### U.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION ') •...J



### Addison Jet Management, Inc. ) ) ) 

### Docket No. [To Be Assigned]



# ____________________________ ) Judge Richard C. Goodwin

MOTION FOR DECISION 

### Pursuant to 14 C.P.R. 13.21(e)(5)Section 13.218(e)(5) ofthe Rules ofPractice in FAA 

## 28

Civil Penalty Actions, the Federal Aviation Administration (FAA) files this Motion for Decision, and in support thereof states as follows:

1. Section 13 .218( e)(5) ofthe Rules ofPractice in FAA Civil Penalty Actions, provides in pertinent part that "[t]he administrative lawjudge shall grant a party's motion for decision ifthe pleadings, depositions, answers to interrogatories, admissions, matters that the administrative law judge has officially noted, or evidence introduced during the hearing show that there is no genuine issue ofmaterial fact and that the party making the motion is entitled to a decision as a
matter oflaw."

2. 

### In this case, there are no genuine issues ofmaterial fact and the FAA is entitled to a decision

as a matter oflaw. 14 C.P.R.§ 13.218(e)(5.)

Factual Allegations 

### 3. On April 6, 2012, the Federal Aviation Administration filed its complaint in this matter. Paragraph 1 alleged that at all times mentioned in this document, Addison Jet Management, Inc.

### ("Addison") was the holder ofAir Carrier Operating Certificate No. 15JA697J issued under 14 C.F.R. Part 119 and appropriate operations specifications issued under 14 C.F.R. § 13 5. Paragraph 2 alleged that on or about January 18,2010, Addison hired Victoria McKown as a pilot, a safety-sensitive position. Paragraph 3 alleged that on or about August 2, 2010, Ms. McKown operated civil aircraft N213HP (listed on Addison's operations specifications as Airplane MIM/S CE-650-650 

### SIN 6500133) as pilot-in-command on a round-trip flight from Dallas, Texas to San Diego, California under Part 135 ofthe Federal Aviation Regulations. Paragraph 4 alleged that pursuant to 49 C.F.R. §40.25(a) and (b), Addison did not obtain drug and alcohol record checks from DOT-regulated employers who had employed Ms. McKown during any period during the two years before the date ofMs. McKown's application to Addison. Paragraph 5 alleged that pursuant to 49 C.F.R. §40.25G), Addison did not ask Ms. McKown whether she refused pre-employment drug or alcohol testing, or whether she tested positive on any pre-employment drug or alcohol test for application to safety-sensitive transportation work covered by DOT testing rules.

4. In its answer, Respondent admitted paragraphs 1, 2, 3, and 5 ofthe complaint. Respondent denied paragraph 4, contending that Respondent obtained drug and alcohol record checks from DOT-regulated employers who had employed Ms. McKown during any period during the two
years before the date ofMs. McKown's application to Respondent.

5. Although Respondent denied paragraph 4 ofthe complaint, two letters provided by Respondent to the FAA establish that Respondent did not obtain the requisite drug and alcohol record checks from DOT-regulated employers. First, a letter dated December 15,2010, from Gerald P. Shaw, the person responsible for compliance with the FAA-mandated drug and alcohol

### program, 1 

### acknowledged that had he failed to ask Ms. McKown ifshe had been employed by any other employer that was subject to DOT drug/alcohol testing. He acknowledged that had he asked her question 

### "J" on the new hire checklist, he would not have failed to send the 8060 questionnaire to Ms. McKown's other/previous employers. (Exhibit C). Second, a letter dated January 13, 2011, by Mr. Shaw repeats the admission that Mr. Shaw failed to send the 8060 questionnaire to Addison Express as required by the regulations. (Exhibit D). The referenced 8060 questionnaire is the document wherein the current or prospective employer requests drug and alcohol information from DOT-regulated employers who have employed the employee during any period during the two years before the date ofthe employee's application or transfer in accordance with the 49 C.P.R. 40.25(a) and (b). (Exhibit E).

6. In addition to the letters provided to the FAA, Respondent's response to the FAA's discovery request establish that Respondent failed to obtain the records checks required by 49 C.F.R 40.25(a) and (b). Document Request No.4 ofthe FAA's Request for Production ofDocuments required Respondent to produce the records identified in 49 C.P.R. 40.25(b) for Ms. McKown referenced in the complaint. (Exhibit A). In response to the above document request, Respondent enclosed 13 documents. (Exhibit B). None ofthe documents provided in response
to the FAA's discovery request establish compliance with 49 C.P.R. 40.25(a) and (b).

7. The regulations provide a time frame for compliance. 49 C.P.R. 40.25(d) provides that if feasible, an Employer must obtain and review the information listed in 49 C.P.R. 40.25(b) before the employee first performs safety-sensitive functions. Ifnot feasible, however, the Employer
must obtain and review the information as soon as possible, but may not permit the employee to perform safety-sensitive functions after 30 days from the date on which the employee first

1 Exhibit A, Interrogatory No. 7, Exhibit B, Response to Interrogatory No. 7.

### performed safety-sensitive functions, unless the Employer has obtained or made and documented

a good faith effort to obtain the information. Since Ms. McKown performed her first safetysensitive function on August 2, 201 0, Respondent was required to obtain and review the information listed in 49 C.P.R. 40.25(b) before August 2, 2010, iffeasible, or ifnot feasible, no later than September 1, 201 0, unless Respondent obtained or made and documented a good faith effort to obtain the information. The FAA's Interrogatory No.4 requested that Respondent identify any and all documents in Respondent's possession that concern, refer to, or involve the circumstances set forth in the Complaint. (Exhibit A). Respondent's response, "Copies ofMs. McKown's Drug Test results and records," establish that Respondent did not have records documenting a good faith effort to obtain the information required in 49 C.P.R. 40.25(b). (Exhibit B). Respondent, therefore failed to perform the requisite records check or document a good faith effort to obtain that information in violation of49 C.P.R. 40.25(a) and (b) in the time frame specified in 49 C.P.R. 40.25(df

The Sanction
8. The civil penalty sought by the FAA should be affirmed. The FAA is seeking a civil penalty in the amount of$8,149 in accordance with FAA Order 2150.3B. Pursuant to that Order, for·
purposes of sanction, air carriers and operators are classified into groups. Group III is comprised ofair carrier or commercial operators operating under part 13 5 with 6 to 49 pilots or 6 to 24 aircraft. (Exhibit Fat B-3). At the time ofthe alleged violation, Addison had 15 safety-sensitive employees and 4 aircraft. (Exhibit E ). Therefore, it was a Group III operator as defined in FAA Order 2150.3B. (Exhibit Fat B-3). For violations covered under 49 U.S.C. 

### § 46301(a)(5)(A), the maximum range is between $7,150-$11,000; the moderate range is between $3,300 -$7,149;

2 As ofDecember 15,2010, Ms. McKown was still employed at Addison. (Exhibit F).

### and the minimum range is between $825-3,299. (Exhibit Gat B-4). Failure to conduct drug and alcohol records check required under 49 C.F.R. 

### § 40.25 warrants a moderate civil penalty. (Exhibit Gat B-34). In accordance with FAA Order 2150.3B, Appendix B, 3 (c), the middle of each recommended sanction range is appropriate for a single violation absent aggravating or mitigating factors. (Exhibit Gat B-2) The middle ofthe moderate range for this violation is $5225, before consideration ofaggravating or mitigating factors.

9. After determining the starting point of$5225 in determining the sanction in the instant case, the FAA then considered the factors outlined in FAA Order 2150.3B, Chapter 7.4. (Exhibit G at B-7-1). One ofthose factors was Respondent's violation history. (Exhibit Gat 7-4). A review of the Compliance Enforcement Tracking System (CETS) revealed that on December 8, 2006, Addison was assessed a civil penalty in the amount of$12,000 for failure to ensure that
contractors were covered under an FAA-mandated drug and alcohol testing program. (Exhibits E and H) ). After consideration ofthe Group III status, the nature ofthe violation, and mitigating and aggravating factors, the FAA reasonably determined that $8149 was an appropriate civil penalty. The $8149 sanction falls within the parameters set by the sanction guidance. Hence, the sanction should, in the absence ofextraordinary circumstances, be affirmed. In the Matter of Texas ArmyNational Guard, FAA Order No. 2012-3 at 6 (May 22, 2012).

10. 

### In view ofthe admissions, established in the correspondence to the FAA and responses to the FAA's discovery, there are no genuine issues ofmaterial fact and the FAA is entitled to a decision as a matter oflaw.
WHEREFORE, the FAA respectfully requests that the ALJ grant the FAA's motion for decision.

### Peter J. Lynch Assistant Chief Counsel

/fll.

............. 

### Killingham Attorney Enforcement Division, AGC-300 Office ofthe Chief Counsel

# --------------..........

CERTIFICATE OF SERVICE

I hereby certify that the foregoing Motion for Decision, in the matter ofAddison Jet Management, Inc., has been mailed this date by via overnight mail to: The Honorable Richard C. Goodwin, Administrative Law Judge Office ofHearings, M-20 U.S. Department ofTransportation 1200 New Jersey Avenue, S.E. (Ell-310) Washington, DC 20590

Gerald P. Shaw Director of Operations Addison Jet Management, Inc. 7515 Lemmon Avenue Dallas, TX 75209

The original and one copy hand-delivered to: Hearing Docket, Room 924A, AGC-10 (Original and one copy) Federal Aviation Administration 600 Independence Avenue, S. W., Suite 2WI000 Washington, D.C. 20591 Atten: Hearing Docket Clerk

. 

## " 

# £3**~,{\!** 

# 6=1t

# xtA-, July 13, 2012

# \ 

# ------------------

U.S. DEPARTMENT OF TRANSPORTATION

FEDERAL AVIATION ADMINISTRATION

Addison Jet Management, Inc. ) ) 

### ) Docket No. [To Be Assigned) --------------) Judge Richard C. Goodwin



### AGENCY'S FIRST INTERROGATORIES AND REQUEST FOR PRODUCTION OF DOCUMENTS

Pursuant 

## io the discovery guidelines set forth in Section 13.220 ofthe Rules ofPractice in FAA Civil Penalty Actions (14 C.F.R. 13.220), the Federal Aviation Administration ("FAA") hereby requests that Respondent within thirty (30) days of service, provide to counsel for the FAA the information described and requested below. Moreover, this is a continuing request for Respondent to provide all updated or new records or information, as itemized in this document, through the date ofthe hearing.


### DEFINITIONS
1. 

### Unless otherwise indicated, these Interrogatories and Requests for Documents refer to the time, place and circumstances ofthe occurrence mentioned or complained ofin the Compliant.

2. Where knowledge or information or a document possessed by a party is requested, that request includes knowledge ofthe party's representatives, agent and, unless privileged, attorneys.

## ·- 

# -----------------

3. The pronouns "you" and "yours" refer to the party to whom or which these Interrogatories and Requests for Productions are addressed, and the persons mentioned in paragraph 2. supra. ··

4. When used with respect to a documents, "identify" Means to furnish the document itself, or in lieu thereof, the name and date ofthe document, the name and addiess, addresses of · all persons to whom copies ofthe document were or have been sent, and the organization, firm or agency with which all such persons were connected as ofthe date ofthe document, and state whether you are in possession ofthe original or copy, and/or furnish the name and address of a person whom you believe is in possession ofthe original or a copy ofsuch document.

5. The term "identify" when referring to a person, means to identify the person by name, occupation(s), and business address.

6. The terms "document" and "statement" mean without limitation, the following items, whether printed or recorded or reproduced by any other mechanical process or written or produced by hand: agreements, communications, correspondence, telegraphs, memoranda, electronic messages, court or legal documents, summaries or recordings oftelephone conversations, summaries or records ofpersonal conversations or interview, summaries or reports ofinvestigations, opinions or reports ofconsultants, diaries, graphs, reports, notebooks, note charts, plans drawings, sketches, maps, photographs, motion picture films, brochures, pamphlets, advertisements, circulars, press releases, drafts, letters, and marginal comments appearing on any documents, and all other tangible information capable ofbeing read or viewed.

7. For all interrogatories to which the responding individual has an objection, state the factual and**l~gal** 

### basis for the claimed privilege, or any other authority that provides the claimed basis for the objection.

8. All documents requested as to which the responding individual claims privilege or any other objection as a ground for non-production shall be identified chronologically as follows:

a. date '-J•1!llt

# ---------------------

b. title

c. type ofdocument (e.g., memorandum, report, chart, etc.) d. Subject matter (without revealing the information as to which privilege or statutory authority is claimed), and

e. factual and legal basis for the claimed privilege, or any other authority that provides the claimed ground for non-productivity



### INTERROGATORIES INTERROGATORY NO. 1: Identify, by providing the name, occupation, and business address, ofeach person you intend to call as a witness in this proceeding.


### INTERROGATORY No.2 Provide the substance ofthe testimony to be offered by each ofthe witness identified in Interrogatory No. 1.


