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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 of me to make demands, but I've been 1n a CJUCJUdary and tryu1g to r~.:J~l OPERATIO\\lS 

company alone, I am learning that there are many hazards 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 

little part time 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 in their own career aspirations. 

Unfortunately, I am not one to (excuse the expression) do anything .half ass. The 

kids deserve l 00% and only the best of my 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 past experiences were aU great Things were fairly easy in the 

beginning because CSA was small mt:d J knew· what was going 011 all the time. As 

we grew, I had to let go and tmst that the others in my company, would follow my 

guidance. 

One of the realities of a flight school is you are always in transition; more so than 

in many other profeSJions. 'You get new jnstructors, go through a lengthy training 

process, then they build tlleit ,ffigbt ltours, leave you ft)t' airline career and you have 

to start aU over again trainirtg new iW!!tnJctors. This cycle never 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 l 01; witb children 

you teach what is age appx'dpriate, but with ftigf:tt students you teaclf wllat is level 

appropriate. They will make many, many tttistakes but you are: tltere to guide them 

and teach them to make fewer as they progress throuJh the pro3fams. Remember 

they are not perfect, no one is, and you need to be :patient with them". There is so 

much to learn and I don't even know it all- attd I've been flying 'for 42 years. 

"I say it's okay to make ttdstak~s, but most importantly l want you to learn from 

those mistakes. I am there to help. My door is always open. Rather than find fault 

and punish it is better to disrove:r the errors and corJect them~'. rve told them they 

must be accountable, open and honest. They need that platform to learn and grow 

and move on :in their career. 

1 

~' q: 0 I 
Someday these instructors are going to become airline pilots and maybe even be 

the captain on one of your flights. What kind of man or woman do you want at the 

controls of your destiny in the air? Someone so afraid of breaking 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 of an emergency or do you want 

, someone who steps up and does what is necessary to get you laome safeJy? 

I've never met a person 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 God will still be teaching me a thing or two after death. 

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 world ami make some ,of their own mistakes. That is just part of life. 

With all that said, I'm not making e~cuse&, l'mjust saying none of my 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 

good job, while working within the system; which we aU know 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 monetary punishment stops the action. It only penalizes me and I 

personally didn,t adUally commit the violations. It does hurt the flight school in a 

safety aspect by taking away funds that could be used to fn and maintain airplanes. 

As the profit margin in our ftigilt scllool is very stttaU aud I need every penny to go 

back into CSA. 

2 
As owner of CSA, 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 

attempt to put up firewalls and keep our instructors on the right track at all times. 

I've even re-written our curriculum to include in the syllabus guidance for brand 

new instructors. My local FSDO knows about thls but it's taking some time to get 

it approved in the 141 training course outline. 

As we go through the violations, i hope you wiU consider what I've just said and 

together we can come up with a better workable solution for CSA and it's future 

prospects as a viable flight school in Utah. 

3 
II 

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 of flight and ground 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. 

If you have any questions please do not hesitate to contact me. 

Sincerely, 

Rick Bouillon 

Dean, School of Technical Specialties 

CTE Director 

Salt Lake Community College 

801.957.5158 

School ofTechnical Specialties 

Taylorsville Redwood Campus 

4600 South Redwood Road • CT 296 • Salt Lake Ciry, Utah 84130-0808 

Phone: (801) 957.5129 • Fax: (801) 957.3813 • www.slcc.edu 
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Chapter 7. Sanction Guidance Policies 

1. Purpose. This chapter provides the FAA's policies for determining an appropriate sanction 

once FAA enfqrcement personnel decide that legal enforcement action is appropriate. This chapter 

contains the general policy the FAA intends to apply in selecting the types of sanctions, ranges of 

sanctions within those types, and specific sanction amounts to impose in legal enforcement actions 

for typical violations of the 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 

Deterrent Purposes. 

(I) General. If a certificate holder improperly exercises the privileges of a certificate, a 

natural consequence ofthat act is to lose the privileges for a period of time 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 of individual certificate holders for violations. However, the FAA usually takes civil 

penalty action against air carriers and airports because such actions do not disrupt service, which 

may adversely affect the public. Nevertheless, when the FAA determines that safety 

considerations warrant it, the agency will suspend the certificate of any type of certificate holder. 

In no case will the FAA take civil penalty action alone when remedial legal action is necessary 

or appropriate. 

(2) Use of both 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. If unusual circumstances warrant deviation from this practice, legal counsel consult 

with the Assistant Chief Counsel for Enforcement (AGC-300) before initiating the actions. 

(3) Change in type of proposed sanction. The initial enforcement action reflects the 

agency's best assessment of the appropriate sanction for the violations alleged. After initiating 

the action, legal counsel ordinarily does not change the~type of sanction unless additional facts or 

circumstances are presented to the FAA that warrant a change. If the action was coordinated 

under chapter 6, paragraph 3, with AGC-300 before initiation, then legal counsel coordinates any 

change in the type of sanction 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 

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suspend the privileges of the certificate or rating pending demonstration of qualification or 

compliance with statutory or regulatory requirements. FAA generally uses remedial suspension 

when an individual does not voluntarily surrender his or her certificate pending reexamination. 

See chapter 5. 

(2) Certificate revocation - general. The FAA revokes a certificate when a certificate 

hofder lacks the qualifications to hold the certificate. The certificate holder's continued exercise 

of the privileges of the certificate in such circumstances would be contrary to safety in air 

commerce or air transportation and the public interest. Revocation is appropriate whenever a 

certificate holder's conduct demonstrates a lack of the technical proficiency or a lack of the 

degree of care, judgment, or responsibility, required of the holder of such a certificate. Orders of 

revocation are issued on an emergency basis when the certificate holder lacks qualification and is 

reasonably able as a practical matter to exercise the privileges of the certificate. Legal counsel 

does not allege a lack of qualifications to avoid dismiss!J.l of charges under 49 C.F .R. § 821.33, 

the NTSB's stale complaint rule. 

(3) Certificate revocation- individuals. The FAA generally revokes an individual's 

certificate or rating whenever he or she demonstrates a lack of willingness or ability to comply 

consistently with statutory or regulatory requirements. A lack of willingness or ability to comply 

may be demonstrated by such things as repeated or deliberate violations or by violations that 

involve grossly careless or reckless conduct. Even a single violation may be sufficient to warrant 

a conclusion an individual lacks qualifications. The FAA ordinarily revokes all certificates of a 

person who commits a violation involving intentional falsification. 

(4) Certificate revocation- entities.' Revocation is normally appropriate when a 

certificate-holding entity deliberately or flagrantly violates the statute or regulations or falsifies 

records. Revocation also is generally appropriate when the certificate holder has committed the 

same or similar violations in the recent past demonstrating a lack of qualification, or when the 

certificate holder no longer has, and does not obtain in a reasonable time, the personnel or 

equipment to conduct its operation in full compliance with statutory and regulatory requirements. 

(5) Mandatory certificate revocation. Under 49 U.S.C. § 44710, the FAA is required to 

revoke the certificates of any airman who has been convicted of violating certain federal or state 

statutes relating to a controlled substance when an airplane was used in the commission of the 

offense and the airman served as an airman, or was aboard the aircraft, in connection with 

commission of the offense or the facilitation of the commission of the offense. Even when there 

has been no conviction, revocation is required when an airman has knowingly carried out an 

activity punishable under these criminal statutes. The .t}dministrator may waive the revocation if 

a law enforcement officer requests the waiver and the Administrator decides the waiver will 

facilitate law enforcement purposes. See 49 U.S.C. § 44710(f). Under 49 U.S.C. § 44106, the 

FAA also must revoke the registration certificate of any airplane used in the commission of such 

an offense when the use was permitted by the owner of the aircraft with knowledge that it would 

be used for such purpose. Under 49 U.S.C. § 44726, the FAA must revoke the certificates of any 

certificate holder or an individual who has a controlling or ownership interest in the holder who 

was convicted of a violation of federal law relating to the installation, production, repair, or sale 

of a counterfeit or fraudulently-represented aviation part or material or knowingly, and with the 

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intent to defraud, carried out or facilitated an activity punishable under such a law. The 

Administrator may waive that sanction to facilitate law enforcement purposes or amend, rather 

than revoke, a certificate under certain circumstances. See 49 U.S.C. §§ 44726(f) and (g). 

(6) Mandatory certificate action for security concerns. Under 49 U.S.C. § 46111, the 

Administrator is required to issue an order amending, modifying, suspending, or revoking any 

FAA-issued certificate if the Administrator is notified by the Under Secretary of Border and 

Transportation Security (BTS) ofthe Department of Homeland Security (DHS) that the 

certificate holder poses, or is suspected of posing, a risk of air piracy or terrorism or a threat to 

airline or passenger safety. Under 49 U.S.C. § 44924, the Administrator is required, at the 

request of the Under Secretary ofBTS, to suspend or revoke foreign repair station certificates in 

connection with security audits. 

3. Applicability and Exclusions. The sanction guidance table (table) in Appendix B provides 

types of sanctions and general ranges of sanction amounts for violations of 49 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. 

Once the agency has determined that legal enforcement action is warranted for a violation, FAA 

enforcement personnel use the table and paragraph 4 of this 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 of agency action that fall outside the scope of 

paragraph 3 and the table. 

a. Decisions to Take Administrative Action (Warning Notices or Letters of 

Correction). An administrative action does not constitute either a formal adjudication of the 

incident or a finding of violation. For that reason, FAA investigative personnel do not propose a 

sanction using the table. 

b. The FAA's Exercise ofProsecutorial Discretion. The decision whether to prosecute a 

particular case is based on a review of the evidence and relevant policy and litigation 

considerations. The agency exercises broad discretion in both the initial decision to bring a legal 

enforcement action, and in any later determination to compromise or settle a case based on 

various considerations. The FAA's discretion in these areas is absolute and presumed to be 

immune from review. Heckler v. Cheney, 470 U.S. 821, 831 (1985). 

c. Hazardous Materials Violations. Actions involving violations ofthe federal hazardous 

materials transportation law, 49 U.S.C. chapter 51, or the Department of Transportation'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 ofthe U.S. Armed Forces. The FAA is required to forward 

reports of these violations to the Secretary of the department concerned under 49 U.S.C. 

§ 46101 (b), whenever the violator is acting in the performance of official duties. The FAA, 

however, takes remedial action in addition to referring a report when the violator, whether or not 

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acting in the performance ofofficial military duties, holds an FAA certificate, and the violator's 

qualifications are at issue. The FAA may take punitive action against a member of the U.S. 

Armed Forces for a violation committed when the member is not performing official duties. 

4. Mitigating or Aggravating Factors and Elements. The factors in chapter 7, subparagraphs 

4.a. through m. have been developed over years of policy making and case adjudication. They 

have proven useful and appropriate for determining the seriousness of a violation and for 

selecting an appropriate sanction. Elements for evaluating and weighing each factor are also 

described. These factors and elements provide a framework for determining sanctions for 

violations specifically listed in the table as well as those not specifically listed~ All the factors 

and elements, however, may not apply to each violation. Only those factors and elements that 

are relevant to a violation are considered in determining a sanction for the violation. This list of 

factors and elements is not intended to be exhaustive; other factors may be relevant as· well. 

a. Nature of the Violation. Three elements define the nature of a violation: first, whether 

the violation was operational or non-operational; second, whether the violation involved careless 

or reckless conduct; and third, whether the violation involved any special aggravating or 

mitigating factors. 

