# Description 

1 Op Spec M KHA108K, Rev 04a, 7/28/2000 - 4 pp. 

2 MFR EIR: 2012WP130065, dtd 20120917- 1 pp. 

SCHUMAN AVIATION COMPANY, LTD. 

Agency Exhibits FAA 2013 - 1080 

3 Schuman Aviation FAR 135 Op Manual, Daily Fit log- 8 pp. 

4 Ltr FAA to Mokulele Fit Svc, dtd 20121010- 1 pp. 

5 Memo to Mokulele Airlines to Monfort, dtd 20121024- 6 pp. 

6 Email Monfort to Makanikai, dtd 20120921- 10 pp. 

7 FAA Order 2050.3B 

8 14 C.F.R. 119.53 

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ID IN 

X X 

X X 

X X 

X X 

X X 

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X JN 

X JN 
U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

- ':r C~"¢ '() ro _. .,_ cJ E:oo ............................................................................ ~--~ - .c.C 

C070 . Airports Authorized for Scheduled Operations HQ Control: 0712812000 ~ 'rJ!], ?fJ ~ HQ Revision: 04a ~ ~ \1 

a. The certificate holder is authorized to conduct scheduled passenger aild cargo operations between the regular, refueling, and provisional 

airports specified in the following table. Except for alternate airports, the certificate holder shall not usc any other airpmt in the conduct of 

scheduled passenger and cargo operations. The certificate holder shall maintain a list of alternate airports which can be used and shall not use 

any alternate airport unless it is suitable for the type of aircraft being used and the kind of operation being conducted. 

b. The following definitions shall apply: 

Regular Airport. An airport approved under scheduled service to a community as the regular stop to that community. 

Refueling Airport. An airport approved as an_airpmt to which flights may be dispatched only for refueling. 

Provisional Airport. An airport approved for use by an air carrier for the purpose ofproviding scheduled service to a community when the 

regular airport serving that community is not available 

Alternate Airport. An airport at which an aircraft may land if a landing at the intended airport becomes inadvisable. 

NOTE: Refueling and provisional airports are not applicable to Pa11 135 operations; 

R = Regular, F = Refueling, A= Alternate, and P = Provisional 

The complete Airports Authorized for Scheduled Operations table begins on the next page. 

Operations into Lahaina/Kapalua(PHJH) are restricted to Day VFR operations only and route must .follow I he noise abatement 

procedures as dipicted in the Kapalua AbportOperating Procedures. 

Schuman Aviation Company, Ltd. C070-l Certificate No.: MKHAl08K 
U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

Airports Authorized for Scheduled Operations 

AIRPORTS AIRCRAFT AUTHORIZED 

Location Provisional AS-350 CE-208 PA-31 

HONOLULUIINTL, OAHU ,HI., HA WAil (U.S.); PHNL N/A - A,R,F - KAHULUI, HI.. HAWAII (U.S.); PHOG N/A - A,R,F -

KALAUPAPA, HAWAII (U.S.); PHLU N/A - R - ' 

KAPOLEI/KALAELOA (JOHN ROGERS FIELD), HI, HA WAll (U.S.); PHJR N/A - A -

LAHAINNKAPALUA-WEST MAUl, HI., HA WAH (U.S.); PHJH N/A - A.R -

LANAI CITY. LANAI, HI.. HA WAH (U.S.); PHNY N/A - A,R - MOLOKAI, KAUNAKAKAI,HI., HAW All (U.S.); PHMK N/A - A,R -

Schuman Aviation Company, Ltd. C070-2 Certificate No.: MKHA108K 

-

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CJ)UJO: Cll 

a.. 
September 17, 2012 

Memorandum for Record 

EIR:2012VVP130065 

Subject: Inspectors Statement 

On September 17, 2012, at 9:45a.m. HST, I, Joseph J. Monfort along with Inspector Kyle 

Bartler drove to Schuman Aviation Company, Ltd. to inquire about commuter operations 

into Kailua-Kona airport in support ofMokulele Airlines. VVe questioned Mr. Schuman, the 

Director of Operations, about conducting commuter flights into Kailua-Kona and he 

answered that he ha:d conducted ''Charter services" for Mokulele Airlines into Kailua-Kona 

multiple times. Mr. Schuman was under the impression that he could service Mokulele 

Airlines with on demand operations as a "Charter". VVhen explained that Mokulele 

customers purchased tickets for a published scheduled flight on a Commuter airline and that 

Schuman Aviation Company, Ltd., could not provide a lesser service than the paid ticket 

holder purchased, he disagreed saying "I could fly a charter fifty times or as many as I want 

for Mokulele Airlines, it's a Charter". 

I attempted to explain to him that flying a published scheduled route more than 5 times a 

week makes it a commuter operation and there is no way an on demand operator can ever 

service a commuter operator or provide a commuter operator with a lesser standard of 

service; he disagreed. 

VVe then asked to see the aircraft records and any dispatch information for the two Cessna 

Caravans for the month of September 2012. Mr. Schuman drummed his fingers and then 

said "No I don't think so, I have to talk to my lawyer". After a few minutes pause, I then 

asked Mr. Schuman "will you allow me and Kyle to inspect the Caravan records?" Mr. 

Schuman .then answered "No I don't think so". VVe then both asked "Are you sure you want 

to deny us access to the records?'" Mr. Schuman answered "I have to talk to my lawyer 

first". Kyle and I then got up and left his office. 

At 10:15 a.m. we returned to the FSDO and explained the events to: my Front Line 

Manager, Mr. Charles C. Cantu, the Acting FSDO Manager, Mr. Richard H. Swanson, and 

we spoke to regional counselor, Mr. Don Bobertz. Within the office we agreed that the 

denial of inspection was more grievious than the operation of inquiry. 

At 12:10 p.m. Mr. Schuman called this office and provided this office with some records of 

the Cessna Caravan flights into and out ofKailua-Kona Airport. 

End of Statement for September 17, 2012. 

If you have any questions, you may reach me at (808) 837-8365. 

M.~ Joseph Monfort 

Principal Operations Inspector 

.1 I -z_LJL-f 

./(/0 \ -j 

~/ 

Schuman 

Exhibit lt .. t:\ ... '2-

Paqe 1 of 1 
Sci an Aviation Company, Ltd· FAR 135 Operaf ; Manual 

Date 9!8!20';2 N687MA Cessna Ca1·avan 2088 

From To Start End Total 

EI""C'1:r; H.oDt'l:. :;a!cura~f:S times belov,·; 3778.'9 3778.9 

J-.!.rJ~ 0 () (.., 3778.9 ')77 'L!... (S 7 

()(: ~) {v f:~ ~,7_ ~. f _( · 7'·r · ~"7<;"> ;-.. ~.Jl.J . . ..... ~ () .l!f.. 

f"':: t< ~- '() /-' -· i"'. >) ·:;} ::.:-JD \) [3780,) 0 .7 

l) Gt. k.u n f'77&"'~3 j ')g(. \) 0 '7 

kDA C}(J ]7';<1 'D J 7~'1. 1 0 ""'"/ :.~ ~ ( kuA 'JI ~ 1, 7 ) i ~·z., '-(< (} ,7 ~,d-r:, (R!6fc, ;:cz,ga_,q 5 n:: 0 0 .:(. 

{166 ~~'1)<.\: ::in::s o <7~5 t-; 0 ,'-( 

t·l ~~·:.... 06r-- '"" .. } ".-, \.' s :'\->· \ 37't2 "'I '> ' ~ @ ~ ':! ~ :;_ \'. \1 1-' ~nf{2 .7 ·ylt-t ,l( 0 ' ... 1 

'<,C'j:... t)bE: J {£"'>, \j ( ~7~5. t 0. _, 1\ l 

\ - Total Time i~. 2 

\6 =1-:' 

Pit otiS tatic TXPD VOR ELT check ELT Bat 

1/3112014 1/31/2014 See Sheet 1/31/2013 1/3112014 

Air Frame Engine Prop AF cycles Eng Cycles 

3778.9 3778.9 1139.7 6088 6006.0 

These hours calcul<JIB automaiiCHIIy Dou1tmdr1 Only 0 0 change the 3 yellow boxes '! 

(Enctmg hobbs. AF cycles & Eng Cycles; 6088 6006.0 

SIN 20881002 

Pilot Notes 

..:.:: 

(.) 

0:4 <\l ;:: 

o.S a. 

3l =: 

O'?) ..!<: s 

U.r) ai 0 ... -- <1> (!l 

0.1 ,s::..C 

0}(/1 

0.13 ,!!!.!!! (.) 

.s::. >-

.o-; (.) () 

m...., 

os C) 0 

"0 

.... 

0~ 0 

0 

o'f <ll 

0:: i 

Next Inspection due 

50hreng I 3802.3 

Remai:l I 23.4 

lvlini/1 OOhr I 3811.1 

Remain I 32.2 

GPS Data ! 09/24/12 

Remain i 16 

F1re E:>< I o9!30I12 

Remain I 22 

Next Como I Sup lnsp 

Ldg gear ' 02/191'13 

Remain -t64 

Q.',.I·Engine Trend M onitoring !!! 

-~ (!) 

.!!l 

::l 

OAT !. 

! 

ts =: Altitude 1· 7000 ~ ~ ~--~A-S---.~~ --~~~ 

(f) (1.1 I 

s:= ITI 1 t:: 0 ·E :E: Torque 1600 

r.o ~ Prop rpm Rlr;::: 1700 ........ 

I'll (f) Eng rpm 1 "0 .:: 

"0 .... 

'"" s::: Fuel Flow j 

I \?C"f~/J'S'~(4·\>.)'G~ J ()) 

cc PIC Initials j 

8 0 

MAINTENANCE DISCREPANCIES 1-'1101 .....,,, !+ "' CORRECTIVE ACTION Mechanrc Certificate Type & 

Signature Number 

The followmg sign offs. centfy tll<Jl \11e tnspectron was completed in accordance with \11!:! Grand Caravan Flight Manual 

6 " ' 

.,.(. 

""' --~ By srgning this form. \he PIC attests that he has Pre Flight Pilot Sfgl"{~ - ~ 

como!·ed w1th 111e requirementss of FAR Part 

t 35.299c 

. .A -z;fs14 

Post Flight .c.:::::~ign-:- ,.c: ~ 

To be srgned by maintenance if compressor desalination wash was performed 

in accordance with PWC PT6A-i 14A MM chapter 71-00-00. 

Original 

Effective date 10!26/09 

A & P sign. & 

ccrt.# 

y ,..,. 

Page 6-6-3 

Schuman 

Exhibit-8fl\-3 

PaQe 1 of 8 

I i 
J-1 a t:::>..:;, r. 

o_6 

Q) )\j 

Schuman 

Exhibit ~ A ... 3 

Paqe 2 of 8 
Scrnman Aviation Company, Ltd- FAR 135 Operations Manual 

Date 9/9/2012 N687MA Cessna Caravan 2088 SIN 20881002 

From To Total Pilot Notes Next Inspection due 

50hreng 3802.3 

Rema1n 16.0 

Mini/100hr 3S1 i .1 

Remain 24.8 

GPS Data 09/24/12 

Remain 15 

Fire Ex 09/30/12 

Remain 21 

Total Time OAT 

Altitude 7000 0 :>. 

