46301(a)(1)(A) or (B) but 

not under 49 U.S.C. § 46301(a)(5)(A)): 

Maximum $750-$ 1,100 

Moderate $450-$749 

Minimum $250 $449 

(4) VIOLATION COMMITTED BY AIR AGENCY (INCLUDING REPAIR STATION). 

Large Business Concem: 

Maximum $16,250-$25,000 

Moderate $8,750-$ 16,249 

Minimum $l,850-$8,749 

Small Business Concem (for violations covered under 49 U.S.C. § 46301(a)(5)(A)): 

Maximum $7,150-$ 11,000 

Moderate $3,850-$7,149 

Minimum $935-$3,849 

B-5 
10/01/07 2150.3B 

Small Business Concem (for violations covered under 49 U.S.C. § 46301(a)(1)(A) or (B) but 

not under 49 U.S.C. § 46301(a)(5)(A)): 

Maximum $750-$ 1,100 

Moderate $450-$749 

Minimum $250 $449 

(5) VIOLATION COMMITTED BY AIRPORT OPERATOR. 

Large Business Concem: 

Maximum $18,750-$25,000 

Moderate $10,000-$ 18,749 

Minimum $2,000-$9,999 

Small Business Concem (for violations covered under 49 U.S.C. § 46301 (a)(5)(A)): 

Maximum $8,250-$ 11,000 

Moderate $4,400-$8,249 

Minimum $l,I00-$4,399 

Small Business Concem (for violations covered under 49 U.S.C. § 46301(a)(1)(A) or (B) but 

not under 49 U.S.C. § 46301(a)(5)(A)): 

Maximum $850-$ 1,100 

Moderate $650-$849 

Minimum $500 $649 

(6) LARGE BUSINESS CONCERN - DOES NOT HOLD CERTIFICATE 

Maximum $18,750-$25,000 

Moderate $10,000-$ 18,749 

Minimum $2,000-$9,999 

(7) SMALL BUSINESS CONCERN - DOES NOT HOLD CERTIFICATE 

For violations covered under 49 U.S.C. § 46301(a)(5)(A): 

Maximum $4,400-$ 11,000 

Moderate $2,200-$4,399 

Minimum $550-$2,199 

B-6 
10/01/07 2150.3B 

For violations covered under 49 U.S.C. § 46301(a)(1)(A) or (B) but not under 49 

U.S.C. § 46301(a)(5)(A): 

Maximum $500-$ 1,100 

Moderate $300-$499 

Minimum $IOO-$299 

(8) VIOLATION RELATING TO THE TRANSPORTATION OF A HAZARDOUS 

MATERIAL (14 CFR). THE REGISTRATION OR RECORDATION OF AN 

AIRCRAFT NOT USED TO PROVIDE AIR TRANSPORTATION. 

THE LIMITATION ON THE CONSTRUCTION OR ESTABLISHMENT OF A 

LANDFILL. OR THE SAFE DISPOSAL OF A LIFE-LIMITED AIRCRAFT PART. 

Large Business Concern (if entity is not within a more specific category, for example. 

Group I Air Carrier or Operator): 

Maximum $16,250-$25,000 

Moderate $8,750-$ 16,249 

Minimum $l,850-$8,749 

Small Business Concem (if not within a more specific category for example. Group II 

Air Carrier or Operator) or Individual: 

For violations covered under 49 U.S.C. § 46301(a)(5)(A): 

Maximum $4,400-$ 11,000 

Moderate $2,200-$4,399 

Minimum $550-$2,I99 

For violations covered under 49 U.S.C. § 46301(a)(1)(A) or (B) but not under 49 

U.S.C. § 46301(a)(5)(A): 

Maximum $500-$ 1,100 

Moderate $300-$499 

Minimum $IOO-$299 

(9) OTHER VIOLATION COMMITTED BY AN INDIVIDUAL. 