(1) Individuals. When an individual who holds a certificate improperly exercises the 

privileges of that certificate, the natural consequence of that act should be loss of privileges for a 

period of time commensurate with the violation. The FAA, therefore, primarily uses certificate 

actions to enforce operational regulations against individuals who hold certificates. The 

• 

potential adverse impact that certificate action may have on an individual's livelihood does not • 

alter this principle. Non-operational violations may warrant a different type of sanction. 

' (2) Entities. The FAA ordinarily takes civil penalty action against a certificate-holding 

entity (for example, an air carrier) when it determines there would be a substantial adverse 

impact on the public interest from disrupted service by that certificate holder and the impact is 

not outweighed by safety considerations. Even when a substantial adverse impact would occur, 

when there is a need to prevent continuing violations or other egregious conduct by any 

certificate holder, when any certificate holder lacks qualification, or there is a reasonable basis to 

question the qualifications of any certificate holder, the 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 

conduct that falls below the standard of care or prudenc~ expected of a reasonable person, or 

holder of the relevant certificate, acting under the same or similar circumstances. Recklessness 

connotes conduct that demonstrates a gross, or even callous or flagrant, -disregard for safety. 

Aircraft operations that do not otherwise result in a violation of a specific regulation should be 

evaluated in light of these standards to determine whether they constitute careless or reckless 

operations in violation of 14 C.F .R. § 91.13. When a person operates an aircraft in violation of a 

specific regulation other than 14 C.F .R. § 91.13, however, that violation constitutes a careless or 

reckless operation in and of itself. In these cases, the misconduct may also result in a violation 

of 14 C.F .R. § 91.13 if it actually or potentially endangers the lives or property of others. 

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When calculating the amount of sanction 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 not warranted unless the conduct is also reckless. 

b. Whe~her the Violation was Inadvertent and Not Deliberate. If a violation is 

deliberate or not inadvertent, a sanction at the upper end of the range or exceeding the range for 

that type of violation generally is appropriate. A deliberate violation generally warrants a 

sanction that is more severe than one that is just not inadvertent. 

(1) Not deliberate. This element means a lack of the degree of deliberation found in 

intentional misconduct. Deliberate or intentional misconduct is an aggravating circumstance and 

includes deliberate conduct that leads to a violation as well as circumstances indicating intent to 

commit a violation. 

(2) Inadvertence. An act is inadvertent when it is the result of both inattention and lack 

of purposeful choice. For example, an inadvertent act occurs when a pilot flies at an incorrect 

altitude because he or she misread the aircraft's instruments; however, it is not an inadvertent act 

when a pilot flies at an incorrect altitude as a result of choosing not to consult the aircraft's 

instruments or choosing not to use other available means to verify altitude. The test to be applied 

is whether the conduct, not the factual or legal consequences, is inadvertent and unintended. 

Ferguson v. National Transportation Saftty Board, 678 F.2d 821, 828-829 (9th Cir. 1982) . 

c. Certificate Holder's Level of Experience. 

(1) Level of experience refers primarily to the type of certificate and ratings held (for 

example, student, private, commercial, airline transport pilot, or certified flight instructor), and 

the number of hours flown, by the certificate holder. Certificate holders with greater levels of 

experience may be held to a higher standard. Thus, for example, commercial pilots may be held 

to a higher standard than private pilots and airline transport pilots may be held to an even higher 

standard than commercial pilots. 

(2) In determining an appropriate sanction, the FAA may consider the extent to which 

the certificate holder's action deviated from the degree of care and diligence normally expected 

of a person with the certificate holder's level of experience. A significant deviation from the 

degree of care and diligence expected of the holder of that certificate may warrant a more 

aggravated sanction. 

d. Attitude of the Violator. . . . 

(1) A good compliance attitude is the norm and does not warrant a reduction in sanction. 

A prior violation history may suggest that a person has a poor compliance disposition, which is 

an aggravating factor. Furthermore, a person who commits an act or omission contrary to 

statutory or regulatory requirements after receiving notice through a prior administrative action 

or counseling that such conduct is in violation of those requirements might well be regarded as 

having a poor compliance disposition. In evaluating compliance disposition, the FAA does not 

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view an alleged violator as having a poor attitude because the alleged violator fails to respond to 

a letter of investigation, chooses to be represented by counsel, or contests the violation. 

(2) In assessing the attitude of an alleged violator, the FAA may consider the declaration 

of an emergency to air traffic control. When an emergency is genuine and not of the 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 of emergency is not exculpatory but is a factor that 

might be appropriate to consider in determining sanction. In emergency situations, the FAA 

views declaring an emergency to air traffic control as a sign of good judgment and a constructive 

attitude. When an emergency is of a person's own making, that person's declaration of an 

emergency may be considered mitigating in determining the sanction to be imposed for any 

violations committed, in much the same way it is considered mitigating if a person voluntarily 

reports a violation. 

e. Degree of Hazard. 

(1) The degree ofhazard may be increased as a result ofthe interplay ofthe operational 

environment (for example, weather conditions, congested vs. sparsely populated areas) and the 

nature of the threat to safety (to the life or property of another, including those in the aircraft 

being operated, to other aircraft, or to persons or property on the surface) that the misconduct 

presents. The safety threat is based on the reasonably foreseeable consequences of the 

misconduct. For example, operating 500 feet below the minimum altitude poses a greater hazard 

than operating 100 feet below. Similarly, if an aircraft operator fails to comply with an 

• 

airworthiness directive by operating 10 hours past a required inspection, the degree of hazard is • 

probably not as great as when the aircraft is operated 100 hours beyond the required. And it is . 

not mitigating when a violation does not result in actual harm; that is simply fortuitous. 

(2) The sanction ranges reflect the degree of danger normally inherent in an average 

violation of a regulation, without aggravating circumstances. As discussed in chapter 7, 

subparagraph 5.b., an increase in the degree of hazard may form the basis for exceeding the 

sanction ranges. For example, the range for an unauthorized low flight does not assume extreme 

departures from required altitudes, for example, flying an airplane over a crowded assembly of 

persons at 50 feet 

f. Action Taken by Employer or Other Authority. This factor ordinarily involves the 

following elements: whether the alleged violator's employer has taken disciplinary action and 

whether criminal prosecution is involved. 

~ 

(1) Employment discipline. Where the violation would normally call for a certain type 

of enforcement action, the FAA takes that action regardless of any actik"Jn taken by the violator's 

employer. Generally, the FAA does not credit an employer's disciplinary action toward a period 

of suspension the FAA imposes against the violator's certificate because of the different 

purposes of government-ordered, as contrasted with employer-ordered, actions. 

(2) Criminal prosecution. When arising out of the same conduct, local, state, or federal 

prosecution does not preclude the FAA from taking appropriate remedial enforcement action; nor 

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does it preclude the FAA from taking appropriate punitive enforcement action. For cases where 

federal, state, or local authorities prosecute criminally, the FAA generally does take remedial 

enforcement action ifthat is warranted despite the criminal prosecution. However, the FAA does 

not generally take punitive legal enforcement action for the same conduct, unless it believes the 

criminal sanctions are not sufficient to provide an adequate deterrent for future violations by the 

violator and others similarly situated, or when the FAA wants to establish a violation history 

record. Ifthe FAA decides to proceed with a punitive civil enforcement action in addition to the 

criminal prosecution, it generally considers the criminal penalties incurred in those proceedings 

in determining the appropriate amount of sanction to be sought in the FAA's punitive 

enforcement action. 

g. Use of a Certificate. This factor relates to the nature or kind of activity or operation 

involved at the time the violation was committed. Whether the certificate holder was engaged in 

student, private, commercial, or airline activity bears on the severity of the sanction. Air carriers 

are held to the highest standard of care. Likewise, personnel engaged in air transportation are 

held to the highest safety standard. 

h. Violation History. 

(1) A violation-free history is the expected norm, not the exception and, therefore, is not 

a mitigating factor. Sanction ranges in the table generally represent the normal range of sanction 

for a single, first-time, inadvertent violation. Given the expected norm, a prior violation record 

can be evidence of a poor compliance disposition or of a pattern of disregard for the FAA's 

regulations, which are aggravating factors. As a result, a violation history can justify imposing a 

sanction at the higher end of the normal range or a sanction beyond the normal range. It might 

also justify revocation rather than suspension if the pattern of violation reflects a lack of 

qualification. In addition, a violation history might justify a certificate suspension ifpreviously 

issued civil penalties have not produced the desired deterrent effect. In deciding whether a 

violation history justifies aggravating the sanction or changing the usual type of sanction, the 

FAA considers the length oftime that has elapsed between violations, whether the violations 

involved the same or similar regulations, and whether the violations are factually similar. 

(2) The following actions constitute violation history when they involve regulatory 

violations and become final: orders of amendment, modification, suspension, or revocation of an 

FAA certificate; orders assessing a civil penalty; findings of violation contained in a consent 

order, order of compliance or denial; and findings of violation made by a federal court. In 

addition, a party may agree as part of a settlement that the FAA may consider alleged violations 

as findings of violation for future sanction determinations. 

i. Decisional Law. Decisions ofthe FAA decisionmaker represent the FAA 

Administrator's position on issues arising in civil penalty assessment actions, including issues 

regarding sanctions. The policy in this order also represents the Administrator's position on 

sanctions in legal enforcement actions. To the extent that this document conflicts with FAA 

decisionmaker decisions published before this document's issuance, the sanction guidance policy 

in this order supersedes those decisions. However, FAA decisionmaker decisions published after 

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.the issuance of.this documen.t .that conflict with the policy in this order supersede this document 

and are controlling. 

j. Ability to Absorb Sanction. Sanctions should be deterrent. While punitive sanctions 

should not be unduly harsh, they should be substantial enough to prevent violators from profiting 

from their violations, that is, the sanction should be high enough to remove any profit incentive 

for violations. Penalties should never be permitted to be a cost of doing business. Air carriers, 

in particular, are required by law to have the financial wherewithal to operate according to 

established safety standards. While the FAA does not allow financial circumstances to excuse 

any violation, it does consider a carrier's size and financial strength in choosing the appropriate 

sanction amount. The difference in the penalties fixed in the law for large and small business 

concerns recognizes this fact. A civil penalty that may be a mere cost of doing business to a 

major air carrier might compel a small air carrier to go out of business. Therefore, the FAA uses 

air carrier size as one means of ensuring a relatively equivalent deterrent effect on each air 

carrier that violates the same FAA regulation. The resulting classification of air carriers by size 

and ranges of civil penalties are set forth in part one of the 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 of Sanction. One of the agency's goals is to achieve relative consistency in 

imposing similar sanctions for similar violations. The FAA pursues this objective to assure 

fairness and so the sanction's impact has an equivalent degree of deterrent or disciplinary value 

to others similarly situated. This goal may not always be achieved, however, because ofthe 

inherently subjective nature ofthe exercise of judgment in setting sanctions. 

