### # 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 Monfortto Makanikai, dtd 20120921- 10 pp. 7 FAA Order 2050.3B 8 14 C.F.R. 119.53 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 ID IN X X X X X X X X X X 

### X X X 

### JN X 

### JNU.S. Department ofTransportation Federal Aviation Administration 

### Operations Specifications 

# - ':r

## C~"¢ '() ro _. .,_ 

## cJ E:oo 

# ............................................................................**~--~**

- .c.C 

### C070 . Airports Authorized for Scheduled Operations 

### HQControl: 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 ofalternate airports which can be used and shall not use any alternate airport unless it 

### is suitable for the type ofaircraft being used and the kind ofoperation 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 ifa 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 androute must.follow I

### he noise abatement procedures as dipicted in the KapaluaAbportOperatingProcedures.

Schuman Aviation Company, Ltd. 

### C070-l Certificate No.: MKHAl08KU.S. Department ofTransportation Federal Aviation Administration 

### Operations Specifications 

# Airports Authorized for Scheduled Operations
AIRPORTS AIRCRAFT AUTHORIZED 

### Location Provisional AS-350 CE-208 PA-31 HONOLULUIINTL, OAHU,HI., HAWAil (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, HAWAll (U.S.); PHJR N/A 

## - A

- 

### LAHAINNKAPALUA-WESTMAUl, HI., HAWAH (U.S.); PHJH N/A


## - A.R


## - LANAI CITY. LANAI,HI.. HAWAH (U.S.); PHNY N/A


## - A,R 

# - MOLOKAI, KAUNAKAKAI,HI., HAWAll (U.S.); PHMK N/A 

# - A,R


# -

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

# - \ C<('<t 

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### 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 ofOperations, 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 orprovide a commuter operatorwith 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 ofSeptember 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 Ithen 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 ofinspection was more grievious than the operation ofinquiry. 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 ofStatement for September 17, 2012. Ifyou have any questions, you may reach me at (808) 837-8365.

# M.~ Joseph Monfort Principal Operations Inspector .1 

## I -z_LJL-f ./(/0 \ -j

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MAINTENANCE DISCREPANCIES 1-'1101 .....,,, !+ "' CORRECTIVE ACTION Mechanrc CertificateType & Signature Number

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

## 6 

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como!·ed w1th 111e requirementss of FAR Part t35.299c 

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Date 9/9/2012 N687MA Cessna Caravan 2088 

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### 3802.3 Rema1n 

### 16.0 Mini/100hr 

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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. 

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

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Pitot/Static 

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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

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# l

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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 

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MAINTENANCE DISCREPANCIES I. 

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# 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 ofFAR Part 13p.299c
Post Flight To be signed by maintenance ifcompressor 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

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MAINTENANCE DISCREPANCIES Pilot Cert# & CORRECTIVE ACTION Mechanic CertificateType & Signature Number

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

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--------- Schuman Original

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### )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;VELT check ·· PitotlStatic TXPD VOR 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 3yellow boxes !! (Ending hobbs, AF cycles & Eng Cycles) 

### _fl3&1-**~e**

MAINTENANCE 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 lAS "CC (I) J: ITT 

### ..... 

# .... 0 Tor ue 

### ..... J: Ol Prop rpm 

### iS



### ..... !.'! Eng rpm I+= c Fuel Flow 0 PIC Initials 

# G_;;
.. Mechanic CertificateType & Number

The following sign offs certify thatthe 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.
--------- OriginalU.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 ofOperations 73-350 

### Uu Street Kailua-Kana, HI 96740 

### DearMr. 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 aboutthe operations Schuman Aviation, Ltd., conducted for your company and 

### I am writing to youto officially request a printed copy ofyour published flight schedule for the month ofSeptember 2012. Please include a second copy ofthis data indicating all flights conducted by Schuman Aviation, Ltd., perday 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 26 

## 20!2 TO: Joseph Monfort, POl

"' FROM: 

### Darryl Grace, General Manager/Director ofOperations SUBJECT: 

### Makani Kai SeptemberOperated Flights Aloha Mr. Joseph Monfort, Enclosed are the requested documents for Schuman Aviation, Ltd. dba Makani Kai. The information provided 