### INTERRROGATORY NO. 3 With respect to each expert witness you intend to call as a witness in this proceeding, set forth the subject matter upon which each expert witness is expected to testify, the facts and opinions composing the testimony ofeach expert witness, and a summary ofthe grounds for each opinion.


### INTERROGATORY NO. 4 Identify any and all documents in your possession that concern, refer to, or involve the circumstances set forth in the Complaint.


### INTERROGATORY NO.5 Identify any and all documents.which reflect, detail, or demonstrate your. compliance with 49 C.F.R. 40.25 (a) and (b) referenced in the Complaint.

### INTERROGATORY NO. 6

State whether or not the not the attached letters dated December 15, 2010, and January 13, 20:1 I, labeled Exhibit A and Exhibit B, were signed by a duly authorized representative ofAddison Jet Management, Inc.


### INTERROGATORY NO.7
Identify the person responsible for compliance with the FAA-mandated drug and alcohol program.


### INTERROGATORY NO. 8

State whether the person identified in Interrogatory 7 above understood at the time ofthe FAA inspection on December 15, 2012, that the records identified in 49 C.P.R. 40.25(b) were required
to be retained for three (3) years in accordance with 49 C.P.R. 40.25(e)(i).


### INTERROGATORY NO. 9

Ifthe records identified in 49 C.F.R.40.25(b) are no longer available, please state the following:

a. Identify the name and address ofthe company(s) where the record request was made.
b. State the date(s) the record request was made.

c. State the date(s) when you received a response from the company(s).

- . - . ' . 

### d. State the substance ofthe response(s) received from the company(s).

### INTERROGATORY NO. 10

Ifyou no 

### longerhave the records identified in 49 

### C.P.R. 40.25(b) for Victoria McKown, piease state why you no longer have the records.
INTERROGATORY NO. 11

State why you did not produce the records identified in 49 

### C.P.R. 40.25(b) for Ms. McKown to the FAA inspectors during the inspection ofyour company on December 15,2012.
INTERROGATORY NO. 12

State why you did not produce the records identified in 49 

### C.P.R. 40.25(b) for Ms. McKown to the FAA after the inspection ofyour company on December 15, 2010.
INTERROGATORY NO. 13

Ifyou contend that you found the records identified in 49 

### C.P.R. 40.25(b) after the FAA inspection conducted at your company on December 15, 2010, state when you found the records.
INTERROGATORY NO. 14

Ifyou contend you found the records identified in 49 C.F.R.40.25(b) after the FAA inspection conducted at your company on December 15, 2010, state where you found the records.
INTERROGATORY NO. 15

State the name and position ofthe

# p~rson who bore the

# r~spo~sibility to

# mai~tain and

# ret~in**ili~** records identified in 49 

### C.P.R. 40.25(b).

### REQUEST FOR PRODUCTION OF DOCUMENTS
DOCUMENT REQUEST NO. 1: Copies ofcurrent curricula vitae for each expert witness · you identified in Interrogatory No. 3.



### DOCUMENT REQUEST NO. 2: Copies ofany statements made by witnesses identified in Interrogatories No. 1 and 3, concerning, referring to, or involving the circumstances set forth in the Complaint.



### DOCUMENT REQUEST NO. 3: Copies ofall documents that you intend to introduce into evidence.



### DOCUMENT REQUEST NO.4: Produce the records identified in 49 C.P.R. 40.25(b) for Ms. McKown referenced in the Complaint.



### DOCUMENT REQUEST NO. 5 Ifyou claim that you are financially unable to pay the penalty referenced in the Complaint, produce financial records that establish financial hardship,

· including but not limited to the last three (3) years income tax statements for the company.

" .. ·- .. .. .**·~** ....... ·-- ..**~** ....

### Respectfuiiy submitted,

Peter 

### J. Lynch Assistant Chief Counsel Enforcement Division, AGC-300

# By:~·· I Autumn Killingham Attorney, AGC-300 Federal Aviation Administration Office of the Chief Counsel 800 Independence Avenue, 

### S.W. Washington, D.C. 20591 Telephone: (202) 267-7728

.-· ... •..
. "' .**~** . . . ..**-~** . --- ··- .. . .

..... ·-· .·- ·-·- .... . -- '. ----· ··--- ·-·· ........ ·-··-···**-~-** -·· ... -· -. -·· -· ··-· ·-····· ··- .

### - -. -·· ·-- 

### -- .. ..**--~···** -·

### CERTIFICATE OF SERVICE



### I hereby certify that the foregoing First Set ofInterrogatories and Request for Production of Documents, in the matter ofAddison Jet Management, Inc., has been mailed this date by via overnight mail to: Gerald P. Shaw Director of Operations Addison Jet Management, Inc. 7515 Lemmon A 

### venue Dallas, TX 75209

The original and one copy was also mailed this date by Certified Mail to: Hearing Docket, Room 924A, AGC-10 (Original and one copy) Federal Aviation Administration 800 Independence Avenue, S.W. Washington, D.C. 20591 Atten: Hearing Docket Clerk

# f3~13aih May 14,2012

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Wednesday, December 15,2010

Mr. 

### JonM. Hopkins Aerospace Medicine Drug Abatement Division 2601 Meacham Blvd., Room 121 Fort Worth, TX 76137 Dear Mr. 

### Hopkins, 

# •

I appreciate your team conducting the audit ofour Drug Abatement Program. It is from these inspections that we find our weaknesses and are able to improve our performance and compliance. On the matter of recurrent training for the Supervisors and Program Manager. Through the task of merging our two companies and moving our Operations Base, I inadvertently let my obligation to the required training lapse. I am scheduling training for the Supervisors and for myself as the Program Manager for tomorrow, December 16, 2010. Once that is complete, we will then schedule recurrent traimng for all of our covered employees on the Drug and Alcohol Abatement Program to review the program and to learn of changes that have been put in place since our last training was**conduct~d.** 

### We will go over all ofthe latest materials. I will have our scheduler program our computer based scheduling program to include the recurrent requirements ofthe Drug and Alcohol Abatement Program, which will then automatically alert us that the required training is coming due. It is the same program that tracks all ofthe currency requirements for our pilots. This will ensure it will not be missed in the future. On the matter ofVictoria Reich McKown, I remember reinstating her on our certificate at the beginning ofthe year. I handled the Drug Program paperwork myself Knowing Tori very well and knowing where she works I made an assumption that I was not allowed to make. I assumed her situation had not changed and that she was only flying her Part 91 planes and owners. I refreshed her other documents including her resume and her insurance form which shows her employers. I know her employers and the history had not changed. However, this does not relieve me ofthe obligation to question her about any other drug program and testing as per the 

### 'T' question. Had I simply followed the checklist that we use for new hires, I would have not missed this. The 

### 'T' question would have been asked 

### in writing and the past employer, Addison Express, would have been sent the 8060 questionnaire to be in 

### compliance with the

....... ····--------_..regulations

..**--llet~complacency-** 

### slip-in--foF-e-xpedience:-· In 

### the--training tomorrow-! ·will··emphasize the importance ofusing that checklist and check offeach item, just as we do in the cockpit. I am contacting Ms. Reich/McKown today and will have the paperwork completed properly and**~ent** 

### to the former employer for completion as soon as possible, probably today or tomorrow. We will not

7515 Lemmon Ave. Dallas, Texas 75209 

### , E){HIBiT·'

.

# ~A>·~,;:Ii_

# ··"·

'•**--:.;;[~** .. ··';.

'···'></·,<:,;·,· .• · .. · gshaw@trinityjet.com Phone: 214-366-4800 Cell: 214-957-0166 Fax214-366-4801y



# . ' 

# •

release Ms. Reich!McKown for any flights until the Drug and Alcohol Abatement Program paperwork is correct and filed.

I will forward you the documents from the above corrections as soon as they are completed, but no later than Monday, December 20, 2010.

As you had noted, we have made much improvement since our last inspection and we will continue to strive for complete compliance and safety in our operations. I thank you and your team again for your oversight and service to our industry and wish all of you a Merry Christmas and a Happy New Year. Please pass that on to Mark as well when you see him.
Sincerely,

Gerald P. Shaw, Director ofOperations

7515 Lemmon Ave. Dallas, Texas 75209 gshaw@triniiyjet.com Phone: 214-366-4800 Cell: 214-957-0166 Fax 214-366-4801

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### Thursday, January 13, 2011 

### Mr. JonM. Hopkins, 

### AAM 840 Federal Aviation Administration ·office ofAerospace Medicine Drug Abatement Division 2601 Meacham Blvd., Room 121 Fort Worth, TX 76137-4298 RE: File Number: 2011 SW91 0053 In 

### response to your letter 

### I received on January 

### 5, 2011 

### I submit the following; I 

### appreciate your team conducting the audit ofour Drug Abatement Program. It 

### is from these inspections that we find our weaknesses and are able to improve ourperformance and compliance. On the matter of recurrent training fqr the Supervisors and Program Manager. Through the task of merging our two comp!llies and moving our Operations Base, I 

### inadvertently let my obligation to the required training lapse. I 

### completed training for myself as the ProgramManager a:p.d for William Selah as a supervisor on December 16, 2010. I 

### completed supervisor training for our new Director ofMaintenance on January 12, 2011. He also completed all ofthe initi£Jl training and testing as well. We are conducting recurrent training for all of our covered employees on the Drug and Alcohol Abatement Program to review the program and to learn of changes that have been put in place since our last training was conducted. We will 

### go over all ofthe latest materials. I 

### had our scheduler program our computer based scheduling program to include the recurrent requirements ofthe Drug and Alcohol Abatement Program, which will then automatically alert us that the required training is coming due. It 

### is the same program that tracks all ofthe currency requirements for our pilots. This will ensure it will not be missed in the future. · On the matter ofVictoria Reich McKown, I 

### remember reinstating her on our certificate at the beginning ofthe year. I 

### handled the Drug Program paperwork myself Knowing Tori very well and knowing where she works I 

### made an assumption that I 

### was not allowed to make. I 

### assumed her situation had not changed and that she was only flying her Part 91 planes and owners. I 

### refreshed her other documents including her resume and her insurance form which shows her employers. I 

### know her employers and the history


### ·-- ··-·· - · -- haa tic>rd.mnged: · 

## However; thii:rdoes n.or·-relieve·me-oftlie-ooligatimr·to-quest1onlrer-aoounmy -other

drug program and testing as per the 

### "J" question. Had I simply followed the checklist that we use for new hires, I would ;have ne>t missed this. The 

### "J'' question would have been asked in writing and the past

·- · employer, Addison EXpress, would have been sent the 8060 questionnaire to be in compliance with the

75l5 Lemmon Ave. Dallas; Texas 75209

. . .**~.**



### .,, gshaw@trinityjet.com Phone: 214-366-4800 Cell: 214-649-5474 Fax 214-366-4801

### • ! 

# •

regulations. I let complacency slip in for expedience. 

### In the training we have conducted recently I have emphasized the importance ofusing that checklist and check offeach item, just as we do in the ·cockpit. I contacted 

### Ms. Reich!.McKown on December 16, 2010 and the paperwork was completed properly and sent to the former employer for completion. The paperwork was completed and returned the same day. A new J 

### questionnaire was completed as well. Ms. Reich!McKown was not released for any flights until the Drug and Alcohol Abatement Program paperwork was correct and filed. I have already forwarded the documents you have requested from us including the completed forms for Ms. Reich!McKown and the Supervisor Training forms. As you had noted, we have made much improvement since our last inspection and we will continue to strive for complete compliance and safety in our operations. I ask you consider our efforts as you investigate our case. I thank you and your team again for your oversight and service to our industry.

Please let me know 

### ifthere is anything else you should need.
Sincerely,

# ~!?~~ GeraldP. Shaw Director ofOperations

'ct, ••• :. (



### .... ·-' '"-**~-''"'•-• -~---~·-·--•-'**  ,_**~,,,,....__,,_,.** '**~···-·-** No>**~- ~----**  ..**·~--'•'"'''** -·A

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7515 Lemmon Ave. Dallas, Texas 7 5209 '

........ • • ,:-=.•.,. gshaw@trinityjet.com Phone: 214-366-4800 Cell: 214-957-0166 Fax 214-366-4801

# Addison Jet Management, Inc. d/b/a 

# Trinity Private Jet Charter

VVednesday,June13,2012 Autumn Killingham Attorney, AGC-300 Federal Aviation Administration Office ofthe ChiefCounsel 800 Independence Avenue, S.W. Washington, D.C. 20591

RE: In the Addison Jet Management, Inc. FAA Case No. 2011SW910053

Dear Madam: In response to the first interrogatories and request for documents I submit the following reply. INTERROGATORY NO. 1: The sole witness will be Gerald P. Shaw, Director of Operations, 7515 Lemmon Ave., Dallas, Texas 75209. INTERROGATORY NO. 2: Knowledge ofMs. McKown's past drug testing history. INTERROGATORY NO. 3:. N/A INTERROGATORY NO. 4: Copies ofMs. McKown's Drug Test results and records. INTERROGATORYNO. 5: N/A INTERROGATORY NO.6: The letters referred to were written and signed by me, Gerald P. Shaw as Director ofOperations for Addison Jet Management, Inc. INTERROGATORY NO. 7: .Gerald P. Shaw, Director ofOperations for Addison Jet Management, Inc. INTERROGATORY NO. 8: Gerald P. Shaw Understood atthe time the requirement for the retention of records.