I. Whether the Violation was Reported Voluntarily. 

(1) The FAA has programs that allow persons to report voluntarily apparent violations 

and receive lesser enforcement action provided certain criteria are met. These programs include 

the aviation safety reporting program, the voluntary disclosure reporting program, and the 

aviation safety action program. Besides these programs, the FAA may grant special enforcement 

consideration under certain circumstances to a person who, incident to his or her report of 

another's violations, voluntarily discloses his or her own participation in the same or related 

violations. This special enforcement consideration may range from mitigating the sanction to 

determining that no enforcement action is required. 

(2) If a person is not covered under one of these programs but nonetheless 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 FAA on steps to preclude recurrence of the 

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 of credit given in setting a sanction depends on the extent and timing 

of the corrective action, that is, how extensive was the corrective action and how quickly was it 

taken. Implementing new procedures that are above those required under the FAA's regulations 

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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 of a 

deficiency but before FAA discovery ofthe violation ordinarily warrants greater mitigation than 

corrective action that is taken only after the alleged violator receives notice ofthe FAA's 

enforcement action. Corrective action taken by an alleged violator that simply brings that person 

into compliance with the statutory or regulatory requirements is not considered in mitigation of 

sanction. To mitigate a sanction based on such corrective action would put at an economic 

disadvantage competitors who have expended the resources necessary to maintain compliance. 

5. Use of the Table of Sanctions. 

a. General. Sanction determinations are not accomplished through a strict mathematical 

formula; rather, sanction determinations result from a judgment ofwhere a case lies along a 

spectrum of gravity. Ultimately, the circumstances of each case are evaluated in terms of the 

needs of safety and the public interest. 

b. Single, First-time, Inadvertent Violations. 

(1) Part II of the table specifies both the normal types of sanction (certificate action, civil 

penalty action, or other type) and the normal ranges within those types the FAA ordinarily seeks 

to impose in a legal enforcement action for a single, first-time violation that is generally 

inadvertent (the table includes ranges of sanctions for several violations that usually are 

intentional, for example, interference with a crewmember, smoking on an aircraft). In addition, 

the table generally reflects a presumption that the alleged violator wants to comply with the law 

and to remedy any noncompliance and that the alleged violator, therefore, has a constructive 

attitude. 

(2) For factors b, d, or h ofparagraph 4 (that is, inadvertent and not deliberate conduct, 

attitude, and violation history), the FAA does not normally deviate from the ranges listed in the 

table solely based on the inadvertence ofthe violation or on the alleged violator's good 

reputation, past public service, violation-free history, or constructive attitude. Any mitigating 

circumstances are to be found in the facts and circumstances of the violation itself. 

(3) Applying ranges within a sanction type. In determining where, within each range, a 

sanction should be imposed, the FAA generally considers factors a, c, e, f, g, i, j, k, and m of 

paragraph 4 (that is, nature of the violation, level of experience, degree of hazard, action by 

employer or other authority, use of certificate, decisional law, ability to absorb sanction, 

consistency of the 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 of the range and increase that amount toward the 

higher end of the range for aggravating factors or decrease that 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 on justifiable mitigation under factorsj, I, and m of paragraph 4 

(that is, the ability to absorb the sanction, voluntary reporting, corrective action). The FAA may 

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impose sanctions above the normal ranges when the following circumstances, relating to factors 

b, d, e, and h of paragraph 4 are present: the violation is other than inadvertent4

, the violator has 

a violation history, the violation involves a significant degree of hazard, or the violator has a 

poor compliance disposition. The ranges also may be exceeded when the case involves multiple 

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

c. Types of Sanction. 

(1) GeneraL The FAA ordinarily does not initiate punitive civil penalty and punitive 

certificate actions (that is, fixed-period certificate suspensions) against a certificate holder for the 

same offense. While electing to impose one sanction is not a legal bar to a concurrent 

proceeding to 'impose another, pursuing both actions solely for punitive purposes usually is not 

necessary. The FAA takes remedial and punitive actions in the same case, however, when 

warranted. 

(2) Selecting types of sanctions. Except in exceptional circumstances, the FAA uses the 

type of sanction recommended in the table. The FAA must impose any sanction mandated by 

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 or Multiple Violations. 

a. Description of Multiple Violations. Enforcement actions often involve multiple 

violations: multiple violations of a single regulation; a single violation of multiple regulations; 

or multiple violations of multiple regulations. In addition, under 49 U.S.C. § 46301(a)(2), if a 

violation is a continuing one, each day the violation continues, or each flight for which the 

violation was committed, constitutes a separate offense. 

b. General Sanction Guidance. Multiple violations ordinarily result in high sanction 

amounts. Such sanction amounts ordinarily are not determined 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 could result 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 of the recommended amount of penalty provided for in the table for each 

violation. 

c. Single Act of Noncompliance Resulting in Mqltiple Violations. When a single 

instance Of noncompliance results in multiple violations ofgeneral and specific regulations 

involving the same or similar conduct, the FAA ordinarily does not compound the sanction to 

reflect the amount of sanction recommended in the table for each regulatory violation. In 

calculating the amount of sanction for multiple violations, FAA enforcement personnel consider 

4 When the violation is one that is generally inherently deliberate (e.g., interference with crewmember or smoking 

violations), factor b. is not considered in determining whether the sanction should be abov~ the range in the table. 

The ranges m the table for such violations already have taken into consideration the inherently deliberate nature of 

the violation. 

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the totality of circumstances relating to the multiple violations, including the alleged violator's 

degree of culpability, and whether the alleged violator had taken steps, although unsuccessful, to 

prevent the violations. 

d. Type of Legal Enforcement Action. Where this guidance designates the type of legal 

enforcement action for a single violation, the FAA ordinarily selects the same type of sanction 

for multiple violations of a similar nature. The seriousness of multiple 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 Multiple Violations Resulting From an Initial Act 

or Omission. To determine penalties for numerous multiple violations that result 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 of multiple 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. Determining Proposed 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 improperly returned to service), FAA 

enforcement personnel: 

{1) Identify each initial act or omission that caused or resulted in the multiple violations 

(for example, improper maintenance plus improper return to service; failure to maintain a quality 

control system). 

(2) Consult the table in Appendix Band the general guidance in chapter 7, paragraph 4, 

on aggravating and mitigating factors to determine the amount of penalty appropriate for each 

initial act or omission that caused or resulted in the multiple violations (for example, in 

airworthiness cases, a penalty for the act of improper maintenance or inspection; in 

manufacturing cases, a penalty for the act of failing to maintain a quality control system). 

(3) Determine the amount of penalty for the numerous multiple violations by applying 

the guidance in chapter 7, subparagraphs 7.b. through d. Of particular importance in determining 

an appropriate sanction for numerous multiple violations is the degree of the alleged violator's 

culpability for the multiple violations. A lower degree of culpability is present when the alleged 

violator neither knew nor was likely to discover the continuing violations. For example, once 

improper maintenance was done there were no signs of it from such things as discrepancies 

reported by the crew, and no inspections that would have led to its discovery were scheduled. A 

more significant degree of culpability is present when 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 continued through required 

inspections or checks designed to reveal such discrepancies; 

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• the alleged violator was not following maintenance or inspection procedures the 

FAA had approved or accepted; 

• the level ofthe alleged violator's organization that 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 not require 

management involvement; 

• the alleged violator has a history of similar violations or a history of systemic 

deficiencies. 

Knowing and willful violations connote the highest degree of culpability. 

(4) Add the penalties arrived at for the initial violation to the penalty for the multiple 

violations. · 

b. Limitations on Total Civil Penalty Amounts 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 of Appendix B. 

(2) The term isolated in Figures 7-1 and 7-2 typically describes a single instance of an 

employee's failure to follow a statutory or regulatory requirement, contrary to the company's 

• 

own practice or procedure. A case may involve a number of isolated and unrelated violations. • 

Each group of the multiple violations resulting from each isolated violation ordinarily is subject 

to the isolated, inadvertent ranges in Figures 7-1 or 7-2. 

(3) Inadvertent failures are considered systemic if they are repetitive or otherwise 

demonstrate an underlying deficiency in the alleged violator's system, practices, or procedures. 

Systemic failures generally warrant more substantial penalties and indicate a need for corrective 

action. 

( 4) The aggravating or mitigating factors and elements in chapter 7, paragraph 4. 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 or omission. Of particular 

importance is an evaluation of the seriousness of the potential hazard caused by the violation and 

the degree of culpability of the alleged violator for the multiple violations. 

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Figure 7-1. Ranges of Penalties 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 or Part 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 of Penalties 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 Outside the Ranges. 

(1) Penalties lower than the ranges. It may be appropriate to select a civil penalty amount 

below the ranges in Figures 7-1 or 7-2 if the degree of culpability is minimal, the degree of 

potential hazard is extremely low, and there are no other aggravating circumstances. 

(2) Penalties higher than the ranges. It may be appropriate to select a civil penalty higher 

than the ranges, up to the statutory maximums: 

• If the alleged violator was significantly culpabl~ in permitting the initial act or omission; 

• If the violations involve significant safety risks; 

• If there was an absence of corrective action by the alleged violator over an extended 

period oftime; 

• Where it is necessary to provide an economic disincentive for regulatory noncompliance; 

or. 

• If the alleged violator has a poor compliance disposition or history. 

d. Intentional Violations. When there is substantial and reliable evidence that the alleged 

violator knew of the violations resulting from the initial act or omission and allowed them to 

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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 of an • 

aircraft when there is evidence the operator knew the aircraft or flight was not in compliance 

with statutory or regulatory requirements, yet deliberately operated it anyway, is most serious, 

and apart from civil penalties, requires consideration of remedial certificate action. For multiple 

violations in these circumstances, any civil penalties sought may be up to the statutory maximum 

penalty for each violation, regardless ofthe number of violations. 

e. Civil Complaints. The guidance in chapter 7, paragraph 7 does not limit the amount of 

civil penalties that may be sought in a civil complaint filed in U.S. district court. 

8. Modification. 

a. Type of Sanction. Except when the FAA exercises its prosecutorial discretion to settle 

an enforcement action, the FAA generally does not modify orders suspending or revoking a 

certificate to provide for a civil penalty. The FAA 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 

of sanction, but would not ordinarily provide a basis for modifying the type of sanction. 

However, ifnewlydiscovered facts raise new issues, such as the alleged violator's qualifications 

to hold a certificate, or if they implicate a statutorily-mandated penalty, the FAA modifies the 

type of sanction. 

b. Amount of Sanction. The FAA does not apply the factors listed in chapter 7, paragraph • 

4. in a manner that would double their effect. Once the FAA has fairly considered the relevant 

mitigating and aggravating circumstances, it generally does not modify the amount of sanction. 

The FAA modifies the amount of sanction 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. At times special situations arise that dictate the 

need for more effective enforcement action through increased sanctions or other measures in a 

particular regulated area or segment of industry. When these circumstances arise, the FAA may 

set up a special emphasis enforcement program, designed to 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 Enforcement Fairness 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:~· requmng the small entity to correct the violation within a reasonable correction 

period; hmitmg the 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 by the 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 comply with 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 of their 

enforcement policies for small entities and the specific circumstances under which penalty 

reductions or waivers would be granted. Because the statute requires an agency, subject to the 

requirements and limitations of other statutes, to place conditions or exclusions on its 

enforcement policy under 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 or programs that would meet this requirement. 

b. FAA's Policy under the SBREFA. 