### is to thebest ofmyknowledge. Actual aircraft/pilot flight Jogs should be consulted for accuracy. 

### Please contact me with any

### questions.

Best Regards,

Dan-yl Grace General Manager/Director ofOperations Mokulele Airlines 73-350 U'u Street Kailua-Kona, HI 96740 0:808-930-5015 C:808-238-7963 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 

# ro-- Aircraft N- 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



### September9, 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 of6September 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 KOA OGG 1315 1357 1300**~**

8 7 800 1535 OGG i'vlKK 1417 1441 1412 _t440.

9 15..36 MKK OGG 1501 1525 1458**~**

9 1536 OGG KOA 1550 1632 1545**~~**

8 1849 KOA OGO 1700 1742 1650**~**

9 9 800 .1746 000 KOA 1805 1847 _2__748**~**

6 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 ofArrival ATD: Actual Time of Departure ATA: Actual Time ofArrival 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 offtoday, 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 JMonfortJAWP/FAA@FAA, Date: 09/20/2012 03:03PM Subject: RE: Landing reports 1

# ~ Schuman



### . Exhibit

# 1\ '

# 0 Paqe 1 of 10Mac should have dropped them offsometime 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

1have 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 AirCarrierMKHA 108K MakaniKai Helicopters Makani KaiAir Charters Pacific AirExpress FAA Repair Station MKHR108K 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 offtoday, 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 offsometime 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 10I have them all now, do you want to pick them up, emailed, mailed, faxed, or delivered


### Richard Schuman President Schuman Aviation CompanyLtd. 130/o/ana Place Honolulu, Hawaii 96819 808-834-5813 Office 808-306-1000 Cell FAA AirCarrierMKHA 108K Makani Kai Helicopters Makani KaiAirCharters PacificAirExpress FAA RepairStation MKHR108K HawaiiAviation 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 acopy ofan 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 ofyou would have 

### ifone ofyou 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 

### ofKona before Joe gets back, Iwould like to knowthe FAA's interpretation oropinion ofsuch movement. Can it be done under our Part 135 On Demand Certificate? Mahala 

### Richard Schuman President Schuman Aviation CompanyLtd. 130/olana Place Honolulu, Hawaii 96819 808-834-5813 Office 1 

### Schuman ; Exhibit (.}

### rrJ) Paqe 5 of 10

### 808-306-1000 Cell FAA AirCarrierMKHA 1OBK MakaniKaiHelicopters MakaniKaiAirCharters PacificAirExpress FAA RepairStation MKHR108K HawaiiAviation 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. 1have 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 ofyou would have 

### if one ofyou 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 1know 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 acall to support Mokulele into or out ofKona before Joe gets back, Iwould like to know the FAA's interpretation or opinion ofsuch movement. Can it be done under our Part 135 On Demand Certificate? Mahala 

### Richard Schuman President Schuman Aviation CompanyLtd. 130 lolana Place Honolulu, Hawaii 96819 808-834-5813 Office 808-306-1000 Cell FAA AirCarrierMKHA 1

### OBK Makani Kai Helicopters MakaniKaiAirCharters PacificAirExpress FAA RepairStation MKHR108K HawaiiAviation 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 letterwith 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 

### Iwill 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 ofthis rule and authority from the Administrator. Ifanother FAA Part 121 or 135 Operation calls Schuman Aviation requesting airsupport, can we support?
we believe we can conduct one or more flights for passengers who are stranded because ofthe cancellation of another Air Carriers scheduled flights. We would do these flights with the approval ofthe 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 10Mahalo 

### Richard Schuman President Schuman Aviation CompanyLtd. 130 lo!ana Place Honolulu, Hawaii 96819 808-834-5813 Office 808-306-1000 Cell FAA AirCarrierMKHA 108K MakaniKai Helicopters MakaniKaiAirCharters Pacific AirExpress FAA RepairStation MKHR108K HawaiiAviation 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 ofsuch requirements. The order is used at all levels by agency personnel who are engaged in the investigation, reporting, andprocessing ofenforcement actions. It

### applies to all offices with regulatory responsibilities. This revision ofthe 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 ofAviation 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 ofits authority to 

### administratively assess civil penalties and guidance onthe 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 ofthe agency order on its compliance and enforcementprogram.