Pitot!Static TXPD VOR ELT check '''""~' :;:;. :.z: ~'.ci>'•)_.t., - ('tl 

.,:·::r~;.~:•;.~} .. ~'<~ .!:: "0 lAS Ill 4) 

1131/2014 1/31/2014 See Sheet 1/31/2013 1/31/2014 4).1:: 

- ITT ..... ::l .... 

Air·Fraine Engine Prop AF cycles ·. · Eiig Cycles'¥." c 0 Torque 1600 '§ :E 

3786.3 3786.3 1139.7 6101 6019.0 I lt) -~ Prop rpm .s;;:: 1700 

These flOurs calculate automatically. 001'1'1 touch! Only 0 0 ('tl-

"0 ~ Eng rpm cha119e the 3 yellow boxes !! I;:: 

(Ending hobbs, AF cyctes & Eng Cycles) 6101 6019.0 1: c: Fuel Flow 

~~.(~ 0 0 

~P\~111} 0 

<I> PIC Initials 0:: 

MAINTENANCE DISCREPANCIES Pilot Cert# & CORRECTIVE ACTION Mechanic CertiticateType & 

Signature Number 

The following sign offs certify that the inspect1on was completed in accordance with the Grand Caravan Flight Manual 

By signing this form, the PIC attests that he has 

compiled wi1h the reqUirementss or FAR Part 

135.299<: 

To be signed by maintenance if compressor desalination wash was performed cert # 

1n accordance with PWC PT6A-114A MM chapter 71-00-00. 

Original 

Effective date 10/26/0S Page 6-B-3 

Schuman. 

Exhibit • A ,.J 

Paqe 3 of 8 

I 

I 
Sch"rnan Aviation Company, Ltd- FAR 135 Operations Manual 

Date 9tl 0/20'12 N687MA Cessna Caravan 2088 

From To Start End 

3791.9 3791.9 

Pitot/Static TXPD 

1/31/2014 1/31/2014 See Sheet 1/31/2013 

Air Frame Enqine Prop 

3791.9 3791.9 1139.7 

These hours caleolate automatically. Don't tou::h! Only 

change the 3 yellow boxes !! 

(End•ng hobbs. AF cyctes & Eng Cycles) 

Total 

SIN 20881002 

Pilot Notes Next Inspection due 

50hreng 3802.3 

Remain 

O.l 

·~ -· I---O_A_T---+--it~()·· _ o -· Altitude 7000 £ ~ r------+--~~~ 

.!:: 't:! lAS I 1-:> If) <ll 

~ :: ITT k,;f1j c 0 -~· '§ :E Toryue 1600 

f.() .!2' Prop rpm n:l;j:; 

..., ..., 

45 ~ Eng rpm u::: 'E c Fuel Flow 0 0 (.) 

Q) 

~ PIC Initials 

1700 

l 

MAINTENANCE DISCREPANCIES PilotCert# & 

Signature CORRECTIVE ACTION Mechanic Certificate Type & 

Number 

The following sign offs certify that the inspection was completed in accordance with the Grand Caravan Flight Manual 

...--------,--------,..L--~-~""'-<:·-~'4of By signing this form. the PIC attests that he has r----...:.P...:.re::....:_FI::.=ig:.:.;h.:...t ---=:'=*"-"-:..;:....;;..;,;;,:...di~ 

complted with the requirementss of FAR Part 

135.299c 

Post Flight 

To be signed by maintenance if compressor desalination wash was performed cert~ # ~·,;; ~ 1n accordance with PWC PT6A-114A MM chapter 71-00-00. 

Original 

Effective date 10/26/09 

\ 

l 

Page 6-8-3 

Schuman 

Exhibit f (,) ,...3 

PaQe 4 of 8 
Scr"rnan Aviation Company, Ltd· FAR 135 Opera+:"'ns Manual 

Date .9/11/2012 N687MA Cessna Caravan 2088 SIN 20881 002 

From To Notes Next Inspection due 

50tlr eng 3802.3 

Remain 4.4 

Mini!100rr 3811 '1 

Remain 13.2 

GPS Dala 09/24/12 

Remain 13 

fire Ex 09/30/12 

Remain 19 

'---------'--------11--------'----+------+-----Engine Trend Monitoring !!! 

Total Time 

Pitot/Static TXPD VOR ELT check 

113112014 1/31!2014 See Sheet 1/31/2013 

Air Frame En Cline Prop AF cycles 

3797.9 3797.9 1139.7 6123 

These: hours calculale aulrlrnalil:ally Den'! touch! Only 0 

change the S yellow boxes !! 

(Ending hobbs, AF cycles & Eng Cycles) 6123 

MAINTENANCE DISCREPANCIES 

I. · . . . . 

ELt' . :· s~t~~; .~,; '~ . 

1/31/2014 

,~-~Eng CyCles'" 

6041.0 

(l 

'-' 

6041.0 

Pilot Cert # & 

Signature 

:J5 OAT 

'3 

C3 ;;::; Altitude B ~ ~----+-~~~~ 

.~ -o lAS II) lD 

s.s 

:;, ..... c 0 .E :.c: 1.1') .2'l (lJ-= 

..., ... ~ -~ Eng rpm 

"E ':; Fuol Flow 8 0 

~ PIC Initials 

CORRECTIVE ACTION 

The following sign offs certify that the inspection was completed in accordance with the Grand Caravan Flight Manual 

A.. -='>( ., __,. 

8y signing this form, \he PIC attests that he has Pre Flioht~ ~-s~~~ /i.<Yi /f./ l I / ! 

camplicd with the requirementss of FAR Part 

135.299~ 

Post Flight --- To be signed by maintenance if compressor desalination wash was pe'iormed 

in accordance with PWC PT6A-114A MM chapter i 1-00-00. 

Original 

Effective date 10/26/09 

. )/ /: V;f 

---( ' /) 

-~-

...._- ~·-- ----~ , .·I/ 

Pil~t Sig.- . # -----"'- . 

~/-- /,. . ..-

f 

'~ "'l:!' --~. -- cert # 

••ff ___ ------! 

L 

Page 6-8-3 

Schuman 

Exhibit It A - 3 

Paqe 5 of 8 
Date 9/11/2012 

From To 

Ent1I09 hobbs calculate~ umes ·eelow! 

H1Jt.- \.vJl 

ltA,f vtv.w 

~ ~.fit.,~ 

1..)./1{ I 

I ~ 

Schu . • an Aviation Company, Ltd· FAR 135 Opera, .• 1s Manual 

Caravan Daily Flight & Maintenance Form 

N865MA Cessna Caravan 2088 SIN 20880996 

Start End Total Pilot Notes 

3699.4 3699.4 .:.:: 

%q.q,'i' 0 

3699.4 ,4 &Y.. e 

.... ~-b 1tAq,q t ~~ a. 

~ == )C,qq.~ ~100-0 . \ V?n- .:.:: 3:: 

}"1GJ, D -~ -· {?;\'1, Q)o o't10 o. 'J ... - <:> <:> 

Next Inspection due 

Mlni Check 3775.5 

Remain 76.1 

GPSOata 09/25i12 

Remain 14 

Fire Ex 09/30/12 

I- l-\1.1\... \...'A<7 t10L~ "310~,g s ,{?!Yt- .r;:.C 

0')(/) 

L,I.Af 71 co, g 'bl Oo.Ci . \ \bfV C!.!~ 

Remain 19 

M.W -· (.) .!::>. t-A'f\t..- ff.tCt :nDO t.q ~LO u.f A-T (.) (.) 

I'll .... 

t::t'tCj ~- -::z;;t.O .i . 0 r.(o{." 0.~ ~ 

Q) 0 

"0 

,_ 

Kcrp... ()(A (A ~t.G ·~ ':f-62.' /).(__, A{ 0 

0 

('){'~~ ~~- ~~~2.? _.310 '2-:. (0 .. ~ 

~ 

A1 0:: 

[/(',;,.,_ r!C\. ~o(-:;r ?'1-0~-: O.(o .c-..( En 

• 

Engine TBO 3800 

Remaining 100.6 

Next Comp I Sup lnsp 

Ldg gear 07/01/13 

Remain 293 

gine Trend Monitoring !!! 

~cq C!.! Total Time t~ ·s OAT 

Pitot/Static TXPD VOR ELTcheck ELT Bat 

2/'14i2014 2/14/2014 See Sheet 2/31/2013 3/31/2014 

... -· () -· Altitude -· 7000 0:;:.., 

..... (G 

lAS I .£: ·o b Cl) (!) 

tJ).C ITT 

1-· ...... - Air Frame 

;:l ...... 01) s::: 0 

I 

Engine Prop AF cycles Eng Cycles '§ :E Torque 1600 

3699.4 3699.4 1336.0 6351 5877.0 10,!:? Prop rprn cut;: '1700 

These hours calculate automatic~l!y. Don't lm•ch! Ocly 0 ........ 

co IJJ 

chonge t;,c S yellow boxes ! ' J (Ending hobbs. AF cycles & Eng CyclE>s) 6351 5877.0 

i-oi;: 

'0 ... Eng rpm q~·Y_ .... ,.. Fuel Flow 3.3'::>" 8 0 C!.! PIC Initials 6cZ- 0! 

MAINTENANCE DISCREPANCIES Pilot Cert# & CORRECTIVE ACTION Mechanic CertificateType & 

Signature Number 

L- ~ R !IJ!hllJ -f:"Ar£.'7 ulor;N t7t-' f' ?i6B4z.q ffrf£1!1c:Ct2 )..fr~ R JJ1AMI ' ·'. 

r~ee-,1-_ e .. fJ x w B ~& 

11NP·11/6et7 ;,1;/ cb!JJJIIA 

hJ;/)11 . .:;;]J;;_fL_:?£1J:£JJ2.f/;:..~ ii{P3-~<·:_o..Q..'?;~ 

I I 

The following sign offs certify that the inspection was completed in accordance with the Grand Caravan Flight Manual.,. ·· 

By signing this form, the PIC attests \hat he has 

complied with the requiremen\ss of FAR Part 

13p.299c 

Post Flight 

To be signed by maintenance if compressor desalination wash was performed 

in accordance with PWC PT6A-114A MM chapter 71·00·00. 

Original 

A & P sign. & cert. #~J~ _A)\_? ~:!:1 

Exhibit; A .... 3 

Paqe 6 of 8 
Sch ,n Aviation Company, Ltd· FAR 135 Operr ns Manual 

Caravan Daily Flight & Maintenance Form 

Date 9/12/2012 N865MA Cessna Caravan 2088 SIN 20880996 

From To Start End Total Pilot Notes Next Inspection due 

Ending Hobbs calwlates times below! 3703.3 3703.3 .:.:: 

(.) Mini Check 3775.5 

t)b.~ 'k\.-1.<- 3703.3 11o ;.t.. ,"; e 

..... Remain 72.2 

Kf(...\L-- Ob.i.t:.. >"'J~.{.. 11ni.P. n . '-( 0. 

d> -· 

D46 ~k ~7<,'¥,0 110\t, (A .~ Q) -· 

.:.:: 3: 

\.l..1:l~ D~~ 111o"t.L I '31 ~ ·'1--- # "' iE 

Q) Q) 

~fC;{. 'S!or . ..y 11oS".1 .( ,c.C 

~ cqg 

~ 0(:1C.:., 31 t/). -::r- ?~--- J?rfi:;}ft, Cll- - (.) 