(1) The FAA's compliance and enforcement program includes several policies that meet 

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

policies constitute the FAA's policy mandated by SBREF A . 

(2) Under the FAA's compliance and enforcement program, for example, FAA 

investigative personnel have the discretion to address alleged violations by any person, 

including small entities, with lesser enforcement action than a civil penalty, that is, 

administrative action, provided the criteria in chapter 5 are met. There are two forms of 

administrative action: a warning notice and a letter of correction. A warning notice brings to the 

attention of the 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 of correction is similar but is intended for use when there is an agreement 

with the regulated party that corrective action acceptable to the FAA has, or within a reasonable 

period will be, taken. Administrative actions are less onerous than a waiver of penalty in that 

they neither carry a sanction nor result in a finding of violation. 

(3) Under the agency's voluntary disclosure reporting program, the FAA takes 

administrative action instead of civil penalty action aga-inst most regulated entities, including 

small entities that voluntarily report certain apparent violations to the FAA, complete corrective 

action satisfactory to the FAA to prevent their recurrence, and meet certain other criteria. 

( 4) The FAA's sanction policies have historically provided for reductions of civil 

penalties in appropriate cases based on the mitigating factors listed in chapter 7, subparagraph 4., 

which include ability to pay and whether a penalty would prevent the entity from continuing in 

business . 

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10/01/07 2150.38 

(5) For air carriers and commercial operators, the FAA also takes company size into • 

consideration in determining the appropriate amount of civil penalty. The sanction ranges in Part 

I. Definitions and Abbreviations of the table for single, inadvertent, first-time violations by U.S. 

air carriers and U.S .. commerCial operators differentiate among various sizes of such entities as a 

means of providing 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 seek penalties generally relative to the size 

and revenue of the operation for repair stations, manufacturers, airports, and other entities 

holding certi'Qcates. 

(6) Although the FAA does not reduce or waive the penalty of an alleged violator solely 

because it is a small entity, the FAA appropriately reduces a civil penalty, or elects to take 

administrative action rather than legal enforcement action, against a small entity if appropriate 

under the policies described in chapter 7, subparagraphs IO.b.(l)-(5). 

c. The Small Business Ombudsman. 

(1) The Small Business and Agriculture Regulatory Enforcement Ombudsman and 10 

Regional Fairness Boards were established to 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) Each FAA employee who conducts an inspection of a small business concern that is 

regulated by the FAA provides the small business concern with an information sheet. The • 

information sheet informs that entity that it may submit complaints or comments regarding unfair 

FAA regulatory enforcement to the National Ombudsman. The information sheet contains the 

following language: 

Our objective is to ensure a fair regulatory enforcement environment. If you feel that you 

have been treated unfairly or unprofessionally, you may contact the FAA by calling the 

FAA's Office ofRulemaking at (202)-267-3404 or by 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 contact the Small Business Administration's National Ombudsman at 1- 888-

REG-FAIR (1-888-734-3247), or www.sba.gov/ombudsman regarding the fairness ofthe 

compliance and enforcement activity of the FAA. The FAA strictly forbids retaliatory 

acts by its employees. As such, you should feel confident that you will not be penalized 

for expressing your concerns about the FAA's compliance and enforcement activities. 

11. Remedial Sanction Guidance Policy. 

a. General. 

( 1) The FAA statute requires the Administrator to promote "safe flight of civil aircraft in 

air commerce .... " 49 U.S.C. § 44701(e). As one means of achieving 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 operating certificates, air agency certificates, and air navigation 

facility certificates. 49 U.S.C. § 44702(a). For most ofthese certificates, the statute requires the 

Administrator to 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 qualified to 

hold those certificates; that aircraft and aircraft engine parts are properly designed and 

manufactured, perform properly, and meet the regulations and minimum standards prescribed 

before issuing a type certificate, and so forth. 49 U.S.C. §§ 44702-44706. Once the 

Administrator finds the applicant is qualified for the certificate applied for, the Administrator is 

required to issue the certificate in question. 

(2) Because the Administrator's responsibility to promote safety in air commerce and air 

transportation is constant, the Administrator must also take appropriate action when the 

Administrator finds, or has reason to believe, the certificate holder no longer possesses the 

qualifications required to hold a certificate. Thus, the statute provides that the Administrator 

"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 that the Administrator "may issue an order amending, modifying, suspending or 

revoking ... any part of a certificate issued under [chapter 44 7 of the statute] if. .. the 

Administrator decides after conducting a reinspection, reexamination, or other investigation that 

safety in air commerce or air transportation requires that action." 49 U.S.C. §§ 44709(a) and (b) 

(l)(A) . 

(3) Revocation is the appropriate remedy for conduct that demonstrates that a certificate 

holder lacks either the technical proficiency or the degree of care, judgment, and responsibility, 

required for the certificate and ratings held. The proper standard for revocation is not whether 

specific violations demonstrate a failure to exercise the necessary qualifications of a certificate 

holder, but rather whether the violations demonstrate that the holder has never possessed or no 

longer possesses such qualifications. Similarly, suspension until demonstration of qualification 

is appropriate when the agency has reason to believe the certificate holder may lack the required 

competence to hold a certificate and generally when the certificate holder fails or refuses 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 FAA has concluded that by their nature, some acts ofmisconduct are so 

egregious as to demonstrate the certificate holder never possessed or no longer possesses the 

qualifications required to hold any airman certificate and other certificates. Therefore, such acts 

of misconduct warrant revocation of all 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 of alcohol or drugs, or with an alcohol 

concentration of .04 percent or above, or within 8 hours of consuming 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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or state statutes are carried in the 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 of any federal or state statute relating 

to the growing, processing, manufacture, sale, disposition, possession, transportation, or 

importation of narcotic drugs, marijuana; depressant or stimulant drugs or substances involving 

the use of an aircraft, the exercise of the privileges of the alleged violator's airman certific~te to 

further the prohibited conduct, or more than one drug conviction of any kind within the scope of 

14 C.P.R.§§ 61.15(a), 63.12(a), or 65.12(a). 5 

(2) Except for cases under 49 U.S.C. §§ 44106, 44710, 44726, and 46111, there may be 

unique circumstances for which a sanction other than revocation is warranted. Because 

of the serious implications for aviation safety raised by these cases, however, FAA legal counsel 

coordinates· any decision to seek a sanction other than revocation with the Assistant Chief 

Counsel for Enforcement. In addition, legal counsel documents the basis for that decision in the 

case file. 

c. Intentionally False or Fraudulent Statements. 

(1) 1n general, the FAA considers the making of intentionally false or fraudulent 

statements so serious an offense that it results in revocation of all certificates held by the 

certificate holder. See, for example, Administrator v. 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 ofthe records on which the FAA's safety oversight depends. Ifthe reliability of 

these records is undermined, the FAA's ability to promote aviation safety is compromised. 

. (2) The FAA has handled differently one area of intentional falsification - omitting 

information related to 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) Bulletin No. 90-2, issued on February 6, 1990, the agency's policy called 

for the following sanctions: revoking the alleged violator's current medical certificate, if any, 

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 current medical and any airman 

or ground instructor certificates when the falsification involved omitting information on more 

than one DUI conviction, or a conviction for more than simple possession, or more than two drug 

convictions of any type. 

(3) The FAA has reevaluated the sanction guidance contained in C & E Bulletin 

5 A drug conviction within the 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 or the exercise of the privileges of the alleged violator's certificate also can warrant revocation in some 

circumstances. Revocation is appropriate where the totality of the circumstances underlying the conviction indicates 

that the alleged violator lacks the judgment, responsibility, and compliance attitude required of an airman. This 

determination must be made on a case-by-case basis. 

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No. 90-2, and has concluded that the sanction guidance for fraudulent or intentional falsification 

should be the same regardless of the type of case involved. The FAA has determined that 

falsification in the cases described inC & E Bulletin No. 90-2 has the same potentially adverse 

consequences for aviation safety as does falsification of any other record. In essence, a person 

who fraudulently or intentionally falsifies these records demonstrates the same lack of care, 

judgment, and responsibility as a person who falsifies any other aviation safety-related records. 

To correct the anomaly created by C & E Bulletin No. 90-2, the FAA rescinds the sanction 

guidance regarding intentionally false or fraudulent statements in that bulletin and withdraws the 

Notice ofEnforcement Policy found at 54 Fed. Reg. 15144 (1989). 

12. General Guidance for Using the Sanction Guidance Table for Unruly Passenger 

Conduct Under 49 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 of unruly conduct by a passenger subject to the provisions of 49 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 under 49 U.S.C. § 46318. 

The sanction guidance tables do not supplant the agency's judgment or its prosecutorial 

discretion in evaluating a particular case for enforcement action. 

(2) Whether a particular passenger's unruly act warrants a sanction within or outside the 

sanction range, or in the exercise of prosecutorial discretion a decision not to proceed with 

enforcement action depends on the totality of the circumstances in a particular case. Where the 

mitigating and aggravating factors described in chapter 7, paragraph 4 are also present in a 

49 U.S.C. § 46318 case, FAA enforcement personnel applying the sanction ranges at Appendix 

B, part II, Figure B-3-p consider those factors in selecting an appropriate sanction within or 

outside the range. The variety of conduct subject to 49 U.S.C. § 46318 and the varied facts and 

circumstances within which unruly conduct may occur, may also warrant consideration of other 

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 Aggravating Factors to Consider. In addition to the factors described in 

chapter 7, paragraph 4, FAA enforcement personnel consider other potentially aggravating 

factors in chapter 7, subparagraphs 12.b.(l)-(7) in the selection of an appropriate sanction within 

or outside the sanction range. 

(I) The severity of the unruly conduct. The severity of the conduct may be indicated by 

several factors, including: 

• The physical characteristics of the individual committing the unruly conduct 

contrasted with those of the victim. 

• The nature of the conduct itself. 

• The extent of any injury inflicted . 

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(2) Whether the unruly conduct occurred when the aircraft was in flight or while • 

passengers were boarding or deplaning. Certain unruly conduct that occurs during flight or on a 

crowded boarded 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 crewmember has 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) Whether the unruly passenger provoked the situation that resulted in the unruly 

conduct. For instance, a passenger who instigates a confrontation, or a passenger who mixes 

alcohol with prescribed or over-the-counter drugs that the passenger claims precipitated the 

unruly conduct. 

( 5) Whether the unruly conduct necessitated that the flight be diverted from its intended 

destination. 

(6) Whether the unruly conduct necessitated that the 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. Additional Mitigating Factors to Consider. The factors listed in chapter 7, 

subparagraphs 12.c.(l)-(3) may j\Jstify a sanction below the sanction range, or in the agency's 

prosecutorial discretion, may justify a decision not to prosecute a passenger's unruly conduct. 

(1) Whether the unruly passenger has already served a criminal sentence for the same 

conduct or has already made monetary restitution in the context of a criminal prosecution for the 

same conduct. 

(2) Whether the passenger's unruly conduct was caused by a diagnosed medical or 

mental condition for which the passenger was receiving medical treatment. 

