# •

•

• CORNERSTONE EXHIBITS FAA-2011-0481 FAA-2011-0484 FAA-2011-0489

## I must first apologize for taking up 

## your

# valua~le time to come here

# ~oday. ,

# ~~}~t~~jJ8Wf~l**Z~,J** wrong ofme to make demands, but I've been 1n 

## a CJUCJUdary 

## and tryu1g 

## to**r~.:J~l**

## OPERATIO\\lS company alone, I amlearning that there are manyhazards along the way. '**.~.**

### q L ,:;: 

## For my friends that know me, I did not train and strive to become a flight school owner, this began as my son's internship project at college and to quote him" a 

## littleparttime

## hobby for mom."


## I 

## could have kept 

## it as that with one lone airplane, but as I 

## got more involved my 

## true passion in aviation took flight; my 

## love for teaching and helping to mentor others 

## intheirown careeraspirations. Unfortunately, I am not one to 

## (excuse the expression) do 

## anything .half

## ass. The kids deserve l00% 

## and only the best ofmy

## abilities. I 

## cannot in good conscience give 

## them anytbi.ng less. So, 

## I chose to 

## fl() the 

## Part t4l 

## route, not knowing what could 

## lie 

## ahead. My

## pastexperiences were aU great Thingswere fairly 

## easy in

## the beginning because 

## CSA

## was small 

## mt:d J

## knew· 

## what was going 011 

## all thetime. As


## we grew, I 

## had to 

## let go andtmstthat

## the others in my company, 

## would follow my 

## guidance.
One ofthe realities ofa flight school is you are always in transition; more sothan 

## in many 

## otherprofeSJions. 

## 'You get new 

## jnstructors, go through a 

## lengthy training 

## process, thentheybuildtlleit ,ffigbt

## ltours, leave you ft)t' 

## airline careerand you have 

## to startaU overagain 

## trainirtg new 

## iW!!tnJctors. 

## This cyclenever stops. 

## I teach 

## my clients

## that getting a license is ll!llt

## a license to really Jearn that

## rating. To my instrw;tors applicants l say**~'teaching** 

## is like parcmting l01; witb 

## children you 

## teach what is age 

## appx'dpriate, but 

# with ftigf:tt students you teaclfwllat 

## is level appropriate. They will make many, many tttistakes 

## butyou

# are: tltere 

## to guide them 

## and teach them to 

# make fewer as they 

## progress throuJh the pro3fams. Remember they are notperfect, no one is, and you 

## need to be 

## :patientwith them". There is so 

## muchto learn andIdon'tevenknow it

## all- attdI'vebeenflying 'for

## 42 years.
"I say it's okay to make**ttdstak~s,** 

## butmost importantly l 

## want you to 

## learn from 

## those mistakes. I am theretohelp. 

## My dooris always open. Ratherthanfind fault 

## andpunish it

## is betterto disrove:rthe errors and corJect**them~'.** 

## rve

## toldthem they 

## mustbe accountable, open and honest. They 

## need that

## platformto learn and grow and

## move on

## :intheir

## career.

1

### ~' 

## q: 

## 0I

## Someday these instructors are going to become airline pilots and maybe even be 

## the captain on one ofyourflights. What

## kind ofman orwoman do you want atthe controls ofyour destiny in the air? Someone so afraid ofbreaking a rule that he somehow forgets that he is the ',;pilot in commandn and 

## can deviate 

## from. a 

## regulation to the 

## extent necessary to take 

## care ofan 

## emergency or do 

## you want

, someone who steps upand

## does what

## isnecessary toget

## youlaome safeJy?

I've never met aperson that hasn't broken the law either accidently or on purpose. The law tens us 

## that the speed limit 

## is 65mph on the 

## highway. So if 

## you go 67mph, then

## you have broken the law.
I 

## certainly don't 

## mind being caJJed out on CSA mistakes. I learn :from them. I'm 

## only 60 and I'm stiU learning. 

## It 

## has been 

## said tbat we 

## keep learning until the day


## we die. I 

## think Godwill still be 

## teaching me a thing ortwo afterdeath.
I 

## will 

## always- admit to 

## my mistakes and those of

## my 

## students and instructors. As 

## you know 

## wen, espeeia:Uy if

## you've been 

## a parent, a..<; 

## much as you try 

## to control your environment, you ca11'tt 

## always 

## do so. You have 

## to let your kids venture 

## out into the 

## worldami 

## make some ,oftheirown 

## mistakes. Thatisjust part

## of

## life.
With 

## all that 

## said, I'm not making**e~cuse&,** 

## l'mjust 

## saying none ofmy instructors 

## have purpose:fuUy 

## made mistlkes. They were all 

## sorry when the 

## realization became evident.**nu~y** 

## are 

## good instructors and at>e 

## aU trying very hard to do a 

## goodjob,

## while working within the system; 

## whichwe aUknow is not an

## easy task.

I 

## We 

## have no 

## safety o-f

## :Oipt

## violations, so I am: 

## asking tbat 

## are given the 

## chance to 

## acknowledge our :mistakes, correct them, improve ourseJves so they are not continuously

## repeated.
I don't feel 

## that 

## monetarypunishment stops the action. Itonlypenalizes me and I 

## personally didn,t 

## adUally committhe violations. It

## does hurtthe flight 

## school in a safety aspectbytaking 

## away funds that

## couldbe 

## used

## to fn

## and

## maintain airplanes. As 

## the profit margin in ourftigilt scllool is very stttaU 

## audI needevery penny 

## to go backinto CSA.

2

## As owner ofCSA, whenever au issue has come to my 

## attention, I put t(uth a lot of effort into a workable solution. The most expensive and biggest solution we have arrived

## at~is our newly desi!,JDed software program to

## find~ stop and correct Part 141 violations. We have been developing this for the past nine months in an 

## attemptto putup firewalls andkeep ourinstructors onthe righttrack at all times.
I've even re-written our curriculum to include 

## in the syllabus guidance for brand

new instructors. My local FSDOknows aboutthls butit'staking sometime to get it approvedinthe 141 trainingcourse outline.

As we go through the violations, i 

## hope you wiU consider what I'vejust said and 

## together we 

# can come up 

## with a 

## better workable solution for CSA 

## and it's 

## future prospects as aviable flight school in Utah.

3II 

### February 27, 2012

To Whom It May Concern: 

# Salt Lake Community 

# College

On October 27, 2010 Salt Lake Community College (SLCC) received a personal check #1497, in the sum of$2,586.57 from Susan Horstman with Cornerstone Aviation. The amount covered 13.1 hours offlight andground training time conducted by Cornerstone Aviation to SLCC student Michael Stann for his Instrument training.

At the time the training took place with CSA, the student was not qualified under Part 141 regulations to log the time and receive academic credit. Therefore, repayment is required back to the students account with SLCC.

Ifyou have any questions please do not hesitate to contact me. Sincerely,

Rick Bouillon Dean, School ofTechnical Specialties CTE Director Salt Lake Community College 801.957.5158

School ofTechnical Specialties Taylorsville Redwood Campus 4600 South Redwood Road • CT296 • SaltLake Ciry, Utah 84130-0808 Phone: (801) 957.5129 • Fax: (801) 957.3813 • www.slcc.edu

# •

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•• 10/01/07 2150:38

Chapter 7. Sanction Guidance Policies



### 1. Purpose. This chapterprovides the FAA'spolicies for determining an appropriate sanction
once FAA enfqrcementpersonnel decide that legal enforcement action is appropriate. This chapter contains the general policy the FAA intends to apply in selecting the types ofsanctions, 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 informal 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 DeterrentPurposes.
(I) General. Ifa certificateholder improperly exercises the privileges ofa 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 FAA considers the adverse impact that a certificate suspension could have on the public. Thus, the agency generally suspends the certificates ofindividual certificate holders for violations. However, theFAA 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 suspendthe certificate ofany type ofcertificate holder. In no case will the FAA take civil penalty action alone when remedial legal action is necessary orappropriate.
(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 does not change**the~type** ofsanction unless additional facts or circumstances are presented to the FAA thatwarrant 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.
(I) Indefinite certificate suspension pending compliance or demonstration of qualification. Suspension action is appropriate where there is a need temporarily to



### 7-1 

# Exhibit C-110/01/07 2150.38

suspend the privileges ofthe certificate orrating pending demonstration ofqualification or compliance with statutory or regulatory requirements. FAA generallyuses remedial suspension when an individual does not voluntarily surrenderhis or her certificate pending reexamination. 

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

- general. The FAA revokes a certificate when a certificate hofder lacks the qualifications to holdthe certificate. The certificate holder's continued exercise ofthe privileges ofthe certificate in such circumstances would be contrary to safety in air
commerce or airtransportation and the public interest. Revocation is appropriate whenever a certificate holder's conduct demonstrates a lackofthetechnical proficiency or a lack ofthe degree ofcare,judgment, or responsibility, required ofthe holder ofsuch 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 exercisethe privileges ofthe certificate. Legal counsel does not allege a lack ofqualifications to avoid dismiss!J.l ofcharges under 49 C.F

### .R. 

### § 821.33, the NTSB's stale complaintrule.
(3) Certificate revocation- individuals. The FAAgenerally revokes an individual's certificate or rating wheneverhe or she demonstrates a lack ofwillingness or ability to comply consistently with statutory orregulatory requirements. A lack ofwillingness or ability to comply may be demonstrated by such things as repeated or deliberate violations orbyviolations that involve grossly careless orreckless conduct. Even a single violation may be sufficientto 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 whenthe certificate holder has committed the
same or similar violations in the recentpastdemonstrating a lack ofqualification, or when the certificateholder nolongerhas, and does not obtain in a reasonable time, the personnel or equipmentto conduct its operation in full compliance with statutory and regulatory requirements.
(5) Mandatory certificate revocation. Under 49 U.S.C. 

### § 44710, theFAA is required to revoke the certificates ofany 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 orthe facilitation ofthe commission ofthe offense. Evenwhen there has been no conviction, revocation is requiredwhen an airman has knowingly carried out an activity punishable under these criminal statutes. The .t}dministrator may waive the revocation if
a law enforcement officerrequests the waiver and the Administrator decides the waiver will facilitate law enforcementpurposes. 

### See 49 U.S.C. 

### §44710(f). Under49 U.S.C. 

### §44106, the FAA also mustrevoke the registration certificate ofany airplane used in the commission ofsuch
an offense whenthe use was permitted bythe 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 orownership interest in the holder who
was convicted ofa violation offederal law relating tothe installation, production, repair, or sale ofa counterfeit or fraudulently-represented aviation part or material or knowingly, and with the



### 7-2 

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• 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 enforcementpurposes 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, orrevoking any FAA-issued certificate ifthe Administrator is notified bythe Under Secretary ofBorder and Transportation Security (BTS) oftheDepartment ofHomeland Security (DHS) that the certificateholder poses, or is suspected ofposing, a risk ofair piracy orterrorism or a threat to airline or passenger safety. Under49 U.S.C. 

### §44924, the Administrator is required, at the request ofthe Under Secretary ofBTS, to suspend orrevoke foreign repair station certificates in connection with security audits.

3. Applicability and Exclusions. The sanction guidance table (table) in Appendix B provides types ofsanctions and general ranges ofsanction amounts for violations of49 U.S.C. subtitle VII and 14 C.P.R. parts 1-199 and 49 U.S.C. subtitle IX, chapter 701 and 14 C.P.R. chapter III. Oncethe 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 TakeAdministrativeAction (WarningNotices orLetters of Correction). An administrative action does not constitute either a formal adjudication ofthe incident or a finding ofviolation. Forthat reason, FAA investigative personnel do not propose a sanction using the table.

b. The FAA'sExercise 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 laterdetermination to compromise or settle a case based on various considerations. TheFAA'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, orthe Department ofTransportation's Hazardous Materials Regulations, 49 C.P.R. parts 106 through 185. Enforcement sanction guidance for these violations is found in Appendix C.**~** 

### d. Violations by

### M~~bers oftheU.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 ornot

7-3

### 10/01/07 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 amember 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. throughm. have been developedover years ofpolicy making and case adjudication. They have proven useful and appropriate for determining the seriousness ofaviolation 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 relevantto 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 ofaviolation: first, whether the violation was operational or non-operational; second, whether the violation involved careless
orreckless 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 impactthat certificate action may have on an individual's livelihood does not • alter this principle. Non-operational violations may warrant a different type ofsanction.

' 

### (2) Entities. The FAA ordinarily takes civil penalty action against acertificate-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 impactwould occur, when there is aneed to prevent continuing violations or other egregious conduct by any certificate holder, when any certificate holder lacks qualification, orthere is areasonable basis to question the qualifications ofany certificate holder, the FAA 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 conductthat falls below the standard ofcare or**prudenc~** 

### expected ofareasonable person, or holder ofthe relevant certificate, acting under the same or similar circumstances. Recklessness connotes conductthat demonstrates agross, or even callous or flagrant, -disregard for safety. Aircraft operations that do not otherwise result in aviolation ofa specific regulation should be evaluated in light ofthese standards to determine whetherthey constitute careless orreckless operations in violation of 14 C.F.R. § 

### 91.13. When aperson operates an aircraft in violation ofa specific regulation otherthan 14 C.F.R. § 

### 91.13, however, that violation constitutes acareless or reckless operation in and ofitself. In these cases, the misconduct may also result in a violation of 14 C.F.R. § 

### 91.13 ifit 

### actually or potentially endangers the lives orproperty ofothers.



### 7-4 

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• 10/01/07 2150.38

When calculatingthe amount ofsanction based on this factor, a distinction generally is drawn

. between instances where 14 C.P.R.§ 91.13 is an independent violation and those where it is residual to another violation. When a 14 C.P.R.§ 91.13 violation is residual only, a higher sanction generally is notwarranted unless the conduct is also reckless.

b.**Whe~her** the Violation was Inadvertentand Not Deliberate. Ifa violation is deliberate or not inadvertent, a sanction at the upper end ofthe range or exceeding the range for thattype ofviolation generally is appropriate. A deliberate violation generally warrants a sanction that is more severe than one that isjustnot 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 conductthat leads to a violation as well as circumstances indicating intent to commit a violation.
(2) Inadvertence. An act is inadvertentwhen 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 misreadthe aircraft's instruments; however, it is not an inadvertent act when a pilot flies at an incorrect altitude as a result ofchoosingnotto consultthe aircraft's instruments or choosing not to use other available means to verify altitude. Thetest to be applied is whether the conduct, notthe factual orlegal consequences, is inadvertent and unintended. 

### Ferguson v. National Transportation SafttyBoard, 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 higherstandard. Thus, for example, commercial pilots maybe held to a higher standard than private pilots and airline transport pilots may beheld to an even higher standard than commercial pilots.
(2) In determining an appropriate sanction, the FAA may considerthe extent to which the certificate holder's action deviated from the degree ofcare and diligence normally expected ofa person withthe certificate holder's level ofexperience. A significant deviation from the degree ofcare and diligence expected ofthe holder ofthat certificate maywarrant 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 orregulatory requirements after receiving notice through a prior administrative action
or counselingthat 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



### 7-5

### 10/01/07 2150.38

view an alleged violator as having a poorattitudebecausethe allegedviolator fails to respond to
a letter ofinvestigation, choosesto be represented by counsel, or contests the violation.
(2) In assessing the attitude ofan alleged violator, the FAA may considerthe declaration ofan emergencyto air traffic control. When an emergency is genuine and not ofthe person's
own making, the emergency is exculpatory under 14 C.P.R. § 91.3(b). However, this situation is distinct from the situation where a declaration ofemergencyis 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 ofa person's own making, that person's declaration ofan emergency maybe considered mitigating in determining the sanctionto be imposed for any violations committed, in muchthe same way it is consideredmitigating ifa person voluntarily reports a violation.



### e. Degree ofHazard.
(1) The degree ofhazardmay be increased as a result ofthe interplay ofthe operational environment (for example, weather conditions, congested vs. sparsely populated areas) and the nature ofthe threatto safety (to the life or property ofanother, including those in the aircraft being operated, to other aircraft, orto persons orproperty on the surface) thatthe misconduct presents. The safetythreat is based on the reasonably foreseeable consequences ofthe misconduct. Forexample, operating 500feetbelow 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 beyondthe required. And 

### itis

. not mitigating when a violation does notresult in actual harm; thatis simply fortuitous.
(2) The sanction ranges reflectthe degree ofdanger normally inherent in an average violation ofa regulation, without aggravating circumstances. As discussed in chapter7, subparagraph 5.b., an increase inthe 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 employerhas taken disciplinary action and whether criminal prosecution is involved.**~** (1) Employment discipline. Where the violationwould normally call for a certain type ofenforcement action, the FAAtakes that action regardless ofany actik"Jn taken by the violator's employer. Generally, the FAA does not credit an employer's disciplinary action toward a period ofsuspension the FAA imposes againstthe violator's certificate because ofthe different purposes ofgovernment-ordered, as contrasted with employer-ordered, actions.
(2) Criminal prosecution. When arising outofthe same conduct, local, state, orfederal prosecution does not preclude the FAAfrom taking appropriate remedial enforcement action; nor



### 7-6 

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• 10/01/07 2150.38

does it preclude the FAA from taking appropriate punitive enforcement action. Forcases 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 sufficientto provide an adequate deterrent for future violations by the violator and others similarly situated, orwhen the FAA wants to establish a violation history record. IftheFAA decides to proceed with a punitive civil enforcementaction 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 ofa Certificate. This factor relates to the nature orkind ofactivity or operation involved atthe time the violation was committed. Whether the certificate holder was engaged in student, private, commercial, or airline activity bears on the severity ofthe sanction. Aircarriers
are held to the highest standard ofcare. Likewise, personnel engaged in airtransportation 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 generallyrepresent the normal range ofsanction for a single, first-time, inadvertent violation. Given the expected norm, a prior violation record
can be evidence ofa poor compliance disposition or ofa pattern ofdisregard for the FAA's regulations, which are aggravating factors. As a result, a violationhistory canjustify imposing a sanction at the higher end ofthe normal range or a sanction beyond the normal range. Itmight alsojustifyrevocation ratherthan 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 oftimethat 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 ofan 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 settlementthat the FAA may consider alleged violations
as findings ofviolation for future sanction determinations.