.C>. 

Ot!m&t tJ,'J!...Y...... l17b{'· ~- 1-'/0ic· 7 ,tf (.) (.) n:~ ..... 

i-1"1f>t_, • --:f "?..1ni".Pf .2- (I) 0 

~!AJ.- 06t&! '0 

... 

GPS Data 09/25/12 

Remain 13 

Fire Ex 09/30/12 

Remain 18 

Engine TBO 3800 

Remaining 96.7 

Next Comp I Sup lnsp 

0-AG.- t<'o~ --; -1 ;;I.,. '7 'irh-1-~ ·"-" 0 

(.) 

\.)..ak LA..~r~ 1-:?o:t.~ ~-t)..,,q ·'-I ~ 

Ldg gear 07/01/13 

Remain 292 

6G.b !LPA- '31trJ.q 71ot. c;- ,IJ En gine Trend Monitoring !!! 

ko/).. OG.(;., /---:;.... (I) 

Total Time 1.1) 

'5 

"?ID\S.) 1108·1 ,lf ..J.b ... 

t.l 

OAT S' ._, 

-· .\ .s Pi~ot/~_tatic TXPD VOR ELTcheck .5 

>- ltl 

"0 lAS (I) 

211412014 2/14/2014 See Sheet 2/31/2013 3/31/2014 Q) 

.... 

::l 

(I) 

.c 

.... 

- Air Frame En~ine Prop AF cycles ~~~~En~ci~cVcle~ s::: 

·e 

0 

.... 

J:: 

3703.3 3703.3 1339.9 6351 5877.0 It) 

J9 

These hours calculate automatically. Don't touch! Only c,-,-rl;- }0 1"'1-- ltl 

change the 3 yellow boxes II 

"0 

(Ending hobbs, AF cycles & Eng Cycles) -6051 ~ 'E 

0 

.!2'1 

tj: 

~ 

1.1) 

... Eng rpm 

t;:: 

s::: Fuel Flow 0 

PIC Initials 

MAINTENANCE DISCREPANCIES Pilot Cert# & CORRECTIVE ACTION Mechanic Certificate Type & 

Signature Number 

The following sign offs certify that the inspection was completed in accordance with the Grand Caravan Flight Manual 

By signing this form, the PIC attests that he has 1---....:...;:.;:....!...!!,;;;1.:..::;_ __ --l~Pt:_::'lo::.:t:..::S::..:.ig>!:n:.::·c...:&::.....::C:.::e.:..:rt::.... :;,#_~::¥-....:.__:_.L..!...!:..IIZ.c.LJ!.:!!:j!i~:...._­

complied with the requirementss of FAR Part 

135.299c 

Pilot Sign. & Cert. # 

. -To be signed by maintenance if compressor desalination washwas performed A & p·$ign. & cert. # 

in accordance with PWC PT6A-114A MM chapter 71-00-00. ---------

Schuman 

Original IB<<l~~ih!A ,. 3 

Paqe 7 of 8 
~ r;. Schu 1 Aviation Company, Ltd- FAR 135 Operat s Manual 

Caravan Daily Flight & Maintenance Form 

Date 9/13/2012 N865MA Cessna Caravan 208B 

From To Start End Total 

Ending Hobbs calculates times below! 3708.9 3708.9 

Obc,. ~ IL-Il- 3708.9 ')'1 De? J1- -'3 

M\LiL (J{,.b, !I101.:).. 'l1vct .~ .-; 

Cic,b !LOl>J 51?JQ. \' 11 ~7/0.1 -~ 

l0f.t Ob,t:Ji :1-.7! f)./ l.~r7J!) . .-~ .!1 ,lf ty'!ll~ llok 311o,·~ I~ '}[)f) ~L/ f:-b~ Ot1lu '3112>3} 11 /Jl·'-f .( 

t%~ 1'-1¥'-IL 3'1 11-t£.. 1:1'1!!.""'1 ·'1J 

kll1..!. !~~ )111·'1 r-1111--.t .-.1-

~b lebA- 37 \'2. \ 1~1 \'l-.1, • ·$"" 

fCok 6~6-\ ?1r1-.r~ .1711 .J .1£' ~~~ k-PI'C:>.- 'J'1l3.l ')"'1['3, ~..? .')' ,..--" 

~=- t?i!J«1 c.., Total Time I (~.~ Jl!-'3·0 'Ji?/<f;VPitotlStatic TXPD VOR ELT check ·· 

2/14/2014 2/14/2014 See Sheet 2131/2013 3/31/2014 

AirFrame Engine Prop AF cycles · .zEn'9~Cvctes~:iii, 

3708.9 3708.9 1345.5 .':2~ 581'1.0 

These hours calculate automatically. Oon~ touch! Only '--r l.,__ A)'~ change the 3 yellow boxes !! 

(Ending hobbs, AF cycles & Eng Cycles) _fl3&1- ~eMAINTENANCE DISCREPANCIES PilotCert# & 

Signature 

IJ ' 

8/N 208B0996 

Pilot Notes 

.:.:: 

(J 

e 

.... 

Q. 

Q) -· Q) -· .:.::$: e.2 

(I) (I) 

J:.C 

Ol(/) (1),.9;! 

- 0 J: >. 0 (J 

«l'+-

Ill 0 

'E 

0 

(,) 

(I) 

0:: 

En 

(I) 

(/) 

·s 

... 

0 

.s 

.5 

s 

:::1 

r:: 

'§ 

1.() 

!! 

«l 

"CC 

"CC 

.... 

0 

<.> 

Ill 

0:: 

CORRECTIVE ACTION 

Next Inspection due 

Mini Check 3775.5 

Remain 66.6 

GPS Data 09/25/12 

Remain 12 

Fire Ex 09/30/12 

Remain 17 

Eng!neTBO 3800 

Remaining 91.1 

Next Comp I Sup lnsp 

Ldg gear 07/01/13 

Remain 291 

gine Trend Monitoring!!! 

OAT J ~-e~ 

-· Altitude >. 

«l 

"CC lAS (I) 

J: ITT ..... 

.... 

0 

..... Tor ue J: 

Ol Prop rpm iS 

..... 

!.'! Eng rpm I+= 

c Fuel Flow 0 

PIC Initials G_;; .. 