(3) Whether the unruly conduct was a reasonable response to a provocation by another. 

However, a passenger's use of unreasonable 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 "Imminent Threat" to Safety 

of the Aircraft or Others on Board the Aircraft. 

(1) The sanction range at Appendix B, part II, Figure B-3-p for an act that poses an 

imminent threat to safety of aircraft or other individuals on the aircraft applies when there is an 

imminent threat to the safety of the aircraft or to the collective safety of others on board the 

aircraft. For example, a passenger attempting to open an emergency exit door would be an 

imminent threat to the safety of the aircraft. If the imminent threat to safety is directed to 

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specific individuals on the aircraft, then the sanction range for physical assault or threatened 

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 enforcement personnel consider whether the resultant 

imminent threat was the unintended consequence of the passenger's careless or reckless act or 

whether the passenger intended the consequences. The former would justify a sanction toward 

the low end of the range, while the latter would justify a sanction toward the maximum range. 

e. Applicable Sanction Ranges for Security Officers or Others Assigned a Law 

Enforcement Function on a Flight (for example, Federal Air Ma~shals Assigned to the 

Flight). FAA enforcement personnel 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 Multiple Acts. 

When applying the table to multiple acts by an unruly passenger, FAA enforcement personnel 

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 of multiplying the number of separate acts of unruly 

behavior by a sanction amount in the range for a single act. Instead, they use the guidance in the 

table and exercise their judgment as to the seriousness of the conduct, given the totality of 

circumstances, to determine an appropriate sanction amount that will deter future violations by 

the unruly passenger and others similarly situated . 

7-21 
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AppendixB 

Table of Sanctions 

All Enforcement Programs 

Except Hazardous Materials 

Part One- Abbreviations and Definitions 

2150.38 

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

October 1, 2007. For violations occurring before October 1, 2007, FAA enforcement personnel 

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

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

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

APIS means approved production inspection system 

AIW means airworthiness 

A WC means airworthiness certificate 

BTS means Under Secretary for Border and Transportation Security 

IA means inspection authorization 

LE means law enforcement 

·pc means production certificate 

STC means supplemental type certificate 

TC means type certificate 

TFR means Temporary Flight Restriction 

TSA means Transportation Security Administration 

3. Definitions: 

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

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

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

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

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

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

violations are ongoing. 

b. Violation committed by a small business concern. Section 503 of Vision 1 00---Century 

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

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

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

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

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

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

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

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

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

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

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

C.F .R. § 121.105. The SBA regulations further define small business concern in tables, 

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

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

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

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

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

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

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

numbers of employees, unless otherwise noted). 

Manufacturing 

Aircraft- I,500 employees 

Aircraft engine and part- I,OOO employees 

Other aircraft part and equipment- 1,000 employees 

Air transportation 

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 air traffic control - $6.5 million annual receipts 

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

That is not a statutory or regulatory term for purposes ofF AA enforcement. It includes each 

business concern that exceeds the maximum limit for SP1all business concern,· as well as any 

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

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

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

defined in subparagraphs (1) through (9) of this paragraph. Note that the middle of each 

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

factors . 

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

OPERATOR. 

CLASSIFICATION OF AIR CARRIER AND OPERATOR 

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

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

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

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

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

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

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

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

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

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

pilots or 6 to 24 aircraft. 

GROUP IV- Each air carrier or commercial operator operating under part 135 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-$4,3 99 

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

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

Maximum 

Moderate 

Minimum 

$850-$1,100 

$650-$849 

$500$649 

GROUP II -large business concern: 

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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) but not under 49 

U.S.C. § 46301(a)(5)(A): 

Maximum $500-$1,100 

Moderate $300-$499 

B-4 
10/01/07 2150.38 

Minimum $100-$299 

(2) VIOLATION COMMITTED BY PART 129 OPERATOR 

Maximum $18,750-$25,000 

Moderate $10,000-$18,749 

Minimum $2,000-$9,999 

(3) VIOLATION COMMITTED BY PART 125 OPERATOR. 

Large Business Concern: 

Maximum $16,250-$25,000 

Moderate $8,750-$16,249 

Minimum $1,850-$8,749 

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

Maximum $8,250-$11,000 

Moderate $3,850-$8,249 

Minimum $935-$3,849 

Small Business Concern (for violations covered under 49 U.S.C. § 46301(a)(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 AIR AGENCY (INCLUDING REPAIR STATION). 

Large Business Concern: 

Maximum $16,250-$25,000 

Moderate $8,750-$16,249 

Minimum $1,850-$8,749 

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

Maximum $7,150-$11,000 

Moderate $3,850-$7,149 

Minimum $935-$3,849 

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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, I 00 

Moderate $450-$749 

Minimum $250 $449 

(5) VIOLATION COMMITTED BY AIRPORT OPERA TOR. 

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, I 00-$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 NOT HOLD CERTIFICATE 

Maximum $I8, 750-$25,000 

Moderate $10,000-$18,749 

Minimum $2,000-$9,999 

(7) SMALL BUSINESS CONCERN- DOES NOT HOLD CERTIFICATE 

For violations covered under 49 U.S.C. § 4630I(a)(5)(A): 

Maximum $4,400-$11,000 

Moderate $2,200-$4,399 

• Minimum $550-$2,199 

B-6 
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For violations covered under 49 U.S.C. § 46301(a)(1)(A) or (B) but not under 49 

U.S.C. § 46301(a)(5)(A): 

Maximum $500-$1,100 

Moderate $300-$499 

Minimum $100-$299 

(8) VIOLATION RELATING TO THE TRANSPORTATION OF A HAZARDOUS 

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

AIRCRAFT NOT USED TO PROVIDE AIR TRANSPORTATION, 

THE LIMITATION ON THE CONSTRUCTION OR ESTABLISHMENT OF A 

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

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

Group I Air Carrier or Operator): 

Maximum $16,250-$25,000 

Moderate $8,750-$16,249 

Minimum $1,850-$8,749 

Small Business Concern (if not within a more specific category for example, Group II 

Air Carrier or Operator) or Individual: 

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

Maximum $4,400-$11,000 

Moderate $2,200-$4,399 

Minimum $550-$2,199 

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

(9) OTHER VIOLATION COMMITTED BY AN INDIVIDUAL. 

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

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

Maximum $850-$1,100 

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Moderate 

Minimum 

$650-$849 

$500-$649 

OTHER INDIVIDUAL- NOT SERVING IN CAPACITY OF AIRMAN. 

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

Maximum 

Moderate 

Minimum 

$4,400-$11,000 

$2,200-$4,3 99 

$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) ENGINEERING AND 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 

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

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

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

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

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

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

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

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

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

penalty as recommended in the following tables. 

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

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

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

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

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

the following tables. 

Part Two- Sanction Guidance Tables 

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

Operators. 

Fig. B-1-a. Maintenance Manual 

Fig. B-1-b. A/W Directive 

Fig. B-1-c. Operations Specifications 

Fig. B-1-d. Facilities and Equipment 

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

Fig. B-1-f. Training Program 

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

Fig. B-1-h. Performance of Maintenance 

Fig. B-1-i. SPAR 36 

Fig. B-1-j. Records and Reports 

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

Fig. B-1-1. Operation ofunairworthy aircraft 

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

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

Fig. B-1-o. Other provisions 

Fig. B-1-p. Operations at airports requiring slots 

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

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

Fig. B-2-b. Inspection 

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Fig. B-2-c. Records and Reports 

Fig. B-2-d. Flight operations 

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

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

2150.38 

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

Maintenance Personnel. 

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

Fig. B-3-b. Repair Stations 

Fig. B-3-c. ID Plate Violations 

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

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

Fig. B-3-f. Student Operations 

Fig. B-3-g. Flight Instructors 

Fig. B-3-h. Other Violations 

Fig. B-3-i. Weather Operations 

Fig. B-3-j. 14 C.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 of drugs or 

alcohol; consumption of alcohol before operating an aircraft 

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

Fig. B-3-n. Miscellaneous 

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

Fig. B-3-p. Unruly passengers 

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

4. DUIIDWI Program, Falsification of Drug Convictions and Airman Medical 

Certificate Violations. 

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

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

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

5. Drug and Alcohol Testing Violations. 

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

Fig. B-5-b. Coverage 

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

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

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

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

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

B-10 
10/01/07 

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

Fig. B-5-i. Retesting covered employees 

Fig. B-5-j. Inappropriate testing 

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

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

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

Fig. B-5-n. Employee Assistance Program 

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

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

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

Fig. B-5-r. Specimen collection 

Fig. B-5-s. Laboratory issues 

Fig. B-5-t. Alcohol testing 

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

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

6. Airport Operators. 

Fig. B-6-a. Certification 

Fig. B-6-b. Certification Manual 

Fig. B-6-c. Operations 

7. Violations of Noise Provisions. 

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

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

Fig. B-8-a. PRIA 

9. Engineering and Manufacturing Violations. 

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

Fig. B-9-b. Production Certificate Holders 

2150.38 

Fig. B-9-c. Designees 

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

Letter of Acceptance Manufacturers 

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

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

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

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

10. Aircraft Owner/Operator Registration Violations. 

Fig. B-10. Registration 

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

Approval. 

Fig. B-11. 

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

PART 129 OPERA TORS. 

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

Action 

(I) Failure to maintain current manual 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 of aircraft without required equipment Moderate to Maximum Up to 7-day 

suspension 

Fig. B-1-b. AIW Directive 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 of facilities and equipment Suspension 

until proper 

~ 

servicing, 

maintenance, 

repair and 

inspection of 

facilities and 

equipment is 

provided to 

Revocation 

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

Action • 

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

inspection organization Suspension 

until an 

appropriate 

maintenance 

and 

inspection 

organization 

is provided to 

Revocation 

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

Action 

(1) Failure to have training program Maximum Indefinite 

Suspension 

until 

compliance 

to 

Revocation 

(2) Failure to maintain training program Moderate to Maximum 

(3) Failure to train persomtel adequately Moderate to Maximum 

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

Action 

(2) 

(1) 

Failure 

Incomplete 

to revise 

or unsigned 

ale data 

release 

after repair 

Minimum 

Moderate to 

to 

Maximum 

Maximum • 

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

Action 

_(11 By_ unauthorized person Maximum 

(2) Failure to perform or improper maintenance Moderate to Maximum 

Fig. B-1-i. SFAR 36 Civil Penalty Certificate 

Action 

(1) Failure to comply- second offense Maximum 

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

(1) Deliberate violation 

(a) Intentionally false or fraudulent entry, Revocation 

reproduction, or alteration in record or 

report 

(b) Other 180-day 

Suspension 

to 

Revocation 

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

Action 

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

rej)ort 

(3) Failure to make available report of major 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 pilot record Moderate to Maximum Indefinite 

Suspension 

to 

Revocation 

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

Suspension 

to 

Revocation 

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

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

Action 

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

Fig. B-1-1. Operation of unairworthy 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, or has, adverse Moderate to Maximum 

effect on safe operation 

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

suspension 

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

Action 

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

appears to be intoxicated 

_{2} Failure to brief passengers ~ Moderate to Maximum 

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

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

(5) Failure to store baggage properly . Moderate 

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

Action 

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

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

enroute ins2_ector 

• B-14 
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Fig. B-1-n. Provisions specific to flight deck crew cont. Civil Penalty Certificate 

Action 

(3) Use of unqualified crewmember Maximum 

(4) Flight and Duty Time violation Moderate 

Fig. B-1-o. Other provisions Civil Penalty Certificate 

Action 

( 1) Improperly Returning Aircraft to service Maximum 

(2) Illegal carriage of controlled substance with knowledge of Revocation 

carrier, that is, knowledge of, or involvement in, conduct by 

top management personnel 

(3) Use of unqualified personnel other than flight deck Maximum 

crewmember 

Fig. B-1-p. Operations at airports requiring slots Civil Penalty Certificate 

Action 

(1) Operation without a reservation from ATC Moderate 

(2) Operation with a reservation, but at the wrong time Moderate 

(3) Use of international slot for domestic flight Moderate 

(4) Use of aircraft not meeting criteria in Moderate 

14 C.P.R.§ 93.123(c)(2) in commuter slot 

2. PERSONNEL OF AIR CARRIERS, COMMERCIAL OPERATORS, AND PART 125 

OPERATORS. 