7515 Lemmon Ave. Dallas, Texas 75209 gshaw@trinityjet.com Phone: 214-366-4800

· Cell: -2-14-649-5474

Fax-2-14-3u64801

### INTERROGATORY NO. 9: The records are available. INTERROGATORYNO. 10: N/A INTERROGATORY NO. 11: The records were generated on December 15, 2012 INTERROGATORY NO. 12: ·N/A INTERROGATORY NO. 13: N/A INTERROGATORY**NO~** 

### 1.4.:. NJA 

### INTERROGATORY NO. 15: Gerald P. Shaw, Director ofOperations, Addison Jet Management, Inc. DOUCUMENTREQUESTNO. 1: N/A DOUCUMENT REQUEST NO. 2: N/A DOUCUMENT REQUEST NO. 3: Documents enclosed DOUCUMENT REQUEST NO. 4: Documents enclosed DOUCUMENT REQUEST NO. 5: Request more time for our account to produce the last three years income tax 

### statements for the company.

Gerald P. Shaw

# ~~~ Director of Operations, Addison Jet Management, Inc. 214-649-5474

7515 Lemmon Ave. Dallas, Texas 75209 gshaw@trinityjet.com Phone: 214-366-4800 Cell: 214-957-0166 Fax214-366-4801

## - Dec 16 10 12:26p Signature PWK 1 

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### Uate/Ti•e .OEC-l5-2010(ijE0) 15:40

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# · ADDISON JET MANAGEMENT, INC. d/b/a 

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PURSUANJ' TO SECTION 40.25 § 5(J) 

### OF 49 CFRPAR'l' 40;

### ANEMP.LO~ MUST ASK A POTENTIAl).

### EMPLOYEE Wf.IE.'THE&HE OR SHE HAS lEStEO 

### POSITIVE OR RBFUSBD 

## TP TEST ON ANY.PRE-BMPLOYMENT DRU$ 

### OR. ALCOHOLTEST ADMINISTBRBD BY ANBMPLOYEElTOWHICH 

### 'l'HB 

### EMPLOYEE APPLTPD Fot·:strrDJD NOT OBTAIN, SAFETY 

## -SENSirilvEI

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### "ALCOHOL TESTINGRULES DURlNG:rHR PAST TWO YEARS. IF T.BE 

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## . ·.l/14/10 13:21 To: 9729316062 Pq 001 

### •!J!!!IP l.obor,ro.y Corporation Of**Mlt~C. H~Jdl"9'**  89 First Av••• Raritan. NJ 081Gt FEDERAL D,RUG TESTING CUSTODY AND CONTROL 

### FORM 

# 1111

# ~

# WJWJJIIII 1104 Alexandor Dr., kea•arch Trlena.te Park; ·NQ 277ot 1120 Main &trallt, southav•n. Ml$**~0011** 7'1.07 Norm Genn•r, Houston, TX 77040 UICPJENHlNO.·; 

# 0873998871

STEP t• COMPlETED BY COLLECTOR OR EMPLOYI!R REPRElENTATIVE 1.A'\/¢C!&SION NO

. 

## .. A. Employer Narne, ;.dd,.,aa and I.D. 

## No. • B. MRO Name, Address. Phone and Fax No; 

### ----i I ' , 01 

### J 

# I IWOIIDN .tET MGT.**d~tiMAGINAIAE** 

### PeMaRooi<e OCCUPA1'10NP4.. HeAI.l'H AltiJ: Gltllf $hW

.. ; AnN! DR. JOHN C.NeTAS

# c.at~~!}!I~~2~~!·-e•.**~~~~~~** 0. Reason for Test: C!r'Pre·empiOyment 

### o Random · I:l Reasonable Suspicion/Cause 

### tJ

# Pasr~nt I 0 Return to Duty 0 Follow-up • 0 Other (Bpl{:lly)

________**~**... E. Orug Tests**.J.2.9~** Pe

..rtormed: 'bt'!H,

### c=c .. o,c,..**rg~.i** OPI. AMP 0 THC & 

### coo oniv 0 Olher,.<!P..!'P!.fy). =,., .• ' : N '1:': S**~Ad** '**~ ~**  ··--- ... ·: :'!**~** t ;ii.i atr,iJ9. 

## "* (**~** 

## .. "":..Collection.. tte.lt\**dre~Ss:--** . . ·: · ' ·. • ·. · · ·; • ' • ·· . • • - · , 

### ' CONCENTRA MEDICAL CENTERS ! 15810MIDWAYRO. i**CQII~c:toi Phon~**  No. cOIIOCIOI fJX NO. , 

### ADDISON. TEXAS 75001 ;

### ~~~T~E!fP~2[:**:§cgo~~ji;~m~~'l"rT~rr:B~III~!H'i!~:J~ItDO~·-~t~rt~f-~q:~~::;~~~~.~~;:-=-=====~==:===** 

# ···-----'" Read specimen temperaturs within 4 minutes. Js tem'perature**I.S~cimeri**

# Collection: · j · between 90" and 100°F?

### ·w~a ONo, Enter

### Rema~k**~pill** c:JSingle ONone Provided (Enter Remerll}

### OO~served (Enter Remark) l

### ~R~E~M~A~R~K~S~:~--~---~--·~----------~i-----------------------------------------------·-----~ STEP 3:**CO!'!'~~!'~'!!fl~~· _~:'_!~_!!~•-**  sut(a) to bottlt{l), Collutor d•lt• eolll(e!:_E!'!'!f**.!,n~~ !!~~~·~:..~:!'!.r.,!l!~~•toe**  &nP 5 on Copll2 (MRO Copyl · STEF» 4: CH"In ur ......-r,nv • INinATED BY COLLECTOR AND**l#vmP~oo~;.tJ;ILDI'** • •

at Iprovided my unne spsalmt!lflto the cotlecJor; fhst I have nor ttdultsraled/tin any manner, each speCimen bOitte vaed Wllll**sr,ai~Kl.with** lltempet·

I ftJ !Y PMSIJ/'ICS; and that tht lnlormtJtlon provided on lhl• form 1111d on the labtJiafflxed to ttJCh spf1C/men botrte I# COI'I"GCt

## .6...J.t:....\ood~~~~~~VY"\.~~~~:, 

# \J**\c...~~--** N'\c 

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### I ./ 

# 14 JllJ
• tPRINT) conor·1 Narnt !Firat. ML Lllll Dtlt**IMOID~r.l** OaY!knePhoneNo.t:W•

# !f:a=:~6li:e:::**~ventng~l10neNo.et!a~~')9 -~La**  DateofBir1h

# ~**?~ittq,?** Shoula thg JVauiiG ollhlllalxl!li\Qiy \lelltll lor lhv &pel;imun tuenll!IW by this form be ClOillirmlltl poal11Ye, lhv Metlk;&l Review otncer will conlll\<1 you to 80k about pi04ICifpllona Md ovor-tho.eountor mi!Clcallone you may have taken. 1horefotll, you mAy W$1'11 to**ma~e** a list ol those**mecic:alion~~;** lor**yo~o~r** owr1 reoorde

. • THIS LIST IS NOT NECESSARY. If you dliiOH to mab a

# .It do !JO ellhar on a aeparat& pleat of ·p;IPOI' or on lhe back of YOur copy (COPY :>). -00 NOT PROVIDE THIS INFORMATION ON THE BACK OF ANY OjTHER COPY OF THE FORM. TAKE COPY 5 WITH YOU. · • STEP 8: COMPLETED BY MEDICAL**~te\it!W OF~ICER**  • P.RIMARV SPECIMISN tn**~nett** w1t11 applloabht F«J!ral**teql.llrtlmt~n~.** my**~~rmlnarforWerllfcatlon** Itt:

0 NEQ.-,TIVE 0 POSITIVE Cl TEST CANCELLED Cl REFUSAL TO TEST 8EC-'OSE: Cl DILUTE ( Cl AOULTiRATiD 0 SUBSTITUTED

### REMARKS------------------------~----------------------~----~------------------ X 

### I I Dar• (lololll*y/Yr.)

. STEP 7: COMPLSTI!D BY MEDICAL REVIEW OFFICER ·$PUT SPECIMEN

In lf()C(}fC}wJce With sppl/cabls Ftldtlflll frKIU["msnts, my**«iftem~irtationWdHO!tion** far thtt llp/11 specimttn (If tested) is:

. i Cl RECONFIRMED 0 FAILED TO Rt:CONFtRM -;REASON
- - --·-**-------~~---------::-----4** i j X ( 

### :.

. ' ·.· 

### ., . 

### ·. . D111 (IOlDibi, r,) ··--- .. .......................... J

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### 9-First Ave., Raritan, NJ 08869 Fr-"---·AAL DRUG TESTING CUSTODY AND CON-r-)L FORM 904 Alexander Dr., Research Triangle Park, NC 2"t t09 120 Main Street. Southaven. MS 38671 207 North Gessner, Houston, TX 77040
SPECIMEN ID NO.

STEP 1: COMPLETED BY COLLECTOR OR EMPLOYER REPRESENTATIVE A. Employer Name, Address. and J.D. No.

., •••• 1**.~** " • '.

..... ·.**~~** ·..
. ::;
C. Donor SSN or Employee J.D. No. "-:"**~,:,** . • 

### .. .· i i

D. Reason for Test: o·Pre-employment 0 Random 0 Return to Duty

. 0 Follow-up l.AB ACCESSION NO.
B. MRO Name, Address, Phone and Fax No. /%'.**-~-.;:** ..**~ ~**  ,::·.·;-.:-:-; l.::-:·**~·-·: l~~:** **:.;:--~···** H t·· :- : - ..**~** :· )_,:

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... :' :·;!! 

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0 Reasonable Suspicion/Cause 0 Post**Accid~nt** 0 Other {specify)----------- '

l 0**~ ~** **_;;~** ·?**~i** .. 0

N

• ; ':· ; <**~-.** ;

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F. ColleCtion Site**Ad~f5g~0** 

### MIDWAY RD.

. 

### .. q THC &_**~.<?<:; Q_~ly**  __ . 

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-·"""'"""""--.,.,,., .. ,..,....,_,-_ ..,-, . -:-.,.,
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....

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### = .................. .. ADDISON, TEXAS 75001 

### Phone(972)458a8i 11 Fax(972)458-7776 ·
STEP 2: COMPLETED BY COLLECTOR Collector f>hone No.
Collector Fax No.
Read specimen temperature within 4 minutes. Is temperature 'Specimen Collection: · 

# I
between 90° and 100°F? t1lfes ONo, Enter ReJ!Iark QSplit

. OSingle ONone Provided (Enter Remark) OObserved (Enter Remark) REMARKS: STEP 3: Collector affixes bottle seal(s) to bottle(s). Collector,· dates seal(s). Donor initials seal(s). Donor completes STEP 5 on Copy 2 (MRO Copy) STEP 4· CHAIN OF CUSTODY- INITIATED BY COLLECTOR AND COMPLETED BY LABORATORY I certify that the specimen given to me by the donqr idenlified in the'cerlification section on Copy 2 ofthis foiTTI was collected, labeled, sealed, and released to the Delivery Service noted in accordance with applicable Federal requirements. · ··- · SPECIMEN BOTTLE(S) RELEASED TO: X , .. ... , 1 ,,, " AM

. t**~~** Slgnatul>! of Collector Time of Collection I 

### I

.. /I/.
RECEIVED AT LAB: Primary Specimen Bottle Seal Intact SPECIMEN BOTTLE(S) RELEASED TO: X Signature of Accessioner 

### I I 0 Yes**~** 0 No, Enter Remark Below PRIN i) Accessioners Name First, Ml Last bate (Mo/Day/Yr.) STEP 5: COMPLETED BY DONOR I certify that I provided my urine specimen to the collector; that I have not adulterated it in any manner; each specimen bottle used was sealed with a tampereviqent**~eal** in 'fTIY presence; and that the information provided on this form and on the label affixed to each specimen bottle is correct. 

### '. /

..\ l \ \

.. . '

.. •; / 

### x \j '

...