Mechanic Certificate Type & 

Number 

The following sign offs certify that the inspection was completed in accordance with the Grand Caravan Flight Manual 

~~~~b~~P~~-~~~L __ jP~r!e£F~I~~h~t ___ 1P~i~~~tlS~~mn~.J&~~~~~-ij~~~~~~~,&~~~au~~? complied with the requirementss of FAR Part 

135.299c 

Post Flight Pilot Sign. & (" 

To be signed-by-maintenance if compressor. desalination.wash.was performed A & p sign. & cert. # 

in accordance with PWC PT6A-114A MM chapter71-00-00. ---------

Original 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

October 1 0, 2012 

Western-Pacific Region 

Honolulu Flight Standar-ds District Office 

Mokulele Flight Service, Inc. 

Mr. Darryl K. Grace 

Director of Operations 

73-350 Uu Street 

Kailua-Kana, HI 96740 

Dear Mr. Grace: 

135 Nakolo Place 

Honolulu, Hl 96819-1845 

Telephone: (808) 837-8300 

Facsimile: (808) 837-8399 

I am the Principal Operations Inspector for Schuman Aviation, Ltd. (dba: Makani Kai). I 

would like to know more about the operations Schuman Aviation, Ltd., conducted for your 

company and I am writing to you to officially request a printed copy of your published flight 

schedule for the month of September 2012. Please include a second copy of this data 

indicating all flights conducted by Schuman Aviation, Ltd., per day and what aircraft (make, 

model, registration number, and pilot) Schuman used. 

If you have any questions, you may reach me at (808) 837-8365. 

Sincerely, 

Original Signed By 

Joseph J. Monfort 

Principal Operations Inspector 

v\\r-zfl~ l}_o) 

u----1~ ? u Schuman 

Exhibit t f-\ ,.4-

Paqe 1 of 1 
MDKULELE 

AIRLINES 

Mokulele Flight Services, Inc. 73-350 U'u Street, Kailua-Kona, HI 96740 

DATE: October 24, 2012 

OCT 2 6 20!2 

TO: Joseph Monfort, POl 

"' 

FROM: Darryl Grace, General Manager/Director of Operations 

SUBJECT: Makani Kai September Operated Flights 

Aloha Mr. Joseph Monfort, 

Enclosed are the requested documents for Schuman Aviation, Ltd. dba Makani Kai. The information 

provided is to the best of my knowledge. Actual aircraft/pilot flight Jogs should be consulted for 

accuracy. 

Please contact me with any questions. 

Best Regards, 

Dan-yl Grace 

General Manager/Director of Operations 

Mokulele Airlines 

73-350 U'u Street 

Kailua-Kona, HI 96740 

0:808-93 0-5015 

C:808-23 8-7963 

E: Darryl.grace@mokulelehawaii.com 

Encl: Makani Kai Flights 
\.n 

MAKE/MODEL CESSNA208B CESSNA 208B \ CESSNA208B CESSNA208B ~ 

PILOT AndyYee Andy Vee Andy Vee Andy Vee c: S¥. <0 

Aircraft N- ro-- E :0 o 

::J::CC\1 

number N687MA N687MA N687MA N687MA ..c:xa> JSwg September-12 8 9 10 11 a.. 

Landings 1 OGG MKK OGG KOA OGG MKK OGG MKK 

2 MKK OGG KOA OGG MKK OGG MKK OGG 

3 OGG KOA OGG KOA OGG KOA OGG KOA 

4 KOA OGG KOA OGG KOA OGG KOA OGG 

5 OGG KOA OGG MKK OGG KOA OGG KOA 

6 KOA OGG MKK OGG KOA OGG KOA OGG 

7 OGG MKK OGG KOA OGG MKK OGG MKK 

8 MKK OGG KOA OGG MKK OGG N865MA 

9 OGG KOA OGG KOA OGG KOA MKK OGG 

10 KOA OGG KOA OGG KOA OGG OGG KOA 

11 OGG KOA OGG KOA KOA OGG 

12 KOA OGG KOA OGG OGG KOA 

KOA OGG 
~ \ 

CESSNA208B CESSNA208B st 

Garrett Suga Garrett Suga cf&<.o 

ro ......... E :0 o 

::::I£C'0 

N685MA N685MA 

..cxCP 

~wg 

12 13 0.. 

OGG MKK OGG MKK 

MKK OGG MKK OGG 

OGG KOA OGG KOA 

KOA OGG KOA OGG 

OGG KOA OGG KOA 

KOA OGG KOA OGG 

OGG MKK OGG MKK 

MKK OGG MKK OGG 

OGG KOA OGG KOA 

KOA OGG KOA OGG 

OGG KOA OGG KOA 

KOA OGG KOA OGG 

---;-- - -r --------------, 
September 8, 2012 

1703 OOG MKK 8!7 841 

6 

September 9, 2012 

FLT# Dep. Arrival ETD ETA 

1714 OGG KOA 945 !027 

6 

1533 KOA OGG 1053 1135 

8 5 600 

1534 OGG KOA 1.155 1237 

8 

1535 KOA OGG 13!5 1357 

8 !) 800 

1535. OGG MKK 1417 1441 

9 

1536 MKK OGG 1501 1525 

6 

1536 OGG KOA 1550 1632 

9 

1849 KOA OGG 1700 1742 

8 8 800 

1746 OGG KOA 1805 1847 

9 

1747 KOA OGG 1912 1954 

9 7 800 

8t7 

ATD 

928 

1040 

1150 

1305 

1410 --· 

1447 

1545 

1700 

1804 

1900 

MAKANI KAI FLIGHTS 

845 

ATA 

1012 

l 120 

1219 

1350 

1438 

1522 

___!ill.._ 

!742 

1847 

1C\Y;b 

Schuman / 

Exhibit t (.j /:; 

Paqe 4 of6 
September 10, 2012 

FLT# Dep. ----

Arrival ETD ETA ATD 

1703 OGO MKK 817 841 805 

8 

1714 MKK OGG 901 925 910 

6 

1714 000 KOA 945 1027 945 

5 

1533 KOA 000 1053 1135 1053 

5 6 1000 --

1534 000 KOA 1155 1237 1155 

8 -- 1535 KOA OGG 1315 1357 1310 

8 7 600 

1535 OGO MKK 1417 1441 1410 

4 

1536 MKK OGO 1501 1525 1458 

7 -- 1536 OGO KOA 1550 1632 1550 

1849 KOA OGG 1700 1742 1650 

9 8 700 

1746 OGG KOA 1805 1847 1805 

1747 KOA OGO 1912 1954 1910 

September 11, 2012 

FLT# Dep. Arrival ETD ETA ATD 

1703 000 MKK 817 841 815 

9 

1714 !VIKK OGG 901 925 842 

S+liNF 

1714 OGG KOA 945 1027 945 

6 

1533 KOA OGG 1053 1135 1053 

8 8 800 

OGG KOA 1155 1237 1155 

KOA 1315 1357 1310 

ATA 

840 

~ 

1025 --

1140 --

1237 

1350 --

1440 

1530 --

1630 

1741 --

1844 

1950 

ATA 

845 

925 

1023 

1132 

1240 

1351 

Schuman / 

Exhibit I) A .1 S 

PaQe 5 of6 
September 12, 2012 

OGG MKK 

MKK OGG 

000 KOA 

KOA OOG 

8 800 

000 KOA 

KOA OOG 

8 1000 

OGG 

i'vl KK 

OGG 

KOA 

7 

OGG 

MKK 

OGG 

KOA 

OGG 

800 

KOA 

817 841 814" 838 

90 l 925 853 _ __2_!_2_ 

945 1027 93.£_ 1019 

1053 1135 1053 1140 

1155 1237 1155 1250 

13!5 1357. 1310- 1355 

1417 1441 1412 1440 

t 501 1525 1455 

1550 1632 1542 1627 

1700 1742 1657 

l805 1847 1755 

1703 

9 

1714 

5 

1714 

5 

1533 

8 

1534 

1 

1535 

4 

1535 

9 

t536 

9 

1536 

6 

1849 

5 

1746 

2 

1747 

3 

KOA 

0 

OOG 

1000 

1912 1954 1904 

1738 

~ 

1943 

September 13, 2012 

1703 

3 

1714 

9 

1714 

8 

1533 

8 

1534 

8 

oao J:vlKK 

IV1KK OGG 

OGG KOA 

KOA OGG 

8 1000 

000 KOA 

817 

901 

94.5 

1.053 

1155 

841 ~--~ 

925 84.5 ~ 

1027 _2_~ _!Q_~ 

113.5 1053 ~ 

1237 115.5 ~ 

1535 

8 

KOA 

7 

OGG 

800 

1315 1357 1300 ~ 

1535 OGG i'vlKK 1417 1441 1412 _t440. 

9 15..36 

9 

MKK OGG 1501 1525 1458 ~ 

1536 OGG KOA 1550 1632 1545 ~~ 

8 

1849 

9 

KOA 

9 

OGO 

800 

1700 1742 1650 ~ 

.1746 

6 

000 KOA 1805 1847 _2__748 ~ 

1747 KOA 000 1912 1954 1858 .L.!li:LtL 

9 9 1000 

Legend: 

FLT #: Flight Number 

Dep.: Departure Airport 

Arrival: Arrival Airport 

ETD: Estimated Time of Departure 

ETA: Estimated Time of Arrival 

ATD: Actual Time of Departure 

ATA: Actual Time of Arrival 

Schuman r' 

Exhibit 1&-6) ,_. tJ 

Paqe 6 of6 -
Richard Schuman 

From: Joseph.J.Monfort@faa.gov 

Sent: 

To: 

Friday, September 21, 2012 8:56AM 

richard@makanikai.com 

Subject: 

yes 

Joseph J. Monfort 

Aviation Safety Inspector 

RE: Landing reports 

Honolulu Flight Standards District Office 

(808) 837-8365Telephone 

(808) 837-8399 Facsimile 

-----"Richard Schuman" <richard@makanikai.com> wrote: -----

To: Joseph J Monfort/AWP/FAA@FAA 

From: "Richard Schuman" <richard@makanikai.com> 

Date: 09/20/2012 03:23PM 

Subject: RE: Landing reports 

Is that all you needed for now? 

Richard 

From: Joseph .J. Monfort@faa .gov [ mailto :Joseph .J .Monfort@faa .gov] 

Sent: Thursday, September 20, 2012 3:12PM 

To: richard@makanikai.com 

Subject: RE: Landing reports 

This office has recieved the documents that Mac dropped off today, labeled daily flight logs. 

v/r 

Joseph J. Monfort 

Aviation Safety Inspector 

Honolulu Flight Standards District Office 

(808) 837-8365Telephone 

(808) 837-8399 Facsimile 

From: "Richard Schuman" <richard@makanikai.com> 

AWP-HNL-FSD0-13, Honolulu, HI 

To: Joseph J MonfortJAWP/FAA@FAA, 

Date: 09/20/2012 03:03PM 

Subject: RE: Landing reports 

1 ~ Schuman 

. Exhibit 1\ ' 0 

Paqe 1 of 10 
Mac should have dropped them off sometime around noon 

Richard 

From: Joseph.J,Monfort@faa.gov [mailto:Joseph.J.Monfort@faa.ggv] 

Sent: Thursday, September 20, 2012 8:10AM 

To: richard@mgkanikai.com 

Subject: Re: Landing reports 

Due to a personal emergency with my family late Tuesday evening, I was not in the office until1200pm on 

Wednesday. Please deliver the aircraft records to this office. 

v/r 

Joseph J. Monfort 

Aviation Safety Inspector 

Honolulu Flight Standards District Office 

(808) 837-8365Telephone 

(808) 837-8399 Facsimile 

From: "Richard Schuman" <richard@makanikai.com> 

AWP-HNL-FSD0-13, Honolulu, HI 

To: Joseph J Monfort/AWP/FAA@FAA. 

Date: 09/19/2012 02:43PM 

Subject Landing reports 

1 have them all now, do you want to pick them up, emailed, mailed, faxed, or delivered 

Richard Schuman 

President 

Schuman Aviation Company Ltd. 

130 lolana Place 

Honolulu, Hawaii 96819 

808-834-5813 Office 

808-306-1000 Cell 

FAA Air Carrier MKHA 1 08K 

Makani Kai Helicopters 

Makani Kai Air Charters 

Pacific Air Express 

FAA Repair Station MKHR1 08K 

2 Schuman j. 

Exhibit (1 ' ~ · PaQe 2 of 10 
Richard Schuman 

From: 

Sent: 

To: 

Subject: 

Joseph.J.Monfort@faa.gov 

Thursday, September 20, 2012 3:12 PM 

richard@ makanikai.com 

RE: Landing reports 

This office has recieved the documents that Mac dropped off today, labeled daily flight logs. 

vir 

Joseph J. Monfort 

Aviation Safety Inspector 

Honolulu Flfght Standards District Office 

(808) 837-8365Telephone 

(808) 837-8399 Facsimile 

From: "Richard Schuman" <richard@makanlkai.com> 

AWP-HNL-FSD0-13, Honolulu, HI 

To: Joseph J Monfort/AWP/FAA@FAA, 

Date: 09/20/2012 03:03PM 

Subject: RE: Landing reports 

Mac should have dropped them off sometime around noon 

Richard 

From: Joseph .J .Monfort@faa ,gov [ mailto:Joseph .J .Monfort@faa.gov] 

Sent: Thursday, September 20, 2012 8:10AM 

To: richard@makanikai.com 

Subject: Re: Landing reports 

Due to a personal emergency with my family late Tuesday evening, I was not in the office until 1200pm on 

Wednesday. Please deliver the aircraft records to this office. 

v/r 

Joseph J. Monfort 

Aviation Safety Inspector 

Honolulu Flight Standards District Office 

(808) 837-8365Telephone 

(808) 837-8399 Facsimile 

From: "Richard Schuman" <richard@makanikal.com> 

AWP-HNL-FSD0-13, Honolulu, HI 

To: Joseph J Monfort/AWPIFAA@FAA, 

Date: 09/19/2012 02:43PM 

Subject: Landing reports 

1 Schuman 

Exhibit~,.. b 

PaQe 3 of 10 
I have them all now, do you want to pick them up, emailed, mailed, faxed, or delivered 

Richard Schuman 

President 

Schuman Aviation Company Ltd. 

130 /o/ana Place 

Honolulu, Hawaii 96819 

808-834-5813 Office 

808-306-1000 Cell 

FAA Air Carrier MKHA 1 08K 

Makani Kai Helicopters 

Makani Kai Air Charters 

Pacific Air Express 

FAA Repair Station MKHR1 08K 

Hawaii Aviation Services 

2 Schuman {., 

Exhibit .(:\ " 

PaQe 4 of 10 
Richard Schuman 

From: 

Sent: 

To: 

Cc: 

Subject: 

Hi Joe, 

Richard Schuman <richard@makanikai.com> 

Tuesday, September 18, 2012 1:18 PM 

'Joseph.J.Monfort@faa.gov' 

'Edward.P.Santa-Eiena@faa.gov' 

FW: Kona 

Here is a copy of an email I sent out back in August 6. 

GOM no response is you continue to conduct business. Training Manual changes the operator has to wait for FAA 

approval. I understand both. 

Both you and Ed did not respond which I would have thought one of you would have if one of you thought this was an 

issue. 

Richard 

From: Richard Schuman [mailto:richard@makanikai.com] 

Sent: Monday, August 06, 2012 11:24 AM 

To: 'Edward. P .Santa-Eiena@faa .gov'; 'Joseph.J. Monfort@faa .gov' 

Cc: 'darryl.grace@mokulelehawaii.com' 

Subject: Kana 

Aloha Ed 

1 know Inspector is gone so I'd like to ask you for your opinion. 

Currently Schuman Aviation Company Ltd, MKHA 108K, has Op Specs to fly into Molokai, Kaluapapa, Kapalua, Lanai and 

Kahului. 

In the current arrangement were establishing with Mokulele, they may want or need my assistance in Kana. Because this 

is set up ona "Charter" bases, do I need Op Spes to fly Mokulele Passengers into or out of Kona? 

Joe said when he come back he would look into it and he has no issue. He wanted to check with the DOT. 

Should we get a call to support Mokulele into or out of Kona before Joe gets back, I would like to know the FAA's 

interpretation or opinion of such movement. Can it be done under our Part 135 On Demand Certificate? 

Mahala 

Richard Schuman 

President 

Schuman Aviation Company Ltd. 

130 /olana Place 

Honolulu, Hawaii 96819 

808-834-5813 Office 

1 Schuman ; 

Exhibit (.} rrJ) 

Paqe 5 of 10 
808-306-1000 Cell 

FAA Air Carrier MKHA 1 OBK 