Fig. B-2-a. Maintenance, including inspection Civil Penalty Certificate 

Action 

(1) Performing maintenance without certificate, rating, or Maximum 

authorization 

(2) Performing maintenance that 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 improper inspection ~ 30-to 120-

day 

Suspension 

(3) Improper release of aircraft to service 30 to 60-day 

Suspension 

( 4) Releasing aircraft for service without required equipment 30 to 60-day 

Suspension 

8-15 

• 

• 

• 
10/01/07 2150.38 

• 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-off work or inspection 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) Failure to 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 off runway, 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-16 
10/01/07 2150.38 

Fig. B-2-d. Flight operations cont. Civil Penalty Certificate 

Action 

(c) In excess of maximum gross weight 60- to 120-

day 

Suspension 

(4) Enroute 

(a) Deviating from clearance or instruction 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 without required equipment 15- to 120-

day 

Suspension 

(h) Fuel mismanagement or exhaustion 30- to 150-

day 

Suspension • 

(i) Unauthorized manipulation of controls 30- to 90-day 

Suspension 

_(5) Ap_proach to landing 

(a) Deviating from clearance or instruction 30- to 90-day 

Suspension 

(b) Approach below weather 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 3 0- 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) Counterfeit parts 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 or rating 

(e) Making and incorrect statement on an 

application for a medical certificate 

~ 

(f) Carriage of illegal drugs (controlled 

substances) on aircraft 

• B-18 

Civil Penalty 

Civil Penalty 

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 

of certificates 

authorized 

under 

applicable 

part of 14 

CPR 

Indefinite 

Suspension 

(pending 

correction of 

application 

and 

determination 

of 

qualification) 

or 

Revocation 

of medical 

certificate 

Revocation 
10/01/07 2150.38 

Fig. B-2-e. Other provisions applicable to individual Civil Penalty Certificate 

(2) 

certificate 

Violation 

holders 

of noise 

cont. 

or sonic boom standard or regulation 

Action 

Suspension • 

under 49 U.S.C. § 44709(b)(1)(B) to 

Revocation 

(3) Violation of Section 13(a) of Fish & Wildlife Act of 1956 Suspension 

under 49 U.S.C. § 44709(b)(2) to 

Revocation 

( 4) Flight deck crew operations 

(a) Allowing unauthorized manipulation of controls Revocation 

by uncertificated individual attempting to set record 

under 49 U.S.C. § 44724(a) 

(b) Acting or attempting to act as a crewmember 

under the influence of drugs or alcohol; 

consum_ption of alcohol before <>Qerating an aircraft 

(i) Consuming alcohol within 8 hours before Revocation 

operating aircraft 

(ii) Under the influence of alcohol Revocation 

(iii) While using any drug that affects the Revocation 

crewmembers faculties in any way contrary to 

safety 

(iv) Alcohol concentration .04 percent or above Revocation 

(v) Refusal of proper request from LE official to Revocation 

submit to alcohol test 

(c) Violation of sterile cockpit rule 30- to 90-day 

Suspension 

(d) Unauthorized admission to flight deck 

Suspension 

30- to 90-day • 

(e) Failure to close and lock flight deck door 30-day 

SusQ_ension 

(t) Failure to 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 without valid 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 and qualification 30- to 90-day 

Suspension 

(a) Operating when a valid medical certificate had 30- to 90-day 

not been issued Suspension 

B-19 • 
• 

• 

• 

10/01/07 2150.38 

Fig. B-2-e. Other provisions applicable to individual Civil Penalty Certificate 

certificate holders cont. Action 

(b) Lack oftype rating 180-day 

Suspension 

to 

Revocation 

(c) Missed proficiency check or line check 30- to 90-day 

Suspension 

(d) Lack of current experience 30- to 90-day 

Suspension 

(e) Failure to have current airman or medical Minimum to Moderate 

certificate in possession 

(f) Lack of initial or recurrent training 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 Civil Penalty Certificate 

Action 

(I) Failure to keep manual current Minimum 30- to 90-day 

Suspension 

3. INDIVIDUALS AND GENERAL AVIATION- OWNERS, PILOTS, REPAIR STATIONS, 

PILOT SCHOOLS, MAINTENANCE PERSONNEL. 

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 improper performance of Moderate to Maximum 

maintenance, including required maintenance 

(3) Failure to make proper entry in aircraft log Minimum to Moderate 

(4) Operation of aircraft beyond annual, 100-hour, or Minimum to Moderate 

progressive inspection 

(5) Operation ofunairworthy aircraft Moderate to Maximum 

(6) Intentionally false or fraudulent entry, reproduction, or Maximum Revocation 

alteration in any record or report 

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 

8-20 
10/01/07 2150.38 

Fig. B-3-b. Repair Stations cont. Civil Penalty Certificate 

Action 

(2) Failure to provide qualified personnel who can perform, Maximum Indefinite 

supervise, and inspect work for which the station is rated Suspension 

until 

compliance 

to 

Revocation 

(3) Failure to maintain record of supervisory or inspection Moderate to Maximum 

personnel 

(4) Failure to maintain record Moderate to Maximum 

(5) Failure to ensure that correct calibration of all inspection Minimum to Maximum 

and test equipment is accomplished at prescribed intervals 

(6) Failure to adequately describe work performed Minimum to Moderate 

(7) Failure of mechanic to make log entry, record, or report Moderate to Maximum 

(8) Failure to sign or complete maintenance release Minimum to Moderate 

(9) Inspection of work performed, or approval for return to Maximum Up to 30-day 

service, by other than a qualified inspector Suspension 

(10) Failure to have an adequate inspection system that Moderate to Maximum Up to 30-day 

produces satisfactory quality control 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) Failure to perform or properly 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 

station 

propeller, 

is not 

instrument, 

rated 

radio, or accessory for which the repair or 

Revocation • 

(14) Failure to report defect or unairworthy condition to Moderate to Maximum 

FAA in a timely manner 

(15) Failure to satisfy housing_ and facility requirement Moderate 

(16) Change of location, housing or facilities without written Moderate 

ap_pJoval 

(17) Operating as a certificated repair station without a repair Maximum 

station certificate 

(18) Failure to permit FAA to inspect Maximum Indefinite 

Suspension 

until 

Compliance 

(19) Failure to perform inspection properly on part 125 ~ Moderate 

aircraft 

(20) Failure to comply with SF AR 36 - Second offense Maximum 

(21) Failure to 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), Improper removal, changing, or 

lacin of identification information on a roduct 

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

(1) Knowingly permitting school aircraft to be used for 

unlawful carriage of controlled substances 

(2) Refusal to permit inspection of facilities, equipment, 

personnel, records, or certificate 

(3) False advertising 

(4) Failure to carry checklist or operator's handbook 

(5) Improper crediting to, or graduation 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 or maintain training record 

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

(1) Failure to revise aircraft dat~ after major repair 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 

(3) 

cont. 

Failure of mechanic to accomplish inspection properly 

Action 

30- to 60-day • 

Suspension 

(4) Failure of mechanic to record inspection 15- to 30-day 

Suspension 

(5) Failure ofiA holder to accomplish inspection properly 60-day 

Suspension 

to 

Revocation 

ofiA 

(6) Failure ofiA holder to 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 return to service 30- to 120-

day 

Suspension 

(10) Failure to make maintenance record entry 30- to 60-day 

Suspension 

(11) Failure to set forth adequate description of work 15- to 30-day 

performed Suspension 

(12) Intentionally false or fraudulent 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 without required endorsement 45- to 90-day 

Suspension 

(3) Operation on international flight 60- to 90-day 

Suspension 

(4) Use of aircraft in business 30- to 120-

day 

Suspension 

(5) Operation for com_Qensation or hire ~ Revocation 

Fig. B-3-g. Flight Instructors Civil Penalty Certificate 

Action 

(I) False endorsement of any student pilot record 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 

8-23 • 
10/01/07 2150.38 

• Fig. B-3-h. Other Flight Violations Civil Penalty Certificate 

Action 

(I) Certification and qualification 

(a) Operation when a valid pilot 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 qualifiedor when 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 3 0- to 90-day 

Suspension 

(6) Taxiing, takeoff, or landing without a clearance, where 30- to 90-day 

A TC tower is in operation Suspension 

(7) Failure to 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 

(I 0) Operation in Class C airspace without maintaining 30- to 60-day 

contact with A TC Suspension 

(II) Operation contrary to a NOT AM 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-24 
10/01/07 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 of way 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, or vehicle -congested area day 

Suspension 

(22) Failure to maintain required minimum altitudes over 30- to 120-

structure, person, or vehicle - sparsely populated area day 

Suspension 

(23) Failure to maintain radio watch while under IFR 30- to 60-day 

Suspension 

(24) Failure to report compulsory reporting point under 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 or prohibited area (including 30- to 90-day 

a TFR} or Class A airspace Suspension 

(28) Unauthorized dropping of object from aircraft 30- to 60-day 

Suspension 

(29) Unauthorized towing 3 0- to 60-day 

Suspension 

(30) Acrobatic flight on airway, over congested area, below 90- to 180-

minimum altitude, etc. day 

Suspension 

(31) Taking offwith insufficient fuel 30- to 150-

day ~ Susp_ension 

(32) Fuel mismanagement or exhaustion 30- to 150-

day 

Suspension 

(33) Operating so as to cause a collision hazard 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) Failure to 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 of controlled airspace day 

Suspension 

(5) Operating VFR under 1,000 foot ceiling within Class D 30- to 120-

airspace day 

Suspension 

(6) Failure to comply with IFR landing minimum 45- to 180-

day 

Suspension 

(7) Failure to 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 off from, closed runway 30- to 60-day 

Sus_l)ension 

(4) Landing on, or taking off from, 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 off runway, taxiway, or ramp 30- to 90-day 