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 ofSanctions All Enforcement Programs Except Hazardous Materials Part One - Abbreviations and Definitions 

### 2150.38

1. Applicability. This table ofsanctions applies to violations that occurred on or after October 1, 2007. Forviolations occurringbefore October 1, 2007, FAA enforcementpersonnel apply the sanction guidance principles inFAA Order 2150.3A using up to the statutory maximum sanction amount in effect atthe time ofthe violation. 2. Abbreviations. The following abbreviations are used inthis Table: APIS

### means approved production inspection system A/W

### means airworthiness 

## AWC 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 FlightRestriction TSA 

### means Transportation Security Administration 3. Definitions:

a. A continuingviolation 

### arises when a specific violation occurs overmore than one day or over more than one flight. It also may involve a violation that is ongoing,jorexample, 

### an ongoing refusalto 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 setforth inparagraphs 6 and 7 (multiple acts ormultiple violations) 

### of chapter 7. A combination ofpunitive and remedial sanctions is appropriate when continuing violations are ongoing. b. Violation committedby a small business concern. 

### Section 503 ofVision 100---Century ofAviation ReauthorizationAct (CARA) amended 49 U.S.C.§ 46301 to change the civil penalty amounts the FAA may seek for violations that occur onor after December 12, 2003; the law sets different limits onthe civil penalties the FAAmay seekfor violations bysmall business concerns, 

### as opposedto violations by other entities. Vision 100 CARA gives small business concern 

### the same meaning as inthe Small Business Act (15 U.S.C. § 632). Section 632 defines smallbusiness concern 

### as an enterprise "whichis independently owned and operated and which is not dominant inits field ofoperation." The SmallBusiness Administration regulations implementthe SmallBusiness Act and define business concern 

### as
B-1

### 10/01/07 2150.38
"abusiness entity organized for profit, with a place ofbusiness located inthe U.S., and which operates primarily withinthe U.S. or whichmakes a significant contributionto the U.S. economy throughpayment oftaxes oruse ofAmerican products, materials orlabor." 13 C.F.R. § 121.105. The SBAregulations further define 

### small business concern intables, describing eachkind ofentity by its economic activity or industry, and listing the limit for 

### smallby annual receipts or, more commonly, number ofemployees. (The size limits generally are establishedunderthe North American Industry Classification System (NAICS).) For the complete list, see 13 C.F.R. 

## § 121.201 orthe SBA's website at www.sba.gov. Thus, ifa person meets the definition of

### business concern andhas annual receipts orthe number ofemployees within the applicable SBA limit, itis a 

### small business concern, and the FAAwill determine the civil penaltyusing the applicable range. Limits for common aviation entities follow (in numbers ofemployees, unless otherwise noted). Manufacturing Aircraft - 1,500 employees Aircraft engine andpart- 1,000 employees Other aircraftpart and equipment- 1,000 employees Airtransportation Scheduledpassenger- 1,500 employees Scheduled freight- 1,500 employees Nonscheduledpassenger- 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 Othernonscheduled- $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 airtraffic control- $6.5 million annual receipts Note thatthe following guidance uses 

### large business concern for some civil penaltyranges. That is not a statutory orregulatory term for purposes ofF AA enforcement. Itincludes each business concernthat exceeds the maximum limit for smallbusiness concern, as well as any other entitythat does notmeetthe definition of"smallbusiness concern."

c. Civil Penalty Ranges. Forthepurpose ofthis table, when civilpenalty action is recommended and described as 

### Minimum, Moderate, or

### Maximum, the penaltyranges are defined in subparagraphs (1) through (9) ofthisparagraph. Note that the middle ofeach recommended sanctionrange wouldbe for a single violation without aggravating ormitigating factors.