Makani Kai Helicopters 

Makani Kai Air Charters 

Pacific Air Express 

FAA Repair Station MKHR108K 

Hawaii Aviation Services 

2 Schuman 1_ 

Exhibit {\- # (tl 

PaQe 6 of 10 
Richard Schuman 

From: 

Sent: 

To: 

Subject: 

Jaseph.J.Manfart@faa.gav 

Thursday, September 20, 2012 8:15 AM 

richard@ makanikai.cam 

Re: FW: Kana 

Please mail all official requests or applications to ensure receipt for this and all future issues. 1 have forwarded your 

information to National for Categorical Exclusion and permission to conduct commuter operations into and out of Kana. 

vir 

Joseph J. Monfort 

Aviation Safety Inspector 

Honolulu Flight Standards District Office 

(808) 837-8365Telephane 

(808) 837-8399 Facsimile 

From: "Richard Schuman" <rjchard@makanikai.com> 

AWP-HNL-FSD0-13, Honolulu, HI 

To: 

Cc: 

Date: 

Subject: 

Hi Joe, 

Joseph J Monfort/AWP/FAA@FAA, 

Edward P Santa-Eiena/AWP/FAA@FAA 

09/18/2012 01:18PM 

FW: Kona 

Here is a copy of an email I sent out back in August 6. 

GOM no response is you continue to conduct business. Training Manual changes the operator has to wait for FAA approval. I 

understand both. 

Both you and Ed did not respond which I would have thought one of you would have if one of you thought this was an issue. 

Richard 

From: Richard Schuman [mailta:richard@makanikgi.com] 

Sent: Monday1 August 06, 2012 11:24 AM 

To: 'Edward.P.Santa-Elena@faa.gov'; 'JosephJ.Monfort@faa.gov' 

Cc: 'darryf.grace@mokulelehawaii.com' 

Subject: Kona 

Aloha Ed 

1 know Inspector is gone so I'd like to ask you for your opinion. 

Currently Schuman Aviation Company ltd, MKHA 108K, has Op Specs to fly into Molokai, Kaluapapa, Kapalua, Lanai and Kahului. 

In the current arrangement were establishing with Mokulele, they may want or need my assistance in Kona. Because this is set up on 

1 Schuman 1 

Exhibit lA 'ltJ 

Paqe 7 of 10 
a "Charter'' bases, do I need Op Spes to fly Mokulele Passengers into or out of Kana? 

Joe said when he come back he would look into it and he has no issue. He wanted to check with the DOT. 

Should we get a call to support Mokulele into or out of Kona before Joe gets back, I would like to know the FAA's interpretation or 

opinion of such movement. Can it be done under our Part 135 On Demand Certificate? 

Mahala 

Richard Schuman 

President 

Schuman Aviation Company Ltd. 

130 lolana Place 

Honolulu, Hawaii 96819 

808-834-5813 Office 

808-306-1000 Cell 

FAA Air Carrier MKHA 1 OBK 

Makani Kai Helicopters 

Makani Kai Air Charters 

Pacific Air Express 

FAA Repair Station MKHR108K 

Hawaii Aviation Services 

2 Schuman· 1 

Exhibit r; ' \0 

PaQe 8 of 10 
Richard Schuman 

From: 

Sent: 

To: 

Subject: 

Richard, 

Joseph.J.Monfort@faa.gov 

Friday, July 20, 2012 3:46 PM 

richard@makanikai.com 

Re: Flight Service for other Commuters operations 

I have been directed to request that you provide this office a hard copy written letter with your exact specific request with 

who, what, when, and where you want to conduct this operation and this office will forward your request to Region for 

review. 

As far as a formal legal interpretation of a Federal Aviation Rule I will have to call regional legal department on Monday on 

how to get this done. 

At this point in time the Honolulu FSDO does not find this interpretation of the rule applicable to your proposed scenario. 

v/r 

Joseph J. Monfort 

Aviation Safety Inspector 

Honolulu Flight Standards District Office 

(808) 837-8365Telephone 

(808) 837-8399 Facsimile 

From: 

To: 

Date: 

Subject: 

Hi Joe 

"Richard Schuman" <richard@makaoikai.com> 

Joseph J Monfort/AWP/FAA@FAA 

07/19/201212:13 PM 

Flight Service for other Commuters operations 

Referring to FAA 119.53 (f). 

Schuman Aviation Company Ltd is asking for an interpretation of this rule and authority from the Administrator. 

If another FAA Part 121 or 135 Operation calls Schuman Aviation requesting air support, can we support? 

we believe we can conduct one or more flights for passengers who are stranded because of the cancellation of another Air Carriers 

scheduled flights. We would do these flights with the approval of the Administrator in the case of intra state common carriages 

operations. 

We would conducted these flight under Part 135 applicable to on demand operations. 

Please advise. 

1 Schuman 1 

Exhibit A ,I~ 

Paqe 9 of 10 
Mahalo 

Richard Schuman 

President 

Schuman Aviation Company Ltd. 

130 lo!ana Place 

Honolulu, Hawaii 96819 

808-834-5813 Office 

808-306-1000 Cell 

FAA Air Carrier MKHA 108K 

Makani Kai Helicopters 

Makani Kai Air Charters 

Pacific Air Express 

FAA Repair Station MKHR108K 

Hawaii Aviation Services 

2 Schuman /_ 

Exhibit Y~ '"" 

Paqe 10 of 10 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

National Policy 

SUBJ: FAA Compliance and Enforcement Program 

ORDER 

2150.38 

Effective Date: 

10/01/07 

This order contains policies, procedures, and guidelines for the Federal Aviation Administration's 

compliance and enforcement program. The order also articulates the FAA's philosophy for using 

various remedies, including education, corrective action, informal action, remedial training, 

administrative action, and legal enforcement action, to address noncompliance with statutory and 

regulatory requirements enforced by the FAA. It provides for the public a written statement of the 

Administrator's policy guidance for imposing sanctions for violations of such requirements. 

The order is used at all levels by agency personnel who are engaged in the investigation, reporting, 

and processing of enforcement actions. It applies to all offices with regulatory responsibilities. 

This revision of the order comprehensively updates policies, procedures, guidance, and assignments of 

responsibility. It reorganizes the order in a manner more useful for agency personnel and is available 

electronically to agency personnel and the public. The revision amends agency sanction guidance to 

conform to statutory changes resulting from Vision lOOCentury of Aviation Reauthorization Act and 

incorporates guidance into the agency's compliance and enforcement program order on policies and 

programs that have developed since the last comprehensive order revision in 1988. Those include 

policies relating to the FAA's exercise of its authority to administratively assess civil penalties and 

guidance on the agency's voluntary safety programs. 

A workgroup of agency personnel from the field and headquarters with extensive experience in 

statutory and regulatory enforcement reviewed the agency's policies and programs in this area to 

produce this comprehensive revision of the agency order on its compliance and enforcement program. 

Robert A. Sturg 

Acting Admin' 

Distribution: A-W-l;A-W (AT/PS/SM)-2;A-W (PP/AM/SF/ 

GCIFS!IANS)-3;A-XYZ (A T/AF/CS)-2;Z-X (AS/AM/GC/FS)-3; 

A-Y (AM/AR1GC)-3;A-Z (AM/AN/GC)-3;A-FAC/FACIFCS-O; 

A-F AF/FA T/FIA-O(L TD);ZFS-325 

Schuman Aviation 

Exhibit A -1 

Initiated By: AGC-300 
10/01/07 

AppendixB 

Table of Sanctions 

All Enforcement Programs 

Except Hazardous Materials 

Part One - Abbreviations and Definitions 

2150.38 

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

October 1, 2007. For violations occurring before October 1, 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/W means airworthiness 

A WC means airworthiness certificate 

BTS means Under Secretary for Border and Transportation Security 

IA 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,jor 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 guidance 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 
10/01/07 2150.38 

"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 SBA regulations further define small business 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 annual 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 ofF AA 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 (1) through (9) ofthis 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 2150.38 

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

OPERATOR. 

CLASSIFICATION OF AIR CARRIER AND OPERA TOR 

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

revenue of$1 00,000,000 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.htrnl, and click on "Airline Financial Review." 

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

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

revenue ofless 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 III- 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 

Moderate 

Minimum 

$18,750-$25,000 

$10,000-$18,749 

$2,000-$9,999 

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

§ 46301(a)(5)(A)): 

Maximum 

Moderate 

Minimum 

$8,250-$11,000 

$4,400-$8,249 

$1,100-$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)(5)(A)): 

Maximum 

Moderate 

Minimum 

$850-$1,100 

$650-$849 

$500$649 

GROUP II-large business concern: 

B-3 
10/01/07 2150.38 

Maximum $16,250-$25,000 

Moderate $8,750-$16,249 

Minimum $1,850-$8,749 

GROUP II- small business concern (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 

GROUP II- small business concern (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 $7 50-$1,100 

Moderate $450-$ 7 49 

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)(l)(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-$2,199 

GROUP IV- 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 

B-4 
10/01/07 2150.38 

Minimum $100-$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 Concern: 

Maximum $16,250-$25,000 

Moderate $8,750-$16,249 

Minimum $1,850-$8,749 

Small Business Concern (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 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 

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

Large Business Concern: 

Maximum $16,250-$25,000 

Moderate $8,750-$16,249 

Minimum $1,850-$8,749 

Small Business Concern (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 2150.38 

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 

(5) VIOLATION COMMITTED BY AIRPORT OPERATOR. 

Large Business Concern: 

Maximum $18,750-$25,000 

Moderate $10,000-$18,749 

Minimum $2,000-$9,999 

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 $1,100-$4,399 

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 $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 

8-6 
10/01/07 2150.38 

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 $100-$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 $8,7 50-$16,249 

Minimum $1,850-$8,749 

Small Business Concern (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-$2,199 

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 $100-$299 

(9) OTHER VIOLATION COMMITTED BY AN INDIVIDUAL. 

AIRMAN SERVING AS AN AIRMAN - INDIVIDUAL SERVING IN CAP A CITY OF AN 

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

Maximum $850-$1,100 

B-7 
10/01/07 

Moderate 

Minimum 

$650-$849 

$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 

2150.38 

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 $100-$299 

(1 0) ENGINEERING AND MANUFACTURING VIOLATIONS. 

Large Business Concern: 

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 $1,100-$4,399 

Small Business Concern or Individual (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 

B-8 
10/01/07 2150.38 

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.P.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. 

Part Two- Sanction Guidance Tables 

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. A/W Directive 

Fig. B-1-c. Operations Specifications 

Fig. B-1-d. Facilities and Equipment 

Fig. B-1-e. Maintenance and Inspection Organization 

Fig. B-1-f. Training Program 

Fig. B-1-g. Maintenance or Aircraft Paperwork 

Fig. B-1-h. Performance ofMaintenance 

Fig. B-1-i. SFAR36 

Fig. B-1-j. Records and Reports 

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

Fig. B-1-1. Operation ofunairworthy aircraft 

Fig. B-1-m. Provisions specific to passenger-carrying 

Fig. B-1-n. Provisions specific to flight deck crew 

Fig. B-1-o. Other provisions 

Fig. B-1-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 
10/01/07 

Fig. B-2-c. Records and Reports 

Fig. B-2-d. Flight operations 