### i. Decisional Law. Decisions oftheFAA 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 positionon sanctions in legal enforcement actions. To the extent that this document conflicts with FAA decisionmaker decisions publishedbefore 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 of.this documen.t .that conflict with the policy in this order supersedethis document and are controlling. j. Ability toAbsorb Sanction. Sanctions shouldbe deterrent. While punitive sanctions should notbe unduly harsh, they should be substantial enough to prevent violators from profiting from theirviolations, that is, the sanction shouldbe high enough to remove any profit incentive for violations. Penalties should never bepermittedto be a cost ofdoing business. Aircarriers, 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, itdoes consider a carrier's size and financial strength in choosingthe 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 costof doing businessto a major air carrier might compel a small air carrierto go out ofbusiness. Therefore, the FAA uses air carrier size as one means ofensuring a relatively equivalent deterrent effecton each air carrier that violates the same FAA regulation. The resulting classification ofair carriers by size and ranges ofcivil penalties are set forth in partone 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 objectiveto assure fairness and so the sanction's impacthas an equivalent degree ofdeterrentordisciplinary value to others similarlysituated. This goal may not always be achieved, however, because ofthe inherently subjective nature ofthe exercise of judgment in setting sanctions.

I. Whetherthe Violation was Reported Voluntarily.
(1) The FAA has programs that allow personsto 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, andthe aviation safety action program. Besidesthese programs, the FAA may grant special enforcement consideration under certain circumstances to a person who, incident to his orher report of another's violations, voluntarily discloses his orher own participation in the same orrelated violations. This special enforcementconsideration may range from mitigating the sanction to determining thatno enforcement action is required.
(2) Ifa person is not covered under one ofthese programs butnonetheless voluntarily reports an apparent violation to the FAA before the F

## M discovers it, takes immediate action to correct the noncompliance, and works with the FAAon 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 determining 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 underthe FAA's regulations 

### 7-8 

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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 afterthe alleged violatorreceives notice oftheFAA's enforcement action. Corrective action taken by an alleged violator that simply brings thatperson into compliance with the statutory orregulatory 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 accomplishedthrough a strict mathematical formula; rather, sanction determinations result from ajudgmentofwhere a case lies along a spectrum ofgravity. Ultimately, the circumstances ofeach case are evaluated in terms ofthe needs ofsafety and the public interest.

b. Single, First-time,Inadvertent Violations.
(1) Part II ofthe table specifies both the normal types ofsanction (certificate action, civil penalty action, or othertype) 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 ofsanctions for several violations that usually are intentional, for example, interference with a crewmember, smoking on an aircraft). In addition, thetable generally reflects a presumption thatthe alleged violator wants to comply with the law and to remedy any noncompliance and that the alleged violator, therefore, has a constructive attitude.
(2) Forfactors b, d, orh ofparagraph4 (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 oftheviolation or on the alleged violator's good reputation, past public service, violation-free history, orconstructive attitude. Any mitigating circumstances are to be found in the facts and circumstances ofthe violation itself.
(3) Applying ranges within a sanctiontype. 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 ordecreasethat amount toward the lower end of the range for mitigating factors. '
(4) Deviating from ranges within a sanction type. The FAA might impose sanctions below the normal ranges based onjustifiablemitigation under factorsj, 

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



### 7-9

### 10/01/07 2150.38

impose sanctions above the normal ranges when the following circumstances, relating to factors b, d, e, andh ofparagraph4 are present: the violation is other than inadvertent4

, the violatorhas
a violation history, the violation involves a significant degree ofhazard, orthe violatorhas a poor compliance disposition. The ranges also may be exceeded whenthe case involves multiple violations. 

### (See chapter 7, paragraphs 6 and 7).

c. Types ofSanction.
(1) GeneraL TheFAA ordinarily does not initiate punitive civil penalty andpunitive certificate actions (that is, fixed-period certificate suspensions) against a certificate holder for the
same offense. While electingto impose one sanction is not a legal barto a concurrent proceedingto 'impose another, pursuingboth actions solely for punitive purposes usually is not necessary. TheFAAtakesremedial and punitive actions in the same case, however, when warranted.
(2) Selecting types ofsanctions. Except in exceptional circumstances, the FAAuses the type ofsanction recommended in thetable. TheFAAmust impose any sanction mandatedby statute (for example, revocation under 49 U.S.C. 

### §§ 44106(b), 44710(b), and 44726(b) unless waived by the Administrator).

6. General Guidance on Multiple Acts orMultipleViolations.

a. Description ofMultipleViolations. Enforcement actions often involve multiple violations: multiple violations ofa single regulation; a single violation ofmultiple regulations;
ormultiple violations ofmultiple regulations. In addition, under 49 U.S.C. 

### § 46301(a)(2), ifa violation is a continuing one, each day the violation continues, oreach flight for whichthe violation was committed, constitutes a separate offense.

b. General Sanction Guidance. Multiple violations ordinarily result in high sanction amounts. Such sanction amounts ordinarily are notdetermined by simply adding up the individual penalties for multiple violations set forth in the table, however. Simply adding up the individual penalties for each violation couldresult in compounding a sanction in a disproportionately harsh manner for the conduct involved. Conversely, multiple violations may be so serious in their consequences for safety and the public interest as to require a penalty greater than the sum ofthe recommended amount ofpenalty provided for in the table for each violation.

c. Single Act ofNoncompliance Resulting in MqltipleViolations. When a single instance 

### Ofnoncompliance results in multiple violations ofgeneral and specific regulations involving the same or similar conduct, the FAA ordinarily does not compoundthe sanctionto reflect the amount ofsanction recommended in thetable for each regulatory violation. In calculating the amount ofsanction for multiple violations, FAAenforcement personnel consider

4 When the violation is onethat is generally inherently deliberate (e.g., interference with crewmember or smoking violations), factor b. is not considered in determining whether the sanction shouldbe**abov~** the range in the table. The ranges m thetable for such violations already havetaken into consideration theinherently deliberatenature of the violation. 

### 7-10 

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• 10/01/07 2150.38

the totality ofcircumstances relating to the multiple violations, including the alleged violator's degree ofculpability, and whetherthe alleged violator had taken steps, although unsuccessful, to preventthe violations.

d. Type ofLegalEnforcementAction. Where this guidance designates the type oflegal enforcement action for a single violation, the FAA ordinarily selects the same type ofsanction for multiple violations ofa similar nature. The seriousness ofmultiple violations, however, may require changing what is normally a civil penalty action to a certificate action or, sometimes, a punitive certificate suspension to a remedial revocation action.

7. Special Considerations for Numerous MultipleViolations Resulting From an Initial Act
orOmission. To determine penalties for numerous multiple violations thatresult from an initial act or omission, the FAA applies the special considerations and guidance in chapter 7, subparagraphs 7.a. through e. These cases involve such a high number ofmultiple violations that ifFAA enforcement personnel were simply to add the recommended amounts ofpenalty for each flight or day that constitutes a separate violation, the resulting sanction amount could be disproportionately harsh for the misconduct involved, in an average case.

a. DeterminingProposed Penalty. To determine an appropriate civil penalty in a case involving numerous multiple violations resulting from an initial act or omission (for example, an aircraft operated on a dozen or more flights after being improperlyreturned to service), FAA enforcementpersonnel:
{1) Identify each initial act or omission that caused orresulted in the multiple violations (for example, improper maintenance plus improperreturn to service; failure to maintain a quality control system).
(2) Consultthetable in Appendix Bandthe general guidance in chapter 7, paragraph 4,
on aggravating and mitigating factors to determine the amount ofpenalty appropriate for each initial act or omissionthatcaused or resulted in the multiple violations (for example, in airworthiness cases, a penalty for the act ofimproper maintenance or inspection; in manufacturing cases, a penalty for the act offailing to maintain a quality control system).
(3) Determinethe amount ofpenalty for the numerous multiple violations by applying the guidance in chapter 7, subparagraphs 7.b. through d. Ofparticular importance in determining
an appropriate sanction for numerous multiple violations is the degree ofthe alleged violator's culpability for the multiple violations. A lower degree ofculpability is present when the alleged violator neither knew norwas likely to discover the continuing violations. For example, once improper maintenance was done there were no signs ofit from such things as discrepancies reported by the crew, and no inspections that wouldhave led to its discovery were scheduled. A
more significant degree ofculpability is presentwhen factors such as the following are present:

• the initial act or omission was entered in records that should have led to immediate detection and correction;

• the initial act or omission remained undetected and continuedthroughrequired inspections or checks designed to reveal such discrepancies;



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### 10/01/07 2150.38

• the alleged violator was not following maintenance or inspection procedures the FAA had approved or accepted;
• the level ofthe alleged violator's organizationthat was aware of, or involved in the noncompliance included management (for example, management implemented policies that contributed to the violations), although an alleged violator's culpability does notrequire management involvement;
• the alleged violator has a history ofsimilar violations or a history ofsystemic deficiencies. Knowing and willfulviolations connote the highest degree ofculpability.
(4) Addthe penalties arrived at for the initial violation to the penalty for the multiple violations. ·


### b. Limitations on Total Civil PenaltyAmounts for Numerous Multiple Violations.
(1) In an average case involving numerous inadvertent, multiple violations resulting from
a single act or omission, that is, not one that is covered by chapter 7, subparagraphs 7.c. or 7.d., the total civil penalty for the multiple violations ordinarily falls within the ranges provided in either Figure 7-1 or 7-2. The group classifications are defined in part I ofAppendix B.
(2) Theterm isolatedin Figures 7-1 and 7-2 typically describes a single instance ofan employee's failure to follow a statutory orregulatory requirement, contrary tothe company's 

# •

own practice orprocedure. A case may involve a number ofisolated and unrelated violations. • Each group ofthe multiple violations resulting from each isolated violation ordinarily is subject to the isolated, inadvertentranges in Figures 7-1 or 7-2.
(3) Inadvertent failures are considered systemic ifthey are repetitive or otherwise demonstrate an underlying deficiency in the alleged violator's system, practices, orprocedures. Systemic failures generally warrant more substantial penalties and indicate a need for corrective action.
(4) The aggravating ormitigating factors and elements in chapter 7, paragraph4. are considered to determine an appropriate civil penalty within the applicable range in Figure 7-1 or 7-2, for the multiple violations resulting from the initial act oromission. Ofparticular importance is an evaluation ofthe seriousness ofthe potential hazard caused bythe violation and the degree ofculpability ofthe alleged violator for the multiple violations.



### 7-12 

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Figure 7-1. Ranges ofPenalties for Air Carriers, Commercial Operators, Part 125 Operators
Type of Group I Group I Group II Group II or Group III Group IV Violations Large Small orPart Part 125 Business Business 125 Large Small Business Business Inadvertent, $200,000- $100,000- $150,000- $100,000- $75,000- $50,000- Isolated $400,000 $300,000 $300,000 $200,000 $150,000 $100,000 Violations Inadvertent, $300,000- $200,000- $250,000- $150,000- $100,000- $75,000- Systemic $500,000 $400,000 $400,000 $300,000 $200,000 $150,000 Violations

Figure 7-2. Ranges ofPenalties for Air Agencies, Airports, Manufacturers
Type of Air Air Airport Airport Manufacturing Manufacturing Violations Agency Agency Operator Operator Large Business Small Business Large Small Large Small Business Business Business Business Inadvertent, $150,000- $100,000- $200,000- $100,000- $200,000- $100,000- Isolated .$300,000 $200,000 $400,000 $300,000 $400,000 $300,000 Violations Inadvertent, $250,000- $150,000- $300,000- $200,000- $300,000- $200,000- Systemic $400,000 $300,000 $500,000 $400,000 $500,000 $400,000 Violations

c. Penalties Outsidethe Ranges. (1) Penalties lowerthan the ranges. Itmay be appropriate to select a civil penalty amount below theranges in Figures 7-1 or 7-2 ifthe degree ofculpability is minimal, the degree of potential hazard is extremely low, and there are no other aggravating circumstances.
(2) Penalties higherthanthe ranges. 

### Itmay be appropriate to select a civil penalty higher than the ranges, up to the statutory maximums:

• Ifthe alleged violatorwas significantly**culpabl~** in permittingthe initial act oromission;

• Ifthe violations involve significant safety risks;
• Ifthere was an absence ofcorrective action bythe alleged violator over an extended period oftime;
• Where it is necessary to provide an economic disincentive for regulatory noncompliance;
or.
• Ifthe alleged violatorhas a poorcompliance disposition orhistory.

d. Intentional Violations. When there is substantial and reliable evidencethat the alleged violator knew ofthe violations resulting from the initial act oromission and allowed themto


### 7-13 Individual

$50,000- $100,000
$75,000- $150,000

### 10/01/07 2150.38

occur, the ranges set forth in Figures 7-1 and 7-2 do not apply. For example, operation ofan • aircraft when there is evidence the operatorknew the aircraft or flight was not in compliance with statutory or regulatoryrequirements, yet deliberately operated it anyway, is most serious, and apart from civil penalties, requires consideration ofremedial certificate action. For multiple violations in these circumstances, any civil penalties sought may be up to the statutory maximum penalty for each violation, regardless ofthenumber ofviolations.



### e. Civil Complaints. The guidance in chapter 7, paragraph 7 does not limit the amount of civil penalties thatmay be sought in a civil complaint filed in U.S. district court.


### 8. Modification.

a. Type ofSanction. ExceptwhentheFAA exercises its prosecutorial discretionto settle
an enforcement action, the FAA generally does notmodify orders suspending orrevoking a certificateto provide for a civil penalty. TheFAA also generally does not modify orders assessing a civil penalty to provide for a certificate action. The FAA modifies the type of sanction only in those cases involving extraordinary circumstances (beyond the normal aggravating or mitigating factors and elements listed in chapter 7, paragraph 4). New facts discovered after the original order has been issued may provide a basis for modifying the amount ofsanction, butwould not ordinarily provide a basis for modifying the type ofsanction. However, ifnewlydiscovered facts raise new issues, such as the alleged violator's qualifications to hold a certificate, or ifthey implicate a statutorily-mandatedpenalty, theFAA modifies the type ofsanction.



### b. Amount ofSanction. The FAA does not applythe factors listed in chapter 7, paragraph • 4. in a manner thatwould double their effect. Oncethe FAAhas fairly considered therelevant mitigating and aggravating circumstances, it generally does not modify the amount ofsanction. TheFAA modifies the amount ofsanction normally only when new information indicates the factors or elements were not fairly applied, or when other clear and compelling reasons are articulated.



### 9. Special Emphasis Enforcement Programs. Attimes special situations arise that dictate the need for more effective enforcement action through increased sanctions or othermeasures in a particularregulated areaor segment ofindustry. When these circumstances arise, the FAA may set up a special emphasis enforcement program, designedto focus on a particular area of noncompliance on a national or local geographical basis.


### 10. Small Entities
. .

a. General. (1?

### Und~r the Small Business Regulatory EnforcementFairness Act of 1996 (SBREFA), the F

### ~ IS

### r~qmred to have a policy or program to provide for the reduction and under

### appropn~t~ circumstances

### waiv~r,.of

### civ~I**p~nalties** for statutory or

### regulato~ violations by small entitles.'

### Und~~ the law, such a pohcy IS to contain certain conditions. Those suggested by

### Co~gres~**a:~·** requmngthe small entity to correcttheviolation within a reasonable correction period; hmitmgthe applicability to violations discovered through participation in a compliance


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assistance or audit program operated or supported by the agency; excluding small entities that have been subject to multiple enforcement actions bythe agency; excluding violations involving willful or criminal conduct; excluding violations that pose serious health, safety or environmental threats; and requiring a good faith effort to complywith the law. The SBREFA also provides that under appropriate circumstances, the FAA may consider ability to pay in determining the penalty to assess a small entity. (2) Congress intended that agencies have the discretion to develop the limits oftheir enforcement policies for small entities and the specific circumstances underwhich penalty reductions or waivers would be granted. Because the statute requires an agency, subject to the requirements and limitations ofother statutes, to place conditions or exclusions on its enforcementpolicyunder SBREF A, it does not appear Congress intended agencies to reduce or waive penalties solely because an alleged violator is a small entity. Rather, the statute contemplates that certain criteria be met before an agency reduces or waives a penalty against a small entity. Although the SBREFA imposes a requirement on agencies to establish penalty reduction and waiver programs for small entities, Congress recognized that some agencies already have formal or informal policies orprograms that would meet this requirement.