B-2

### 10/01/07 2150.38 (1) VIOLATION COMMITTED BYU.S. AIR CARRIERS ORU.S. COMMERCIAL OPERATOR. CLASSIFICATION OF AIR CARRIER AND OPERA TOR GROUP I- Each air carrier operatingunderpart 121 orpart 135, with an annual operating revenue of$100,000,000 ormore. Operating revenue is determined byreference 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 underpart 121 with an annual operating revenue oflessthan $100,000,000, orunder part 135 with an annual operating revenue oflessthan $100,000,000, ifthe 135 operator has 50 or more pilots and 25 ormore aircraft onits operations specifications. Operating revenue is determined byreference to DOT's "Air Carrier Industry Scheduled Service Traffic Statistics Quarterly." GROUP III- Each air carrier orcommercial operator operating under part 135 with 6 to 49 pilots or 6 to 24 aircraft. GROUP IV

- Each air carrier orcommercial operator operating under part 135 withno 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 coveredunder 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 coveredunder 49 U.S.C. § 46301(a)(1)(A) or (B) 

### butnotunder 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- smallbusiness concern (forviolations 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- smallbusiness concern (for violations coveredunder 49 U.S.C. 

### § 46301(a)(l)(A) or (B) butnotunder49 U.S.C. 

### § 46301(a)(5)(A)): Maximum $750-$1,100 Moderate $450-$ 749 Minimum $250$ 449
GROUP III -for violations coveredunder 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 coveredunder 49 U.S.C. 

### § 46301(a)(l)(A) or (B) butnotunder 49 U.S.C. § 46301(a)(5)(A): Maximum $650-$1,100 Moderate $400-$ 649 Minimum $150-$ 399 GROUP IV -for violations coveredunder49 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 coveredunder 49 U.S.C. § 46301(a)(1)(A) or (B) but notunder49 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 coveredunder 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 coveredunder 49 U.S.C. 

### § 46301(a)(1)(A) or (B) but notunder 49 U.S.C. § 46301(a)(5)(A)): Maximum $750-$1,100 Moderate $450-$749 Minimum $250 $449
(4) VIOLATION COMMITTED BYAIR 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 coveredunder 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 coveredunder 49 U.S.C. § 

### 46301(a)(1)(A) or (B) but notunder 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 coveredunder 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 coveredunder 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 coveredunder 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 coveredunder 49 U.S.C. § 46301(a)(1)(A) or (B) butnotunder 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 ORRECORDATION OF AN AIRCRAFTNOTUSED TO PROVIDE AIRTRANSPORTATION, THE LIMITATION ON THE CONSTRUCTION ORESTABLISHMENT OF A LANDFILL, ORTHE SAFE DISPOSAL OF A LIFE-LIMITED AIRCRAFT PART. Large Business Concern (ifentity 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 $1,850-$8,749 Small Business Concern (ifnotwithin a more specific category for example, Group II Air Carrier or Operator) orIndividual: Forviolations coveredunder 49 U.S.C. § 46301(a)(5)(A): Maximum $4,400-$11,000 Moderate $2,200-$4,399 Minimum $550-$2,199 Forviolations coveredunder 49 U.S.C. § 46301(a)(1)(A) or (B) butnotunder 49 U.S.C. 

### §46301(a)(5)(A): Maximum $500-$1,100 Moderate $300-$499 Minimum $100-$299
(9) OTHERVIOLATION COMMITTED BYAN INDIVIDUAL. AIRMAN SERVING AS AN AIRMAN

- INDIVIDUAL SERVINGIN CAPACITY OF AN AIRMAN. ALLVIOLATIONS EXCEPT THOSE LISTED IN (8). Maximum $850-$1,100


## B-7

### 10/01/07
Moderate Minimum $650-$849 $500-$649 OTHERINDIVIDUAL- NOT SERVING IN CAPACITY OF AIRMAN. Forviolations coveredunder 49 U.S.C. § 46301(a)(5)(A): Maximum $4,400-$11,000 Moderate $2,200-$4,399 Minimum $550-$2,199 

### 2150.38

Forviolations coveredunder 49 U.S.C. § 46301(a)(1)(A) or (B) butnotunder 49 U.S.C. § 46301(a)(5)(A): Maximum $500-$1,100 Moderate $300-$499 Minimum $100-$299
(10) 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 orIndividual (for violations coveredunder 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 orIndividual (for violations coveredunder 49 U.S.C. § 46301(a)(1)(A) or (B) butnotunder 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. Formany kinds ofviolations, there maybe circumstances where the FAA should not allow the offending entity to continue to operate orto continue inbusiness. Examples include a certificate holder that does not allow an FAA inspector to inspect the holder's operation orfacilities, or an unapproved manufacturer thatproduces aircraftparts inviolation of 14 C.P.R. 