## ·.·--..I.·:···._.,_., :..:. : ·c·.**~---~r:·.** ···.1 i \;. \-·

... :· ., . ;-,-\. I(.>_ .•**,.··~** 

### I,; I' Signature of Donor · 1 (PRINT) Donor's Name (First, Ml, Last) Date (Mo/Day/Yr.) Date of Birth 

## ·- I ;;q' 

## I.' 'I Mo. Day Yr. Should the results of the laboratory tests for the specimen identified by this form be confirmed positive, the Medical Review Officer will contact you to ask about prescriptions and over-the-counter medications you may have taken. Therefore, you may want to make a list of those medications for your own records. THIS UST IS NOT NECESSARY. If you choose to makei a list, do so either on a separate piece of paper or on the back of your copy (COPY 5). -DO NOT PROVIDE THIS INFORMATION ON THE BACK OF ANY OTHER COPY OF THE FORM. TAKE COPY 5 WITH YOU. STEP 6: COMPLETED BY MEDICAL REVIEW OFFICER
- PRIMARY SPECIMEN In accordance with applicable Federal requirements, my determination/verification is:

0 NEGATIVE 0 POSITIVE 0 TEST CANCELLED 0 REFUSAL TO TEST BECAUSE: 0 DILUTE 0 ADULTERATED 0 SUBSTITUTED**REMARKS------------------------~-----------------------------------------------------** Signature of Medical Review Officer (PRINT) Medical Review Officers Name (First. MI. Last) 

### I I Date (Mo/Day/Yr.) S'T'EP 7: COMPLETED BY MEDICAL REVIEW OFFICER
- SPLIT SPECIMEN In accordance with applicable Federal requirements, my determination/verification for the split specimen (if tested) is: 0 RECONFIRMED 0 FAILED TO RECONFIRM- REASON----------------------------1 X 

### I I Signature of Medical Review Officer (PRINT) Medical Review Officers Name (First, MI. Last) Date (Mo/Day/Yr.)

. -::· 0 :;:: 01 z ? C> "' "'

### ~ "' "'Employee: Employee Number: Employer:
Employer Number: Location: Location Code: Ordering Account Number: COCNumber: Specimen ID: Reason: Modality: Date Collected: Collection Site: Collection Site Address: Collection Site Phone:

. Lab Received: Lab Reported: Date COC Ret: MRO Verified: Date Reported: MRO Operator: Result: Specimen Type: Product Class: Drug Class: AMPHETAMINES COCAINE MARDUANA OPIATES PHENCYCliDINE 

### Drug Testing System Lab Results Report: DRUGTEST MCKOWN, VICfORIA X>Pooc7022 lRINITY JET MANAGEMENT, llC 7515 LEMMON AVF;, · DALLAS, TX 75209 24851 lRINITYJET MANAGEMENT, llC

- FAA ADD001**2~5870215870** 0873998871 0873998871-0110 PRE EMPLOYMENT FAA 1/14/2010 TX271
- CONCENTRA MEDICAl CENTER-ADDISON 1$810 MIDWAY RD, ADDISON, lX 75001-4259**(~72)** 458-8111 1/15/2010 1/15/2010 1/18/2010 1/18/2010 1/18/2010 POHBWISNIEWSKI 

## NEGATIVE DILUTE 5jPANEl URINE TEST Result: NEGATIVE NEGATIVE NEGATIVE NEGATIVE NEGATIVE 

### Page 57 of65**12/1~**

NOTE: All positive drug 

### test rE!5ults have been verified through GC/MS confirmation 

### tests. Alcohol test results are *»nfirmed by GC only. 

## C 

# uv r e..J'l-

# r· 

# f,· (P '\

# ~VJb"" Laboratory: lABCORP Result Explanation: : Creatinine 

### < 20 but > 5. sknd for 2nd coll'n, if co. policy requires.

John G. Cametas, M.D., Medical Review Officer Pembrooke Occ Health 

### i 2301 N. Parham Rd.19/23/10 14:56 Pg 001

,Ernployer Name, Address and I. D. B, MRO Narno, Addren. Phone end Fex No. ADDI50N.JET MGT. GDIIW\GINJ\IRI: i ' :**PftMDROM·OCCUPAnOH~** HfALT'H

### ~tt~nre~Shwt :...
. ·:: · .•

# :·1·**A"ftN~.OR.JOHNCAHETAS** "

# =~~~~ruSA 

# . ij

# ~~~"¢r=·surres**IIIJ,J~-~~~~,1,** p; 172-5-10011 f: 9J2.Y:I1..a2 i q. •PHDNt;.aM-341-1010

# ~~~2~ployee**'-~~~Y~£.:£Jt** 7

# ~**.-?t~~**

# ..**~-~** Rea8on for Test: LJ Pra-amploymant ndom D Reasonable Suspicion/Cause

. 

### n Post ACCident ·.CJ 

## to Duty 

### 6 Follow-up o Other (apaclfy)

__... AMP

Cl No. Enter Remark Below
I cstfify that I P.rov/dtld my urlno spiXIIm•n to thtt I have not advlterated it in !"'YmQnner,**Cllf~** spt!ICimen bo(fte:1.111f1d was BtNJifld with 11 tam(J(lr11 sn
. . /In :y**prsunct~:** and thSI th• informllflon an thi4 farm and on lllslslie/rtnlled to each SD6Citnsrr trle II corJGCt

### ..)O.~~~~:;:::J~L...l..::~5:!.:::~::: 

# tc.-+cr,. s;- -. 

# c.. , . . C7 Jt3 '/lJ Sionalv•t dl Oontr

. , (PRINT! Donolt Hornt (**~** ML LMQ DJ\a (IOOIOII)¥Yr.)

.

## ~me F,!hone

## No~

# mn '1 t t
- 350f,

..**~Vfllll~g :ho~**  No. 

## fjP, 

## 9

## 1'~ 

# 5::5i5/ Date of Blt11lr)

## ~**·,.;~.(-** 

# t6 

# 9 t. ' • Mo. Oay Yt. Should 

### ttie re4Uit8 or (ne·labOI'IItory teat4 

### ror**ltl&·&pee~men ~nllfted**  by this tonn be conttrmad posldve, ttta·MIK!Icat RavJew Offiollr wm oontact you to ask about ptli$Criplioo5 and**oi.ool"''h~f** medlcat!ol'la you may have tllkel\ Therefore, you may want to mttke a lfal of those medc:aUorus for your OYtTl recartls.**TAl~** LIST IS NOT NECESSARY. II you cnooee 10 make a l{llt, cfo 10**ellh~** on a aeparat. pita ol papar or on the back ol your copy (COPY 5). -00 NOT PROYIOE THIS INFOFIMATION ON THE BACK OF ANY 0;'11-fER COPY OF THE FORM. TAKE COPY S WITti YOU.

. 

### tn 8CG'Ofl18f'IC9 wltfl eppt/C8018 Ff!C(em/mffiJif'RinP.nm.

(j NeGATIVE t:J POSITIVE (J DILUTE**d~lrmlnallimsrm.~arlcln** 16:

.**~'Kit:ru~AL** TO TEST BECAUSE;**<~** t:J AOULTERATED D SUBSTiTUTED
,I .:.. ,;, ·,. •'**REMARKS----------~~~--------~------~~~·~"~:·--------~--~----------------** 

### I

# .**~** L.aooratory t...orp.orduOJt u• 1"\ll,lt::ll!wel nululli!-Jl:ll 1 FirstAve., Raritan, NJ 08869 ,104 Alexander Dr., Research Triangle Park, NC**~-•** • .,g 20 Main Street, Southaven, MS 38671**~07** North Gessner, Houston, TX 7'!040 SPECIMEN ID NO! STEP 1: COMPLETED BY COLLECTOR OR EMPLOYER REPRESENTATIVE A. Employer Name, Address and I.D. No. i::t**:;.~:_.** !.·.:**:::;:f:r:-:r.;~-1 (2~**  _:.**:·-,_~-** :**{:LH.;:f·~~~;~~**



### .::: _·:_. __**,;~ .,n,c~l** **;r:'~~:_·,:-:;._,.**

## 1**.;::;:,~:~:.-:** C. Donor SSN or Employee I.D. No<. •;.:. ,r. )', 

### ;·:·· ;: <./ .. · i.lr**~:. ·~-**  . },; • .•**~~** ·. ' i. LAB ACCESSION ·NO•. B. MRO Name, Address. Phone and Fax No.**F·-~::** -/t·:•.:.r:··._. ···:**i):t;;t~.':J r;·.y._j'~.;** ...!.**::-.~.- -i·1·.'-~-i_~j-I** **!\r-'~-:~-~-: e:~;_**  ._:r?

..**':'·-~** .c
..:.,:.' , t-';.**:l:t}~i** -g_F

..**~_.(•,{J~~.:·---~·'** r:·:_.t. ';.:. :=>**~lf~** (-:

.:' ·.·

fri

.... \**.:~** :: : D. Reason for Test: _: ;":., A**.:'i~~:·**..:> 0 _. :_, !.
0 j_
0 ;, 0 ,., 0 Pre-employment**DJ.!~andom** 0 Reasonable Suspicion/Cause 

### o PosLl\:ceident 0 Return to Duty 

### i 0 Follow-up 0 Other (specify)

________ ___,,--- { ·..,,

E. Drug Tests to be Performed: Cr1HC, COC, PGP, OPI, AMP 0 THC & COC Only 0 Other (specify)=====,.,.....,,_,..,.===


### ,..**F>c&flfictiorFslte:'Ai:ldress:·----":~-:~~·-:-··::** 

### ..: .;
.. -:-.:
.**.--:-:-.-~-** 

### .. ,-:··:**·-:-·,~ ---~-"-**  

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### -. :**:.::~;-~** 

### '"

..

.**--~**... :_ .. -: Collector Phone No:**~** .. · Collector Fax No. ./ }**·~-** STEP 2: COMPLETED BY COll-ECTOR

Read specimen temperaturl:)**~ithin** 4 minutes. Is**t~mperature** Specimen Collection:

. between 90° and 100°F? 

### lt!Yes ONo, Enter Re[nark**~Split** OSingle ONone Provided (Enter Remark) OObserved {Enter Remark)

STEP 3: c6ilector.affixes bottle seal{s) to bottle(s). Collector dates seal{s): .Donor initials seal(s). 

## Donor -completes STEP 5 on Copy 2 (MRO Copy) STEP 4: CHAIN OF CUSTODY· INITIATED/BY COLLECTOR AND COMPLETED BY LABORATORY

1certify that_the specimen given to "!e by the donor identified in thJ certification section on Copy2 of this·form was colfected, labeled, sealed, and i-eteased to the .De/ivel}'**Service-~** in accordance wilh,applicable Federal 'Tquirements. · 

## ! , 1 i ,.,,.-) AM SPECIMEN BOTILE(S) RELEASE;D TO:

. ;- ! ! ::,. ·f.

.... /.,; ,. PM . - •,·· ,_. • Sig"l!ture of

### C;ll~;or . . : .·. 

## Tli7 oi

### Coll~/n· . ":: ,... f i 1,. _,"'-···· 

### / (PRINT) Collecto(s Name (Arst, Ml, Last) , Date (Mo/DayNr.)**~ ;?.~•?..1!:\~~~~--~·--!:!.f'ltl-:::-:r--:** **W.·)::",'J':'i(:,.::;.::;)'~~**.....l ,,,..,..**-l~"'':"'ll'l':i~'l"":"1l""·':"::'::~~.-)~~~-·~-,.** ..... -.':

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. 

### ' Primary Specimen**SP~CIMEN** BOTTLE(S)**REL~SED** TO:

,... Bottle S1:1al Intact Signature of Accessioner DYes

· · PRIN Accesslane(s Name ·A MI. last II- 

### 0. NQ, Enter Remark Below STEP 5: COMPLETED BY DONOR I certify that 

### ip{ovided my urine specimen .to the collebtor; that I have.-not adulterated it.in any manner; each specimen bottie used was seaiei:/;,.,;th a tamper**evi~entrea/ in_~~** **~resence;** and that .the info'Fation {rrovided**o7,fii1~ f~nn**  and on the label.affixerjj,,teacp**s~i':!~ bi;Jtt~**  is 

### cp":.o/-

. . X ·__ i

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## /'•' \ ""L {J£_1f}! 

### v (Jt

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### ffl) Signature of Donor , ; ' (PRINT) Dano(s Name (First Ml, Last) · Date (Mo/DayNr.)

# Daytl~e Phone No.

# /1'i'~:~/) (7

# '?'~·-.**3.::~){!.)** 

# l Evening Phone 

## No.'Zt

# ],,1-)~ J 

# 7· =···:j./-f:; Date of Birltl;ar ,[::./ { 

# f ' vw.**·~ ~**  ' Should

## ·me results of the laboratory tests for the**~pecim~n** ideritified by this form be confirmed positive, the Medical Review Officer will contact you to ask about prescriptiOns and over-the-counter medications you may have taken. Therefore, you may want to make a list of those medications for your own records. THIS UST IS NOT NECESSARY. If you Choose to**ma~e** a list, do so eill:ier on a separate piece of paper or on the back of your copy {COPY 5). -DO NOT PROVIDE THIS 11\JF:ORMATION ON THE BACK OF**A~Y** OTHER COPY OF THE FORM. TAKE COPY 5 WITH YOU. STEP 6: COMPLETED BY MEDICAL REVIEW**OFFICE~** - PRIMARY SPECIMEN In accordance with applicable Federal requirements, 

# +y determination/verification is:

0 NEGATIVE 0 POSITIVE 0 TEST CANCELLED 0 REFUSAL TO TEST BECAUSE: 0 DILUTE 

### ! 0 ADULTERATED D SUBSTITUTED
REMARKS

____**~----------------~~--~--------~--~--~--------~----------------------** X Signature of Medical RevieW OffiCer i. (PRINl) Medical Review Office(s Name (A!St, Ml, Last) Date (Mon:i8yNr.) 