AIRMAN SERVING AS AN AIRMAN - INDIVIDUAL SERVING IN CAPACITY OF AN 

AIRMAN. ALL VIOLATIONS EXCEPT THOSE LISTED IN (8). 

Maximum $850-$ 1,100 

B-7 
10/01/07 2150.3B 

Moderate $650-$849 

Minimum $500-$649 

OTHER INDIVIDUAL - NOT SERVING IN CAPACITY OF AIRMAN. 

For violations covered under 49 U.S.C. § 46301(a)(5)(A): 

Maximum $4,400-$ 11,000 

Moderate $2,200-$4,399 

Minimum $550-$2,199 

For violations covered under 49 U.S.C. § 46301(a)(1)(A) or (B) but not under 49 

U.S.C. § 46301(a)(5)(A): 

Maximum $500-$ 1,100 

Moderate $300-$499 

Minimum $IOO-$299 

(10) ENGINEERING AND MANUFACTURING VIOLATIONS. 

Large Business Concem: 

Maximum $18,750-$25,000 

Moderate $10,000-$ 18,749 

Minimum $2,000-$9,999 

Small Business Concern or Individual (for violations covered under 49 U.S.C. § 

46301(a)(5)(A): 

Maximum $8,250-$ 11,000 

Moderate $4,400-$8,249 

Minimum $l,100-$4,399 

Small Business Concem or Individual (for violations covered under 49 U.S.C. § 

4630l(a)(lXA) or (B) but not under 49 U.S.C. § 46301(a)(5)(A): 

Maximum $850-$ 1,100 

Moderate $650-$849 

Minimum $500 $649 

B-8 
10/01/07 2150.3B 

d. Pending compliance or corrective action: injunctive relief For many kinds of violations, 

there may be circumstances where the FAA should not allow the offending entity to continue to 

operate or to continue in business. Examples include a certificate holder that does not allow an 

FAA inspector to inspect the holder's operation or facilities, or an unapproved manufacturer 

that produces aircraft parts in violation of 14 C.F.R. § 21.303. In that circumstance, suspension 

of an entity's certificate or other approval, pending compliance or corrective action, or 

injunctive relief against an entity that does not hold an FAA approval, would be appropriate. 

In egregious circumstances revocation of the entity's certificate or other approval may be 

warranted. Such action or relief may be considered in addition to the assessment of a civil 

penalty as recommended in the following tables. 

Furthermore, amendment or modification of a certificate or approval may be appropriate in the 

circumstance where a definitive part of the offending entity's operation can be safely excluded 

from the operational approval. An example is an approved aircraft parts manufacturer that 

makes multiple kinds of parts, but has quality control problems for only one kind of part. Such 

action may be considered in addition to the assessment of a civil penalty as recommended in 

the following tables. 

Fart Two - Sanction Guidance Tables 

Index 

1. U.S. Air Carriers, U.S. Commercial Operators, Part 125 Operators, and Part 129 

Operators. 

Fig. B-1 -a. Maintenance Manual 

Fig. B-1-b. AAV Directive 

Fig. B-l-c. Operations Specifications 

Fig. B-I-d. Facilities and Equipment 

Fig. B-I-e. Maintenance and Inspection Organization 

Fig. B-1 -f Training Program 

Fig. B-l-g. Maintenance or Aircraft Paperwork 

Fig. B-l-h. Performance of Maintenance 

Fig. B-l-i. SFAR36 

Fig. B-1 -j. Records and Reports 

Fig. B-1 -k. Dispatch and Flight Release Rules 

Fig. B-I-1. Operation of unairworthy aircraft 

Fig. B-l-m. Provisions specific to passenger-carrying 

Fig. B-l-n. Provisions specific to flight deck crew 

Fig. B-1 -o. Other provisions 

Fig. B-I-p. Operations at airports requiring slots 

2. Personnel of Air Carriers, Commercial Operators, and Part 125 Operators. 

Fig. B-2-a. Maintenance, including inspection 

Fig. B-2-b. Inspection 

B-9