### b. FAA's Policy underthe SBREFA.
(1) The FAA's compliance and enforcement program includes several policies that meet

. the requirements of, and are consistent with the intent of, SBREFA. Taken together, these

policies constitute the FAA's policy mandated by SBREFA

. (2) Under the FAA's compliance and enforcementprogram, for example, FAA investigative personnel have the discretion to address alleged violations by any person, includingsmall entities, with lesser enforcement action than a civil penalty, that is, administrative action, providedthe criteria in chapter 5 are met. There are two forms of administrative action: a warning notice and a letter ofcorrection. A warning notice brings to the attention ofthe regulated person or entity the facts and circumstances that indicate that a violation has occurred, identifies the regulatory provision at issue, and requests future compliance. A letter ofcorrection is similarbut is intended for use when there is an agreement with the regulated party that corrective action acceptable to theFAA has, or within a reasonable period will be, taken. Administrative actions are less onerous than a waiver ofpenalty in that they neither carry a sanction norresult in a finding ofviolation.
(3) Under the agency's voluntary disclosure reporting program, the FAAtakes administrative action instead ofcivil penalty action aga-inst most regulated entities, including small entities that voluntarily report certain apparent violations to theFAA, complete corrective action satisfactory to theFAAto prevent theirrecurrence, and meet certain other criteria.
(4) The FAA's sanction policies have historically provided for reductions ofcivil penalties in appropriate cases based on the mitigating factors listed in chapter 7, subparagraph 4., which include ability to pay and whether a penalty wouldpreventthe entity from continuing in business

.



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(5) For air carriers and commercial operators, the FAA also takes company size into • consideration in determining the appropriate amount ofcivil penalty. The sanction ranges in Part 

### I. Definitions and Abbreviations ofthetable for single, inadvertent, first-time violations byU.S. air carriers and U.S

..commerCial operators differentiate among various sizes ofsuch entities as a means ofproviding a relatively equivalent deterrent for the same violation against each air carrier and commercial operator. While the FAA has not specified such sanction ranges for other certificate holding entities, it is the FAA's policy to seekpenalties generallyrelative to the size and revenue ofthe operation for repair stations, manufacturers, airports, and other entities holding certi'Qcates.
(6) Although the FAA does notreduce or waive the penalty ofan alleged violator solely because it is a small entity, the FAA appropriately reduces a civil penalty, orelects to take administrative action rather than legal enforcement action, against a small entity ifappropriate under the policies described in chapter 7, subparagraphs IO.b.(l)-(5).



### c. The SmallBusiness Ombudsman.
(1) The Small Business and Agriculture Regulatory Enforcement Ombudsman and 10 Regional Fairness Boards were establishedto receive comments from small businesses about federal agency enforcement actions. The Ombudsman annually evaluates the enforcement activities and rates each agency's responsiveness to small business.
(2) EachFAA employee who conducts an inspection ofa smallbusiness concern that is regulated bythe FAAprovidesthe smallbusiness concern with an information sheet. The • information sheet informs that entity that itmay submit complaints or comments regarding unfair FAAregulatory enforcementto the National Ombudsman. The information sheet contains the following language:

Our objective is to ensure a fair regulatory enforcementenvironment. Ifyou feel that you have been treated unfairly or unprofessionally, you may contactthe FAA by calling the FAA's Office ofRulemaking at (202)-267-3404 orby mailing your comments or complaints to the Federal Aviation Administration, Office ofRulemaking, 800 Independence Avenue, S.W., Room 808, Washington, D.C., 20591. You also have a right to contactthe Small Business Administration'sNational Ombudsman at 1- 888- REG-FAIR (1-888-734-3247), or www.sba.gov/ombudsman regarding the fairness ofthe compliance and enforcement activity ofthe FAA. The FAA strictly forbids retaliatory acts by its employees. As such, you should feel confidentthat you will notbe penalized for expressing your concerns aboutthe FAA's compliance and enforcement activities.



### 11. Remedial Sanction GuidancePolicy.

a. General.
(1) The FAA statute requires the Administratorto promote "safe flight ofcivil aircraft in air commerce

...." 49 U.S.C. 

### §44701(e). As one means ofachieving this goal, the statute specifically authorizes the Administrator to issue various certificates. These certificates include



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airman certificates, type certificates, production certificates, airworthiness certificates, air carrier operating certificates, airport operatingcertificates, air agency certificates, and air navigation facility certificates. 49 U.S.C. 

### § 44702(a). Formost ofthese certificates, the statute requires the Administratorto investigate and make appropriate findings regarding qualifications to hold the certificate applied for before the certificate is issued. For example, the Administrator is required to investigate and make findings that persons applying for airman certificates are 

### qualifiedto hold those certificates; that aircraft and aircraft engine parts are properly designed and manufactured, perform properly, and meettheregulations and minimum standards prescribed before issuing a type certificate, and so forth. 49 U.S.C. 

### §§ 44702-44706. Oncethe Administrator finds the applicant is qualified for the certificate applied for, the Administrator is required to issue the certificate in question.
(2) BecausetheAdministrator's responsibility to promote safety in aircommerce and air transportation is constant, the Administratormust also take appropriate action when the Administrator finds, orhas reason to believe, the certificate holder no longerpossesses the qualifications required to hold a certificate. Thus, the statuteprovides thattheAdministrator "may reinspect at any time a civil aircraft, aircraft engine, propeller, appliance, air navigation facility, or air agency orreexamine an airman holding a certificate issued under section 44703 of this title," and thatthe Administrator "may issue an order amending, modifying, suspending or revoking

... any part ofa certificate issued under [chapter447 ofthe statute] if.

.. the Administrator decides after conducting a reinspection, reexamination, orotherinvestigationthat safety in air commerce or airtransportation requires that action." 49 U.S.C. 

### §§ 44709(a) and (b) 

### (l)(A)

. (3) Revocation is the appropriate remedy for conductthat demonstratesthat a certificate holder lacks eitherthe technical proficiency orthe degree ofcare,judgment, and responsibility, required for the certificate and ratings held. The proper standard for revocation is notwhether specific violations demonstrate a failure to exercisethe necessary qualifications ofa certificate holder, butrather whetherthe violations demonstrate thatthe holderhas neverpossessed orno longer possesses such qualifications. Similarly, suspension until demonstration ofqualification is appropriate when the agency has reason to believe the certificate holder may lack the required competence to hold a certificateand generally when the certificate holder fails orrefuses to be reexamined. In either case, using the factors normally applied to select a sanction in punitive suspension cases is neither required nor appropriate.



### b. Misconduct Generally Warranting Revocation.
(1) The FAAhas concluded that by their nature, some acts ofmisconduct are so egregious as to demonstrate the certificate holder never possessed or no longerpossesses the qualifications required to hold any airman certificate and other certificates. Therefore, such acts ofmisconduct warrant revocation ofall airman certificates and other certificates held by the certificate holder. Such acts include: making a fraudulent or intentionally false statement; operating an aircraft while under the influence ofalcohol or drugs, orwith an alcohol concentration of.04 percentor above, orwithin 8 hours ofconsuming alcohol, in violation of 14 C.F.R. § 91.17(a); operating a civil aircraft within the United States with knowledge that narcotic drugs, marijuana, and depressant or stimulant drugs or substances as defined in federal



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### 10/01/07 2150.38

or state statutes are carried inthe aircraft, in violation of 14 C.P.R. § 91.19(a); refusing to submit to a drug or alcohol test; and conviction for the violation ofany federal or state statuterelating to the growing, processing, manufacture, sale, disposition, possession, transportation, or importation ofnarcotic drugs, marijuana; depressant or stimulant drugs or substances involving the use ofan aircraft, the exercise ofthe privileges ofthe alleged violator's airman**certific~te** to further the prohibited conduct, or more than one drug conviction ofany kind within the scope of 14 C.P.R.§§ 61.15(a), 63.12(a), or 65.12(a). 5
(2) Except for casesunder 49 U.S.C. §§ 44106, 44710, 44726, and 46111, there may be unique circumstances for which a sanction otherthan revocation is warranted. Because ofthe serious implications for aviation safety raised by these cases, however, FAA legal counsel coordinates·any decision to seek a sanction otherthan revocation with the Assistant Chief Counsel for Enforcement. In addition, legal counsel documents the basis for that decision in the
case file.



### c. IntentionallyFalse orFraudulent Statements.
(1) 1n general, the FAA considers the making ofintentionally false or fraudulent statements so serious an offensethat it results in revocation ofall certificates held bythe certificateholder. 

### See, for example, 

### Administratorv. Twomey, 5 NTSB 1258 (1986), 

### aff'd 821 F.2d 63 (1st Cir. 1987) (violation of 14 C.P.R.§ 67.20(a)). Falsification has a serious effect
on the integrity oftherecords on which the FAA's safety oversight depends. Ifthereliability of these records is undermined, the FAA's ability to promote aviation safety is compromised.

. (2) The FAA has handled differently one area ofintentional falsification

- omitting information relatedto alcohol- or drug-related convictions, and other similar convictions, from applications for airman medical certification. In FAA Order 2150.3A, Compliance and Enforcement (C & E) BulletinNo. 90-2, issued on February 6, 1990, the agency's policy called for the following sanctions: revoking the alleged violator's currentmedical certificate, ifany, and suspending any airman or ground instructor certificates for 60 days when the falsification involved omitting from the application for medical certification information on a single driving while intoxicated or driving under the influence (DUI) conviction; revoking any current medical certificate and suspending any airman or ground instructor certificates for 180 days when the · falsification involved omitting information on a single drug conviction for simple possession from the application for medical certification; and revoking any currentmedical 

### andany airman
orground instructor certificates when the falsification involved omitting information on more than one DUI conviction, or a conviction for more than simplepossession, ormore than two drug convictions ofany type. (3) The FAA has reevaluated the sanction guidance contained in C & E Bulletin

5 A drug conviction withinthe scope of 14 C.F.R. §§ 61.15(a), 63.12(a), or 65.12(a) that does not involve the use of
an aircraft orthe exercise ofthe privileges ofthe alleged violator's certificate also can warrant revocation in some circumstances. Revocationis appropriate where thetotality ofthe circumstances underlying the conviction indicates that the alleged violator lacks thejudgment, responsibility, and compliance attitude required ofan airman. This determination must be made on a case-by-case basis.

### 7-18 

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No. 90-2, and has concluded that the sanction guidance for fraudulent or intentional falsification should be the same regardless ofthe type ofcase involved. TheFAAhas determined that falsification in the cases described inC & E BulletinNo. 90-2 has the same potentially adverse consequences for aviation safety as does falsification ofany otherrecord. In essence, a person who fraudulently or intentionally falsifies these records demonstrates the same lack ofcare, judgment, and responsibility as a person who falsifies any other aviation safety-related records. To correct the anomaly created byC & E BulletinNo. 90-2, the FAArescinds the sanction guidance regarding intentionally false or fraudulent statements in that bulletin and withdraws the Notice ofEnforcementPolicy found at 54 Fed. Reg. 15144 (1989).



### 12. General Guidance for Usingthe Sanction GuidanceTable for Unruly Passenger ConductUnder49 U.S.C. 

### § 46318.

a. General Purpose and Policy.
(1) The table at Appendix B, part II, Figure B-3-p provides the suggested sanction ranges for a single act ofunruly conduct by a passenger subjectto the provisions of49 U.S.C. §46318. 

### See also Crew Interference (Unruly Passengers), chapter 4, paragraph 14. They provide general guidance only about how to apply the agency's civil penalty authority under49 U.S.C. 

### §46318. The sanction guidance tables do not supplantthe agency'sjudgmentorits prosecutorial discretion in evaluating a particularcase for enforcement action.
(2) Whether a particularpassenger's unruly act warrants a sanction within or outside the sanction range, or in the exercise ofprosecutorial discretion a decision notto proceed with enforcement action depends onthe totality ofthe circumstances in a particularcase. Where the mitigating and aggravating factors described in chapter 7, paragraph 4 are also presentin a 49 U.S.C. §46318 case, FAAenforcementpersonnel applying the sanction ranges at Appendix B, part II, Figure B-3-p considerthose factors in selecting an appropriate sanction within or outside the range. The variety ofconduct subjectto 49 U.S.C. §46318 and the varied facts and circumstances within which unruly conduct may occur, may also warrant consideration ofother mitigating and aggravating factors unique to unruly passenger conduct. Some ofthese additional factors are set forth in chapter 7, subparagraphs 12.b. and c.
b. Additional AggravatingFactors to Consider. In addition to the factors described in chapter 7, paragraph 4, FAA enforcementpersonnel consider otherpotentially aggravating factors in chapter 7, subparagraphs 12.b.(l)-(7) in the selection ofan appropriate sanction within
or outside the sanction range. (I) The severity ofthe unruly conduct. The severity ofthe conductmay be indicated by several factors, including:

• The physical characteristics ofthe individual committingthe unruly conduct contrasted with those ofthe victim.

• The nature ofthe conduct itself.

• The extent ofany injury inflicted

.



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### 10/01/07 2150.38

(2) Whether the unruly conduct occurred when the aircraft was in flight orwhile • passengers were boarding or deplaning. Certain unruly conduct that occurs during flight oron a crowdedboarded flight may be more aggravating than the same conduct that occurs while passengers are deplaning.
(3) Whether the unruly conduct was directed at a crewmember or a passenger. Because
a crewmemberhas safety duties to perform on a flight, unruly conduct against a crewmember may be more aggravating than the same unruly conduct directed at an individual who does not have any safety duties to perform on the flight.
(4) Whetherthe unruly passenger provoked the situation that resulted in the unruly conduct. For instance, apassenger who instigates a confrontation, or a passenger who mixes alcohol with prescribed or over-the-counter drugs thatthe passenger claims precipitatedthe unruly conduct.
(5) Whether the unruly conduct necessitated that the flight be diverted from its intended destination.
(6) Whetherthe unruly conduct necessitatedthatthe flight crew call ahead for law enforcement to meet the flight on arrival.
(7) Whether the unruly conduct was inflicted with malice or in anger.

c. AdditionalMitigatingFactors to Consider. The factors listed in chapter 7, subparagraphs 12.c.(l)-(3) mayj\Jstify a sanction below the sanction range, or in the agency's prosecutorial discretion, mayjustify a decision not to prosecute a passenger's unruly conduct.
(1) Whetherthe unruly passenger has already served a criminal sentence for the same conduct or has already made monetary restitution in the context ofa criminal prosecution for the
same conduct.
(2) Whetherthe passenger's unruly conduct was caused by a diagnosed medical or mental condition for which the passenger was receiving medical treatment. (3) Whethertheunruly conduct was areasonable response to a provocation by another. However, a passenger's use ofunreasonable force in response to a provocation by another individual on the aircraft would not constitute a mitigating factor.

d. When to Apply the Sanction Range for Acts Posing an "ImminentThreat" to Safety oftheAircraftor Others on BoardtheAircraft.
(1) The sanction range at Appendix B, part II, Figure B-3-p for an actthatposes an imminent threatto safety ofaircraft or other individuals on the aircraft applies when there is an 

### imminentthreatto the safety ofthe aircraft orto the 

### collective safety ofothers on board the aircraft. For example, a passenger attempting to open an emergency exit door would be an imminent threat to the safety ofthe aircraft. Ifthe imminent threat to safety is directed to

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specific individuals on the aircraft, then the sanction range for physical assault orthreatened physical at Appendix B, part II, Figure B-3-p applies.
(2) In selecting an appropriate sanction within or outside the sanction range for an act posing an imminent safety threat, FAA enforcementpersonnel consider whetherthe resultant imminent threat was the unintended consequence ofthe passenger's careless orreckless act or whetherthe passenger intended the consequences. The former wouldjustify a sanction toward the low end ofthe range, while the latter wouldjustify a sanction toward the maximum range.

e. Applicable Sanction Ranges for Security Officers or Others Assigned a Law EnforcementFunction on a Flight (for example, FederalAir**Ma~shals** Assigned to the Flight). FAA enforcementpersonnel apply the sanction range applicable to physical assaults or threatened physical assaults on crewmembers (Appendix B, part II, Figure B-3-p).

f. Applying Unruly Passenger Sanction Guidance Tables to MultipleActs. When applying the table to multiple acts by an unruly passenger, FAA enforcementpersonnel consider not only the individual unruly acts committed, but also the collective consequences of all the unruly behavior. FAA enforcement personnel do not approach the sanction determination for multiple acts as a mechanical exercise ofmultiplying the number ofseparate acts ofunruly behavior by a sanction amount in the range for a single act. Instead, they use the guidance in the table and exercise theirjudgment as to the seriousness ofthe conduct, given thetotality of circumstances, to determine an appropriate sanction amount that will deter future violations by the unruly passenger and others similarly situated

.