### I I

STEP 7: COMPLETED BY MEDICAL REVIEW OFFICEjR
- SPLIT SPECIMEN In accordance with applicable Federal requirements, J,ny deterrninationlverification_ far the split specimen {if tested) is: i 

## I I 0 RECONFIRMED 0 FAILED TO RECONTRM
- REASON

(PRINT) Medical Review Office(s Name (Arst Ml, Last) Date (Mo/DayNr.)
CCPY 5
-**DC~J()R** COF't
- GREEi"o.J

### Lab Results Report: DRUGTEST Employee:**xxxxx~022** - MCKOWN, VICTORIA S Employer: 248511- ADDISON JET MANAGEMENT DBN TRINITY PRIV 7515 IlEMMON AVE. DALLAp, TX 75209 Location: ADD001- ADDISON JET MGT DBA TRINITY PRIVATE JET Ordering Account Number: 215879 COC Number:**07505~8212** Specimen ID:**07505~8212-0910** Reason: RAND0M Modality: FAA Date Collected: 9/23/2,010 Collection Site: lX271!- CONCENTRA MEDICAL CENTER- ADDISON 15810jMIDWAY RD, ADDISON, TX 75001-4259**Phone~** (972) 458-8111 Lab Received: Lab Reported: Date COC Rec: 

### MRO Verified: Date Reported: Result: Product: Drug Class: Result: AMPHEfAMINES NEGATIVE COCAINE NEGATIVE MARDUANA NEGATIVE OPIATES NEGATIVE PHENCYCliDINE NEGATIVE 9/24/2,010 9/24/2;010 9/27/2,010 9/27/'1;010 by IMAGENOWFILEMOVER 9/27/2010

5 PANEL
- URINE TESf

NOTE: All positive drug test results**h~ve** been verified through GC/MS confirmation tests. Alcohol test results are confirmed by GC only. Laboratory: U\BCORP

# ~d~ John G. cametas, M.D., Medical Revi¢w Officer



### https://www.edrugtest.com/Reports-SpecDbt-Deliver.asp?Show

_ Coc=O Medical Review Office 2301 N. Parham Rd. Suite 5 Richmond, VA 23229 Phone: (804) 346-1010 Fax: (804) 346-5050 

### 6/13/2012

6/13/201**U~S~ Departmen~>or;~rransportatiofi'i(DtJl'Y** 



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· D: ·Reason 'for Test:

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STEP 3: TOBECOMPLETEDlWAIJCOHOL.TEC:(INICIAN. tlf ttie techriidan curidticti'ig tlic**scrc~niug** test is not the' sim'ie techniCian \iho will bt**condu~ti~g** the conflnnation test, each.· technici•llt :must complete their. OWn fm'm.) f certif)' that { ha\'e conducted**al~oho(** testing ori the above**mi"'cdindivid~al** iii accnrdance with tlte pr()ccdures established 

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# ~~**~/23/10** 14:56 ro: stephen wilson 9729316062 l?q 001

STEP J: T

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## r············································, l

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### compl~te their own I"Drjn.) I rerllf)' that I hll''" tondut'led llkill!Ctl teatln!' ·,. 

# I §.**~** "" tht abnve**num~od** lndlvlduRI in ll.ccotduncc- with**th~** prn'ctdure• eltobiiBhc:d In the U.S. Oepertn1enc ol' 1 Jg :::5' Transi>l?rbll(on**r~ulllllon,** .,. CPR l)art 4(1. thlll I am qllalifiyd to UJII!tAit the**141-~tlnll** devlte(s) idtntlned, and I I 

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## •

STEP 4: TO BE COMPLETED BY EMPI.OYEK IF**l'~ST** RES_VLT IS O,Ol OR HIGtlER 1 certify tbot 1. have &ubmllted to tbc alcohflltt11t, the .-.a**I~:** or "'"'"h are**ar.~urately** rec!nrded an this rnrm. I undentand thel 1 muBt not drive, pcrl'orm**liii~I)'·IIC:n~Uive** ;dutleR, 11r**oper~te** he•vy l!qlllpmeJ\t becauRe**tb~** resull.1 81'1! 0.02 or greater. : · llnlc •tl·· COPY 1 -ORIGINAL

- FORWARD TO-THE EMPLOYER**Mooth~** 

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# Wilh Tnmptf

# E¥i0&nl TJ[JG0788 Roselle St, Sa11:.Diego, CA 92121 FED,..-.·./\!- DRUG TESTING CUSTODY AND**CONTROl~_** FORM 9 First Ave., Raritan, NJ 08869

. , . . . ·.. . .•. <904 Alexander Dr., Research Triangle Park, NC 27709 ,· ·. 229 Madison, Ste. 500; Seattle,WA 98104 (DrugProof) -:- :· :; ,_... ;. ·· 120 Main Stree.t, Southaven, MS 38671 !"""'**,~.** t'rl .,.,**-~~** •'·>**~** ,,... Jl '202 North Gessner, Houston,TX 77040 sPECIMEN ID No. -1 / .) ·, ) '·•

.. ·• ,::_ -.: :_/**·~·~** .; i LAB ACCESSION NO.

STEP 1: COMPLETED COLLECTOR OR EMPLOYER REFlRESENTATIVE A. Employer Name, Address and I.D. No.**:·~.-:~ f;~:**  ;/

...**~~** 

## .n<.! 

## s**:.~** 

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### til Pre-employment O;Random 0 Reasonable Suspicion/Cause 0 Post Accident

;
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· 0 Return to Duty 0 Other (specify)

__________ _ Tests to be Performed: THC & COC

Collector Phone No. {**~~~-~-=-~--------~--~**

Signature ofAccessionert
STEP 5: COMPLETED BY DONOR Primary Specimen Bottle Seal Intact Collector Fax No. f

0 No, Enter Remark Below

I certify (hat I provided my urine specimen to Ule colledtor; that I have not adulterated it in any manner; each specimen bottle used was sealed with a tamperevi(/ent**~ealln** mypresence; and.that the information provided on this}orm and on the label affixed to each specimen bottle is correct.

. . ·, I ' l· i ·-· 

### i 

# ·z ··. · 1 ··

.. ' ' -::1**·~.** •. ·. Signature of Donor (PRINT) Donor's Name**(Firs~** MI. Las!) Date (Mo/Day/Yr.) Daytime Phone No. ( . ··, ··,:) · ·i · ·. ·: · Evening Phone No. J...(

__ .Ll-=-· -.:....·--''l...L' ·.:..t"..:..•"-'

___ _ Date of Birth Mo. Day Yr. Should the results of the laboratory tests for the specimef! identified by this form be confirmed positive, the Medical Review Officer will contact you to ask about prescriptions and over-the-counter medications**yo~** may have taken. Therefore, you may want to make a list of those medications for your own records. THIS UST IS NOT NECESSARY. If you choose to mal<lfl a list, do so either on a separate piece of paper or on the back of your copy (COPY 5). -DO NOT PROVIDE THIS INFORMATION ON THE BACK OF OTHER COPY OF THE FORM. TAKE COPY 5 WITH YOU. STEP 6: COMPLETED BY MEDICAL REVIEW OFFICEQ
- PRIMARY SPECIMEN In accordance with applicable Federal requirements, 

## n}y determination/verification is:

0 NEGATIVE 0 POSITIVE 0 TEST CANGELLED 0 REFUSAL TO TEST BECAUSE: 0 DILUTE 

## ! 0 ADULTERATED [J SUBSTITUTED
REMARKS

______________**~--------~------------------------------------------------~----**

X 

### I I Signature of Medical Review Officer (PRINT) Medical Review Officer's Name (Rrs!, Ml, Las!} Date (Mo/Day/Yr.) STEP 7: COMPLETED BY MEDICAL REVIEW OFFICEQ • SPLIT SPECIMEN /[1 .ar;cqrdance with applicable Federal requirements, 

## Jy determination/verification for the split specimen (if tested) is: ··' .;.i .,,. ·:;. j ' 0 RECONFIRMED 0 FAILED TO RECONFIRM- REASON-------------------------------------1 ! 

### l 

### I I 

# ! (PRINT) Medical Review Officer's Nama (Rrst, Ml, Last) Data (Mo/Day/Yr.)



# ............**------------------------~--**._......__ } ' I 

# UNIVERSITY SERVICES! MRO 

# Toxicology Services Grou"ft * Medical Review Officer Final Report 

# *
TO: ADDISON JET MANAGEMENT I IN;C. LISA COLLINS I 4553 GLENN CURTISS ADDISON, TX 75001 Date Reported: 07/26/2005

Name of Individual Tested:**~ICH,** VICTORIA Identification Number:**455-5~-7022** Collection Date: 07/25/2005 Reason for Test: PRE-EMPLOYMENT Specimen Type: URINE Collection Location: ADD001

ADDOOl :-......

FOR: ADDISON JET MANAGEMENT, INC. LISA COLLINS 4553 GLENN CURTISS ADDISON, TX 75001 Date MRO Verified: 07/26/2005

Specimen Number: 0588230646 Date Ply2 Received: 07/26/2005

Laboratory Performing**Analysi~:** LABCORP LABORATORY Status of Drug Test:

Benjamin Gerson, MD Medical Review Officer NEGA'IjiVE

Drugs Tested: AMPHETAMINES, CdCAINE METABOLITES, MARIJUANA (THC), PHENCYCLIDINE (PCP),**OP.~ATES** ,. 

# !

10551 Decatur Road, Suite 200 *Philadelphia, PA 191'54 *Tel: (215)637-6800 "'Fax: (2151637-6998

# --------------......... 4500 Claire Chennault Addison, Texas 75001 Tel: {972) 713-7707 Fax: {972) 713-7082 QUALITY AIRCRAFTMAINTENANCEAND JETCHARTER



## 08/18/2004

FROM: 

## Drug Program**~anager** 

## Addison Expres's 4500**Claire-Ch~nnault** 

## Addison, TX 75001

l 

## To Whom It May Conce,rn:
This letter is 

## to confirm that Victoria Reich, is on the Addison Express Federally Approved 

# Drug and Alcohol Testing Program according to DOT Regulations CFR, Part 6J, et al. Sincerely,

# ~7 Trey Young Addison Express

FM CERTIFIED REPAIR STATIONX5ER171Y • FM CERTIFIEDAIR CARRIER X5EA 177Y

# ------------------

TRINITY JET MANAGEMENT, 

# llC

ct/b/.a 

# .IrinJtj! .Private Jet Charter

Wednesday, December 15, 2010
Mr. 

### Jon M. Hopkins Aerospace Medicine Drug Abatement Division 2601 Meacham Blvd., Room 121 Fort Worth, TX 76137 Dear Mr. Hopkins, I appreciate your team conducting the audit ofour Drug Abatement Program. It 

### is from these inspections that we find our weaknesses and are able to improve our performance and compliance. On the matter of recurrent training for the Supervisors and Program Manager. Through the task of merging our two companies and moving our Operations Base, I inadvertently let my obligation to the required training lapse. I am scheduling training for the Supervisors and for myself as the Program Manager for tomorrow, December 16, 2010. Once that is complete, we will then schedule recurrent training for all of our covered employees on the Drug and Alcohol Abatement Program to review the program and to learn of changes that have been put in place since our last training was conducted. We will go over all ofthe latest materials. I will have our scheduler program our computer based scheduling program to include the recurrent requirements ofthe Drug and Alcohol Abatement Program, which will then automatically alert us that the required training is coming due. It is the same program that tracks all ofthe currency requirements for our pilots. This will ensure it will not be missed in the future. On the matter ofVictoria Reich McKown, I remember reinstating her on our certificate at the beginning ofthe year. I handled the Drug Program paperwork myself. Knowing Tori very well and knowing where she works I made an assumption that I was not allowed to make. I assumed her situation had not changed and that she was only flying her Part 91 planes and owners. I refreshed her other documents including her resume and her insurance form which shows her employers. I know her employers and the history had not changed. However, this does not relieve me of the obligation to question her about any other drug program and testing as per the 

### "J" question. Had I simply followed the checklist that we use for new hires, I would have not missed this. The 

### 'T' question would have been asked in writing and the past employer, Addison Express, would have been sent the 8060 questionnaire to be in compliance with the regulations. I let complacency slip in for expedience. In the training tomorrow I will emphasize the importance ofusing that checklist and check offeach item, just as we do in the cockpit. I am contacting Ms. Reich/McKown today and will have the paperwork completed properly and**~ent** 

### to the former employer for completion as soon as possible, probably today or tomorrow. We wtll not

7515 Lemmon Ave. Dallas. Texas 75209 gshaw@trinityjet.com Phone: 214-366-4800 Cell: 214-957-0166 Fax 214-366-4801

# ~---------------- 

# ... 

# •

release Ms. Reich!McKown for any flights until the Drug and Alcohol**Abate~ent** 

### Program paperwork is correct and filed.

I will forward you the documents from the above corrections as soon as they are completed, but no later than Monday, December 20,2010.