## § 21.303. 

## In that circumstance, suspension ofan entity's certificate or other approval, pending compliance or corrective action, or injunctive reliefagainst an entity that does nothold anFAA approval, wouldbe appropriate. In egregious circumstancesrevocation ofthe entity's certificate or other approval maybe warranted. Such action orreliefmaybe considered in addition to the assessment ofa civil penalty as recommended inthe following tables. Furthermore, amendment or modification ofa certificate or approval may be appropriate in the circumstance where a definitive part ofthe offending entity's operation canbe safely excluded from the operational approvaL An example is an approved aircraftparts manufacturer that makes multiple kinds ofparts, buthas quality control problems for only one kind ofpart. Such actionmaybe considered in additionto the assessment ofa civil penalty as recommended in the following tables. 

## PartTwo- Sanction Guidance Tables

1. 

## U.S. Air Carriers,U.S. Commercial Operators, Part 125 Operators, and Part 129 Operators. Fig. B-1-a. MaintenanceManual Fig. B-1-b. A/WDirective 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 FlightRelease 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. Otherprovisions Fig. B-1-p. Operations at airports requiring slots 

## 2. Personnel ofAir 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. Otherprovisions applicable to individual certificate holders Fig. B-2-f. Other Air Carrier Personnel 2150.38



## 3. Individuals andGeneralAviation- Owners, Pilots, Repair Stations, Pilot Schools, Maintenance Personnel. Fig. B-3-a. Owners and Operators Other ThanRequired 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. OtherViolations Fig. B-3-i. Weather Operations Fig. B-3-j. 14 C.F.R. 91.13(a), Careless orreckless operation so as to endanger (independent violation) Fig. B-3-k. Passenger operations Fig. B-3-1. Acting or attempting to act as a crewmemberunder the influence ofdrugs or alcohol; consumption ofalcohol before operating an aircraft Fig. B-3-m. Crime; securityrisk; falsification Fig. B-3-n. Miscellaneous Fig. B-3-o. Operations atAirports Requiring Slots Fig. B-3-p. Unruly passengers Fig. B-3-q. OtherViolations by Passengers 

## 4. Dill/DWIProgram,Falsification ofDrug Convictions and AirmanMedical Certificate Violations. Fig. B-4-a. Sanctions related to DUI/DWI Program Fig. B-4-b. AirmanMedical 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 drugtesting 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 othermatters 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 ofthe drug and alcohol prohibitions Fig. B-5-q. Employees located outside the Territory ofthe 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. CertificationManual Fig. B-6-c. Operations 

### 7. Violations ofNoise Provisions. Fig. B-7-a. AircraftNoise (14 C.F.R. part91, subpart I) 

### 8. Violations ofPilotRecords ImprovementAct (PRIA). Fig. B-8-a. PRIA 

### 9. Engineering andManufacturing Violations. Fig. B-9-a. APIS Holders, including productionunder 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 ofDesignApproval, and Letter ofAcceptance Manufacturers Fig. B-9-e. Replacement or ModificationParts 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/OperatorRegistration Violations. Fig. B-10. Registration



### 8-11

### 10/01/07 2150.38


## 11. All individuals and entities: Failureto 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 currentmanual Minimum Up to 7-day

j 

### sus:Q_ension (2) Failure to provide adequate Moderate to Maximum instructions andprocedures in manual _{3) Failure to distribute manual to appropriate _l)_ersonnel Minimum to Moderate ( 4) Release ofaircraftwithout required equipment Moderate to Maximum Up to 7-day suspension Fig. B-1-b. 