### 7-21

### 10/01/07

AppendixB

Table ofSanctions

All EnforcementPrograms Except Hazardous Materials

Part One- Abbreviations and Definitions 2150.38

1. Applicability. This table ofsanctions applies to violations that occurred on or after October 

### 1, 2007. 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 atthe time ofthe violation.

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

APISmeans approved production inspection system AIWmeans airworthiness 

### AWC means airworthiness certificate BTSmeans Under Secretary for Border and Transportation Security IA means inspection authorization LEmeans law enforcement ·pcmeans production certificate STCmeans supplemental type certificate TC means type certificate TFR means Temporary Flight Restriction TSA means Transportation Security Administration 3. Definitions:

a. A continuingviolation arises when a specific violation occurs over more than one day
or over more than one flight. Italso may involve a violation that is ongoing,Jor example, an ongoing refusal to providerequired records to the FAAfor 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 ormultiple 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 1 00---Century ofAviation Reauthorization Act (CARA) amended 49 U.S.C. § 46301 to change the civil penalty amounts the FAA may seek for violations that occur on or after December 12, 2003; the law sets different limits on the civil penalties the FAAmay seek for violations bysmall business concerns, as opposedto violations by other entities. Vision 100 CARA gives small business concernthe same meaning as in the Small Business Act (15 U.S.C. § 632). Section 632 defines small business concern as an enterprise "which is independently owned and operated and which is not dominant in its field ofoperation." The Small Business Administration regulations implement the Small Business Act and define business concern as



### 8-1 

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• 10/01/07 2150.38

"abusiness entity organized for profit, withaplace ofbusiness located in the U.S., and which operates primarily within the U.S. orwhich 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 smallbusiness concern in tables, describing each kind ofentity by its economic activity or industry, and listing the limit for smallby annual receipts or, more commonly, number ofemployees. (The size limits generally
are established under the North American Industry Classification System (NAICS).) Forthe complete list, see 13 C.P.R.§ 121.201 orthe SBA's website at www.sba.gov. Thus, ifa person meets the definition ofbusiness concern andhas annual receipts orthe number ofemployees within the applicable SBA limit, it is a smallbusiness 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- I,500 employees Aircraft engine and part- 

### I,OOO employees Other aircraft part and equipment- 1,000 employees

Airtransportation Scheduled passenger- I,500 employees Scheduled freight- 1,500 employees Nonscheduled passenger- I,500 employees Nonscheduled offshore marine passenger- $25.5 million annual receipts Nonscheduled freight- I,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 airtraffic 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 orregulatoryterm for purposes ofFAA enforcement. It includes each business concern that exceeds the maximum limit for SP1all business concern,·as well as any other entitythat does not meetthe definition of"small business concern."

c. Civil PenaltyRanges. Forthe purpose ofthis table, when civil penalty action is recommended and described asMinimum, Moderate, orMaximum, the penalty ranges are defined in subparagraphs (1) through (9) ofthis paragraph. Note thatthe middle ofeach recommended sanction range would be for a single violation without aggravating or mitigating factors

.



### 8-2

### 10/01/07 2150.38

(1) VIOLATION COMMITTED BYU.S. AIR CARRIERS ORU.S. COMMERCIAL OPERATOR.

CLASSIFICATION OF AIRCARRIERAND 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 "AirlineFinancial 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 operatorhas 50 or more pilots and 25 or more aircraft on its operations specifications. Operating revenue is determined byreference to DOT's "Air CarrierIndustry 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 withno more than 5 pilots and no more than 5 aircraft.

GROUP I

- 

### large ,business concern
Maximum Moderate Minimum $18,750-$25,000 $10,000-$18,749 $2,000-$9,999

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

### §46301(a)(5)(A)):

Maximum Moderate Minimum $8,250-$11,000 $4,400-$8,249 $1'100-$4,399

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

### §46301(a)(1)(A)

or (B) butnot under 49 U.S.C. 

### §46301(a)(5)(A)):**~** Maximum Moderate Minimum $850-$1,100 $650-$849 $500$649

GROUP II 

### -largebusiness concern:



### B-3 

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• 10/01/07 2150.38

Maximum $16,250-$25,000 Moderate $8,750-$16,249 Minimum $1,850-$8,749

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

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

GROUP II- small business concern (for violations covered under 49 U.S.C. §46301(a)(l)(A)
or (B) but not under 49 U.S.C. § 46301(a)(5)(A)):

Maximum $750-$1,100 Moderate $450-$ 749 Minimum $250 $ 449

GROUP III -for violations covered under 49 U.S.C. 

### §46301(a)(5)(A):

Maximum $7,150-$11,000 Moderate $3,300-$7,149 Minimum $825-$3,299

GROUP III- for violations covered under 49 U.S.C. § 46301(a)(1)(A) or (B) but not under 49 U.S.C. §46301(a)(5)(A):

Maximum $650-$1,100 Moderate $400-$ 649 Minimum $150-$ 399

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

Maximum $4,400-$11,000 Moderate $2,200-$4,399 Minimum $550-$2,199

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

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



### B-4

### 10/01/07 2150.38

Minimum $100-$299

(2) VIOLATION COMMITTED BY PART 129 OPERATOR

Maximum $18,750-$25,000 Moderate $10,000-$18,749 Minimum $2,000-$9,999

(3) VIOLATION COMMITTED BYPART 125 OPERATOR.
Large Business Concern:

Maximum $16,250-$25,000 Moderate $8,750-$16,249 Minimum $1,850-$8,749

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

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

Small Business Concern (for violations coveredunder 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

(4) VIOLATION COMMITTED BY AIRAGENCY (INCLUDING REPAIR STATION).
Large Business Concern:

Maximum $16,250-$25,000 Moderate $8,750-$16,249 Minimum $1,850-$8,749

Small Business Concern (for violations coveredunder 49 U.S.C. 

### §46301(a)(5)(A)):

Maximum $7,150-$11,000 Moderate $3,850-$7,149 Minimum $935-$3,849

8-5 

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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 $750-$I,I00 Moderate $450-$749 Minimum $250 $449

(5) VIOLATION COMMITTED BYAIRPORT OPERATOR.
Large Business Concern:

Maximum $I8,750-$25,000 Moderate $10,000-$I8,749 Minimum $2,000-$9,999

Small Business Concern (for violations covered under 49 U.S.C. §4630I(a)(5)(A)):

Maximum $8,250-$II,OOO Moderate $4,400-$8,249 Minimum $I,I00-$4,399

• Small Business Concern (for violations covered under 49 U.S.C. 

### §4630I(a)(1)(A) or (B) but not under 49 U.S.C. § 46301(a)(5)(A)):

Maximum $850-$1,100 Moderate $650-$849 Minimum $500 $649

(6) LARGE BUSINESS CONCERN-- DOES NOTHOLD CERTIFICATE

Maximum $I8,750-$25,000 Moderate $10,000-$18,749 Minimum $2,000-$9,999

(7) SMALL BUSINESS CONCERN- DOES NOTHOLD CERTIFICATE

Forviolations covered under 49 U.S.C. 

### §4630I(a)(5)(A):

Maximum $4,400-$11,000 Moderate $2,200-$4,399 

# • Minimum $550-$2,199

B-610/01/07 2150.38



### Forviolations covered under 49 U.S.C. 

### § 46301(a)(1)(A) or (B) but not under 49 U.S.C. § 46301(a)(5)(A):

Maximum $500-$1,100 Moderate $300-$499 Minimum $100-$299

(8) VIOLATION RELATING TO THETRANSPORTATION OF A HAZARDOUS MATERIAL (14 CFR), THE REGISTRATION ORRECORDATION OF AN AIRCRAFTNOTUSED TO PROVIDEAIRTRANSPORTATION, THE LIMITATION ONTHE CONSTRUCTION ORESTABLISHMENT OF A LANDFILL, ORTHE SAFE DISPOSAL OF A LIFE-LIMITED AIRCRAFTPART.
Large Business Concern (ifentity is not within a more specific category, for example, Group I Air Carrier or Operator):

Maximum $16,250-$25,000 Moderate $8,750-$16,249 Minimum $1,850-$8,749

Small Business Concern (ifnotwithin a more specific category for example, Group II Air Carrier or Operator) or Individual:

For violations covered under49 U.S.C. 

### §46301(a)(5)(A):

Maximum $4,400-$11,000 Moderate $2,200-$4,399 Minimum $550-$2,199

For violations covered under 49 U.S.C. § 46301(a)(l)(A) or (B) butnot under 49 U.S.C. 

### §46301(a)(5)(A):

-
Maximum $500-$1,100 Moderate $300-$499 Minimum $100-$299

(9) OTHERVIOLATIONCOMMITTED BY AN INDIVIDUAL.

AIRMAN SERVING AS AN AIRMAN- INDIVIDUAL SERVING IN CAPACITY OF AN AIRMAN. ALL VIOLATIONS EXCEPTTHOSE LISTED IN (8).

Maximum $850-$1,100



### B-7 

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• 10/01/07

Moderate Minimum $650-$849 $500-$649

OTHERINDIVIDUAL- NOT SERVING IN CAPACITY OF AIRMAN.

Forviolations covered under49 U.S.C. §46301(a)(5)(A):
Maximum Moderate Minimum $4,400-$11,000 $2,200-$4,399 $550-$2,199 2150.38

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

.U.S.C. §46301(a)(5)(A):

Maximum $500-$1, 100 Moderate $300-$499 Minimum $100-$299

(1

### 0) ENGINEERINGAND MANUFACTURING VIOLATIONS. Large Business Concern:

Maximum Moderate Minimum $18,750-$25,000 $10,000-$18,749 $2,000-$9,999

Small Business Concern or Individual (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

Small Business Concern or Individual (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



### 8-8

### 10/01/07 2150.38

d. Pending compliance or corrective action; injunctive relief. For many kinds ofviolations, there may be circumstances where the FAA should not allow the offending entity to continue to operate or to continue in business. Examples include a certificate holder that does not allow an FAA inspectorto inspectthe holder's operation or facilities, or an unapproved manufacturer that produces aircraft parts in violation of 14 C.P.R. 

### § 21.303

. .In that circumstance, suspension ofan entity's certificate or other approval, pending compliance or corrective action, or injunctive reliefagainst an entity that does not hold an FAAapproval, would be appropriate. In egregious circumstances revocation ofthe entity's certificate or other approval may be warranted. Such action orreliefmay be considered in addition to the assessment ofa civil penalty as recommended in the following tables.
Furthermore, amendment ormodification ofa certificate or approval may be appropriate in the circumstance where a definitive part ofthe offending entity's operation can be safely excluded from the operational approval. An example is an approved aircraft parts manufacturer that makes multiple kinds ofparts, but has quality control problems for only one kind ofpart. Such action may be considered in addition to the assessment ofa civil penalty as recommended in the following tables.



### PartTwo- Sanction Guidance Tables

1. 

### U.S. Air Carriers,U.S. Commercial Operators, Part 125 Operators, and Part 129 Operators.
Fig. B-1-a. Maintenance Manual Fig. B-1-b. A/WDirective Fig. B-1-c. Operations Specifications Fig. B-1-d. Facilities and Equipment Fig. B-1-e. Maintenance and Inspection Organization Fig. B-1-f. Training Program Fig. B-1-g. Maintenance or Aircraft Paperwork Fig. B-1-h. Performance ofMaintenance Fig. B-1-i. SPAR 36 Fig. B-1-j. Records and Reports Fig. B-1:..k. Dispatch andFlightRelease Rules Fig. B-1-1. Operation ofunairworthy aircraft Fig. B-1-m. Provisions specific to passenger-carrying**~** Fig. B-1-n. Provisions specific to flight deck crew Fig. B-1-o. Otherprovisions Fig. B-1-p. Operations at airports requiring slots


### 2. Personnel ofAir Carriers, Commercial Operators, and Part 125 Operators. Fig. B-2-a. Maintenance, including inspection Fig. B-2-b. Inspection



### 8-9 

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### Fig. B-2-c. Records and Reports Fig. B-2-d. Flight operations Fig. B-2-e. Otherprovisions applicable to individual certificate holders Fig. B-2-f. OtherAir CarrierPersonnel 2150.38



### 3. Individuals and General Aviation- Owners, Pilots, Repair Stations, Pilot Schools, Maintenance Personnel.
Fig. B-3-a. Owners and Operators Other Than Required Crewmembers Fig. B-3-b. Repair Stations Fig. B-3-c. ID Plate Violations Fig. B-3-d. Part 141 Pilot Schools Fig. B-3-e. General Aviation Maintenance Personnel Fig. B-3-f. Student Operations Fig. B-3-g. FlightInstructors Fig. B-3-h. OtherViolations Fig. B-3-i. Weather Operations Fig. B-3-j. 14 C.P.R. 91.13(a), Careless or reckless operation so as to endanger (independent violation) Fig. B-3-k. Passenger operations Fig. B-3-1. Acting or attempting to act as a crewmember under the influence ofdrugs or alcohol; consumption ofalcohol before operating an aircraft Fig. B-3-m. Crime; security risk; falsification Fig. B-3-n. Miscellaneous Fig. B-3-o. Operations at Airports Requiring Slots Fig. B-3-p. Unruly passengers Fig. B-3-q. OtherViolations by Passengers

4. DUIIDWI Program, Falsification ofDrug Convictions and Airman Medical Certificate Violations.
Fig. B-4-a. Sanctions related to DUI/DWI Program Fig. B-4-b. Airman Medical Certificate Violations Fig. B-4-c. Drug convictions

- no falsification involved

5. Drug and Alcohol Testing Violations. Fig. B-5-a. Drug and alcohol testing violations Fig. B-5-b. Coverage Fig. B-5-c. Pre-employment drug testing Fig. B-5-d. Random drug and alcohol testing Fig. B-5-e. Post-accident drug and alcohol testing Fig. B-5-f. Reasonable cause drug and reasonable suspicion alcohol testing Fig. B-5-g. Return to duty drug and alcohol testing

B-10

### 10/01/07



### Fig. B-5-h. Follow-up drug and alcohol testing Fig. B-5-i. Retesting covered employees Fig. B-5-j. Inappropriate testing Fig. B-5-k. Administrative and other matters Fig. B-5-1. Medical Review Officer (MRO) Fig. B-5-m. Substance Abuse Professional (SAP) referral and evaluation Fig. B-5-n. Employee Assistance Program Fig. B-5-o. Alcohol misuse information, training, and referral Fig. B-5-p. Violations ofthe drug and alcohol prohibitions Fig. B-5-q. Employees located outside the Territory ofthe U.S. Fig. B-5-r. Specimen collection Fig. B-5-s. Laboratory issues Fig. B-5-t. Alcohol testing Fig. B-5-u. Consequences to the uncertificated individual ·Fig. B-5-v. Consequencesto the certificated individual



### 6. Airport Operators. Fig. B-6-a. Certification Fig. B-6-b. CertificationManual Fig. B-6-c. Operations



### 7. Violations ofNoise Provisions. Fig. B-7-a. AircraftNoise (14 C.P.R. part 91, subpart I)


### 8. Violations ofPilot Records Improvement Act (PRIA).
Fig. B-8-a. PRIA


### 9. Engineering and Manufacturing Violations. Fig. B-9-a. APIS Holders, including production undertype certificate Fig. B-9-b. Production Certificate Holders 2150.38



### Fig. B-9-c. Designees Fig. B-9-d. Technical Standard Order Authorization (TSOA), Letter ofDesign Approval, and Letter ofAcceptance Manufacturers Fig. B-9-e. Replacement or Modification Parts Manufacturers Fig; B-9-f. All Production-Approval Holders Fig. B-9-g. TC or STC Holder; Manufacturers and Alteration Entities Fig. B-9-h. All persons, including designees


### 10. Aircraft Owner/Operator Registration Violations.
Fig. B-10. Registration



### B-11 

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### 11. All individuals and entities: Failure to SurrenderCertificate,Authorization, orOther Approval.
Fig. B-11.