Fig. B-2-e. Other provisions applicable to individual certificate holders 

Fig. B-2-f. Other Air Carrier Personnel 

2150.38 

3. Individuals and General Aviation- Owners, Pilots, Repair Stations, Pilot Schools, 

Maintenance Personnel. 

Fig. B-3-a. Owners and Operators Other Than Required Crewmembers 

Fig. B-3-b. Repair Stations 

Fig. B-3-c. ID Plate Violations 

Fig. B-3-d. Part 141 Pilot Schools 

Fig. B-3-e. General Aviation Maintenance Personnel 

Fig. B-3-f. Student Operations 

Fig. B-3-g. Flight Instructors 

Fig. B-3-h. Other Violations 

Fig. B-3-i. Weather Operations 

Fig. B-3-j. 14 C.F.R. 91.13(a), Careless or reckless operation so as to endanger (independent 

violation) 

Fig. B-3-k. Passenger operations 

Fig. B-3-1. Acting or attempting to act as a crewmember under the influence of drugs or 

alcohol; consumption of alcohol before operating an aircraft 

Fig. B-3-m. Crime; security risk; falsification 

Fig. B-3-n. Miscellaneous 

Fig. B-3-o. Operations at Airports Requiring Slots 

Fig. B-3-p. Unruly passengers 

Fig. B-3-q. Other Violations by Passengers 

4. Dill/DWI Program, Falsification of Drug Convictions and Airman Medical 

Certificate Violations. 

Fig. B-4-a. Sanctions related to DUI/DWI Program 

Fig. B-4-b. Airman Medical Certificate Violations 

Fig. B-4-c. Drug convictions - no falsification involved 

5. Drug and Alcohol Testing Violations. 

Fig. B-5-a. Drug and alcohol testing violations 

Fig. B-5-b. Coverage 

Fig. B-5-c. Pre-employment drug testing 

Fig. B-5-d. Random drug and alcohol testing 

Fig. B-5-e. Post-accident drug and alcohol testing 

Fig. B-5-f. Reasonable cause drug and reasonable suspicion alcohol testing 

Fig. B-5-g. Return to duty drug and alcohol testing 

B-10 
10/01/07 

Fig. B-5-h. Follow-up drug and alcohol testing 

Fig. B-5-i. Retesting covered employees 

Fig. B-5-j. Inappropriate testing 

Fig. B-5-k. Administrative and other matters 

Fig. B-5-1. Medical Review Officer (MRO) 

Fig. B-5-m. Substance Abuse Professional (SAP) referral and evaluation 

Fig. B-5-n. Employee Assistance Program 

Fig. B-5-o. Alcohol misuse information, training, and referral 

Fig. B-5-p. Violations of the drug and alcohol prohibitions 

Fig. B-5-q. Employees located outside the Territory of the U.S. 

Fig. B-5-r. Specimen collection 

Fig. B-5-s. Laboratory issues 

Fig. B-5-t. Alcohol testing 

Fig. B-5-u. Consequences to the uncertificated individual 

Fig. B-5-v. Consequences to the certificated individual 

6. Airport Operators. 

Fig. B-6-a. Certification 

Fig. B-6-b. Certification Manual 

Fig. B-6-c. Operations 

7. Violations of Noise Provisions. 

Fig. B-7-a. Aircraft Noise (14 C.F.R. part 91, subpart I) 

8. Violations of Pilot Records Improvement Act (PRIA). 

Fig. B-8-a. PRIA 

9. Engineering and Manufacturing Violations. 

Fig. B-9-a. APIS Holders, including production under type certificate 

Fig. B-9-b. Production Certificate Holders 

Fig. B-9-c. Designees 

2150.38 

Fig. B-9-d. Technical Standard Order Authorization (TSOA), Letter of Design Approval, and 

Letter of Acceptance Manufacturers 

Fig. B-9-e. Replacement or Modification Parts Manufacturers 

Fig. B-9-f. All Production Approval Holders 

Fig. B-9-g. TC or STC Holder; Manufacturers and Alteration Entities 

Fig. B-9-h. All persons, including designees 

10. Aircraft Owner/Operator Registration Violations. 

Fig. B-10. Registration 

8-11 
10/01/07 2150.38 

11. All individuals and entities: Failure to Surrender Certificate, Authorization, or Other 

Approval. 

Fig. B-11. 

1. U.S. AIR CARRIERS, U.S. COMMERCIAL OPERATORS, PART 125 OPERATORS, AND 

PART 129 OPERATORS. 

Fig. B-1-a. Maintenance Manual Civil Penalty Certificate 

Action 

(1) Failure to maintain current manual Minimum Up to 7-day 

j sus:Q_ension 

(2) Failure to provide adequate Moderate to Maximum 

instructions and procedures in 

manual 

_{3) Failure to distribute manual to appropriate _l)_ersonnel Minimum to Moderate 

( 4) Release of aircraft without required equipment Moderate to Maximum Up to 7-day 

suspension 

Fig. B-1-b. AJW Directive Civil Penalty Certificate 

Action 

(1) Failure to com:Q_ly Moderate to Maximum 

Fig. B-1-c. Operations Specifications Civil Penalty Certificate 

Action 

(1) Exceed inspection or overhaul time limitation Moderate Up to 7-day 

suspension 

(2) Operation contrary to ops specs- technical Minimum 

noncompliance 

(3) Operation contrary to ops specs -likely potential or actual Moderate to Maximum 

adverse effect on safe operation 

Fig. B-1-d. Facilities and Equipment Civil Penalty Certificate 

Action 

(1) Failure to provide adequately for proper servicing, Maximum Indefinite 

maintenance, repair, or inspection of facilities and equipment Suspension 

until proper 

servicing, 

maintenance, 

repair and 

inspection of 

facilities and 

equipment is 

provided to 

Revocation 

B-12 
10/01/07 2150.38 

Fig. B-1-e. Maintenance and Inspection Organization Civil Penalty Certificate 

Action 

(1) Failure to provide or maintain a maintenance and Maximum Indefinite 

inspection organization Suspension 

until an 

appropriate 

maintenance 

and 

inspection 

organization 

is provided to 

Revocation 

Fig. B-1-f. Training Program Civil Penalty Certificate 

Action 

(1) Failure to have training program Maximum Indefinite 

Suspension 

until 

compliance 

to 

Revocation 

(2) Failure to maintain training program Moderate to Maximum 

(3) Failure to train personnel adequately Moderate to Maximum 

Fig. B-1-g. Maintenance or Aircraft Paperwork Civil Penalty Certificate 

Action 

(1) Incomplete or unsigned release Minimum to Maximum 

(2) Failure to revise ale data after repair Moderate to Maximum 

Fig. B-1-h. Performance of Maintenance Civil Penalty Certificate 

Action 

( 1) By unauthorized person Maximum 

@ Failure to perform or improper maintenance Moderate to Maximum 

Fig. B-1-i. SF AR 36 Civil Penalty Certificate 

Action 

(1) Failure to comply- second offense Maximum 

Fig. B-1-j. Records and Reports Civil Penalty Certificate 

Action 

(1) Deliberate violation 

(a) Intentionally false or fraudulent entry, Revocation 

reproduction, or alteration in record or 

report 

(b) Other 180-day 

Suspension 

to 

Revocation 

B-13 
10/01/07 2150.38 

Fig. B-1-j. Records & Reports cont. Civil Penalty Certificate 

Action 

(2) Failure to make accurate mechanical interruption summary Moderate to Maximum 

report 

(3) Failure to make available report of major alteration or Moderate to Maximum Indefinite 

repair Suspension 

to 

Revocation 

_(4)_ Failure to make accurate mechanical reliability report Moderate to Maximum 

(5) Failure to make required entry in aircraft log Minimum to Maximum 

(6) Failure to make available pilot record Moderate to Maximum Indefinite 

Suspension 

to 

Revocation 

(7) Failure to make available load manifest Moderate to Maximum Indefinite 

Suspension 

to 

Revocation 

(8) Failure to monitor and record enroute radio communication Moderate to Maximum 

Fig. B-1-k. Dispatch and Flight Release Rules Civil Penalty Certificate 

Action 

(1) Any violation of subpart U of 14 CFR part 121 Moderate to Maximum 

Fig. B-1-l. Operation of unairworthy aircraft Civil Penalty Certificate 

Action 

(1) Technical non-conformity to TC; no likely effect on safe Minimum 

QQeration 

(2) Non-conformity to TC that may have, or has, adverse Moderate to Maximum 

effect on safe operation 

(3) Release of aircraft without required equipment Moderate to Maximum Up to 7-day 

suspension 

Fig. B-1-m. Provisions specific to passenger-carrying Civil Penalty Certificate 

Action 

(1) Boarding, or serving alcoholic beverage to, a person who Maximum 

appears to be intoxicated 

(2) Failure to brief passengers Moderate to Maximum 

(3) Failure to ensure seat and belt for each passenger Maximum 

(4) Operation w/o operable public address system Maximum 

(5) Failure to store baggage properly Moderate 

Fig. B-1-n. Provisions specific to flight deck crew Civil Penalty Certificate 

Action 

(1) Use of crewmember with expired medical certificate Minimum to Moderate 

(2) Failure to make flight deck seat available to authorized Maximum 

enroute inspector 

B-14 
Westtaw, 

2012 WL 3552914 (D.O.T.) 

Memorandum 

Department of Transportation (D.O.T.) 

Federal Aviation Administration 

Legal Interpretation 

*1 August 9, 2012 

To: Les Smith, Manager, Air Transportation Division, AFS-200 

From: Rebecca B. MacPherson, Assistant Chief Counsel for Regulations, AGC-200 

Prepared by: Dean E. Griffith, Attorney, AGC-220 

Page 1 

Subject: Clarification of 14 C.F .R. § 1.19. 53 - Wet Leasing of Aircraft and Other Arrangemenss for Transportation 

by Air. 

This memorandum is in response to your April16, 2012 request for interpretation of 14 C.F.R. § 119. 53 pertaining to 

the wet leasing of aircraft and other arrangements for transportation by air. In your request you ask four questions 

arising from a situation in which an air carrier, authorized to conduct domestic and flag operations, sought to conduct 

flights on behalf of another certificate holder under the provisions of§ 119. 53( e). The questions are addressed below. 

Question 1 

May a part 121 certificate holder that is authorized only to conduct supplemental operations conduct a substitute 

operation under § 119. 53( e) on behalf of a certificate holder that is authorized to conduct domestic, flag, and supplemental operations? 

To conduct an operation for another certificate holder, § 119. 53( e) requires, in part, that a certificate holder be "authorized under its operations specifications to conduct the same kinds of operations"[FNlJ as the other certificate holder. 

The regulatory history is clear on this point. The FAA stated in the notice of proposed rulemaking proposing this 

section that "a certificate holder may not contract to perform any flight it is not authorized to perform by its own 

operations specifications."60 Fed. Reg. 16230, 16262 (Mar. 29, 1995). To perform the flights the substitute carrier 

"must have operations specifications authorizing it to perform domestic, flag, or commuter rules [operations] just as 

the original certificate holder would have."/d. The FAA reemphasized in the final rule that operators under .§...!.l2., 

53(e) needed to conduct substitute operations under the same operations specifications as the original certificate 

holder. See60 Fed. Reg. 65832, 65884 (Dec. 20, 1995). Accordingly, apart 121 certificate holder that only holds 

authorization to conduct supplemental operations could conduct a substitute operation under supplemental rules, but 

would not be able to conduct substitute op~rations under domestic or flag rules.[FNZJ 

© 2013 Thomson Reuters. No Claim to Orig. US Gov. Works. 

Schuman Aviation 

Exhibit A- b 
Page2 

Question 2 

May a certificate holder that is authorized to conduct domestic and supplemental operations conduct a substitute 

operation under§ 119. 53( e) outside of the United States, on behalf of a certificate holder who is authorized to conduct 

flag operations? 

As discussed in the answer to the first question, a certificate holder conducting a substitute operation under § 119. 

53( e) must be authorized under its operations specifications to conduct the same kinds of operations as the original 

certificate holder. Therefore, a certificate holder that is not authorized to conduct flag operations may not conduct 

substitute flag operations for another certificate holder. 

Question 3 

*2 Does § 119. 53( e) permit a part 119 certificate holder to conduct substitute operations for a foreign air carrier that 

conducts operations under part 129? You also asked what is the regulatory basis, if any, for a "charter agreement" that 

would allow a part 119 certificate holder to conduct operations utilizing the flight number and call sign of a part 129 

foreign air carrier? 

A part 119 certificate holder could conduct substitute operations for a foreign air carrier under the terms of§ 119. 

53( e). The text of the regulation provides that a certificate holder may conduct an operation for a foreign air carrier 

under part 129 if the substitute carrier: (1) holds applicable Department of Transportation economic authority, if 