### AJWDirective CivilPenalty Certificate Action 

### (1) Failure to com:Q_ly Moderate to Maximum Fig. B-1-c. Operations Specifications CivilPenalty Certificate Action 

### (1) Exceed inspection oroverhaul time limitation Moderate Up to 7-day suspension (2) Operation contrary to ops specs- technical Minimum noncompliance (3) Operation contrary to 

### ops specs -likelypotential or actual Moderate to Maximum adverse effect on safe operation
Fig. B-1-d. Facilities and Equipment CivilPenalty Certificate Action (1) 

### Failure to provide adequately for proper servicing, Maximum Indefinite maintenance, repair, or inspection offacilities and equipment Suspension until proper servicing, maintenance, repair and inspection of facilities and equipmentis 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 ormaintain 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 CivilPenalty Certificate Action (1) Failure to have training program Maximum Indefinite Suspension until compliance to Revocation (2) Failure to maintaintraining 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 orunsigned release Minimum to Maximum (2) Failure to revise ale data after repair Moderate to Maximum Fig. B-1-h. Performance ofMaintenance CivilPenalty Certificate Action (1) Byunauthorizedperson Maximum 

### @ Failure to perform orimpropermaintenance Moderate to Maximum Fig. B-1-i. SFAR36 CivilPenalty 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 orfraudulent entry, Revocation reproduction, or alteration inrecord 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 ofmajor 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 pilotrecord 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 ofsubpartU of 14 CFRpart 121 Moderate to Maximum Fig. B-1-l. Operation ofunairworthy 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 onsafe operation (3) Release ofaircraftwithout 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 briefpassengers Moderate to Maximum (3) Failure to ensure seat andbeltfor eachpassenger 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 ofcrewmemberwith expired medical certificate Minimum to Moderate (2) Failure to make flight deck seatavailable to authorized Maximum enroute inspector



### B-14

## Westtaw,

2012 WL 3552914 (D.O.T.)

Memorandum Department ofTransportation (D.O.T.) Federal Aviation Administration Legal Interpretation 

### *1 August 9, 2012

To: Les Smith, Manager, Air Transportation Division, AFS-200 From: RebeccaB. MacPherson, Assistant ChiefCounsel 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 ofAircraft 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 pertainingto the wet leasing ofaircraft 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, soughtto conduct flights onbehalfofanother certificate holderunder 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 behalfofa 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 "authorizedunder its operations specificationsto conductthe same kinds ofoperations"[FNlJ as the other certificate holder. The regulatory history is clear on this point. The FAA stated in the notice ofproposed 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 notbe able to conduct substitute

### op~rations under domestic orflag rules.[FNZJ

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

### Schuman Aviation Exhibit A- 

# bPage2

Question 2 May a certificate holder that is authorized to conduct domestic and supplemental operations conduct a substitute operation under§ 119. 53(e) outside ofthe United States, on behalfofa certificate holderwho 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 ofoperations 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 carrierthat conducts operations underpart 129? You also asked what is the regulatory basis, ifany, for a "charteragreement" that would allow a part 119 certificate holder to conduct operations utilizing the flight number and call sign ofa 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 ofthe regulation provides that a certificate holder may conduct an operation for a foreign air carrier under part 129 ifthe 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 ofoperations as the foreign air carrierthat arranges for the substitute operation. 

### See§ 119. 53(e). Regardingyour question onthe basis ofa charter agreement, a charteris an agreement whereby a person provides lift capacity to another person for a defined period oftime or number offlights. 

### 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 ofthe aircraft is transferred from one party to another.lFN3JWe are unable to make a determination regarding whether the operations are performed under a lease or a charter withouthaving reviewed a copy ofthe underlying agreement. Question 4
Can an operations specification, such as A345 be issued to grant authority to conduct a kind ofoperation, in lieu of granting such authority in operations specification AOOl, and without a certificate holder meeting the certification requirements for thatkind ofoperation, orthe proving flight requirements of§§ 119.33(c) and 121.163(b)?
A certificate holder cannotbe authorizedto conduct a kind ofoperation unless it meets the regulatory requirements to conduct that kind of operation. One ofthose 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 ofproving tests
... for each kind ofoperation 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 ChiefCounsel for Regulations, AGC-200
FNl. 