1. U.S. AIR CARRIERS, U.S. COMMERCIAL OPERATORS, PART 125 OPERATORS, AND PART 129 OPERATORS.
Fig. B-1-a. Maintenance Manual Civil Penalty Certificate Action (I) Failure to maintain currentmanual Minimum Up to 7-day suspension (2) Failure to provide adequate Moderate to Maximum instructions and procedures in manual _(3_)_ Failure to distribute manual to appropriate personnel Minimum to Moderate ( 4) Release ofaircraft without required equipment Moderate to Maximum Up to 7-day suspension
Fig. B-1-b. AIWDirective Civil Penalty Certificate Action _(ll Failure to comply Moderate to Maximum
Fig. B-1-c. Operations Specifications Civil Penalty Certificate Action (I) Exceed inspection or overhaul time limitation Moderate Up to 7-day suspension (2) Operation contrary to ops specs- technical Minimum noncompliance (3) Operation contrary to ops specs -likely potential or actual Moderate to Maximum adverse effect on safe operation

Fig. B-1-d. Facilities and Equipment Civil Penalty Certificate Action (I) Failure to provide adequately for proper servicing, Maximum Indefinite maintenance, repair, or inspection offacilities and equipment Suspension until proper**~** servicing, maintenance, repair and inspection of facilities and equipment is provided to Revocation



### B-1210/01/07 2150.38

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

# •

Action (1) Failure to provide ormaintain a maintenance and Maximum Indefinite inspection organization Suspension until an appropriate maintenance and inspection organization is providedto Revocation
Fig. B-1-f. Training Program Civil Penalty Certificate Action (1) Failure to have training program Maximum Indefinite Suspension until compliance to Revocation (2) Failure to maintain training program Moderate to Maximum (3) Failureto train persomtel adequately Moderate to Maximum
Fig. B-1-g. Maintenance orAircraft Paperwork Civil Penalty Certificate Action 

# •
(1) Incomplete or unsignedrelease Minimumto Maximum (2) Failureto revise ale dataafterrepair Moderateto Maximum
Fig. B-1-h. Performance ofMaintenance Civil Penalty Certificate Action _(11 By_unauthorizedperson Maximum (2) Failure toperform or impropermaintenance Moderate to Maximum
Fig. B-1-i. SFAR36 Civil Penalty Certificate Action (1) Failure to comply- second offense Maximum Fig. B-1-j. Records and Reports Civil Penalty Certificate



# . Action (1) Deliberate violation (a) Intentionally false or fraudulent entry, Revocation reproduction, or alteration in record or report (b) Other 180-day Suspension to Revocation 

# •
B-13

### 10/01/07 2150.38 

# •
Fig. B-1-j. Records & Reports cont. Civil Penalty Certificate Action (2) Failure to make accurate mechanical interruption summary Moderate toMaximum rej)ort (3) Failureto make available report ofmajor alteration or Moderate to Maximum I,ndefinite repair Suspension to Revocation (4) Failure to make accurate mechanical reliability report Moderate to Maximum (5) Failure to make required entry in aircraft log Minimum to Maximum
(6) Failure to make available pilotrecord Moderateto Maximum Indefinite Suspension to Revocation (7) Failureto make available load manifest Moderateto Maximum Indefinite Suspension to Revocation _(8} Failure to monitor and record enroute radio communication Moderate to Maximum
Fig. B-1-k. Dispatch and Flight Release Rules Civil Penalty Certificate Action 

# • (I) Any violation ofsubpart U of 14 CFRpart 121 Moderateto Maximum
Fig. B-1-1. Operation ofunairworthy aircraft Civil Penalty Certificate Action (I) Technical non-conformity to TC; no likely effect on safe Minimum operation (2) Non-conformity to TC that may have, orhas, adverse Moderate to Maximum effect on safe operation (3) Release ofaircraft without required equipment Moderate to Maximum Upto 7-day suspension
Fig. B-1-m. Provisions specific to passenger-carrying Civil Penalty Certificate Action (1) Boarding, or serving alcoholic beverage to, a person who Maximum appears to be intoxicated _{2} Failure to briefpassengers**~** Moderate to Maximum (3) Failure to ensure seat and belt for each passenger Maximum (4) Operation w/o operable public address system Maximum (5) Failure to store baggage properly

.Moderate Fig. B-1-n. Provisions specific to flight deck crew Civil Penalty Certificate Action (1) Use ofcrewmemberwith expired medical certificate Minimum to Moderate (2) Failure to make flight deck seat available to authorized Maximum enroute ins2_ector 

# •

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### 10/01/07 2150.38

Fig. B-1-n. Provisions specific to flight deck crew cont. Civil Penalty Certificate Action (3) Use ofunqualified crewmember Maximum (4) Flight and Duty Time violation Moderate Fig. B-1-o. Other provisions Civil Penalty Certificate Action (1) Improperly Returning Aircraftto service Maximum (2) Illegal carriage ofcontrolled substance with knowledge of Revocation carrier, thatis, knowledge of, or involvementin, conductby top management personnel (3) Use ofunqualified personnel other than flight deck Maximum crewmember
Fig. B-1-p. Operations at airports requiring slots CivilPenalty Certificate Action (1) Operation without a reservation from ATC Moderate (2) Operation with areservation, but at the wrong time Moderate (3) Use ofinternational slot for domestic flight Moderate (4) Use ofaircraft not meeting criteria in Moderate 14 C.P.R.§ 93.123(c)(2) in commuter slot

2. PERSONNEL OF AIRCARRIERS,COMMERCIALOPERATORS, AND PART 125 OPERATORS.

Fig. B-2-a. Maintenance, including inspection CivilPenalty Certificate Action (1) Performing maintenance without certificate, rating, or Maximum authorization (2) Performing maintenancethat exceeds limitations 30- to 45-day Suspension (3) Failure to perform maintenance properly 30-to 120- day Susgension Fig. B-2-b. Inspection

. Civil Penalty Certificate Action (1) Failure to make required inspection 30- to 60-day Suspension (2) Making improperinspection**~** 30-to 120- day Suspension (3) Improper release ofaircraftto service 30 to 60-day Suspension ( 4) Releasing aircraft for service without required equipment 30 to 60-day Suspension



### 8-15 

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# •
Fig. B-2-c. Records and Reports Civil Penalty Certificate Action (1) Failure to make entry in aircraft log 15- to 60-day Suspension (2) Failure to make entry in worksheet 15- to 30-day Suspension (3) Failure to make entry in other maintenance record 15- to 30-day Suspension (4) Failure to sign-offwork orinspection performed 15- to 30-day Suspension (5) Failure to complete and sign maintenance release 15- to 30-day Suspension (6) Intentionally false or fraudulent entry, reproduction, or Revocation alteration
Fig. B-2-d. Flight operations Civil Penalty Certificate Action (1) Preflight (a) Failure to use, or improper use of, checklist 30- to 60-day Suspension (b) Failure to check aircraft log, flight manifest, 30-to 90-day weather, etc. Suspension 

# • (c) Failure to make required inspection 30- to 60-day Suspension (d) Failure to inspect, or improper inspection of, 15- to 30-day aircraft Suspension (e) Failure to ensure seat and belt available for each 30- to 60-day passenger Suspension (2) Taxiing (a) Failureto adhere to clearance to instruction 30- to 60-day Suspension (b) Collision 30- to 180- day Suspension (c) Jet blast 30-to 120- day Suspension (d) Taxiing with standing passenger 30- to 60-day



# - Suspension (e) Taxiing offrunway, taxiway or ramp 30- to 90-day Suspension (3) Takeoff (a) Contrary to, or without, clearance 60- to 120- day Suspension (b) Below weather minimums 60- to 120- day 

# • Suspension

B-1610/01/07 2150.38

Fig. B-2-d. Flight operations cont. Civil Penalty Certificate Action (c) In excess ofmaximum gross weight 60- to 120- day Suspension (4) Enroute (a) Deviating from clearance orinstruction 30- to 90-day Suspension (b) Operating·VFR in clouds 90-day Suspension to Revocation (c) Operating unairworthy aircraft 30- to 180- day suspension (d) Unauthorized departure from flight deck 15- to 30-day Suspension (e) Operating within restricted or prohibited area 30- to 90-day (including a TFR) or Class A airspace Suspension (f) Operating contrary to a NOT AM 30- to 90-day suspension (g) Operating withoutrequired equipment 15- to 120- day Suspension (h) Fuel mismanagement or exhaustion 30- to 150- day 

# •
Suspension (i) Unauthorized manipulation ofcontrols 30- to 90-day Suspension _(5) Ap_proach to landing (a) Deviating from clearance orinstruction 30- to 90-day Suspension
(b) Approach belowweather minimums 60-to 120- day Suspension (c) Exceeding speed limit in Class D airspace 30- to 60-day Suspension (6) Landing (a) At or approaching wrong airport 

# - 90- to 180- day Suspension (b) Deviating from instrument approach procedure 30- to 90-day Suspension (c) Overweight aircraft 30- to 90-day Suspension (d) Hard 15- to 60-day Suspension 

# •

B-17

### 10/01/07 

# • Fig. B-2-d. Flight operations cont.
(e) Short or long

(f) Wheels-up
(g) Failure to comply with preferential runway system (h) Deviating from clearance or instruction

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

### lil Crime; security risk; falsification (a) Controlled substance violation under 49

## u.s.c.§ 44710(b) (b) Counterfeitparts violation under 49

## u.s.c. §44726(b) (c) Security risk under 49 U.S.C. §46111(a) 

# •
(d) Intentionally false or fraudulent entry, reproduction, or alteration on an application or a certificate orrating

(e) Making and incorrect statement on an application for a medical certificate**~**

(f) Carriage ofillegal drugs (controlled substances) on aircraft 

# •

B-18 Civil Penalty

CivilPenalty 

### 2150.38

Certificate Action 30- to 180- day Sus ension 15- to 90-day Suspension 15-day Suspension 30- to 90-day Suspension

Certificate Action
Mandatory Revocation Mandatory Revocation Mandatory Suspension
or Revocation,
as requested byBTS Revocation ofcertificates authorized under applicable part of 14 CPR Indefinite Suspension (pending correction of application and determination of qualification)
or Revocation ofmedical certificate Revocation

### 10/01/07 2150.38

Fig. B-2-e. Other provisions applicable to individual CivilPenalty Certificate certificate holders cont. Action 

# •

(2) Violation ofnoise or sonic boom standard orregulation Suspension under 49 U.S.C. §44709(b)(1)(B) to Revocation (3) Violation ofSection 13(a) ofFish & Wildlife Act of 1956 Suspension under 49 U.S.C. §44709(b)(2) to Revocation ( 4) Flight deck crew operations (a) Allowing unauthorized manipulation ofcontrols Revocation by uncertificated individual attempting to setrecord under 49 U.S.C. §44724(a) (b) Acting or attempting to act as a crewmember underthe influence ofdrugs or alcohol; consum_ption ofalcohol before <>Qerating an aircraft (i) Consuming alcohol within 8 hours before Revocation operating aircraft (ii) Underthe influence ofalcohol Revocation (iii) While using any drug that affects the Revocation crewmembers faculties in any way contrary to safety (iv) Alcohol concentration .04 percentor above Revocation (v) Refusal ofproperrequest from LE official to Revocation submitto alcohol test (c) Violation ofsterile cockpitrule 30- to 90-day Suspension (d) Unauthorized admission to flight deck 30- to 90-day 

# •

Suspension (e) Failure to close and lock flight deck door 30-day SusQ_ension (t) Failureto make flight deck seat available to 30- to 60-day authorized enroute inspector Suspension (g) Failure to keep manual current 15-day Suspension (5) Flight and Duty Time violation 15- to 90-day Suspension (6) Aircraft certification (a) Operation withoutvalid airworthiness certificate 15- to 30-day in aircraft Suspension (b) Operation when no airworthiness certificate**~** 30- to 90-day issued for aircraft Suspension (7) Crew certification andqualification 30- to 90-day Suspension (a) Operating when a valid medical certificatehad 30- to 90-day notbeen issued Suspension 

# •
B-19

# •

•

• 10/01/07 2150.38

Fig. B-2-e. Other provisions applicable to individual CivilPenalty Certificate certificate holders cont. Action (b) Lack oftyperating 180-day Suspension to Revocation (c) Missed proficiency check or line check 30- to 90-day Suspension (d) Lack ofcurrent experience 30- to 90-day Suspension (e) Failure to have current airman ormedical Minimum to Moderate certificate in possession (f) Lack ofinitial or recurrenttraining 30- to 90-day Suspension (g) Operation with known disqualifying disability Revocation (i) Operating without valid medical certificate when not Revocation medically qualified or application for medical certificate deferred

Fig. B-2-f. Other Air Carrier Personnel CivilPenalty Certificate Action (I) Failure to keep manual current Minimum 30- to 90-day Suspension

3. INDIVIDUALS AND GENERALAVIATION- OWNERS, PILOTS, REPAIR STATIONS, PILOT SCHOOLS, MAINTENANCEPERSONNEL. Fig. B-3-a. Owners and Operators Other Than Required Civil Penalty Certificate Crewmembers Action (I) Failure to comply with airworthiness directive Moderate to Maximum (2) Failure to perform or improperperformance of Moderate to Maximum maintenance, including required maintenance (3) Failure to make proper entry in aircraft log Minimum to Moderate (4) Operation ofaircraft beyond annual, 100-hour, or Minimumto Moderate progressive inspection (5) Operation ofunairworthy aircraft Moderate to Maximum (6) Intentionally false or fraudulent entry, reproduction, or Maximum Revocation alteration in any record orreport Fig. B-3-b. Repair Stations Civil Penalty Certificate Action (I) Failure to provide required facilities for proper servicing, Moderate to Maximum Indefinite maintenance, repair, or inspection Suspension until compliance to Revocation



### 8-2010/01/07 2150.38

Fig. B-3-b. Repair Stations cont. Civil Penalty Certificate Action (2) Failureto provide qualified personnel who canperform, Maximum Indefinite supervise, and inspect work for whichthe station is rated Suspension until compliance to Revocation (3) Failure to maintain record ofsupervisory or inspection Moderate to Maximum personnel (4) Failureto maintain record Moderate to Maximum (5) Failureto ensurethat correct calibration ofall inspection Minimumto Maximum and test equipment is accomplished atprescribed intervals (6) Failure to adequately describe work performed Minimum to Moderate (7) Failure ofmechanic to make log entry, record, or report Moderate to Maximum (8) Failureto sign or complete maintenance release Minimum to Moderate (9) Inspection ofwork performed, or approval for return to Maximum Up to 30-day service, by otherthan a qualified inspector Suspension (10) Failureto have anadequate inspection system that Moderate to Maximum Up to 30-day produces satisfactory qualitycontrol Suspension (11) Maintaining or altering an article for which it is rated, Maximum Up to 30-day without using required technical data, equipment or facilities Suspension (12) Failureto perform orproperly perform maintenance, Moderate to Maximum Up to 30-day repair, alteration, or required inspection for an air carrier or Suspension commercial operator (13) Maintaining or altering an airframe, powerplant, Maximum Suspension propeller, instrument, radio, or accessory for which the repair or 

# •

station is not rated Revocation (14) Failureto report defect or unairworthy conditionto Moderate to Maximum FAA in a timely manner (15) Failureto satisfy housing_and facility requirement Moderate (16) Change oflocation, housing or facilities without written Moderate ap_pJoval (17) Operating as a certificated repair station without a repair Maximum station certificate (18) Failureto permitFAA to inspect Maximum Indefinite Suspension until Compliance (19) Failure to perform inspectionproperly on part 125**~** Moderate aircraft (20) Failure to comply with SFAR 36

- Second offense Maximum (21) Failureto maintain and carry out BTS-required security Mandatory
measures under 49 

### u.s.c. §44924(c)(l) Suspension pending BTS finding of compliance 

# •
B-21

# •

•

• 10/01/07

Fig. B-3-b. Repair Stations cont.
(22) Posing an immediate security risk as determined by BTS under49 U.S.C. § 44924(c)(2}
Fig. B-3-c. ID Plate Violations
(1) 14 C.F.R. 45.13(b), Improperremoval, changing, or

lacin ofidentification information on a roduct

Fig. B-3-d. Part 141 Pilot Schools
(1) Knowingly permitting school aircraft to be used for unlawful carriage ofcontrolled substances (2) Refusal to permit inspection offacilities, equipment, personnel, records, or certificate

(3) False advertising (4) Failure to carry checklist or operator's handbook (5) Improper crediting to, orgraduation of, student (a) Inadvertent (b) Intentional (6) Refusal to permit FAA test, check, or examination of student

(7) Unqualified or unauthorized instruction (8) Failure to establish ormaintain training record Fig. B-3-e. General Aviation Maintenance Personnel
(1) Failure to revise aircraft**dat~** after majorrepair or alteration (2) Failure to perform or improper performance of maintenance



### 8-22 2150.38

Civil Penalty Certificate Action Mandatory Revocation

Civil Penalty Certificate Action

Minimum Maximum Revocation

Minimum Maximum Revocation

Civil Penalty Certificate Action Revocation

Maximum Indefinite Suspension until Compliance to Revocation Maximum Minimum

Moderate to Maximum Revocation Maximum Indefinite Suspension until Compliance to Revocation Moderate to Maximum Moderate to Maximum

Civil Penalty Certificate Action 30- to 60-day Suspension 30- to 120- day Suspension

### 10/01/07 2150.38

Fig. B-3-e. General Aviation Maintenance Personnel Civil Penalty Certificate cont. Action 

# •

(3) Failure ofmechanic to accomplish inspectionproperly 30- to 60-day Suspension (4) Failure ofmechanic to record inspection 15- to 30-day Suspension (5) Failure ofiAholderto accomplish inspection properly 60-day Suspension to Revocation ofiA (6) Failure ofiAholderto record inspection 15- to 30-day Suspension ofiA (7) Maintenance performed by person without a certificate Moderate to Maximum
(8) Maintenance performed by person who exceeded 15- to 60-day certificate limitations Suspension (9) Improper approval for returnto service 30- to 120- day Suspension (10) Failureto make maintenance record entry 30- to 60-day Suspension
(11) Failureto set forth adequate description ofwork 15- to 30-day performed Suspension (12) Intentionally false orfraudulent entry, reproduction, or Revocation 

# •

alteration in maintenance record

Fig. B-3-f. Student Operations Civil Penalty Certificate ·Action (1) Carrying passenger Revocation (2) Solo flight withoutrequired endorsement 45- to 90-day Suspension (3) Operation on international flight 60- to 90-day Suspension (4) Use ofaircraft in business 30- to 120- day Suspension (5) Operationfor com_Qensation or hire**~** Revocation Fig. B-3-g. Flight Instructors Civil Penalty Certificate Action (I) False endorsement ofany studentpilotrecord Revocation (2) Exceeding flight time limitation 30- to 90-day Suspension (3) Instruction in aircraft for which he/she is not rated 60- to 180- day Suspension 

# •

8-2310/01/07 2150.38 

# •
Fig. B-3-h. Other Flight Violations CivilPenalty Certificate Action (I) Certification and qualification (a) Operation when a validpilot certificate had not Maximum been issued (b) Operation while pilot certificate is suspended Revocation (c) Operation without pilot or medical certificate in Minimum personal possession (certificates valid) (d) Operation without a current medical certificate 30-I80 day

when medically qualified suspension (e) Operation without a valid medical certificate Revocation when not medically qualifiedorwhen application for medical certificate deferred (f) Operation with known medical deficiency 90-day Suspension to Revocation (g)**Operati~n** for compensation or hire when a valid 90-day commercial pilot certificate had not been issued Suspension to Revocation (h) Operation without type or class rating 60- to I20- day 