As you had noted, we have made much improvement since our last inspection and we will continue to strive for complete compliance and safety in our operations. I thank you and your team again for your oversight and service to our industry and wish all of you a Merry Christmas and a Happy New Year. Please pass that on to Mark as well when you see him.

Sincerely,

Gerald P. Shaw, Director ofOperations

7515 Lemmon Ave. Dallas, Texas 75209 gshaw@trinityjet.com Phone: 214-366-4800 Cell: 214-957-0166 Fax 214-366-4801

# Addison Jet 

# Management,. Inc

..



# . _sU.tu£LlJ:ltli!Y

__f.rlyw9.te,

..

# ~LehP~---~--&--~--------·"·

# ....,.

Thursday, January 13, 20Il Mr. 

### Jon M. Hopkins, AAM 840 Federal Aviation Administration Office ofAerospace Medicine Drug Abatement Division 260I Meacham Blvd., Room I2I Fort Worth, TX 76137-4298 RE: File Number: 20II SW9I0053 In response to your letter I received on January 5, 20II I submit the following; .,**.-~.** ). :



### I appreciate your team conducting the audit ofour Drug Abatement Program. It 

### is from these inspections that we find our weaknesses and are able to improve our performance and compliance. On the matter of recurrent training for the Supervisors and Program Manager. Through the task of merging our two companies and moving our Operations Base, I inadvertently let my obligation to the required training lapse. I completed training for myselfas the Program Manager and for William Selah as a supervisor on December I6, 20IO. I completed supervisor training for our new Director ofMaintenance on January 12, 20Il. He also completed all ofthe initial training and testing as well. We are conducting recurrent training for all of our covered employees on the Drug and Alcohol Abatement Program to review the program and to learn of changes that have been put in place since our last training was conducted. We will go over all ofthe latest materials. I had our scheduler program our computer based scheduling program to include the recurrent requirements ofthe Drug and Alcohol Abatement Program, which will then automatically alert us that the required training is coming due. It 

### is the same program that tracks all of the currency requirements for our pilots. This will ensure it will not be missed in the future. On the matter ofVictoria Reich McKown, I remember reinstating her on our certificate at the beginning ofthe year. I handled the Drug Program paperwork myself. Knowing Tori very well and knowing where she works I made an assumption that I was not allowed to make. I assumed her situation had not changed and that she was only flying her Part 9I planes and owners. I refreshed her other documents including her resume and her insurance form which shows her employers. I know her employers and the history

· had not changed. However, this does not relieve me of the obligation to question her about any other drug program and testing as per the 'T' 

### question. Had I simply followed the checklist that we use for new hires, I**wo~ld** 

### have not missed this. The 

### "J'' question would have been asked in writing and the past
· · employer, Addison Express, would have been sent the 8060 questionnaire to be in compliance with the

7515 Lemmon Ave. Dallas, ·rexas 75209 .; gshaw@trinityjet.com Phone: 214-366-4800 Cell: 214-649-5474 Fax 214-366-4801i'

. \ 

# •

regulations. I let complacency slip in for expedience. In the training we have conducted recently I have emphasized the importance ofusing that checklist and check offeach item, just as we do in the ·cockpit. I contacted Ms. Reich/McKown on December 16, 2010 and the paperwork was completed properly and sent to the former employer for completion. The paperwork was completed and returned the same day. A new J 

### questionnaire was completed as well. Ms. Reich!McKown was not released for any flights until the Drug and Alcohol Abatement Program paperwork was correct and filed. I have already forwarded the documents you have requested from us including the completed forms for Ms. 

### Reich/McKown and the Supervisor Training forms. As you had noted, we have made much improvement since our last inspection and we will continue to strive for complete compliance and safety in our operations. I ask you consider our efforts as you investigate our case. I thank you and your team again for your oversight and service to our industry.

· Please let me know ifthere is anything else you should need.

Sincerely,

# ~~~- Gerald P. Shaw Director ofOperations

7515 Lemmon Ave. Dallas, Texas 75209 gshaw@trinityjet.com Phone: 214-366-4800 Cell: 214-957-0166 Fax 214-366-4801

### Affidavit District ofColumbia

I, Margaret Rustin, being first duly sworn under oath, state: 1. My name is Margaret Rustin. I am the Program Administrative Branch Manager in the Drug Abatement Division ofthe Federal Aviation Administration. 2. Myjob responsibilities include analysis ofthe drug abatement division programs. 3. In my capacity as Program Administrative Branch Manager, I am familiar with FAA Form 8060.
4. FAA Form 8060 is the document wherein Employers request information listed in 49 C.F.R 40.25(b) from DOT-regulated employers who have employed an employee during any period during the two years before the date ofthe employee's application or transfer. 5. At the time ofthe alleged violation, Addison Jet Management, Inc. had 15 safety-sensitive employees and 4 aircraft. Therefore, it was a Group III operator as defined in FAA Order 2150.3B.
6. A review ofthe Compliance Enforcement Tracking System (CETS) revealed that on December 8, 2006, Addison was assessed a civil penalty in the amount of$12,000 for failure to ensure that contractors were covered under an FAA-mandated drug and alcohol testing program. (Exhibit G).
7. I declare under penalty ofperjury that the forgoing is true and correct.

Subscribed and sworn to before me this

### ---~--:=---..,....-""" Ol.stnot Cl1**~it>:** 00**~ Brdcr~l!)**  i;)abfe Vll$, m:ey**~**

# ~~m~~**~~-~·** 

### '·'-· :, · · IC.:::l!Jd(Jt£_ JUDY S. MCGHEE

### ~PUBuc DtSTRICT OF COLUMBIA



### ..., Cc:umd&slon Expires October 

### w, 2015 

### My Commission Expires

## ~·**d...J..-.1----J'-+-<~"--'**t...EmployeeListTRIN1TYJETMANAGEMENT,LLCCust:24851Thefollowingisalistingofactiveemployeesinthedatabase.LocationEmpNoNameEligibleRandom------------------------------------------------------------ADD001460-55-2622Bach,ChristopherYesADD001452-45-9209BONESTEEL,STEPHENYesADD001644-03-2379CHAMS-EDDINLAITHYesADD001642-03-2593CUMMINS,CHRISTOPHERYesADD001140-80-6281FIGUEROA,RICARDOYesADD001266-02-7856Fletcher,FelixYesADD001451-83-8912Flobeck,ThomasYesADD001250-69-5681Fonseca,BryanYesADD001464-68-8666KELLY,JR.KEITHYesADD001466-74-6917Lander,DavidYesADD001455-59-7022McKown,VICTORIAYesADD001454-13-4897Meek,ScottYesADD001465-95-3866SELAH,WILLIAMYesADD001437-90-5867SHAW,GERALDYesADD001461-29-9440Smith,KevinYes12115/2010ModeJobCodeDateAdded----------------------------FAA111/10/05FAA712/19/01FAA111/01/05FAA101/12/07FAA708/04/03FAA105/18/07FAA103/20/08FAA104/30/07FAA110/18/05FAA108/01/07FAA101/18/10FAA110/26/05FAA108/21/06FAA102/17/05FAA106/22/06EmployeeListTRINITYJETMANAGEMENT,LLC06/01/2009thru12/15/2010Cust:24851Thefollowingisalistingofactiveandterminatedemployeesinthedatabase.LocationEmpNoNameModeJobCodeDateHiredDateTerm------------------------------------------------------------------------------ -------------------ADD001460-55-2622·Bach,ChristopherFAA111/10/05ADD001452-45-9209BONESTEEL,STEPHENFAA712/19/01ADD001129-44-4736Burch,AltonFAA710/28/0906/30/10ADD001644-03-2379CHAMS-EDDINLAITHFAA111/01/05ADD00158529-7296Corson,WilliamFAA101/11/0709/30/09ADD001642-03-2593CUMMINS,CHRISTOPHERFAA101/12/07ADD001140-80-6281FIGUEROA,RICARDOFAA708/04/03ADD001461-94-8660.Fincher,EwinFAA709/10/0810/30/09ADD001266-02-7856Fletcher,FelixFAA105/18/07ADD001451-83-8912Flobeck,ThomasFAA103/20/08ADD001250-69-5681•Fonseca,BryanFAA104/30/07ADD001464-68-8666KELLY,JRKEITHFAA110/18/05ADD001296-50-3674Kleinhans,MarcFAA705/20/1012/01/10ADD001466-74-6917Lander,DavidFAA108/01/07ADD001183-64-2516Marszalek,TimothyFAA708/15/0710/30/09ADD001455-39-0222•Massara,JohnnyFAA709/05/0906/28/10ADD001288-56-7461McDaniel,BrettFAA101/11/0708/27/09ADD001455-59-7022•McKown,VICTORIAFAA101/18/10ADD001454-13-4897Meek,ScottFAA110/26/05ADD001244-66-3056Ramsey,JosephFAA106/01/07.02/15/10ADD001465-95-3866.SELAH,WILLIAMFAA108/21/06ADD001437-90-5867SHAWIGERALDFAA·102/17/05ADD001451-937-533Shrout,AustinFAA108/27/0707/27/10ADD001461-29-9440.smith,KevinFAA106/22/06ADD001466-918-912·Stewart,JoshuaFAA104/23/0611/10/09ADDOOl635-01-1430.Vasquez,AaronFAA111/25/0608/27/10ADD001345-48-2329Zelinsky,RogerFAA110/19/0705/24/10**.~"·** -**~·** 

### 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 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**m~er** more D;seful 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 1 OOCentury 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**program~.** 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 enforcement program.

Robert 

### A. Sturg Acting Admin· ator

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

### GCIFSIIANS)-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 AFIFA T/FIA-O(L TD);ZFS-325 Initiated By: AGC-30010/01/07 2150.38 

### Chapter 7. Sanction Guidance Policies

1. Purpose. This chapter provides the FAA's policies for detennining an appropriate sanction once FAA enforcement personnel decide that legal enforcement action is appropriate. This chapter contains the general policy the FAA intends to apply in selecting the types of sanctions, ranges of sanctions within those types, and specific sanction amounts to impose in legal enforcement actions for typical violations ofthe FAA's statute and regulations. This guidance covers the parameters both for selecting sanctions and for modifying sanctions during the infonnal procedures. The guidance in this chapter is applied in adjudications under 49 U.S.C. 

### §§ 44106, 44709, 44710, 44726, 44924, 46111, 46301, and 70115. Hazardous materials sanction guidance and policies are addressed in Appendix C. 2. General Guidelines.

a. Certificate Suspension ACtion and Civil Penalty Action: Sanctions for Punitive and Deterrent Purposes. (1) General. Ifa certificate holder improperly exercises the privileges of a certificate, a natural consequence ofthat act is to lose the privileges for a period oftime commensurate with the violation. Balanced against this principle, however, the F

## A.A. considers the adverse impact that a certificate suspension could have on the public. Thus, the agency generally suspends the certificates of individual certificate holders for violations. However, the FAA usually takes civil penalty action against air carriers and airports because such actions do not disrupt service, which may adversely affect the public. Nevertheless, when the FAA determines that safety considerations warrant it, the agency will suspend the certificate of any type ofcertificate holder. In no case will the FAA take civil penalty action alone when remedial legal action is necessary or appropriate. (2) Use ofboth punitive certificate action and civil penalty action for the same violations. The FAA generally does not take civil penalty action and punitive certificate action (that is, certificate suspension for a fixed period oftime) against a certificate holder for the same conduct. Ifunusual circumstances warrant deviation from this practice, legal counsel consult with the Assistant ChiefCounsel for Enforcement (AGC-300) before initiating the actions. (3) Change in type ofproposed sanction. The initial enforcement action reflects the agency's best assessment ofthe appropriate sanction for the violations alleged. After initiating the action, legal counsel ordinarily do.es not change the type of sanction unless additional facts or circumstances are presented to the FAA that warrant a change. Ifthe action was coordinated under chapter 6, paragraph 3, with AGC-300 before initiation, then legal counsel coordinates any change in the type ofsanction with AGC-300 before making the change. b. Legal Sanctions for Remedial Purposes. (1) Indefinite certificate suspension pending compliance or demonstration of qualification. Suspension action is appropriate where there is a need temporarily to
7-110/01/07 2150.38 suspend the privileges ofthe certificate or rating pending demonstration ofqualification or compliance with statutory or regulatory requirements. FAA generally uses remedial suspension when an individual does not voluntarily surrender his or her certificate pending reexamination. 

### See chapter 5. (2) Certificate revocation

- general. The FAA revokes a certificate when a certificate holder lacks the qualifications to hold the certificate. The certificate holder's continued exercise ofthe privileges ofthe certificate in such circumstances would be contrary to safety in air commerce or air transportation and the public interest. Revocation is appropriate whenever a certificate holder's conduct demonstrates a lack ofthe technical proficiency or a lack ofthe degree ofcare, judgment, or responsibility, required ofthe holder of such a certificate. Orders of revocation are issued on an emergency basis when the certificate holder lacks qualification and is reasonably able as a practical matter to exercise the privileges ofthe certificate. Legal counsel does not allege a lack ofqualifications to avoid dismissal ofcharges under 49 C.F.R. 