### "Kindof operation means one ofthe 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 ofTransportation economic authority ifrequired forthe operation; (2) conductthe operation "inaccordance with the same operations authority" as the arranging certificate holder; and (3) conduct the operations "between airports for which the substitute certificate holderholds authority for scheduled operations orwithin areas ofoperations for which the substitute certificateholder has authority for supplemental or on-demand operations."
FN3. Note that the Department ofTransportation's rules on leases by foreign air carriers or other foreign persons of aircraftwith crewdefines any agreement in which an aircraft is furnished by oneparty 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 ThomsonReuters. 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

[DocketNo. 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 ofproposed 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 ofseating 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 scheduledpassenger-carrying operations andto clarify, update, and consolidatethe certification and operations requirements for persons who transport persons or property by air for compensation orhire.
DATES: Comments must be received on orbefore June 27, 1995.
ADDRESSES: Send or deliver comments on this notice in triplicate to: Federal Aviation Administration, Office ofthe 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- 

# 160 FR 16230-01, 1995 WL 131196 (F.R.) Page 66

already exist in §121.79. Under§121.79, ifthe 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 ofthe amendment. Under§J35.17, although the FSDO can issue an amendment that is effective immediately, the filing of a petition for reconsideration stays the effectiveness ofthe amendment. However, ifthe 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 ofthe amendment.
Section 119.53-Wet leasing ofaircraft. 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 ofan aircraft that includes the provision ofany 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 ofthe wet lease, would determine which party to the agreementhasoperational control and would amendthe appropriate operations specifications ofbothparties, ifnecessary; and(6) allowa wetlease charterflightto transportpassengers who are stranded because ofthe cancellationoftheir scheduled flight, providedthatthewet lease flight is authorized by OSTorthe Administrator, as applicable, andthatthe 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 offlight, not specified in its operations spedficatiC>TI:s,**fota,ilo~~r-6epfficate**holder. 

### The purposeofthis provision isto emphasizethata certificateholder 

### may not contractto**peJtf~r~** 

### aJ:tY :flghtit

## •s not authorized to perform

## by its own operations specifications. This means that a certificate holder

## thatagrees toperl'6rmschedu1ed flights for another carrier under a wet lease must conduct those operations underthe**do't\les~ic** &r flag

## t\Ules qfpart 121, or commuter rules ofpart 135,just as the original carrier wouldhave. To do this it musthave operationsspeCifications authorizing it to perform domestic, flag, or commuter rulesjust as the original certificate holderwouldha,ve.
For example, airline A**~onducts** domestic operations between New York and Miami. Because ofunanticipated problems, it finds itisunabletoperformth_ese flights for aperiodof3 days. ItarrangeswithairlineB to operatethese flights underwetlease, inwhichairlineB reta,i11soperatiomil controlofthe conductofthe flights. AirlineB mustoperatethese flights undertherules in part 121 applicable to domestic operations,justasairline A wouldhaveto do, and airlineB musthave operations specifications autbotizing:itto conductdo_mesti<ion;yi"ations.
Ifthe requirementfor 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 mightbe**induc~dJo** iuide#ake an

# overlYambitious S,chedule offlight operations with the expectation that any required augmentation**c~uld** be quickly oJmiineC:Ltpro'Qgh 

## a wetlease 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 [DocketNo. 28154; AmendmentNos. 91-245, 119, 121-251, 125-23, 127-45, 135-58, SFAR 50-2, SFAR71 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: Finalrule.
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 certificateholders. The rule also requires certain management officials for all certificate holders under parts 121 and 135. The rule is intended to increase safety in scheduledpassenger-carrying operations and to clarify, update, and consolidatethe certification and operations requirements for persons who transport passengers orproperty by air for compensation orhire.
EFFECTIVE DATE: January 19, 1996.
FORFURTHER 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- 