# • Suspension (2) Operation when a valid airworthiness certificate had not 30- to 90-day been issued Suspension (3) Failure to close flight plan or file arrival notice Minimum (4) Failure to obtain pre-flight information 30- to 90-day Suspension (5) Deviation from ATC instruction or clearance 30- to 90-day Suspension (6) Taxiing, takeoff, or landing without a clearance, where 30- to 90-day ATC tower is in operation Suspension (7) Failureto maintain radio communications in Class D 30- to 60-day airspace Suspension (8) Failure to comply with airport traffic pattern 30- to 60-day Suspension (9) Operation in Class B airspace without or contrary to a 30- to 60-day clearance**~** Suspension (I0) Operation in Class C airspace without maintaining 30- to 60-day contact with ATC Suspension (II) Operation contrary to a NOTAM 30- to 90-day suspension (I2) Failure to maintain altitude 30- to 60-day Suspension (I3) Exceeding speed limitation 30- to 60-day Suspension 

# •

B-2410/01/07 2150.38

Fig. B-3-h. Other Flight Violations cont. Civil Penalty Certificate Action (15) Failure to comply with Airworthiness Directive 30M to 180- day Suspension (16) Operation without required instrument and/or equipment 30- to 90-day Suspension (17) Failure to comply with operating limitation 30- to 90-day Suspension (18) Unauthorized operation within Class A airspace ' 30- to 90-day Suspension (19) Failure to adhere to right ofway rule 15- to 90-day Suspension (20) Failure to comply with VFR cruising altitude 30- to 90-day Suspension (21) Failure to maintain required minimum altitude over 60- to 180- structure, person, orvehicle -congested area day Suspension (22) Failure to maintain required minimum altitudes over 30- to 120- structure, person, orvehicle

- sparsely populated area day Suspension (23) Failure to maintain radio watch while under IFR 30- to 60-day Suspension (24) Failureto report compulsory reporting pointunder IFR 30- to 60-day Suspension (25) Failure to display position light 30- to 60-day Suspension 

# •

(26) Failure to maintain proper altimeter setting 30- to**60~day** Suspension (27) Operating within restricted orprohibited area (including 30- to 90-day
a TFR}or Class A airspace Suspension (28) Unauthorized dropping ofobject from aircraft 30- to 60-day Suspension (29) Unauthorized towing 30- to 60-day Suspension (30) Acrobatic flight on airway, over congested area, below 90- to 180- minimum altitude, etc. day Suspension (31) Taking offwithinsufficient fuel 30- to 150- day**~** Susp_ension (32) Fuel mismanagement or exhaustion 30- to 150- day Suspension (33) Operating so as to cause a collisionhazard 60- to 180- day Suspension 

# •
B-25

### 10/01/07 2150.38 

# • Fig. B-3-i. Weather Operations Civil Penalty Certificate Action (1) Failure to comply with visibility minimum in controlled 60- to 180- airspace day Suspension (2) Failure to comply with visibility minimum outside 30- to 120- controlled airspace day Suspension (3) Failureto comply with distance from clouds requirement 60- to 180- in controlled airspace day Suspension (4) Failure to comply with distance from clouds requirement 30- to 120- outside ofcontrolled airspace day Suspension (5) Operating VFRunder 1,000 foot ceiling within Class D 30- to 120- airspace day Suspension (6) Failure to comply with IFRlanding minimum 45- to 180- day Suspension (7) Failureto comply with instrument approach procedure 45-to 180- day Suspension 

# • Fig. B-3-j. 14 C.F.R. 91.13(a), Careless or reckless Civil Penalty Certificate operation so as to endan2ei' (independent violation) Action (1) Wheels up landing 15- to 30-day Suspension (2) Short or long landing 30- to 90-day Suspension (3) Landing on, or taking offfrom, closed runway 30- to 60-day Sus_l)ension (4) Landing on, ortaking offfrom, ramp or other improper 30- to 120-
area day Suspension (5) Taxiing collision 30- to 90-day Suspension (6) Leaving aircraft unattended with engine running 30- to 90-day Suspension**~** (7) Taxiing aircraft offrunway, taxiway, orramp 30- to 90-day Suspension
Fig. B-3-k. Passenger operations \ CivilPenalty Certificate Action (1) Carrying passengerwho is underthe influence ofdrugs or 30- to 120- alcohol day Suspension 

# •

B-2610/01/07 2150.38

Fig. B-3-k. Passenger operations cont. Civil Penalty Certificate Action 

# •

(2) Performing acrobatics when notall passengers are 60- to 90-day equipQ_ed with approved parachutes Suspension (3) Use ofunapproved parachute 30- to 60-day Suspension (4) Permitting unauthorized parachutejumping 30- to 90-day Suspension (5) Carrying passengerwithoutrequired recent flight 30- to 120- experience day Suspension (6) Operation without an approved seat orberth and approved 30- to 60-day safety beltfor each person on boardthe aircraftrequired to Suspension have them during takeoff, enroute flight,.and landing
Fig. B-3-1. Acting or attempting to act as a crewmember Civil Penalty Certificate under the influence ofdrugs or alcohol; consumption of Action alcohol before operatin2 an aircraft (1) Consuming alcohol within 8 hours before operating Revocation aircraft (2) Underthe influence ofalcohol Revocation (3) While using any drug that affects the crewmembers Revocation faculties in any way contrary to safety (4) Alcohol concentration .04 percent or above Revocation (5) ·Refusal ofproper request from LE official to submitto Revocation alcohol test 

# •

Fig. B-3-m. Crime; security risk; falsification Civil Penalty Certificate Action (1) Controlled substance violation under 49 U.S.C. § Mandatory 44710(b) Revocation (2) Counterfeit parts violationunder49 U.S.C. §44726(b) Mandatory Revocation (3) Security risk under 49 U.S.C. §4611l(b) Mandatory Suspension
or Revocation,
as requested byBTS (4) Intentionally false or fraudulent Revocation entry, reproduction, or alteration on an 

# - ofcertificates application ora certificate orrating authorized under applicable part of 14 CFR 

# •
B-2710/01/07 2150.38 

# • Fig. B-3-n. Miscellaneous Civil Penalty Certificate Action (1) Allowing unauthorized manipulation ofcontrols by Mandatory uncertificated individual attempting to setrecord under Revocation 49 U.S.C. § 44724(a) (2) Carriage ofillegal drugs (controlled substances) on Revocation aircraft (3) Conducting operation withoutrequired operating 60- to 120- certificate day Suspension (4) Misuse ofan airport-approved identification medium Moderate to Maximum (5) Making an incorrect statementon an Indefinite application for a medical certificate Suspension (pending correction of application and determination of qualification)
or Revocation ofmedical certificate 

# • (6) Refusal to produce pilot certificate, log or records 30-day Suspension, and until produced to Revocation
Fig. B-3-o. Operations at Airports Requiring Slots Civil Penalty Certificate Action (I}_ Operation without a reservation from ATC Minimum to Moderate (2) Operationwith a reservation from ATC, but at the wrong Minimumto Moderate time
Fig. B-3-p. Unruly passengers Civil Penalty Certificate Action (1) Interference with crewmember (14 C.F.R. 91.11, 121.580, Maximum 125.328, 135.120) (2) Physical assault offlight or cabin crewmember $1,100-$8,000 under49 U.S.C. § 46318 (3) Physical assault ofindividual other than a crewmember $500- $5,000 under 49 U.S.C. § 46318 (4) Threaten to physically assault flight or cabin crewmember $1,100-$5,000 under49 U.S.C. § 46318 (5) Threaten to physically assault individual otherthan flight $500-$5,000
orcabin crewmemberunder 49 U.S.C. §46318 

# •

B-28

### 10/01/07 •2150.38

Fig. B-3-p. Unruly passengers cont. Civil Penalty Certificate Action (6) Acts in a mannerthatposes imminentthreatto safety of $5,000- $25,000 aircraft or other individuals on aircraft under49 U.S.C. § ($5,000- $27,500 for 46318 violations after 6/15/2006) Fig. B-3-q. OtherViolations by Passengers Civil Penalty Certificate Action (1) Smoking while No Smoking sign is lighted Maximum

.(2) Smoking in aircraft lavatory Maximum (3) Tampering with smoke detector $1,800 to under 49 U.S.C. §46301(b) $2,200 (4) Failure to fasten seatbelt while seatbelt sign is lighted Minimum to Moderate (5) Failure to occupy an approved seat or berth with a safety Minimum to Moderate belt, and, ifinstalled, shoulderharness properly secured during movement on the surface, takeoff, or landing

.(6) Operating a portable electronic device Maximum (7) Drinking alcoholic beverage not served by_carrier Maximum

4. DUI/DWI PROGRAM, FALSIFICATION OF DRUG CONVICTIONSAND AIRMAN MEDICAL CERTIFICATE VIOLATIONS
Fig. B-4-a. Sanctions related to DUI/DWIProgram Civil Penalty Certificate Action (1) Intentionally false or fraudulent entry on medical Revocation certificate application regarding a DUI conviction or ofall airman administrative action under 14 C.F.R. § 67.403(a)(1) and medical certificates (2) Making an incorrect statementon a medical certificate Indefinite application regarding a DUI conviction or administrative Suspension action under (pending 14 C.P.R.§ 67.403(c)(l) correction of application and determination of qualification)
or Revocation ofmedical



# - certificate (3) Failure to report a motorvehicle action (MVA) under 14 15- to 45-day C.P.R.§ 61.15(e) Suspension ofall part 61 certificates (4) Two MVAs arising from separate incidents within 3 years, 90- to 120- and reported both under day 14 C.P.R.§ 61.15(d) Suspension ofall part 61 certificates



### B-29 

# •

•

•10/01/07 2150.38 

# • Fig. B-4-a. Sanctions related to DUIIDWI Program cont. Civil Penalty Certificate Action (5) Three MVAs arising from separate incidents within 3 Revocation years under 14 C.P.R.§ 61.15(d) ofall part 61 certificates
Fig. B-4-b. Airman Medical Certificate Violations Civil Penalty Certificate Action (I) Intentionally false or fraudulent statement on an Revocation application for a medical certificate or on a request for any ofall airman special issuance or SODA under and medical 14 C.P.R.§ 67.403(a)(I) certificates (2) Intentionally false or fraudulent entry in a record that is Revocation kept, made or used to show compliance under ofall airman 14 C.P.R. § 67.403(a)(2) and medical certificates (3) Reproduction ofa medical certificate for fraudulent Revocation purpose under 14 C.P.R.§ 67.403(a)(3) ofall airman and medical certificates ( 4) Alteration ofmedical certificate under Revocation 14 C.P.R. § 67.403(a)(4) ofall airman and medical certificates 

# • (5) Making an incorrect statement on a medical certificate Indefinite application under 14 C.P.R.§ 67.403(c)(I) Suspension (pending correction of application and determination of qualification)
or Revocation ofmedical certificate
Fig. B-4-c. Drug convictions- no falsification involved. Civil Penalty Certificate Action (1) Single conviction for simple possession* 45- to.l20- day Suspension ofall part 61, 63, or 65 certificates 

# •

B-3010/01/07

Fig. B-4-c. Drug convictions

- no falsification involved cont. (2) Multiple convictions for simple possession*

(3) Conviction(s) for otherthan simple possession* Civil Penalty 2150.38

Certificate Action 120-day Suspension to Revocation ofall part 61, 63, or 65 certificates Revocation ofall part 61, 63, or 65 certificates

*Itmay be appropriate, in the exercise ofprosecutorial discretion, not to take enforcement action when
a conviction is several years old when discoveredbythe FAAand there is evidence thatthe certificate holderhas beenrehabilitated suchthatthe individual can be expectedto conform his or herconductto safety requirements.

5. DRUG AND ALCOHOL TESTING VIOLATIONS.
Fig. B-5-a. Drug and Alcohol Testing Violations Civil Penalty Certificate Action (1) Failure ofan air carrier operating underpart 121 orpart Moderate 135 operatorto obtain an or>_erations specification (2) Failure ofa part 145 operator (thatopts to have its own Moderate drug program and AMPP) to obtain an operations specification (3) Failure ofa Section 135.l(c) or non-FAA airtraffic Moderate control**facili~**to submita registration to the FAA (4) Failure ofa contractor (that opts to have its own drug and Moderate alcohol programs) to submita registration to the FAA (5) Failure to implement ormaintain continuous coverage in Maximum Indefinite
an FAA antidrug program and/orAMPP in accordance with Suspension Appendices I and/orJ pending compliance
or Revocation Fig. B-5-b. Coverage CivilPenalty Certificate**~** Action (1) Failuretoinclude a safety-sensitive employee in FAA Maximum mandated drug and alcohol testing programs (2) Permitting a contractor employee to perform a function Maximum listed in Appendix I or J who is not covered under an FAAmandated antidrug and/or alcohol misuse preventionprogram

B-31 

# •

•

•

# ••

•

• 10/01/07

Fig. B-5-c. Pre-employment drug testing Civil Penalty
(I) Failure to advise each individual applying to perform a Minimum safety-sensitive function ofthe pre-employmenttesting
re uirement (2) Failure to pre-employment drug test an individual and/or Maximum receive a negative drug testresult prior to hiring or transferrin that individual for a safet -sensitive function (3) Failure to pre-employmentdrug testbefore hiring or Moderate transferring an individual into a safety-sensitive position if
more than 180 days elapse between a pre-employmenttest and lacin the individual into a safe -sensitive function Fig. B-5-d. Random drug and alcohol testing Civil Penalty

(I) Failure to conduct random drug and/or alcohol testing Maximum (2) Failureto meetthe minimum annual percentage rate for Moderate random drug and/or alcohol testing (3) Failure to use a scientifically valid method ofrandom Moderate selection (4) Failure to ensure thatrandom drug and/or alcohol tests Moderate
are unannounced (5) Failure to ensure the dates for administering random tests Minimum
are spread reasonably throughoutthe calendaryear (6) Failure to ensure that an employee who is notified to Moderate report for random drug and/or alcohol testing proceeds immediately to the testing site (7) Failure to conduct alcohol testingjustbefore the employee Minimum is to perform a safety-sensitive function, during orjustafter the employee has ceased performing a safety-sensitive function Fig. B-5-e. Post-accident drug and alcohol testing Civil Penalty
(1) Failure to drug and/or alcohol test each employee who Maximum performs a safety-sensitive function, ifthat employee's performance either contributed to an accident or cannotbe completely discounted as a contributing factor to the accident. (2) Failure to post-accident drug test an employee within 32 Maximum hours afterthe accident. (3) Failure to conduct post-accident alcohol testing on an



# - Maximum employee within 8 hours afterthe accident (4) Failure to prepare and maintain on file required records Minimum stating the reasons the post-accident alcohol test was not administered within 2 hours and/or 8hours. Fig. B-5-f. Reasonable cause drug and reasonable Civil Penalty suspicion alcohol testin2 (1) Failure to drug and/or alcohol test each employee who Maximum performs a safety-sensitive function and who is reasonably suspected ofusing a prohibited drug and/or misusing alcohol



### 8-32 2150.38

Certificate Action

Certificate Action

Certificate Action

Certificate Action

### 10/01/07 2150.38

Fig. B-5-f. Reasonable cause drug and reasonable Civil Penalty Certificate suspicion alcohol testing cont. Action 

# •

(2) Reasonable cause drug testing ofindividuals without a Moderate reasonable and articulable beliefthatthe employee is using a prohibited drug onthe basis ofspecific, contemporaneous physical, behavioral, orperformance indicators ofprobable drug use (3) Reasonable suspicion alcohol testing ofindividuals when Moderate reasonable suspicion ofalcohol misuse has not been determined by a trained supervisorbased on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech orbody odor ofthe emQl9yee (4) Failure to prepare and maintain on file arecord statingthe Moderate
reasons the reasonable suspicion alcohol test was not administered within 2 hours and/or 8 hours (5) Failure to remove a safety-sensitive employee who is Maximum under the influence ofor impaired by alcohol
Fig. B-5-g. Return to duty drug and alcoho1testing CivilPenalty Certificate Action (1) Failure to conduct a return-to-duty drug test before an Maximum individual is returned to perform a safety-sensitive function after the individual refused to submitto a required drug test or received a verified positive drug testresult (2) Failure to receive a verified negative return to duty drug Maximum test result for an individual priorto the individual's return to a safety-sensitive function 

# •

(3) Failure to administer a return-to-duty alcohol test onan Maximum individual who engaged in prohibited conductpriorto returning him orher to a safety-sensitive function. (4) Failure to ensure thatthe employee has received an alcoho Maximum test result with an alcohol concentration oflessthan 0.02 on a return-to-duty test prior to resuming the performance ofsafetysensitive duties
Fig. B-5-h. Follow-up drug and alcohoitesting Civil Penalty Certificate Action (1) Failure to implement a reasonable program of Maximum unannounced testing for each individual who has been hiredto perform or who has beenreturned to the performance ofa safety-sensitive function after refusing to submit to a test, 

# . receiving a verified**positiv~** drug testresult, or engaging in prohibited alcohol conduct (2) Failure to administer at least six follow-up tests in the first Maximum 12 months following the return to duty ofan employee (3) Failureto discontinue follow-up testing after 60 months Moderate from the date the individual returnedto

## acovered function ( 4) Failure ofa substance abuse professional to determine the Maximum number and frequency offollow-up tests 