required, and (2) is authorized under its operations specifications to conduct the same kinds of operations as the foreign air carrier that arranges for the substitute operation. See§ 119. 53( e). 

Regarding your question on the basis of a charter agreement, a charter is an agreement whereby a person provides lift 

capacity to another person for a defined period of time or number of flights. See Memorandum to Jeffrey Rosen, 

General Counsel U.S. Department of Transportation, from Andrew B. Steinberg, Chief Counsel, FAA (May 18, 

2004). In contrast a lease is an agreement in which exclusive legal possession of the aircraft is transferred from one 

party to another.lFN3J We are unable to make a determination regarding whether the operations are performed under a 

lease or a charter without having reviewed a copy ofthe underlying agreement. 

Question 4 

Can an operations specification, such as A345 be issued to grant authority to conduct a kind of operation, in lieu of 

granting such authority in operations specification AOOl, and without a certificate holder meeting the certification 

requirements for that kind of operation, or the proving flight requirements of§§ 119.33( c) and 121.163(b )? 

A certificate holder cannot be authorized to conduct a kind of operation unless it meets the regulatory requirements to 

conduct that kind of operation. One of those requirements is that it meets the aircraft proving requirements of§§ 

119.33( c)and 121.163(b ).See § 119.33( c) ("[E]ach applicant for operations specifications authorizing a new kind of 

operations that is subject to § 121.163 ... shall conduct proving tests as authorized by the Administrator .... "); § 

121.163(b) ("Unless authorized by the Administrator ... a certificate holder must conduct at least 50 hours of proving 

tests ... for each kind of operation it intends to conduct."). 

© 2013 Thomson Reuters. No Claim to Orig. US Gov. Works. 
Page 3 

There is no legal requirement dictating which operations specification must be used to indicate that the authority has 

been granted. Authority for maintaining the operations specification system lies with the Flight Standards Service. 

Rebecca B. MacPherson 

Assistant Chief Counsel for Regulations, AGC-200 

FNl. "Kind of operation means one of the various operations a certificate holder is authorized to conduct, as specified 

in its operations specification, i.e., domestic, flag, supplemental, commuter, or on-demand operations. 14 C. F. R. § 

110.2. 

FN2. Section 119.53 also requires that the substitute air carrier: (1) hold Department of Transportation economic 

authority if required for the operation; (2) conduct the operation "in accordance with the same operations authority" as 

the arranging certificate holder; and (3) conduct the operations "between airports for which the substitute certificate 

holder holds authority for scheduled operations or within areas of operations for which the substitute certificate holder 

has authority for supplemental or on-demand operations." 

FN3. Note that the Department of Transportation's rules on leases by foreign air carriers or other foreign persons of 

aircraft with crew defines any agreement in which an aircraft is furnished by one party to another as a lease regardless 

of "whether the agreement constitutes a true lease, charter arrangement, or some other arrangement."l4 C.F.R. § 

218.1. 

2012 WL 3552914 (D.O.T.) 

END OF DOCUMENT 

© 2013 Thomson Reuters. No Claim to Orig. US Gov. Works. 
60 FR 16230-01, 1995 WL 131196 (F.R.) Page 1 

PROPOSED RULES 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Parts 119, 121, 125, 127, and 135 

[Docket No. 28154; Notice No. 95-5] 

Commuter Operations and General Certification and Operations Requirements 

Wednesday, March 29, 1995 

*16230 AGENCY: Federal Aviation Administration (FAA), DOT. 

ACTION: Notice of proposed rulemaking (NPRM). 

SUMMARY: This proposed rule would require certain commuter operators that now conduct operations under part 135 to 

conduct those operations under part 121. The commuter operators that would be affected are those conducting scheduled 

passenger-carrying operations in airplanes that have a passenger-seating configuration of 10 to 30 seats and those conducting 

scheduled passenger-carrying operations in turbojets regardless of seating configuration. The proposed rule would revise the 

requirements concerning operating certificates and operations specifications. The rule would also propose certain management 

officials for all operators under parts 121 and 135. The need for this rulemaking is supported by a study conducted by the 

National Transportation Safety Board (NTSB), testimony at Congressional hearings, and accident statistics. The proposed rule 

is intended to increase safety in scheduled passenger-carrying operations and to clarify, update, and consolidate the certification 

and operations requirements for persons who transport persons or property by air for compensation or hire. 

DATES: Comments must be received on or before June 27, 1995. 

ADDRESSES: Send or deliver comments on this notice in triplicate to: Federal Aviation Administration, Office of the Chief 

Counsel, Attention: Rules Docket (AGC-200), Room 915G, Docket No., 800 Independence Avenue SW., Washington, DC 

20591. Comments may also be submitted to the Rules Docket by using the following Internet address: 

nprmcmts(A)mail.hq.faa.gov Comments must be marked Docket No .. Comments may be examined in the Rules Docket between 8:30a.m. and 5 p.m. on weekdays, except Federal Holidays. '(..., 0 , t..-'\ 1

1'(_ f/ c 1 

© 2013 Thomson Reuters. No Claim to Orig. US Gov. Works. 

~ 

Schuman Aviation 

Exhibit A- 1 
60 FR 16230-01, 1995 WL 131196 (F.R.) Page 66 

already exist in § 121.79. Under§ 121.79, if the FAA Flight Standards District Office (FSDO) finds that there is an emergency 

requiring immediate action, then the amendment becomes effective immediately and any petition for reconsideration to the 

Director, Flight Standards Service, does not stay the effectiveness of the amendment. Under§ J 35.17, although the FSDO can 

issue an amendment that is effective immediately, the filing of a petition for reconsideration stays the effectiveness of the 

amendment. However, if the Director finds there is an emergency requiring immediate action, then the Director notifies the 

certificate holder that the amendment is effective upon the date the certificate holder receives the director's finding. In this 

NPRM, the FAA proposes to adopt-for 121 and 135 operations-the same procedures for emergency amendments to operation specifications. Because safety may require an immediate change to operations specifications for part 135 operations, the 

FAA has decided to propose a procedure whereby the on-site inspectors make the initial determination that an emergency 

exists. The proposed procedure change would, like current part 121 procedures, not result in a stay simply because the certificate holder petitioned for a reconsideration of the amendment. 

Section 119.53-Wet leasing of aircraft. Proposed § 119.53 on wet leasing would be revised from current § 121.6 to do the 

following: (1) Clarify that the leasing requirements pertain only to wet leasing (which is defined in § 119.3 as a lease of an 

aircraft that includes the provision of any crewmember); (2) extend the wet leasing requirements to part 135 operations; (3) 

prohibit a wet lease from a foreign air carrier or any other foreign person; (4) prohibit a wet lease from any person not authorized to engage in common carriage; (5) specify that the Administrator, upon approval of the wet lease, would determine 

which party to the agreement has operational control and would amend the appropriate operations specifications of both parties, 

if necessary; and ( 6) allow a wet lease charter flight to transport passengers who are stranded because of the cancellation of their 

scheduled flight, provided that the wet lease flight is authorized by OST or the Administrator, as applicable, and that the charter 

flight is conducted under the rules applicable to a supplemental or on-demand operation. These clarifications reflect for the 

most part current administrative procedures. 

Prqposed § 119 .53(e) would aM ~pr()visiori tq prohibit a certificate holder from conducting any type of flight, not specified in 

its operations spedficatiC>TI:s, fota,ilo~~r-6epfficate holder. The purpose of this provision is to emphasize that a certificate holder 

may not contract to peJtf~r~ aJ:tY :flghtit •s not authorized to perform by its own operations specifications. This means 

that a certificate holder that agrees toperl'6rmschedu1ed flights for another carrier under a wet lease must conduct those operations under the do't\les~ic &r flag t\Ules qfpart 121, or commuter rules of part 135, just as the original carrier would have. To 

do this it must have operations speCifications authorizing it to perform domestic, flag, or commuter rules just as the original 

certificate holder would ha,ve. 

For example, airline A ~onducts domestic operations between New York and Miami. Because of unanticipated problems, it 

finds it is unable to perform th_ese flights for a period of3 days. It arranges with airline B to operate these flights under wet lease, 

in which airlineB reta,i11soperatiomil control of the conduct of the flights. Airline B must operate these flights under the rules in 

part 121 applicable to domestic operations, just as airline A would have to do, and airline B must have operations specifications 

autbotizing:it to conduct do_mesti<i on;yi"ations. 

If the requirement for appropriate operations specifications is not maintained, an operator could conduct "scheduled" operations through wet'leases_wit~ &everal carriers authorized to conduct only supplemental operations. In addition, an operator 

might be induc~dJo iuide#ake an overlY ambitious S,chedule of flight operations with the expectation that any required augmentation c~uld be quickly oJmiineC:Ltpro'Qgh a wet lease with a carrier authorized to conduct only supplemental operations. 

Because the frequ€mcy''~d niguladty ofa Scheduled operation require different infrastructure, contractual arrangements with 

© 2013 Thomson Reuters. No Claim to Orig. US Gov. Works. 
60 FR 65832-01, 1995 WL 749760 (F.R.) Page 1 

RULES and REGULATIONS 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Parts 91, 119, 121, 125, 127, and 135 

[Docket No. 28154; Amendment Nos. 91-245, 119, 121-251, 125-23, 127-45, 135-58, SFAR 50-2, SFAR 71 and SFAR 38-12] 

RIN 2120-AF62 

Commuter Operations and General Certification and Operations Requirements 

Wednesday, December 20, 1995 

*65832 AGENCY: Federal Aviation Administration (FAA), DOT. 

ACTION: Final rule. 

SUMMARY: This rule requires certain commuter operators that now conduct operations under part 135 to conduct those 

operations under part 121. The commuter operators affected are those conducting scheduled passenger-carrying operations in 

airplanes that have passenger-seating configurations of 10 to 30 seats (excluding any crewmember seat) and those conducting 

scheduled passenger-carrying operations in turbojet airplanes regardless of seating configuration. The rule revises the requirements concerning operating certificates and operations specifications for all part 121, 125, and 135 certificate holders. The 

rule also requires certain management officials for all certificate holders under parts 121 and 135. The rule is intended to increase safety in scheduled passenger-carrying operations and to clarify, update, and consolidate the certification and operations 

requirements for persons who transport passengers or property by air for compensation or hire. 

EFFECTIVE DATE: January 19, 1996. 

FOR FURTHER INFORMATION CONTACT: Alberta Brown, (202) 267-8321; Katherine Hakala, (202) 267-8166; or Dave 

Catey, (202) 267-8166; Federal Aviation Administration, 800 Independence Avenue, SW, Washington, DC 20591. 

SUPPLEMENTARY INFORMATION: 

© 2013 Thomson Reuters. No Claim to Orig. US Gov. Works. 

rz]ll v( \ 7AJ i 

0r:o--

Schuman Aviation 

Exhibit A- lo 
60 FR 65832-01, 1995 WL 749760 (F.R.) Page 106 