### § 821.33, the NTSB's stale complaint rule. (3) Certificate revocation- individuals. The FAA generally revokes an individual's certificate or rating whenever he or she demonstrates a lack ofwillingness or ability to comply consistently with statutory or regulatory requirements. A lack ofwillingness or ability to comply may be demonstrated by such things as repeated or deliberate violations or by violations that involve grossly careless or reckless conduct. Even a single violation may be sufficient to warrant a conclusion an individual lacks qualifications. The FAA ordinarily revokes all certificates ofa person who commits a violation involving intentional falsification. (4) Certificate revocation- entities. Revocation is normally appropriate when a certificate-holding entity deliberately or flagrantly violates the statute or regulations or falsifies records. Revocation also is generally appropriate when the certificate holder has committed the same or similar violations in the recent past demonstrating a lack ofqualification, or when the certificate holder no longer has, and does not obtain in a reasonable time, the personnel or equipment to conduct its operation in full compliance with statutory and regulatory requirements. (5) Mandatory certificate revocation. Under 49 U.S.C. 

### § 44710, the FAA is required to revoke the certificates of any airman who has been convicted ofviolating certain federal or state statutes relating to a controlled substance when an airplane was used in the commission ofthe offense and the airman served as an airman, or was aboard the aircraft, in connection with commission ofthe offense or the facilitation ofthe commission ofthe offense. Even when there has been no conviction, revocation is required when an airman has knowingly carried out an activity punishable under these criminal statutes. The Administrator may waive the revocation if a law enforcement officer requests the waiver and the Administrator decides the waiver will facilitate law enforcement purposes. 

### See 49 U.S.C. 

### § 44710(f). Under 49 U.S.C. 

### § 44106, the FAA also must revoke the registration certificate of any airplane used in the commission of such an offense when the use was permitted by the owner ofthe aircraft with knowledge that it would be used for such purpose. Under 49 U.S.C. 

### § 44726, the FAA must revoke the certificates ofany certificate holder or an individual who has a controlling or ownership interest in the holder who was convicted of a violation offederal law relating to the installation, production, repair, or sale ofa counterfeit or fraudulently-represented aviation part or material or knowingly, and with the


### 7-2

### 10/01/07 2150.38
intent to defraud, carried out or facilitated an activity punishable under such a law. The Administrator may waive that sanction to facilitate law enforcement purposes or amend, rather than revoke, a certificate under certain circumstances. See 49 U.S.C. §§ 44726(f) and (g). (6) Mandatory certificate action for security concerns. Under 49 U.S.C. § 46111, the Administrator is required to issue an order amending, modifying, suspending, or revoking any FAA-issued certificate ifthe Administrator is notified by the Under Secretary ofBorder and Transportation Security (BTS) ofthe Department ofHomeland Security (DHS) that the certificate holder poses, or is suspected ofposing, a risk of air piracy or terrorism or a threat to airline or passenger safety. Under 49 U.S.C. 

### § 44924, the Administrator is required, at the request ofthe Under Secretary ofBTS, to suspend or revoke foreign repair station certificates in connection with security audits. 3. Applicability and Exclusions. The sanction guidance table (table) in Appendix B provides types of sanctions and general ranges of sanction amounts for violations of49 U.S.C. subtitle VII and 14 C.F.R. parts 1-199 and 49 U.S.C. subtitle IX, chapter 701 and 14 C.F.R. chapter III. Once the agency has determined that legal enforcement action is warranted for a violation, FAA enforcement personnel use the table and paragraph 4 ofthis chapter, as well as any other sanction guidance in this order, to determine a proposed sanction. The matters described in chapter 7, subparagraphs 3a.-d. are some types ofagency action that fall outside the scope of paragraph 3 and the table.

a. Decisions to Take Administrative Action (Warning Notices or Letters of Correction). An administrative action does not constitute either a formal adjudication ofthe incident or a finding ofviolation. For that reason, FAA investigative personnel do not propose a sanction using the table. b. The FAA's Exercise ofProsecutorial Discretion. The decision whether to prosecute a particular case is based on a review ofthe evidence and relevant policy and litigation considerations. The agency exercises broad discretion in both the initial decision to bring a legal enforcement action, and in any later determination to compromise or settle a case based on various considerations. The FAA's discretion in these areas is absolute and presumed to be immune from review. Heckler v. Cheney, 470 U.S. 821, 831 (1985).

c. Hazardous Materials Violations. Actions involving violations ofthe federal hazardous materials transportation law, 49 U.S.C. chapter 51, or the Department ofTransportation's Hazardous Materials Regulations, 49 C.F.R. parts 106 through 185. Enforcement sanction guidance for these violations is found in Appendix C. d. Violations by Members ofthe U.S. Armed Forces. The FAA is required to forward reports ofthese violations to the Secretary ofthe department concerned under 49 U.S.C. 

### § 46101 (b), whenever the violator is aCting in the performance ofofficial duties. The FAA, however, takes remedial action in addition to referring a report when the violator, whether or not



### 7-310/01/07

. 2150.38 acting in the performance ofofficial military duties, holds an FAA certificate, and the violator's qualifications are at issue. The FAA may take punitive action against a member ofthe U.S. Armed Forces for a violation committed when the member is not performing official duties. 4. Mitigating or Aggravating Factors and Elements. The factors in chapter 7, subparagraphs 4.a. through m. have been developed over years ofpolicy making and case adjudication. They have proven useful and appropriate for determining the seriousness of a violation and for selecting an appropriate sanction. Elements for evaluating and weighing each factor are also described. These factors and elements provide a framework for determining sanctions for violations specifically listed in the table as well as those not specifically listed. All the factors and elements, however, may not apply to each violation. Only those factors and elements that are relevant to a violation are considered in determining a sanction for the violation. This list of factors and elements is not intended to be exhaustive; other factors may be relevant as well.

· a. Nature ofthe Violation. Three elements define the nature ofa violation: first, whether the violation was operational or non-operational; second, whether the violation involved careless or reckless conduct; and third, whether the violation involved any special aggravating or mitigating factors. (1) Individuals. When an individual who holds a certificate improperly exercises the privileges ofthat certificate, the natural consequence ofthat act should be loss ofprivileges for a period oftime commensurate with the violation. The FAA, therefore, primarily uses certificate actions to enforce operational regulations against individuals who hold certificates. The potential adverse impact that certificate action may have on an individual's livelihood does not alter this principle. Non-operational violations may warrant a different type of sanction. (2) Entities. The P AA ordinarily takes civil penalty action against a certificate-holding entity (for example, an air carrier) when it determines there would be a substantial adverse impact on the public interest from disrupted service by that certificate holder and the impact is not outweighed by safety considerations. Even when a substantial adverse impact would occur, when there is a need to prevent continuing violations or other egregious conduct by any certificate holder, when any certificate holder lacks qualification, or there is a reasonable basis to question the qualifications of any certificate holder, the PAA takes remedial action, for example, revocation or indefinite suspension, as necessary. (3) Careless or reckless conduct. Violations that involve careless or reckless conduct in violation of 14 C.P.R.§ 91.13 may warrant more severe sanctions. Carelessness connotes conduct that falls below the standard ofcare or prudence expected ofa reasonable person, or holder ofthe relevant certificate, acting under the same or similar circumstances. Recklessness connotes conduct that demonstrates a gross, or even callous or flagrant, disregard for safety. Aircraft operations that do not otherwise result in a violation of a specific regulation should be evaluated in light ofthese standards to determine whether they constitute careless or reckless operations in violation of 14 C.F

### .R. § 91.13. When a person operates an aircraft in violation of a specific regulation other than 14 C.P.R. 

### § 91.13, however, that violatiOn constitutes a careless or reckless operation in and ofitself. In these cases, the misconduct may also result in a violation of 14 C.P.R. § 91.13 ifit actually or potentially endangers the lives or property ofothers.
7-4

### 10/01/07 2150.38
When calculating the amount of sanction based on this factor, a distinction generally is drawn between instances where 14 C.F.R. 

### § 91.13 is an independent violation and those where it is residual to another violation. When a 14 C.F.R. § 91.13 violation is residual only, a higher sanction generally is not warranted unless the conduct is also reckless. 

### b. Whether the Violation was Inadvertent and Not Deliberate. Ifa violation is deliberate or not inadvertent, a sanction at the upper end ofthe range or exceeding the range for that type ofviolation generally is appropriate. A deliberate violation generally warrants a sanction that is more severe than one that is just not inadvertent. 

### (1) Not deliberate. This element means a lack ofthe degree ofdeliberation found in intentional misconduct. Deliberate or intentional misconduct is an aggravating circumstance and includes deliberate conduct that leads to a violation as well as circumstances indicating intent to commit a violation. (2) Inadvertence. An act is inadvertent when it is the result ofboth inattention and lack ofpurposeful choice. For example, an inadvertent act occurs when a pilot flies at an incorrect altitude because he or she misread the aircraft's instruments; however, it is not an inadvertent act when a pilot flies at an incorrect altitude as a result ofchoosing not to consult the aircraft's instruments or choosing not to use other available means to verify altitude. The test to be applied is whether the conduct, not the factual or legal consequences, is inadvertent and unintended. Ferguson v. National Transportation Safety Board, 678 F.2d 821, 828-829 (9th Cir. 1982).

c. Certificate Holder's Level ofExperience. (1) Level ofexperience refers primarily to the type ofcertificate and ratings held (for example, student, private, commercial, airline transport pilot, or certified flight instructor), and the number ofhours flown, by the certificate holder. Certificate holders with greater levels of experience may be held to a higher standard. Thus, for example, commercial pilots may be held to a higher standard than private pilots and airline transport pilots may be held to an even higher standard than commercial pilots. (2) In determining an appropriate sanction, the FAA may consider the extent to which the certificate holder's action deviated from the degree ofcare and diligence normally expected ofa person with the certificate holder's level ofexperience. A significant deviation from the degree ofcare and diligence expected ofthe holder ofthat certificate may warrant a more aggravated sanction. d. Attitude ofthe Violator. (1) A good compliance-attitude is the norm and does not warrant a reduction in sanction. A prior violation history may suggest that a person has a poor compliance disposition, which is an aggravating factor. Furthermore, a person who commits an act or omission contrary to statUtory or regulatory reqmrements after recetvmg notice through a prior administrative action or counseling that such conduct is in violation ofthose requirements might well be regarded as having a poor compliance disposition. In evaluating compliance disposition, the FAA does not


### 7-510/01/07. 2150.38
view an alleged violator as having a poor attitude because the alleged violator fails to respond to a letter ofinvestigation, chooses to be represented by counsel, or contests the violation. (2) In assessing the attitude of an alleged violator, the FAA may consider the**declara~ion** ofan emergency to air traffic control. When an emergency is genuine and not ofthe person's own making, the emergency is exculpatory under 14 C.F.R. § 91.3(b). However, this situation is distinqt from the situation where a declaration of emergency is not exculpatory but is a factor that might be appropriate to consider in determining sanction. In emergency situations, the FAA views declaring an emergency to air traffic control as a sign ofgoodjudgment and a constructive attitude. When an emergency is of a person's own making, that person's declaration ofan emergency may be considered mitigating in determining the sanction to be imposed for any violations committed, in much the same way it is considered mitigating if a person voluntarily reports a violation.

e. Degree ofHazard. (1) The degree ofhazard may be increased as a result ofthe interplay ofthe operational environment (for example, weather conditions, congested vs. sparsely populated areas) and the nature ofthe threat to safety (to the life or property of another, including those in the aircraft being operated, to other aircraft, or to persons or property on the surface) that the misconduct presents. The safety threat is based on the reasonably foreseeable consequences ofthe misconduct. For example, operating 500 feet below the minimum altitude poses a greater hazard than operating 100 feet below. Similarly, ifan aircraft operator fails to comply with an airworthiness directive by operating 10 hours past a required inspection, the degree ofhazard is probably not as great as when the aircraft is operated 100 hours beyond the required. And it is not mitigating when a violation does not result in actual harm; that is simply fortuitous. (2) The sanction ranges reflect the degree ofdanger normally inherent in an average violation of a regulation, without aggravating circumstances. As discussed in chapter 7, subparagraph 5.b., an increase in the degree ofhazard may form the basis for exceeding the sanction ranges. For example, the range for an unauthorized low flight does not assume extreme departures from required altitudes, for example, flying an airplane over a crowded assembly of persons at 50 feet f. Action Taken by Employer or Other Authority. This factor ordinarily involves the following elements: whether the alleged violator's employer has taken disciplinary action and whether criminal prosecution is involved. (1) Employment discipline. Where the violation would normally call for a certain type of enforcement action, the FAA takes that action regardless ofany action taken by the violator's employer. Generally, the FAA does not credit an employer's disciplinary action toward a period of suspension the FAA imposes against the violator's certificate because ofthe different purposes ofgovernment-ordered, as contrasted with employer-ordered, actions. (2) Criminal prosecution. When arising out ofthe same conduct, local, state, or federal prosecution does not preclude the FAA from taking appropriate remedial enforcement action; nor
7-6

### 10/01/07 2150.38
does it preclude the FAA from taking appropriate punitive enforcement action. For cases where federal, state, or local authorities prosecute criminally, the FAA generally does take remedial enforcement action ifthat is warranted despite the criminal prosecution. However, the FAA does not generally take punitive legal enforcement action for the same conduct, unless it believes the criminal sanctions are not sufficient to provide an adequate deterrent for future violations by the violator and others similarly situated, or when the FAA wants to establish a violation history record. Ifthe FAA decides to proceed with a punitive civil enforcement action in addition to the criminal prosecution, it generally considers the criminal penalties incurred in those proceedings in determining the appropriate amount ofsanction to be sought in the FAA's punitive enforcement action.
g. Use of a Certificate. This factor relates to the nature or kind ofactivity or operation involved at the time the violation was committed. Whether the certificate holder was engaged in student, private, commercial, or airline activity bears on the severity ofthe sanction. Air carriers are held to the highest standard of care. Likewise, personnel engaged in air transportation are held to the highest safety standard. h. Violation History. 