# •
8-3310/01/07 2150.38 

# • Fig. B-5-h
.. Follow-up drug and alcohoi testing cont. Civil Penalty Certificate Action (5) Failure to ensure that follow-up alcohol testing ofa Minimum covered employee only occursjustbefore the employee is to perform safety-sensitive functions, during, orjustafterthe 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 chosento permitthe employee to perform a safety-sensitive function within 8 hours ofalcohol use (2) Pern1itting an individual with an alcohol concentration of Maximum .02 or above to return to duty perforn1ing 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 (I) Inappropriate testing using DOT orFAAAuthority Moderate
Fig. B-5-k. Administrative and other matters Civil Penalty Certificate Action 

# • (I) Failure to permitthe Administrator orthe Administrator's Maximum Indefinite representative to examine records Suspension pending compliance to Revocation (2) Failure to conduct drug and alcohol records checkrequired Moderate under49 C.F.R. § 40.25 (3) Failure to provide drug and alcohol testing records Moderate requested under49 C.P.R. § 40.25 (4) Using an employee to perform safety-sensitive functions Moderate after obtaining information thatthe employee violated DOT drug and alcohol regulations, without obtaining information thatthe employee complied with return-to-duty requirements (5) Failureto notify the FAA ofa medical certificateholder Moderate (issued under part 67), who tested positive on a DOT drug**t~st,** 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 submitto Moderate testing by a part 61, part 63, or part 65 certificateholder within five working days ofthe refusal to test 

# •

B-3410/01/07 2150.38

Fig. B-5-k. Administrative and other matters cont. Civil Penalty Certificate Action 

# •

(8) Knowingly using any person to perform any safety- Maximum Indefinite sensitive function after being permanently precluded from Suspension performing that safety-sensitive function pending compliance to Revocation (9) Failureto submit an annual drug and alcohol (MIS) report Minimum in accordance with AQQendices I andJ (10). Failure to maintain records ofan employee's drug Moderate rehabilitation, the drug testcollection process, training, and/or negative drug testresults for the required timeframe (11) Releasing drug or alcohol testing information without the Maximum appropriate consent (12) Failure to maintain records in a secure location with Maximum controlled access (13) Failure to maintain records ofemployee alcohol test Moderate results of0.02 or greater for the required timeframe (14) Failure to maintain records relatedto violations of Moderate sections 65.46a, 121.458, or 135.253 for the required timeframe (15) Failure to maintain documentation ofrefusals, calibration Moderate documentation, employee evaluations and referrals, and copies ofannual reports (MIS) for the required timeframe (16) Failure to maintainrecords relatedto all testresults Minimum below 0.02 for the required timeframe 

# •

(17) Failure to submit an annual report (MIS) in the form and Minimum
manner prescribed by the Administrator (18) Failure to submit an annual report (MIS) by March l5 1h Minimum (19) Releasing alcohol testing information withoutthe Maximum appropriate consent Fig. B-5-1. Medical Review Officer (MRO) Civil Penalty Certificate Action (1) Failureto use a qualified individual to perform MRO Maximum services (2) Failure ofMROto verify andior maintain records of Minimum negative test results (3) Failure ofMROto review, interpret, and verify positive Maximum testresults**~** (4) Failure ofMROto interview an employee or applicant Maximum who has had a confirmed positive drug test result (5) Failure ofMROto transmit the results to employer Maximum (6) Failure ofMROto process employee requests for testing Maximum ofsplit specimens (7) Failure ofMROto ensure all records maintained by the Moderate former MRO are forwarded to the new MRO within the appropriate time frame 

# •

B-35

### 10/01/07 2150.38 

# • Fig. B-5-1. Medical Review Officer (MRO) cont. Civil Penalty Certificate Action (8) Failure ofMROto maintain records in confidence and Maximum release only in accordance with the provisions of 14 C.F.R. part 121, Appendix I and 49 C.F.R. part40 (9) Failure ofMROto maintainrecords concerning drug tests Maximum confirmed positive by the laboratory for the required timeframe (10) Failure ofMRO to inquire whether an individual holds an Maximum airman medical certificate issued under part 67, or would be required to hold such certificate in orderto perform the duties oftheposition for which the applicant is applying (II) Failure ofMROto verifythe primary test result pending Maximum the result ofthe split specimen
Fig. B-5-m. Substance Abuse Professional (SAP) referral Civil Penalty Certificate and evaluation Action (1) Failureto use a qualified individual to perform SAP Maximum services (2) Failureto advise an employee oftheresources available to Minimum him orher in evaluating and resolving problems associated with the misuse ofalcohol (3) Failure ofa SAP to conduct a face-to-face evaluation of Moderate the employee and recommend education and/or treatment 

# • (4) Failure ofa SAP to ensure that each employee who has Moderate committed aDOT drug and/or alcohol regulation violation, has successfully complied with the SAP's recommendations for education and/or treatment prior to establishing a follow-up testing plan
Fig. B-5-n. Employee Assistance Program Civil Penalty Certificate Action (1) Failureto display and distribute informational materials, a Moderate community service hotline telephone number and the employer's policy regarding drug use in the workplace (2) Failureto conduct initial employeetraining Minimum (3) Failureto conduct initial and recurrent supervisory Maximum training (4) Failure to document initial employee and supervisory Moderate training on drug use Fig. B-5-o. Alcohol misuse information, training, and Civil Penalty Certificate referral Action

.(1) Failure to promulgate a policy on the misuse ofalcohol Moderate (2) Failure to conduct supervisory training regarding alcohol use Minimum (3) Failure to distribute and/or documentthe distribution of Minimum alcohol informational materials to employees 

# •

B-36

### 10/01/07 2150.38

Fig. B-5-p. Violations ofthe drug and alcohol prohibitions Civil Penalty Certificate Action (1) Failure to remove an individual from safety-sensitive Maximum functions for on-duty use, pre-duty use, use following an accident, refusal to submitto a test, and/or a drug positive and/or an alcohol concentration of.04 or greater (2) Allowing a covered employee who used alcohol within 8 Maximum hours ofan accidentto perform or continue performing safety sensitive functions (3) Failureto notify the Federal Air Surgeon ofa part 67 Maximum medical certificate holder whoreceived a positive drug test result and/or received an alcohol concentration of.04 or greater on an alcohol test (4) Allowing a part 67 medical certificateholderto perform Maximum safety-sensitive duties for an employer following an alcohol violation and/or drug positive (5) Failure to notify the FAA ofa part 61, 63, and/or 65 Maximum certificate holder who refusedto submitto testing
Fig.**B~5-q.** Employees located outside the Territory ofthe Civil Penalty Certificate 

## u.s. Action (1) Subjecting an employee located outside the territory of Maximum the United States to a DOT drug or alcohol test

Fig. B-5-r. Specimen collection Civil Penalty Certificate Action 

# •

(1) Failureto use urine collection personnel who meetthe Moderate requirements of49 C.F.R. part40, subpart C (2) Failure to use collection sites, forms, equipment and Moderate supplies for DOT urine collections thatmeetthe requirements in 49 C.F.R. part 40, subpart D (3) Failure to conduct specimen collections inaccordance Moderate with 49 C.F.R. part40, subpart E (4) Failureto process split specimentests in accordance Moderate with49 C.F.K partAO, subpart H (5) Failure to address problems with drug tests in Moderate accordance with 49 C.F.R. part40, subpart I

Fig. B-5-s. Laboratory issues Civil Penalty Certificate Action (1) Failure to use drug testing laboratories thatmeetthe Maximum requirements in 49 C.F.R. part 40, subpart F 

# •
B-37

### 10/01/07 2150.38 

# •• Fig. B-5-t. Alcohol testing Civil Penalty Certificate Action (I) Failure to use alcohol testing personnel that meet the Moderate requirements of49 C.F.R. part 40, subpartJ (2) Failureto use collection sites, forms, equipment and Moderate supplies for DOT alcohol testing that meetthe requirements in 49 C.F.R. part40, subpart K (3) Failureto conduct alcohol screening tests in accordance Moderate with 49 C.F.R. part40, subpartL (4) Failure to conduct alcohol confirmationtests in Moderate accordance with 49 C.F.R. part40, subpart M (5) Failure to address problems with drug tests in Moderate accordance with49 C.F.R. part 40, subpartN.
Fig. B-5-u. Consequences to the uncertificated individual Civil Penalty Certificate Action (1) Refusal to submitto a drug or alcohol test Maximum (2) Positive drug test result or alcohol testresult .04 or Maximum above on any drug or alcohol test. (3) Performs a safety-sensitive function for an employer Maximum after receiving a verified positivetestresult without following appropriate return to duty procedures 

# • (4) Performs a safety-sensitive function for an employer Maximum while having an alcohol concentration of0.04 orgreater (5) Performs a safety-sensitive function for an employer Maximum while using prohibited drugs or alcohol on duty (6) Performs a safety-sensitive function Maximum for an employerwithin 8 hours after consuming any alcoholic beverage (7) Performs a safety-sensitive function for an employer Maximum within 4 hours after consuming any alcoholic beverage (8) Has actual knowledge ofan accident involving an Maximum aircraft for which he or she performed a safety sensitive function at or nearthe time ofthe accident, and uses alcohol within the 8 hours following the accident

Fig. B-5-v. Consequences to the certificated individual • Civil Penalty Certificate Action (I) Refusal by the holder ofa certificate issued under parts Revocation 61, 63, or 65 to submitto a drug or alcohol test (2) Positive drug test result or alcohol testresult .04 or Revocation above by the holder ofa certificate issued under parts 61, 63,
or 65 on any drug or alcohol test. 

# •

B-38

### 10/01/07 2150.38

Fig. B-5-v. Consequences to the certificated individual Civil Penalty Certificate cont. Action 

# •

(3) Failure ofan individual to disclose to the MROthat he Revocation
or she holds an airman medical certificate issued under part 67, or wouldbe required to hold such certificate, in orderto perform the duties ofthe position for which he or she is applying (4) Performs a safety-sensitive function for an employer Revocation afterreceiving a verified positive testresult without following appropriate return to duty procedures (5) Performs a safety-sensitive function for an employer Revocation while having an alcohol concentration of0.04 or greater (6) Performs a safety-sensitive function for an employer Revocation while using prohibited drugs or alcohol on duty (7) Performs a safety-sensitive function (flight Revocation crewmember, flight attendant, air traffic control) for an employerwithin 8 hours after consuming any alcoholic beverage (8) Performs a safety-sensitive function (flight instruction, Revocation aircraft dispatcher, maintenance, orpreventive maintenance, ground security coordinator, aviation screening) for an employerwithin4 hours afterconsuming any alcoholic beverage (9) Has actual knowledge ofan accident involving an Revocation aircraft for which he or she performed a safety sensitive function at or near the time ofthe accident, and uses alcohol 

# ;.

within the 8 hours following the accident

6. AIRPORT OPERATORS.
Fig.**B-6~a.** Certification Civil Penalty Certificate Action (1) Operation without a part 139 certificate Maximum; Injunctive relief (2) Operation in violation ofa part 139 certificate Moderate to Maximum (3) Failure to permit FAA inspectorto conduct inspection Maximum Indefinite 'Suspension until Compliance to Revocation

Fig. B-6-b. Certification Manual Civil Penalty Certificate Action (1) Faiiure to comply with an approved airport certification Moderate to Maximum manual (2) Failure to include all required information in the airport Minimumto Moderate certification manual 

# •

B-39

### 10/01/07 2150.38 

# • Fig. B-6-b. Certification Manual cont. Civil Penalty Certificate Action (3) Failure to maintain current airport certification manual Moderate to Maximum
on the airport (4) Failureto make current airport certification manual Moderate to Maximum Indefinite available to the FAA for inspection Suspension until Compliance to Revocation
Fig. B-6-c. Operations Civil Penalty Certificate Action (1) Failure to maintain sufficient qualified personnel to Moderate to Maximum comply with requirements ofthe airport certification manual and FAA regulations (2) Failureto maintain and repair the pavement ofeach Moderate to Maximum runway, taxiway, loading ramp, and parking area on the airport (3) Failureto maintain and repair each gravel, turf, or other Moderate to Maximum unpaved runway, taxiway, or loading ramp and parking
area onthe airport (4) Failure to provide and maintain an airport safety area Moderate to Maximum (5) Failure to provide and maintainthe required marking Maximum 

# • and signing systems for air carrier operations (6) Failureto provide and maintain lighting systems for air Moderate to Maximum carrier operations when the airport is open during hours of darkness or during conditions below VFR minimums (7) Failure to provide and maintain required rescue and Maximum firefighting capability and equipment during air carrier operations (8) Failureto maintain rescue and firefighting vehicles Maximum (9) Failureto respond to an emergency during air carrier Maximum operations or demonstrate compliance with response requirements ( 1

0) Failure to respond within the required performance Maximum response times (11) Failure to ensure that rescue and firefighting Moderate to Maximum personnel are equipped in an acceptable manner (12) Failure to ensure thatrescue and firefighting Moderate to Maximum personnel ate properlytrained**~** (13) Failure to ensurethat sufficientrescue and firefighting Moderate personnel are available during all air carrier operations (14) Failureto ensure thatprocedures are established and Moderate to Maximum equipment is maintained for alerting rescue and firefighting personnel to any existing orimpending emergency (15) Failure to establish and maintain standards for Moderate to Maximum protecting against fire and explosions in storing, dispensing, and otherwise handling fuel, lubricants, and 

# • oxygen on the airport

B-40

### 10/01/07 2150.38

Fig. B-6-c• Operations cont. Civil Penalty Certificate Action 

# •

(16) Failureto perform surveillance ofa fueling activity by Moderate to Maximum fueling agent onthe airport (17) Failure to ensure and maintain a record ofthe Minimumto Moderate inspection ofthe physical facilities ofeach airport tenant fueling agent (18) Failure to ensure that a fueling agent and its Moderate to Maximum employees are properly trained (19) Failure to require a tenant fueling agentto take Moderate to Maximum corrective action for noncompliance with a fueling standard (20) Failure to ensure that the airport emergency plan is Minimum to Moderate reviewed with all parties under the plan and that all information in the plan is current (21) Failure to establish and maintainprocedures for the Moderate to Maximum protection ofpersons and property on the airport during the handling and storing ofhazardous materials (22) Failure to provide traffic and wind direction indicators Moderate (23) Failure to devefop and maintain an airport emergency Maximum plan (24) Failure to conduct self- inspections ofthe airport as Maximum required (25) Failure to provide equipment and procedures for Moderate to Maximum carrying out an inspection program for a reporting system to ensure correction ofconditions noted during the inspections (26) Failure to prepare, keep, and make available a record Moderate to Maximum 

# •

ofself-inspections (27) Failure to limit access by ground vehicles to Moderate movement areas and safety areas (28) Failure to establish and implement procedures for Moderate
access to and operation on, the movement area and safety
areas by ground vehicles (29) Failure to ensure that ground vehicles operating onthe Moderate movement area are controlled by two-way radio communication or other acceptable means (30) Failure to ensure that each person operating a ground Minimumto Moderate vehicle with access to the movement area is familiar with airport procedures for operation ofground vehicles (31) Failure to ensure that obstructions are removed, Moderate to Maximum marked, or lighted (32) Failure to preventthe construction offacilities onthe Moderate to Maximum airportthat would derogate the operation ofan electronic or visual navaid and air traffic control facilities onthe airport (33) Failure to take immediate measures to alleviate Moderate to Maximum wildlife hazards (34) Failure to preventthe inadvertent entry to the Moderate movement areaby unauthorized persons orvehicles 

# •

B-41

### 10/01/07 2150.38 

# • Fig. B-6-c. Operations cont. Civil Penalty Certificate Action (35) Failure to provide for the collection and dissemination Moderate to Maximum ofairport condition information to air carriers (36) Failure to mark and, ifappropriate, light construction Moderate to Maximum
areas and unserviceable areas, construction equipment, and each construction roadway (37) Failure to provide procedures for avoiding damage to Minimumto Moderate existing utilities, cables, wires, conduits, pipelines, or other underground facilities (38) Failure to restrict air carrier operations to safe portions Maximum ofthe airport (39) Failure to take action to conduct a wildlife assessment Moderate to Maximum (40) Failure to implement wildlife assessmentor the FAA- Moderate to Maximum approved wildlife Hazard Management Plan

7. VIOLATIONS OF NOISE PROVISIONS.
Fig. B-7-a. Aircraft Noise (14 C.F.R. part 91, subpartI) Civil Penalty Certificate Action (1) Prohibition on operating without complying with Stage Moderate to Maximum 3 noise levels under49 U.S.C. §47528 

# • (2) Nonaddition Rule under49 U.S.C. §47529 Moderateto Maximum (3) Imported aircraft operatedto provide airtransportation Moderate to Maximum in the 48 contiguous states without complying with Stage 3 noise levels under49 U.S.C. §47530 (4) Recordkeeping or notification violation Minimum

8. VIOLATIONS OF PILOTRECORDS IMPROVEMENT ACT (PRIA>. Fig. B-8-a. PRIA Civil Penalty Certificate Action (I) Permitting a personto begin service as a pilotpriorto Maximum requesting, receivin'g, and evaluating records pursuantto the provisions ofPRIA (2) Failing to obtain from the subjectofa PRIArequest a written consent for release ofrecords**r~uested** under PRIA (a) Inadvertent error**~** Moderate (b) Egregious/no consent given Maximum (3) Furnishing records, pursuantto request under PRIA, Moderate that have been maintained for more than 5 years before the date ofrequest when record does not relate to revocation or suspension ofairmancertificate ormotor vehicle license that was in effect at time ofrequest (4) Failingto maintain records described in 49 U.S.C. §§ Moderate to Maximum 44703(h)(l)(A) and (B) for five years 