## lo60 FR 65832-01, 1995 WL 749760 (F.R.) Page 106

Since 

### §119.51(d)(3) clearly states that, ifa petition for reconsideration is filed within 30 days and ifno emergency situation exists, the effectiveness ofan amendment to operations specifications issued by the certificate-holding district office is stayed pending final review ofthepetition. 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-Wetleasing ofaircraft 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 ofan aircraft that includes the provision ofany 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 ofthe wet lease, would determine which party to the agreement has operational control and would amend the appropriate operations specifications ofboth parties, ifnecessary; and (6) allow a wet lease charter flight to transport passengers who are stranded becauseofthe cancellation oftheir scheduled flight, providedthatthe wetlease flight is authorized by OSTor 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 ofpart 119 addressing changes which are not relevant to the goal ofbringing commuter operations up to the standards ofpart 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 authoritiesas certificate holders arranging for the substitute operations.
British Airways objects to § 119.53 because it prohibits any wet leasing to U.S. carriers from foreign air carriers without any safetyjustification. 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 DepartmentofTransportation's economic regulations providing for wetleasing ofaircraftby 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 ifthey meet rigorous requirements ofpart 129 ofthe FAA regulations, which would imply that these aircraft are safe. Japan Airlines also claims thatthis regulation mightbe contrary to a friendship treaty betweenthe United States and Japan. The company suggests that the FAA address any specific foreign carrier safety concerns with something other than a blanket prohibition ofthe type proposed.
FAA Response:The changes tocurrent requirements for wet leasing in§ 119. 53 codify existing FAA policy on wet leasing. TheFAA requires operators conductingwetleasing operations to hold operations specifications for the same kind ofoperation as that being.conducted in**ord~r** to be sure that the operator is qualified to conduct that kind ofoperation. Since foreign air carriers may conduct operations only underpart 129, they do not hold operations specifications for currentpart 121 orpart 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 newprocedureto obtain deviation authorityto perform under aU.S. military contract. This would require the certificate holderto submitthis deviation authority request to DOD's AirMobility Command (AMC), who wouldreviewthe request and, in turn, forward itandthe AMC recommendation ontotheFAA for final review. The logic behind havingthe AMCreview this is to provide an additional, and more efficient, evaluation by a more qualified authority on the needs ofthe military operation.
Comments: One commenter expresses concern about the FAA's need to have the AMC serve as an extra check on FAA knowledge ofdeviation authority. The commenter states that adding another agencyto the process does not servethe 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 reliefis sought, and evaluate the requests to determine whether the relief sought would be needed to accomplishthemilitary mission. Thisprocedure will enable the agency toprocess these requests more efficiently, shouldthe 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 orearthquakes. 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 ofthe emergency.
Comments: Three commenters express concern about this proposed section. One ofthe 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 §119.58 relates to emergency operational situationsthat may require emergency deviation from prescribedprocedures and methods, weatherminimums, and FARs to the extentrequired 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 atthe exclusion ofsafety.
Another commenter states that while he supports theNPRM, hebelieves thatthis recodification would cause greater confusion and contradict the purpose ofexisting safety rules because it goes beyond the scope ofthe NPRM. He claims that "[t]he two types of 'Emergency Authority' are oftotally different contexts, are truly irrelevant to each other and there is no apparent advantage tothis 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

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, I 11jl1" 1. '"**~ela,t,ed "~~~s?J]tces** **1** "1 1 \ 1**~~** f Download the Code of Federal Regulations in XML. The Electronic Code of Federal Regulations (e-CFR) is a regularly updated, unofficial editorial compilation of CFR material and Federal Register amendments produced by the National Archives and Records Administration's Office of the Federal Register (OFR) and the Government Printing Office. Parallel Table of Authorities and Rules for the Code of Federal Regulations and the United States Code Text I PDF Find, review, and submit comments on Federal rules that are open for comment and published in the Federal Register using Regulations.gov. Purchase individual CFR titles from the U.S. Government Online Bookstore. Find issues of the CFR (including issues prior to 1996) at a local Federal depository library. [1] 

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

Browse Previous I Browse Next 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 ofthis chapter, or both, shall be issued only one certificate authorizing such common carriage, regardless ofthe 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 ofTransportation. U) A certificate holder under this part may not operate aircraft under part 121 or part 135 ofthis 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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