Suspension 

Fig. B-3-k. Passenger operations \ Civil Penalty Certificate 

Action 

( 1) Carrying passenger who is under the influence of drugs or 30- to 120-

alcohol day 

Suspension 

• B-26 
10/01/07 2150.38 

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

(2) Performing acrobatics when not all passengers are 

Action 

60- to 90-day • 

equipQ_ed with approved parachutes Suspension 

(3) Use of unapproved parachute 30- to 60-day 

Suspension 

(4) Permitting unauthorized parachute jumping 30- to 90-day 

Suspension 

(5) Carrying passenger without required recent flight 30- to 120-

experience day 

Suspension 

(6) Operation without an approved seat or berth and approved 30- to 60-day 

safety belt for each person on board the aircraft required to Suspension 

have them during takeoff, en route flight,.and landing 

Fig. B-3-1. Acting or attempting to act as a crewmember Civil Penalty Certificate 

under the influence of drugs or alcohol; consumption of Action 

alcohol before operatin2 an aircraft 

(1) Consuming alcohol within 8 hours before operating Revocation 

aircraft 

(2) Under the influence of alcohol 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 of proper request from LE official to submit to 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 violation under 49 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 - of certificates 

application or a certificate or rating authorized 

under 

applicable 

part of 14 

CFR 

B-27 • 
10/01/07 2150.38 

• Fig. B-3-n. Miscellaneous Civil Penalty Certificate 

Action 

(1) Allowing unauthorized manipulation of controls by Mandatory 

uncertificated individual attempting to set record under Revocation 

49 U.S.C. § 44724(a) 

(2) Carriage of illegal drugs (controlled substances) on Revocation 

aircraft 

(3) Conducting operation without required operating 60- to 120-

certificate day 

Suspension 

(4) Misuse of an airport-approved identification medium Moderate to Maximum 

(5) Making an incorrect statement on an Indefinite 

application for a medical certificate Suspension 

(pending 

correction of 

application 

and 

determination 

of 

qualification) 

or 

Revocation 

of medical 

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) Operation with a reservation from ATC, but at the wrong Minimum to 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 of flight or cabin crewmember $1,100-$8,000 

under49 U.S.C. § 46318 

(3) Physical assault of individual other than a crew member $500- $5,000 

under 49 U.S.C. § 46318 

( 4) Threaten to physically assault flight or cabin crewmember $1,100-$5,000 

under 49 U.S.C. § 46318 

(5) Threaten to physically assault individual other than flight $500-$5,000 

or cabin crewmember under 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 manner that poses imminent threat to safety of $5,000- $25,000 

aircraft or other individuals on aircraft under 49 U.S.C. § ($5,000- $27,500 for 

46318 violations after 6/ 15/2006) 

Fig. B-3-q. Other Violations 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 seat belt while seat belt sign is lighted Minimum to Moderate 

(5) Failure to occupy an approved seat or berth with a safety Minimum to Moderate 

belt, and, if installed, shoulder harness 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 CONVICTIONS AND AIRMAN 

MEDICAL CERTIFICATE VIOLATIONS 

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

Action 

(1) Intentionally false or fraudulent entry on medical Revocation 

certificate application regarding a DUI conviction or of all airman 

administrative action under 14 C.F .R. § 67.403(a)(1) and medical 

certificates 

(2) Making an incorrect statement on 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 

of medical 

- certificate 

(3) Failure to report a motor vehicle action (MV A) under 14 15- to 45-day 

C.P.R.§ 61.15(e) Suspension 

of all 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 

of all 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) of all 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 of all 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 of all airman 

14 C.P.R. § 67.403(a)(2) and medical 

certificates 

(3) Reproduction of a medical certificate for fraudulent Revocation 

purpose under 14 C.P.R.§ 67.403(a)(3) of all airman 

and medical 

certificates 

( 4) Alteration of medical certificate under Revocation 

14 C.P.R. § 67.403(a)(4) of all 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 

of medical 

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 

of all part 61, 

63, or 65 

certificates 

• B-30 
10/01/07 

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

cont. 

(2) Multiple convictions for simple possession* 

(3) Conviction(s) for other than simple possession* 

Civil Penalty 

2150.38 

Certificate 

Action 

120-day 

Suspension 

to 

Revocation 

of all part 61, 

63, or 65 

certificates 

Revocation 

of all part 61, 

63, or 65 

certificates 

*It may be appropriate, in the exercise ofprosecutorial discretion, not to take enforcement action when 

a conviction is several years old when discovered by the FAA and there is evidence that the certificate 

holder has been rehabilitated such that the individual can be expected to conform his or her conduct to 

safety requirements. 

5. DRUG AND ALCOHOL TESTING VIOLATIONS. 

Fig. B-5-a. Drug and Alcohol Testing Violations Civil Penalty Certificate 

Action 

( 1) Failure of an air carrier operating under part 121 or part Moderate 

135 operator to obtain an or>_erations specification 

(2) Failure of a part 145 operator (that opts to have its own Moderate 

drug program and AMPP) to obtain an operations 

specification 

(3) Failure of a Section 135.l(c) or non-FAA air traffic Moderate 

control facili~ to submit a registration to the FAA 

(4) Failure of a contractor (that opts to have its own drug and Moderate 

alcohol programs) to submit a registration to the FAA 

(5) Failure to implement or maintain continuous coverage in Maximum Indefinite 

an FAA antidrug program and/or AMPP in accordance with Suspension 

Appendices I and/or J pending 

compliance 

or 

Revocation 

Fig. B-5-b. Coverage Civil Penalty Certificate ~ Action 

(1) Failure to include 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 prevention program 

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 of the pre-employment testing 

re uirement 

(2) Failure to pre-employment drug test an individual and/or Maximum 

receive a negative drug test result prior to hiring or 

transferrin that individual for a safet -sensitive function 

(3) Failure to pre-employment drug test before hiring or Moderate 

transferring an individual into a safety-sensitive position if 

more than 180 days elapse between a pre-employment test 

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) Failure to meet the minimum annual percentage rate for Moderate 

random drug and/or alcohol testing 

(3) Failure to use a scientifically valid method of random Moderate 

selection 

(4) Failure to ensure that random drug and/or alcohol tests Moderate 

are unannounced 

(5) Failure to ensure the dates for administering random tests Minimum 

are spread reasonably throughout the calendar year 

(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 testing just before the employee Minimum 

is to perform a safety-sensitive function, during or just after 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, if that employee's 

performance either contributed to an accident or cannot be 

completely discounted as a contributing factor to the accident. 

(2) Failure to post-accident drug test an employee within 32 Maximum 

hours after the accident. 

(3) Failure to conduct post-accident alcohol testing on an - Maximum 

employee within 8 hours after the 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 8 hours. 

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 of using 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 

(2) 

suspicion 

Reasonable 

alcohol 

cause 

testing 

drug 

cont. 

testing of individuals without a Moderate 

Action • 

reasonable and articulable belief that the employee is using a 

prohibited drug on the basis of specific, contemporaneous 

physical, behavioral, or performance indicators of probable 

drug use 

(3) Reasonable suspicion alcohol testing of individuals when Moderate 

reasonable suspicion of alcohol misuse has not been 

determined by a trained supervisor based on specific, 

contemporaneous, articulable observations concerning the 

appearance, behavior, speech or body odor of the emQl9yee 

(4) Failure to prepare and maintain on file a record stating the 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 of or impaired by alcohol 

Fig. B-5-g. Return to duty drug and alcoho 1 testing Civil Penalty 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 submit to a required drug test or 

received a verified positive drug test result 

(2) Failure to receive a verified negative return to duty drug Maximum 

test result for an individual prior to the individual's return to a 

safety-sensitive function 

(3) 

individual 

Failure 

who 

to administer 

engaged in 

a 

prohibited 

return-to-duty 

conduct 

alcohol 

prior 

test 

to 

on an Maximum • 

returning him or her to a safety-sensitive function. 

(4) Failure to ensure that the employee has received an alcoho Maximum 

test result with an alcohol concentration ofless than 0.02 on a 

return-to-duty test prior to resuming the performance of safetysensitive duties 

Fig. B-5-h. Follow-up drug and alco hoi testing Civil Penalty Certificate 

Action 

(1) Failure to implement a reasonable program of Maximum 

unannounced testing for each individual who has been hired to 

perform or who has been returned to the performance of a 

safety-sensitive function after refusing to submit to a test, . receiving a verified positiv~ drug test result, 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 of an employee 

(3) Failure to discontinue follow-up testing after 60 months Moderate 

from the date the individual returned to a covered function 

( 4) Failure of a substance abuse professional to determine the Maximum 

number and frequency of follow-up tests 

8-33 • 
10/01/07 2150.38 

• Fig. B-5-h .. Follow-up drug and alco hoi testing cont. Civil Penalty Certificate 

Action 

(5) Failure to ensure that follow-up alcohol testing of a Minimum 

covered employee only occurs just before the employee is to 

perform safety-sensitive functions, during, or just after the 

employee has ceased covered functions 

Fig. B-5-i. Retesting covered employees Civil Penalty Certificate 

Action 

(1) Failure to retest a covered employee with an alcohol Maximum 

concentration of greater than .02 and less than .04 when the 

employer has chosen to permit the employee to perform a 

safety-sensitive function within 8 hours of alcohol 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 or FAA Authority Moderate 

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

Action 

• (I) Failure to permit the Administrator or the Administrator's Maximum Indefinite 

representative to examine records Suspension 

pending 

compliance 

to 

Revocation 

(2) Failure to conduct drug and alcohol records check required Moderate 

under 49 C.F .R. § 40.25 

(3) Failure to provide drug and alcohol testing records Moderate 

requested under 49 C.P.R. § 40.25 

(4) Using an employee to perform safety-sensitive functions Moderate 

after obtaining information that the employee violated DOT 

drug and alcohol regulations, without obtaining information 

that the employee complied with return-to-duty requirements 

(5) Failure to notify the FAA of a medical certificate holder Moderate 

(issued under part 67), who tested positive on a DOT drug t~st, 

within twelve working days of the date of the verified positive 

result 

(6) Failure to notify the FAA of a medical certificate holder Moderate 

(issued under part 67), who engaged in prohibited alcohol 

conduct, within two working days of the violation date 

(7) Failure to notify the FAA of the refusal to submit to Moderate 

testing by a part 61, part 63, or part 65 certificate holder within 

five working days of the refusal to test 

• B-34 
10/01/07 2150.38 

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

(8) Knowingly using any person to perform any safety- Maximum 

Action 

Indefinite • 

sensitive function after being permanently precluded from Suspension 

performing that safety-sensitive function pending 

compliance 

to 

Revocation 

(9) Failure to submit an annual drug and alcohol (MIS) report Minimum 

in accordance with AQQendices I and J 

(10). Failure to maintain records of an employee's drug Moderate 

rehabilitation, the drug test collection process, training, and/or 

negative drug test results 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 of employee alcohol test Moderate 