# •

B-42

### 10/01/07 2150.38

Fig. B-8-a. PRIA cont. Civil Penalty Certificate Action 

# •

(5) Furnishingrecords pursuantto a requestunder PRIA before receiving a copy ofthe written consent ofthe individual who is the subject ofthe request (a) Inadvertent error Moderate (b) Egregious/no consent given Maximum (6) Failing to provide a copy ofall records pursuant to a request under PRIA within 30 days ofthe date the request is received (a) Inadvertent error Moderate (b) Egregious/intentional Maximum (7) Failingto provide to the individual who is the subject Maximum ofrequest under PRIA,on orbefore the 201 h day following the date ofthe receipt ofsuch a request, written notice of the request and ofthe individual's rightto receive a copy of suchrecords (8) Failing, upon a request from an individual who is the Maximum subject ofrequestunder PRIA, to provide a copy ofrecords to the individual (9) Failing to permitthe subject ofa request for records Maximum under PRIA to submit written comments to correct any inaccuracies inthose records before making a final hiring decision (10) Failing, upon a written request from a pilot who is or has been employed by an air carrier, to make available for 

# •

review within 30 days, records referred to in 49 U.S.C. §§ 44703(h)(l)(B)(i) or (ii) pertaining to the employment of that pilot (a) Making records availablebut untimely Minimum to Moderate (b) Notmaking the records available Maximum (11) Use ofrecords received pursuant to PRIA for reasons Maximum otherthan assessing the qualifications ofindividual in deciding whetherto hire the individual as pilot (12) Failingto protectthe privacy ofa pilot andthe Maximum confidentiality ofrecords received (13) Divulging contents ofrecords received pursuantto PRIA to individual not directly involved in hiring process (a) Minor Minimum (b) Intent to cause harm Maximum (14) For air carriersthatoperate aircraft with a maximum load capacity of7,500 pounds or less, or a helicopter, on a flight that is not a scheduled operation

- (a) Permitting a pilotto continue in service longerthan Maximum 90 days without requesting, receiving and evaluating records identified in49 U.S.C. §44703(f)(l) 

# •
B-43

# ••

•

• 10/01/07 2150.38

Fig. B-8-a. PRIA cont. Civil Penalty Certificate Action (b) Failing to provide contractual notification to the Moderate individual that continuation ofemployment after the 90-day period is subjectto a satisfactory evaluation ofrecords identified in 49 U.S.C. §44703(±)(1)

9. ENGINEERING AND MANUFACTURING VIOLATIONS. Note that the following actions taken in cases ofviolations by FAA designees only include legal enforcement actions under 14 C.F.R. part 13. WheneverFAA enforcement action personnel determine thatthe holder ofa designation, orthe holder ofa design orproduction approval that is not a certi:Qcate, is no longer qualifiedto holdthat designation or approval, remedial action should be initiated. In addition, remedial action shouldbe considered whenever the holder refuses to allow inspection, or otherwise continues to fail to comply with an applicable requirement. Suspensions and terminations ofdesignations are handled in accordance with FAA Ord. ers No. 8100.8B, DesigneeManagementHandbook, Chapter 11; No. 8100.9, DAS, DOA, andSFAR 36AuthorizationProcedures, Chapter 8; and No. 8110.37C, Designated EngineeringRepresentative (DER) GuidanceHandbook, Chapter 7
Fig. B-9-a. APIS Holders, 14 C.F.R. 49

## u.s.c. Civil Penalty Certificate including production under type Action certificate (1) Failure to maintain the approved 21.123(c), Moderateto Discontinue production inspection system 21.125, Maximum issuance ofa!w (APIS) to ensure product conformity 21.127, certificates and to ensure product'is in condition 21.128, pending for safe operation 21.129, compliance 21.130 (2) Failureto maintaintechnical 21.123(b) Moderate to Discontinue data or drawing at the place of Maximum issuance ofalw manufacture certificates pending compliance (3) Failure to maintain inspection 21.123(c), Moderate to record 21.125 Maximum



# . (b)(1 0) (4) Failure to properly flight test 21.127 Moderateto aircraft Maximum (5) Failure to properly conduct 21.128 Moderate to required testrun on a production Maximum**~** engine (6) Failure to properly conduct 21.129 Moderate to required function test on a Maximum production propeller



### 8-44

### 10/01/07 2150.38

Fig. B-9-b. Production Certificate 14C.F.R. 49U.S.C. Civil Penalty Certificate Holders Action 

# •

(1) Refusal to allow FAAto make 21.157 Moderateto Indefinite any inspections and tests necessary to Maximum Suspension determine compliance with pending regulations compliance to Revocation (2) Failure to make information 21.143(b) Moderate to regarding a delegation ofauthority Maximum to subsidiary manufacturer or supplier (3) Failure to immediately notify 21.147 Moderateto FAA, in writing, ofquality control Maximum system changes that affectthe inspection, conformity, or airworthiness ofthe product (4) Failureto surrender a PC for 21.155, Moderate Revocation cancellationupontransfer of 21.159 ownership or upon change in location ofthe manufacturing facility (5) Failure to maintainthe 21.165(a) Moderate to approved quality control system Maximum (6) Failure to determine thateach 21.165(b) Moderate to completed product submitted for Maximum a/w certification or approval is in conformity with thetype design and 

# •

in condition for safe operation

Fig. B-9-c. Designees 14C.F.R. 49U.S.C. Civil Penalty Certificate Action (1) Delegation Option Authorization (DOA) (a) Refusal to permit authorized 21.249 Maximum FAA employee to inspectthe manufacturer's organization, facilities, product, record, technical datafile or service difficulty file (b) Failure to submit a report or 21.277 Moderate to Indefinite information necessary for the**~** Maximum Suspension of issuance ofanAD TCorAWCs, pending compliance to Revocation (c) Failure to place the required Minimumto technical data andtype inspection Moderate report inthetechnical data file required by 21.293(a)(1)(i) 

# •

B-45

### 10/01/07 2150.38

Fig. B-9-c. Designees cont. l4C.F.R. 49U.S.C. Civil Penalty Certificate Action (d) Failure to determine that the 21.267(b) Moderate to PC requirements ofsubpart G are Maximum met priorto certifying that the determination has been made (e) Failure to placethe 21.267(d) Moderate to manufacturing and quality control Maximum datarequired by 21.143 with the data required by 21.293(a)(I)(ii) prior to certifying thatthis has been done (t) Failure to notify the FAA 21.245 Moderate to within 48 hours ofany change that Maximum could affect the ability ofthe DOA to meet the requirements in SubpartJ (g) Failure to obtain FAA 21.261 Minimum to Indefinite
concurrence onthe application of Moderate Suspension of any equivalent safety provision TCorAWC, applied under 21.21 pending compliance to Revocation (h) DOA issues new or amended 21.251 Revocation of 

# • TC, or STC, AWC, orNW certificate approval beyond the scope ofits authorization (2) DesignatedAlteration Station (DAS) (a) Exercising any authority 21.441(a) Maximum under subpartM without submitting and obtaining approval of procedures manual (b) Performing any DAS 21.44l(b) Moderate to function affected by change in Maximum facilities or staffnecessary to meet the requirements of§ 21.439, or affected by any change in the procedures approved under § 21.441 (a) without obtaining**~** approval from the FAA for those changes (c) Failure to notify the FAA 21.445 Moderate to within 48 hours ofany change that Maximum could affectthe ability ofthe DAS to meet subpart M (d) Failure, upon reasonable 21.449 Maximum request, to letthe FAA inspectthe DAS facility, product, orrecord 

# •

B-46

### 10/01/07 2150.38

Fig. B-9-c. Designees cont. 14C.F.R. 49U.S.C. Civil Penalty Certificate Action 

# •

(e) DAS issues STCor AWC 21.451 Maximum Revocation of beyond the scope ofits STCor AWC authorization (f) Issuing an STC involving 21.45l(d) Maximum Indefinite exhaustemissions change Suspension of requirements ofpart 34 or STC pending acoustical change requirements of compliance to part 36 before the FAA finds those Revocation requirements are met (g) For each STC issuedunder 21.463(a) Moderate to Indefinite subpartM, failure to follow the (I) Maximum Suspension of procedures manual approved under STC pending § 21.441 or failure to submit compliance to statement describing the Revocation requirements in§ 21.463(a)(l) (h) Issuing an STC without 21.463(a) Moderate to Indefinite finding thateach applicable (2) Maximum Suspension of airworthiness requirement is met STC pending compliance to Revocation (i) Issuing an STC without 21.463(a) Moderateto Indefinite finding thatthe type ofproduct, as (3) Maximum Suspension of modified by the STC data, is of STC pending proper design for safe operation compliance to Revocation 

# •

G) For each STC issued under 21.463(b) Moderate subpartM, failure to submit the copies ofthe STC orthe o)her required data (k) Foreach amendmentto an 21.473 Moderate to airworthiness certificate under Maximum subpartM, failure to follow the procedures manual approved under § 21.441 or failure to follow § 21.473(a)-(c) (I) Issuing an experimental 21.475 Minimum to AWC without obtaining from the Moderate FAA a necessary limitation or condition 

# - (m) Failureto conduct an 21.477(a) Moderate to investigationorreport the results of Maximum the investigation ortaken or proposed action 

# •

B-47

### 10/01/07 2150.38 

# • Fig. B-9-c. Designees cont. 14C.F.R. 49U.S.C. Civil Penalty Certificate Action (n) Failure to submitthe 21.477(b) Moderate to Indefinite information necessary for the issue Maximum Suspension of ofan airworthiness directive STCorAWC, pending compliance to Revocation (o) Failure to maintain, at the 21.493(a) Moderate to DAS facility, the required current Maximum records {p) Failure to provide requested 21.493(b) Moderate to records to the FAA; failure to send Maximum data file when DAS no longer operates under subpartM
Fig. B-9-d. Technical Standard 14C.F.R. 49U.S.C. Civil Penalty Certificate Order Authorization (TSOA), Action Letter ofDesign Approva1, and Letter ofAcceptance Manufacturers (1) Unauthorized display ofTSO 21.603(a) Maximum marking (2) Failure ofholder ofLetter of 21.603(b) Maximum 

# • Acceptance to comply with 21.603(b) (3) Failure to manufacture article in 21.607(a) Moderate to accordance withthe approved Maximum technical and qualitY control data and the TSO (4) Failure to properly conduct a 21.607(b) Moderate to required test or inspection Maximum (5) Failure to maintain the Q/C 21.607(b) Moderate to system to ensure each article meets Maximum 21.607(a) and is in a condition for safe operation (6) Failure to prepare and maintain 21.607(c) Moderate to
a current file ofcomplete technical Maximum data and inspection records (7) Failure to permanently and 21.607(d)**~** Minimum to legibly mark each article produced Moderate under the TSOA or Letter ofDesign Approval (8) Failure to forward information 21.6ll(a) Minimum to
on a minor design change to the Moderate appropriate Aircraft Certification Office 

# •

B-4810/01/07 2150.38

Fig.**B-9~d.** Technical Standard 14C.F.R. 49 

### u.s.c. Civil**Pen~lty** Certificate Order Authorization (TSOA), Action 

# •

Letter ofDesign Approval,and Letter ofAcceptance Manufacturers cont. (9) Before making a major change, 21.611(b) Moderateto failure to to assign a new type or Maximum model designation to the article and apply for an authorization under 14 CFR §21.605

.. (10) Failure to retain technical data 21.613 Moderate to Maximum (11) Refusal to permit an 21.615 Moderateto authorized FAArepresentative to Maximum inspect an article, Q/C inspection or test, orthe manufacturing facilities
or technical data file
Fig. B-9-e. Replacement or 14 C.F.R. 49 

### u.s.c. Civil Penalty Certificate or Modification Parts Other Action Manufacturers (1) Production without PMA or 21.303(a) Maximum Injunctive otherauthority relief (2) Failureto maintain the 21.303(h) Moderate to fabrication inspection systemto Maximum
ensure each completedpart conforms with its approved design 

# •

.and is safe for installation on applicable TC product (3) Failure to ensurethat incoming 21.303 Moderateto materials used inthe finished part (h)(l) Maximum
are asspecified inthe design data (4) Failure to ensurethat incoming 21.303 Moderate to materials are properly identified if (h)(2) Maximum their physical and chemical properties cannot otherwise be readily and accurately determined (5) Failureto ensure that materials 21.303 Moderate to
are suitably stored and adequately (h)(3) Maximum protected (6) Failureto accomplish all 21.303**~** Moderateto processing affecting quality and (h)(4) Maximum safety ofthe part in accordance with acceptable specifications (7) Failureto inspectparts process 21.303 Moderateto for conformity with the design data at (h)(5) Maximum points in production where accurate determinations can be made 

# •

B-49

### 10/01/07 2150.38 

# • Fig. B-9-e. Replacementor 14 C.F.R. 49U.S.C. Civil Penalty Certificate or Modification Parts OtherAction Manufacturers cont. (8) Failure to make a current design 21.303 Moderate to drawing readily availableto (h)(6) Maximum manufacturing and inspection personnel orto use such a drawing when necessary (9) Failure to adequately control a 21.303 Moderate to major design change or to obtain (h)(7) Maximum FAA approval ofamajor design change before it is incorporated into the finished part (I0) Failure to segregate and identify 21.303 Moderate to rejected materials and components in (h)(8) Maximum such a manner as to preclude theiruse in a finished product (11) Failure to maintain and identify 21.303 Moderate to an inspection record with a completed (h)(9) Maximum part, or to retain the record for at least 2 years (12) Failure to notify the FAA, in 21.3030) Moderate to writing, within I0 days after Maximum relocating or expansion of manufacturing facilities 

# • (13) Failure to determine that each 21.303(k) Moderate to completed part conforms to the Maximum design data and is safe for installation
on TC product Fig. B-9-f. All Production 14 C.F.R. 49

## u.s.c. Civil Penalty Certificate Approval Holders Action (1) Failure to report each Moderate to malfunction or defect specified in Maximum section 21.3(c) within the time specified in 21.3(e)

Fig. B-9-g. TC or STC Holder; 14 C.F.R. 49 

## u.s.c. Civil Penalty Certificate or Manufacturers and Alteration OtherAction Entities (I) Failure to submitthe data 21.99**~** Maximum Indefinite necessary for the issuance ofNW Suspension of directive containing the appropriate TCor AWCs, corrective action pending corrective action to Revocation
Fig. B-9-h. All persons, including 14C.F.R. 49U.S.C. CivilPenalty Certificate or designees OtherAction (I) Falsification ofapplication, 21.2(a)(l), (2), Maximum Revocation of 

# • report, orrecord (3), or (4) certificate(s)



### B-5010/01/07 2150.38

Fig. B-9-h. All persons, including 14C.F.R. 49U.S.C. Civil Penalty Certificate or designees cont. Other Action 

# •

(2) Failure to provide written 44704 Minimum evidence ofpermissionto use an (a)(2) STC (3) Failure to provide written 44704 Minimum evidence ofpermission to use a TC (a)(3) (4) Changing a productbased on an 44704 Maximum STC withoutbeing the holder or (a)(2) having the permission ofthe STC holder (5) Manufacturing a productbased 44704 Maximum
on a TC withoutbeingthe holder or (a)(3) having permission ofthe TCholder

10. AIRCRAFT OWNER/OPERATORREGISTRATION VIOLATIONS
Fig. B-10. Registration. 14C.F.R. 49U.S.C. CivilPenalty Certificate Action (1) Operation ofanunregistered 91.203 44101 Maximum* 30-90 day aircraft (a)(2) Suspension of pilot certificate (2) Operation ofan aircraft without 91.203 Minimum 30-90 day
an effective (14 C.F.R. 47.41), valid (a)(2) to Suspension of (14 C.F.R

.. §47.43) certificate on Maximum* pilot certificate board (3) Operation outside U.S. on pink 91.203 44101 Minimum 30-90 day 

# •

copy (a)(2) to Suspension of Maximum* pilot certificate (4) Operation in U.S. onpink copy 91.203 Moderate 30-90 days without compliance with 14 C.F.R. (a)(2) to suspension of 47.3l(b) Maximum* pilot certificate (5) Failureto return an ineffective 47.4J(b) Minimum Revoke aircraft
or invalid aircraft registration 47.43(b) registration certificate certificate (6) Failure to submittriennial 46.5l(d) 44105 Suspension or report revocation of registration certificate (7) Failure to submitrequired flight 47.9(f) Minimum information**~** to Moderate* (8) Failure to submit change of 47.45 44105 Minimum address (9) Failureto submitrequired 47.71 Minimum dealer information to Moderate 

# •
B-51

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•

• 10/01/07

Fig. B-10. Registration cont. 14C.F.R. 49U.S.C. Civil Penalty
(10) Use ofregistered aircraft to 44106 carry out orfacilitate unlawful drug (b), activities 44710



## * Civil penalty action applies only ifowner/operator is different from pilot.

11. ALL INDIVIDUALS AND ENTITIES. Failure to surrender suspended or revoked certificate, authorization, or other approval
Fig. B-11. Civil Penalty (1) Individual Moderate c.p. per day, with the total c.p. generally $5,000 to $11,000 2150.38

Certificate Action Mandatory revocation of aircraft registration certificate and ofall other certificates of aircraft registration issued to its owner, and revocation of all airman certificates

(2) Entity Moderate c.p. perday, withthe total calculated under the Multjple Actpolic;y