### (1) A violation-free history is the expected norm, not the exception and, therefore, is not a mitigating factor. Sanction ranges in the table generally represent the normal range of sanction for a single, first-time, inadvertent violation. Given the expected noim, a prior violation record can be evidence of a poor compliance disposition or ofa pattern ofdisregard for the FAA's regulations, which are aggravating factors. As a result, a violation history canjustify imposing a sanction at the higher end ofthe normal range or a sanction beyond the normal range. It might alsojustify revocation rather than suspension ifthe pattern ofviolation reflects a lack of qualification. In addition, a violation history mightjustify a certificate suspension ifpreviously issued civil penalties have not produced the desired deterrent effect. In deciding whether a violation historyjustifies aggravating the sanction or changing the usual type ofsanction, the FAA considers the length o(time that has elapsed between violations, whether the violations involved the same or similar regulations, and whether the violations are factually similar. 

### (2) The following actions constitute violation history when they involve regulatory violations and become final: orders ofamendment, modification, suspension, or revocation of an FAA certificate; orders assessing a civil penalty; findings ofviolation contained in a consent order, order ofcompliance or denial; and findings ofviolation made by a federal court. In addition, a party may agree as part ofa settlement that the FAA may consider alleged violations as findings ofviolation for future sanction determinations. , i. Decisional Law. Decisions ofthe FAA decisionmaker represent the FAA Administrator's position on issues arising in civil penalty assessment actions, including issues regarding sanctions. The policy in this order also represents the Administrator's position on sanctions in legal enforcement actions. To the extent that this document conflicts with FAA declSlonmaker decisions published before this, document's issuance, the sanction guidance policy in this order supersedes those decisions. However, FAA decisionmaker decisions published after



### 7-7

### 10/01/07 2150.38
the issuance ofthis document that conflict with the policy in this order supersede this document and are controlling. j. Ability to Absorb Sanction. Sanctions should be deterrent. While punitive sanctions should not be unduly harsh, they should be substantial enough to prevent violators from profiting from their violations, that is, the sanction should be high enough to remove any profit incentive for violations. Penalties should never be permitted to be a cost ofdoing business. Air carriers, in particular, are required by law to have the financial wherewithal to operate according to established safety standards. While the FAA does not allow financial circumstances to excuse any violation, it does consider a carrier's size and financial strength in choosing the appropriate sanction amount. The difference in the penalties fixed in the law for large and small business concerns recognizes this fact. A civil penalty that may be a mere cost of doing business to a major air carrier might compel a small air carrier to go out ofbusiness. Therefore, the FAA uses air carrier size as one means ofensuring a relatively equivalent deterrent effect on each air carrier that violates the same FAA regulation. The resulting classification ofair carriers by size and ranges ofcivil penalties are set forth in part one ofthe table. For all entities and individuals, the FAA considers ability to pay a civil penalty and the effect a civil penalty will have on a person's ability to continue in business to the extent it knows such information

.. k. Consistency ofSanction. One ofthe agency's goals is to achieve relative consistency in imposing similar sanctions for similar violations. The FAA pursues this objective to assure fairness and so the sanction's impact has an equivalent degree ofdeterrent or disciplinary value to others similarly situated. This goal may not always be achieved, however, because ofthe inherently subjective nature ofthe exercise of judgment in setting sanctions. I. Whether the Violation was Reported Voluntarily. (1) The FAA has programs that allow persons to report voluntarily apparent violations and receive lesser enforcement action provided certain criteria are met. These programs include the aviation safety reporting program, the voluntary disclosure reporting program, and the aviation safety action program. Besides these programs, the FAA may grant special enforcement consideration under certain circumstances to a person who, incident to his or her report of another's violations, voluntarily discloses his or her own participation in the same or related violations. This special enforcement consideration may range from mitigating the sanction to determining that no enforcement action is required. (2) 

### Ifa person is not covered under one ofthese programs but nonetheless voluntarily reports an apparent violation to the FAA before the FAA discovers it, takes immediate action to correct the noncompliance, and works with the FAA on steps to preclude recurrence ofthe apparent violation, the FAA may consider such actions in mitigating the sanction for the violation.

m. Corrective Action. The FAA considers corrective action a mitigating factor in determmmg sanction provided the corrective actiOn exceeds the minimum regulatory or statutory requirements. The amount ofcredit given in setting a sanction depends on the extent and timing ofthe corrective action, that is, how extensive was the corrective action and how quickly was it taken. Implementing new procedures that are above those required under the FAA's regulations 

### 7-810/01/07 2150.38

to prevent future violations ordinarily is considered a mitigating factor in determining an appropriate sanction. Corrective action taken after the alleged violator first becomes aware ofa deficiency but before FAA discovery ofthe violation ordinarily warrants greater mitigation than corrective action that is taken only after the alleged violator receives notice ofthe FAA's enforcement action. Corrective action taken by an alleged violator that simply brings that person into compliance with the statutory or regulatory requirements is not considered in mitigation of sanction. To mitigate a sanction based on such corrective action would put at an economic disadvantage competitors who have expended the resources necessary to maintain compliance. 5. Use ofthe Table ofSanctions.

a. General. Sanction determinations are not accomplished through a strict mathematical formula; rather, sanction determinations result from ajudgment ofwhere a case lies along a spectrum of gravity. Ultimately, the circumstances ofeach case are evaluated in terms ofthe needs of safety and the public interest. b. Single, First-time, Inadvertent Violations. (1) Part II ofthe table specifies both the normal types of sanction (certificate action, civil penalty action, or other type) and the normal ranges within those types the FAA ordinarily seeks to impose in a legal enforcement action for a single, first-time violation that is generally inadvertent (the table includes ranges of sanctions for several violations that usually are intentional, for example, interference with a crewmember, smoking on an aircraft). In addition, the table generally reflects a presumption that the alleged violator wants to comply with the law and to remedy any noncompliance and that the alleged violator, therefore, has a constructive attitude. (2) For factors b, d, or h ofparagraph 4 (that is, inadvertent and not deliberate conduct, attitude, and violation history), the FAA does not normally deviate from the ranges listed in the table solely based on the inadvertence ofthe violation or on the alleged violator's good reputation, past public service, violation-free history, or constructive attitude. Any mitigating circumstances are to be found in the facts and circumstances ofthe violation itself. (3) Applying ranges within a sanction type. In determining where, within each range, a sanction should be imposed, the FAA generally considers factors a, c, e, f, g, i, j, k, and m of paragraph 4 (that is, nature ofthe violation, level ofexperience, degree ofhazard, action by employer or other authority, use ofcertificate, decisional law, ability to absorb sanction, consistency ofthe sanction with similar cases, corrective action), to the extent they are applicable or relevant. When determining a specific sanction amount within a range, FAA enforcement personnel begin with an amount in the middle ofthe range and increase that amount toward the higher end ofthe range for aggravating factors or decrease that amount toward the lower end of the range for mitigating factors. (4) Deviatmg from ranges within a sanction type. The FAA might impose sanctions below the normal ranges based onjustillable mitigation under factors 

### j, l, and m ofparagraph 4 (that is, the ability to absorb the sanction, voluntary reporting, corrective action). The FAA may 

### 7-9

### 10/01/07 AppendixB Table ofSanctions 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 ofthe violation. 2. Abbreviations. The following abbreviations are used in this Table: 

### AP IS means approved production inspection system 

### AIWmeans airworthiness 

### A WC means airworthiness certificate 

### BTS means Under Secretary for Border and Transportation Security 

### lA means inspection authorization LE means law enforcement PC means production certificate 

### STC mearis 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,for 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 ofpunitive and remedial sanctions is appropriate when continuing violations are ongoing. b. Violation committed by a small business concern. Section 503 ofVision 100---Century ofAviation Reauthorization Act (CARA) amended49 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 Aet (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 ofoperation." The Small Business Administration regulations implement the Small Business Act and defme business concern as


### B-1

### 10/01/07 2150.38

"a business entity organized for profit, with a place ofbusiness 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 oftaxes or use ofAmerican products, materials or labor." 13 C.F.R. 

### § 121.105. The SBA regulations further define small business concern in tables, describing each kind ofentity by its economic activity or industry, and listing the limit for small by annual receipts or, more commonly, number ofemployees. (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, ifa person meets the definition ofbusiness concern andhas annual receipts or the number ofemployees 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 ofemployees, 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 ofthis 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 ofeach

commended sanction range v,rould be for a**~t** aggravating or mitigating factors.

B-210/01/07 2150.38 (1) VIOLATION COMMITTED BY U.S. AIR CARRIERS OR U.S. COMMERCIAL OPERATOR. CLASSIFICATION OF AIR CARRIER AND OPERATOR GROUP I- Each air carrier operating under part 121 or part 135, with an annual operating revenue of $100,000,000 or more. Operating revenue is determined by reference to DOT's "Air Carrier Industry Scheduled Service Traffic Statistics Quarterly." 

### See http://ostpxweb.dot.gov/aviation/index.html, and click on "Airline Financial Review." GROUP II- Each air carrier or commercial operator operating under part 121 with an annual operating revenue ofless than $100,000,000, or under part 135 with an annual operating revenue ofless than $100,000,000, ifthe 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)(l)(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 Minimt1m $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 $750-$1,100 Moderate $450-$ 749 Minimum $250 $ 449

GROUP III -for violations covered under 49 U.S.C. § 46301(a)(5)(A): Maximum $7,150-$11,000 Moderate $3,300-$7,149 Minimum $825-$3,299
GROUP III- for violations covered under 49 U.S.C. 

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

. Moderate $500-$1,100 $300-$499



### 8-4

# --------------.........
10/01/07

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 Moderate Minimum $8,250-$11,000 $3,850-$8,249 $935-$3,849 

### 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
(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 Fig. B-5-h. Follow-up drug and alcohol testing cont. Civil Penalty Certificate Action (5) Failure to ensure that follow-up alcohol testing ofa· Minimum covered employee only occurs just before the employee is to perform safety-sensitive functions, during, orjust after the employee has ceased covered functions Fig. B-5-i. Retesting covered employees Civil Penalty Certificate Action (1) Failure to retest a covered employee with an alcohol Maximum concentration ofgreater than .02 and less than .04 when the employer has chosen to permit the employee to perform a safety-sensitive function within 8 hours ofalcohol use (2) Permitting an individual with an alcohol concentration of Maximum .02 or above to return to duty performing safety-sensitive functions unless 8 hours has elapsed or the individual is retested and tests below .02 Fig. B-5-j. Inappropriate testing Civil Penalty Certificate / Action (1) Inappropriate testing using DOT or FAA Authority Moderate Fig. B-5-k. Administrative and other matters Civil Penalty Certificate Action (1) Failure to permit the Administrator or the Administrator's Maximum Indefmite representative to examine records Suspension pending compliance to Revocation (2) Failure to conduct drug and alcohol records check required Moderate under 49 C.F.R. _§ 40.25 (3) Failure to provide drug and alcohol testing records Moderate requested under 49 C.P.R. § 40.25 (4) Using an employee to perform safety-sensitive functions Moderate after obtaining information that the employee violated DOT drug and alcohol regulations, without obtaining information that the employee complied with return-to-duty requirements (5) Failure to notify the FAA ofa medical certificate holder Moderate (issued under part 67), who tested positive on a DOT drug test, within twelve working days ofthe date ofthe verified positive result (6) Failure to notify the FAA ofa medical certificate holder Moderate (issued under part 67), who engaged in prohibited alcohol 'conduct, within two working days ofthe violation date (7) Failure to notify the FAA ofthe refusal to submit to Moderate testing by a part 61, part 63, or part 65 certificate holder within five working days ofthe refusal to test



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