Since § 119.51(d)(3) clearly states that, if a petition for reconsideration is filed within 30 days and if no emergency situation 

exists, the effectiveness of an amendment to operations specifications issued by the certificate-holding district office is stayed 

pending final review of the petition. The procedures for emergency situations, spelled out in paragraph (e), are not substantially 

different than currently found in §§ 121.79 and 135.17. Therefore there will be no changes to current procedures as a result of 

new §119.51 (d) and ill. 

Section 119. 53-Wet leasing of aircraft and other transportation by air arrangements. Proposed § 119.53 on wet leasing would 

be revised from current§ 121.6 to do the following: (1) clarify that the leasing requirements pertain only to wet leasing (which 

is defined in § 119.3 as a lease of an aircraft that includes the provision of any crewmember); (2) extend the wet leasing requirements to part 135 operations; (3) prohibit a wet lease from a foreign air carrier or any other foreign person; ( 4) prohibit a 

wet lease from any person not authorized to engage in common *65884 carriage; (5) specify that the Administrator, upon 

approval of the wet lease, would determine which party to the agreement has operational control and would amend the appropriate operations specifications of both parties, if necessary; and (6) allow a wet lease charter flight to transport passengers 

who are stranded because of the cancellation of their scheduled flight, provided that the wet lease flight is authorized by OST or 

the Administrator, as applicable, and that the charter flight is conducted under the rules applicable to a supplemental or 

on-demand operation. These clarifications reflect for the most part current administrative procedures. 

Comments: NACA proposes reorganization of § 119.53, including a new paragraph regarding operations specifications for 

short term wet leases (short term substitute service) that could occur without prior FAA approval in a situation where there is 

insufficient time to permit compliance with the usual requirements for a wet lease. 

USAir Express sees this issue as an example of part 119 addressing changes which are not relevant to the goal of bringing 

commuter operations up to the standards of part 121, and imposing new restrictions on wet lease activities at the same time. 

This company finds faultwith the fact that §119.53 requires certificate holders conducting operations to be held to the same 

operations authorities as certificate holders arranging for the substitute operations. 

British Airways objects to § 1 19.53 because it prohibits any wet leasing to U.S. carriers from foreign air carriers without any 

safety justification. British Airways sees this prohibition as interfering with healthy competitive relationships between carriers 

in an international market. Japan Airlines agrees with British Airways' point and adds that this "discriminatory" prohibition 

contradicts the Department of Transportation's economic regulations providing for wet leasing of aircraft by foreign air carriers 

to U.S. air carriers. Japan Airlines argues that foreign air carriers are permitted to operate aircraft in the U.S. only if they meet 

rigorous requirements of part 129 of the FAA regulations, which would imply that these aircraft are safe. Japan Airlines also 

claims that this regulation might be contrary to a friendship treaty between the United States and Japan. The company suggests 

that the FAA address any specific foreign carrier safety concerns with something other than a blanket prohibition of the type 

proposed. 

FAA Response: The changes tocurrent requirements for wet leasing in§ 119. 53 codify existing FAA policy on wet leasing. 

The FAA requires operators conducting wet leasing operations to hold operations specifications for the same kind of operation 

as that being. conducted in ord~r to be sure that the operator is qualified to conduct that kind of operation. Since foreign air 

carriers may conduct operations only under part 129, they do not hold operations specifications for current part 121 or part 135 

certificate holders and, therefore, may not conduct wet leasing operations for part 121 or part 135 certificate holders. The FAA 

© 2013 Thomson Reuters. No Claim to Orig. US Gov. Works. 
60 FR 65832-01, 1995 WL 749760 (F.R.) Page 107 

is considering NACA's suggestion regarding short term wet leasing and intends to request that ARAC develop recommendations on this issue. Regulatory language is amended to allow short notice wet lease operations to be conducted prior to 

providing information required by§ 119. 53(c). 

Section 119.55-0btaining deviation authority to perform operations under a U.S. military contract. Proposed § 119.55 establishes a new procedure to obtain deviation authority to perform under aU .S. military contract. This would require the certificate 

holder to submit this deviation authority request to DOD's Air Mobility Command (AM C), who would review the request and, 

in turn, forward it and the AMC recommendation on to the FAA for final review. The logic behind having the AMC review this 

is to provide an additional, and more efficient, evaluation by a more qualified authority on the needs of the military operation. 

Comments: One commenter expresses concern about the FAA's need to have the AMC serve as an extra check on FAA 

knowledge of deviation authority. The commenter states that adding another agency to the process does not serve the interest of 

readiness, for during military operations, the demands from the military come "fast and furious with many changes." 

FAA Response: As the FAA explained in Notice 95-5, during the Desert Shield/Desert Storm operations, the agency was 

inundated with requests for deviations. The AMC has the resources to consolidate these requests, identify the specific regulations from which relief is sought, and evaluate the requests to determine whether the relief sought would be needed to accomplish the military mission. This procedure will enable the agency to process these requests more efficiently, should the need 

arise in the future. 

Emergency Operations (§§119.57 & 119.58). These two proposed new sections generally recodify §§121.57(c), 121.557, 

121.559, and 135.19.Section 119.57 addresses emergency situations where it is impossible for the certificate holder who intends to conduct emergency operations to act without thorough and complex planning, such as during natural disasters like 

floods or earthquakes. Section 119.58 is tailored to emergency operations where thorough and complex planning are inherently 

impossible due to the critical issue oftime and the nature of the emergency. 

Comments: Three commenters express concern about this proposed section. One of the commenters believes that this consolidation of two related yet distinct categories would cause confusion: "Section 119.57 relates to certificate authority to 

conduct certain operations on an emergency approval basis, while § 119.5 8 relates to emergency operational situations that may 

require emergency deviation from prescribed procedures and methods, weather minimums, and F ARs to the extent required for 

flight safety."The commenter recommends renaming §119.57 to read "Obtaining Emergency Deviation Authority to Perform 

Unapproved Operations" and § 119.58 to be "Operational Emergencies Requiring Immediate Decision and Action." Additionally, the commenter expresses concern that §119.58(b) needs to be modified to more clearly reflect dispatcher 

capability/responsibility, joint responsibility, and a cross-check mechanism to ensure critical operational decisions are not 

made at the exclusion of safety. 

Another commenter states that while he supports the NPRM, he believes that this recodification would cause greater confusion 

and contradict the purpose of existing safety rules because it goes beyond the scope of the NPRM. He claims that "[t]he two 

types of 'Emergency Authority' are of totally different contexts, are truly irrelevant to each other and there is no apparent 

advantage to this proposed modification"; hence, this proposed action is "clearly unwarranted." 

The Airline Dispatchers Federation objects to the recodification of §§121.557, 121.559, and 135.19 as new §119.58 on the 

© 2013 Thomson Reuters. No Claim to Orig. US Gov. Works. 
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[1] 

ELECTRONIC CODE OF FEDERAL REGULATIONS 

e-CFR Data is current as of November 12, 2014 

Title 14-> Chapter I-> Subchapter G-> Part 119-> Subpart A-> §119.5 

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Title 14: Aeronautics and Space 

PART 119-CERTIFICATION: AIR CARRIERS AND COMMERCIAL OPERATORS 

Subpart A-General 

§119.5 Certifications, authorizations, and prohibitions. 

(a) A person authorized by the Administrator to conduct operations as a direct air carrier will be issued an Air 

Carrier Certificate. 

(b) A person who is not authorized to conduct direct air carrier operations, but who is authorized by the 

Administrator to conduct operations as a U.S. commercial operator, will be issued an Operating Certificate. 

(c) A person who is not authorized to conduct direct air carrier operations, but who is authorized by the 

Administrator to conduct operations when common carriage is not involved as an operator of U.S.-registered civil 

airplanes with a seat configuration of 20 or more passengers, or a maximum payload capacity of 6,000 pounds or more, 

will be issued an Operating Certificate. 

(d) A person authorized to engage in common carriage under part 121 or part 135 of this chapter, or both, shall be 

issued only one certificate authorizing such common carriage, regardless of the kind of operation or the class or size of 

aircraft to be operated. 

(e) A person authorized to engage in noncommon or private carriage under part 125 or part 135 of this chapter, or 

both, shall be issued only one certificate authorizing such carriage, regardless of the kind of operation or the class or 

size of aircraft to be operated. 

(f) A person conducting operations under more than one paragraph of §§119.21, 119.23, or 119.25 shall conduct 

those operations in compliance with-

(1) The requirements specified in each paragraph of those sections for the kind of operation conducted under that 

paragraph; and 

(2) The appropriate authorizations, limitations, and procedures specified in the operations specifications for each 

kind of operation. 

(g) No person may operate as a direct air carrier or as a commercial operator without, or in violation of, an 

appropriate certificate and appropriate operations specifications. No person may operate as a direct air carrier or as a 

commercial operator in violation of any deviation or exemption authority, if issued to that person or that person's 

representative. 

(h) A person holding an Operating Certificate authorizing noncommon or private carriage operations shall not 

conduct any operations in common carriage. A person holding an Air Carrier Certificate ·or Operating Certificate 

authorizing common carriage operations shall not conduct any operations in noncommon carriage. 

(i) No person may operate as a direct air carrier without holding appropriate economic authority from the 

Department of Transportation. 

U) A certificate holder under this part may not operate aircraft under part 121 or part 135 of this chapter in a 

geographical area unless its operations specifications specifically authorize the certificate holder to operate in that area. 

(k) No person may advertise or otherwise offer to perform an operation subject to this part unless that person is 

authorized by the Federal Aviation Administration to conduct that operation. 

(I) No person may operate an aircraft under this part, part 121 of this chapter, or part 135 of this chapter in 

violation of an air carrier operating certificate, operating certificate, or appropriate operations specifications issued under 

this part. 

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e'~'FR- Code of Federal Regulations 

[Doc. No. 28154, 60 FR 65913, Dec. 20, 1995, as amended by Amdt. 119-3, 62 FR 13253, Mar. 19, 1997; 62 FR 15570, Apr. 1, 

1997] 

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