results of0.02 or greater for the required timeframe 

(14) Failure to maintain records related to violations of Moderate 

sections 65.46a, 121.458, or 135.253 for the required 

time frame 

(15) Failure to maintain documentation of refusals, calibration Moderate 

documentation, employee evaluations and referrals, and copies 

of annual reports (MIS) for the required timeframe 

(16) Failure to maintain records related to all test results Minimum 

below 

(17) Failure 

0.02 for 

to 

the 

submit 

required 

an annual 

timeframe 

report (MIS) in the form and Minimum • 

manner prescribed by the Administrator 

(18) Failure to submit an annual report (MIS) by March l5 1

h Minimum 

(19) Releasing alcohol testing information without the Maximum 

appropriate consent 

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

Action 

(1) Failure to use a qualified individual to perform MRO Maximum 

services 

(2) Failure ofMRO to verify andior maintain records of Minimum 

negative test results 

(3) Failure ofMRO to review, interpret, and verify positive Maximum 

test results ~ 

(4) Failure ofMRO to interview an employee or applicant Maximum 

who has had a confirmed positive drug test result 

(5) Failure ofMRO to transmit the results to employer Maximum 

(6) Failure ofMRO to process employee requests for testing Maximum 

of split specimens 

(7) Failure of MRO to 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 ofMRO to 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 ofMRO to maintain records concerning drug tests Maximum 

confirmed positive by the laboratory for the required 

time frame 

(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 order to perform the duties 

oftheposition for which the applicant is applying 

(II) Failure ofMRO to verify the primary test result pending Maximum 

the result of the split specimen 

Fig. B-5-m. Substance Abuse Professional (SAP) referral Civil Penalty Certificate 

and evaluation Action 

(1) Failure to use a qualified individual to perform SAP Maximum 

services 

(2) Failure to advise an employee ofthe resources available to Minimum 

him or her in evaluating and resolving problems associated 

with the misuse of alcohol 

(3) Failure of a SAP to conduct a face-to-face evaluation of Moderate 

the employee and recommend education and/or treatment 

• (4) Failure of a SAP to ensure that each employee who has Moderate 

committed a DOT 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) Failure to display and distribute informational materials, a Moderate 

community service hotline telephone number and the 

employer's policy regarding drug use in the work place 

(2) Failure to conduct initial employee training Minimum 

(3) Failure to 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 of alcohol Moderate 

(2) Failure to conduct supervisory training regarding alcohol use Minimum 

(3) Failure to distribute and/or document the distribution of Minimum 

alcohol informational materials to employees 

• B-36 
10/01/07 2150.38 

Fig. B-5-p. Violations of the 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 submit to 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 of an accident to perform or continue performing safety 

sensitive functions 

(3) Failure to notify the Federal Air Surgeon of a part 67 Maximum 

medical certificate holder who received 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 certificate holder to perform Maximum 

safety-sensitive duties for an employer following an alcohol 

violation and/or drug positive 

(5) Failure to notify the FAA of a part 61, 63, and/or 65 Maximum 

certificate holder who refused to submit to testing 

Fig. B~5-q. Employees located outside the Territory of the 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) Failure to use urine collection personnel who meet the Moderate • 

requirements of 49 C.F .R. part 40, subpart C 

(2) Failure to use collection sites, forms, equipment and Moderate 

supplies for DOT urine collections that meet the 

requirements in 49 C.F.R. part 40, subpart D 

(3) Failure to conduct specimen collections in accordance Moderate 

with 49 C.F.R. part 40, subpart E 

(4) Failure to process split specimen tests in accordance Moderate 

with 49 C.F.K partAO, subpart H 

(5) Failure to address problems with drug tests in Moderate 

accordance with 49 C.F .R. part 40, subpart I 

Fig. B-5-s. Laboratory issues Civil Penalty Certificate 

Action 

(1) Failure to use drug testing laboratories that meet the 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 of 49 C.F.R. part 40, subpart J 

(2) Failure to use collection sites, forms, equipment and Moderate 

supplies for DOT alcohol testing that meet the requirements 

in 49 C.F .R. part 40, subpart K 

(3) Failure to conduct alcohol screening tests in accordance Moderate 

with 49 C.F.R. part 40, subpart L 

(4) Failure to conduct alcohol confirmation tests in Moderate 

accordance with 49 C.F .R. part 40, subpart M 

(5) Failure to address problems with drug tests in Moderate 

accordance with 49 C.F .R. part 40, subpart N. 

Fig. B-5-u. Consequences to the uncertificated individual Civil Penalty Certificate 

Action 

( 1) Refusal to submit to a drug or alcohol test Maximum 

(2) Positive drug test result or alcohol test result .04 or Maximum 

above on any drug or alcohol test. 

(3) Performs a safety-sensitive function for an employer Maximum 

after receiving a verified positive test result without 

following appropriate return to duty procedures 

• (4) Performs a safety-sensitive function for an employer Maximum 

while having an alcohol concentration of 0.04 or greater 

(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 employer within 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 of an accident involving an Maximum 

aircraft for which he or she performed a safety sensitive 

function at or near the time of the 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 of a certificate issued under parts Revocation 

61, 63, or 65 to submit to a drug or alcohol test 

(2) Positive drug test result or alcohol test result .04 or Revocation 

above by the holder of a 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. 

(3) Failure of an individual to disclose to the MRO that he Revocation 

Action • 

or she holds an airman medical certificate issued under part 

67, or would be required to hold such certificate, in order to 

perform the duties of the position for which he or she is 

applying 

(4) Performs a safety-sensitive function for an employer Revocation 

after receiving a verified positive test result without 

following appropriate return to duty procedures 

(5) Performs a safety-sensitive function for an employer Revocation 

while having an alcohol concentration of 0.04 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 

employer within 8 hours after consuming any alcoholic 

beverage 

(8) Performs a safety-sensitive function (flight instruction, Revocation 

aircraft dispatcher, maintenance, or preventive maintenance, 

ground security coordinator, aviation screening) for an 

employer within 4 hours after consuming any alcoholic 

beverage 

(9) Has actual knowledge of an accident involving an Revocation 

aircraft for which he or she performed a safety sensitive 

function at or near the time of the accident, and uses alcohol 

;. 

within the 8 hours following the accident 

6. AIRPORT OPERA TORS. 

Fig. B-6~a. Certification Civil Penalty Certificate 

Action 

(1) Operation without a part 139 certificate Maximum; 

Injunctive relief 

(2) Operation in violation of a part 139 certificate Moderate to Maximum 

(3) Failure to permit FAA inspector to 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 Minimum to 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) Failure to 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 of the airport certification 

manual and FAA regulations 

(2) Failure to maintain and repair the pavement of each Moderate to Maximum 

runway, taxiway, loading ramp, and parking area on the 

airport 

(3) Failure to maintain and repair each gravel, turf, or other Moderate to Maximum 

unpaved runway, taxiway, or loading ramp and parking 

area on the airport 

(4) Failure to provide and maintain an airport safety area Moderate to Maximum 

(5) Failure to provide and maintain the required marking Maximum 

• 

and signing systems for air carrier operations 

(6) Failure to 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) Failure to maintain rescue and firefighting vehicles Maximum 

(9) Failure to 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 that rescue and firefighting Moderate to Maximum 

personnel ate properly trained ~ 

(13) Failure to ensure that sufficient rescue and firefighting Moderate 

personnel are available during all air carrier operations 

(14) Failure to ensure that procedures are established and Moderate to Maximum 

equipment is maintained for alerting rescue and firefighting 

personnel to any existing or impending 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 

(16) Failure to perform surveillance of a fueling activity by Moderate to Maximum 

Action • 

fueling agent on the airport 

(17) Failure to ensure and maintain a record of the Minimum to Moderate 

inspection of the physical facilities of each 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 agent to 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 maintain procedures for the Moderate to Maximum 

protection of persons and property on the airport during the 

handling and storing of hazardous 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 of the 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 of conditions noted during the 

inspections 

(26) 

of self-inspections 

Failure to prepare, keep, and make available a record Moderate to Maximum • 

(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 on the Moderate 

movement area are controlled by two-way radio 

communication or other acceptable means 

(30) Failure to ensure that each person operating a ground Minimum to Moderate 

vehicle with access to the movement area is familiar with 

airport procedures for operation of ground vehicles 

(31) Failure to ensure that obstructions are removed, Moderate to Maximum 

marked, or lighted 

(32) Failure to prevent the construction offacilities on the Moderate to Maximum 

airport that would derogate the operation of an electronic or 

visual navaid and air traffic control facilities on the airport 

(33) Failure to take immediate measures to alleviate Moderate to Maximum 

wildlife hazards 

(34) Failure to prevent the inadvertent entry to the Moderate 

movement area by unauthorized persons or vehicles 

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 

of airport condition information to air carriers 

(36) Failure to mark and, if appropriate, light construction Moderate to Maximum 

areas and unserviceable areas, construction equipment, and 

each construction roadway 

(37) Failure to provide procedures for avoiding damage to Minimum to 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 assessment or 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, subpart I) Civil Penalty Certificate 

Action 

(1) Prohibition on operating without complying with Stage Moderate to Maximum 

3 noise levels under 49 U.S.C. § 47528 

• (2) Nonaddition Rule under 49 U.S.C. § 47529 Moderate to Maximum 

(3) Imported aircraft operated to provide air transportation Moderate to Maximum 

in the 48 contiguous states without complying with Stage 3 

noise levels under 49 U.S.C. § 47530 

( 4) Recordkeeping or notification violation Minimum 

8. VIOLATIONS OF PILOT RECORDS IMPROVEMENT ACT (PRIA>. 

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

Action 

(I) Permitting a person to begin service as a pilot prior to Maximum 

requesting, receivin'g, and evaluating records pursuant to 

the provisions ofPRIA 

(2) Failing to obtain from the subject of a PRIA request a 

written consent for release of records r~uested under PRIA 

(a) Inadvertent error ~ Moderate 

(b) Egregious/no consent given Maximum 

(3) Furnishing records, pursuant to request under PRIA, Moderate 

that have been maintained for more than 5 years before the 

date of request when record does not relate to revocation or 

suspension of airman certificate or motor vehicle license 

that was in effect at time of request 

(4) Failing to 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 

(5) Furnishing records pursuant to a request under PRIA 

Action • 

before receiving a copy of the written consent of the 

individual who is the subject of the request 

(a) Inadvertent error Moderate 

(b) Egregious/no consent given Maximum 

(6) Failing to provide a copy of all records pursuant to a 

request under PRIA within 30 days of the date the request 

is received 

(a) Inadvertent error Moderate 

(b) Egregious/intentional Maximum 

(7) Failing to provide to the individual who is the subject Maximum 

of request under PRIA, on or before the 201

h day following 

the date of the receipt of such a request, written notice of 

the request and of the individual's right to receive a copy of 

such records 

(8) Failing, upon a request from an individual who is the Maximum 

subject of request under PRIA, to provide a copy of records 

to the individual 

(9) Failing to permit the subject of a request for records Maximum 

under PRIA to submit written comments to correct any 

inaccuracies in those records before making a final hiring 

decision 

(1 0) Failing, upon a written request from a pilot who is or 

has been employed by an air carrier, to make available for 

44703(h)(l)(B)(i) 

review within 30 days, 

or (ii) 

records 

pertaining 

referred 

to the 

to 

employment 

in 49 U.S. C. 

of 

§§ • 

that pilot 

(a) Making records available but untimely Minimum to Moderate 

(b) Not making the records available Maximum 

(11) Use ofrecords received pursuant to PRIA for reasons Maximum 

other than assessing the qualifications of individual in 

deciding whether to hire the individual as pilot 

(12) Failing to protect the privacy of a pilot and the Maximum 

confidentiality of records received 

(13) Divulging contents of records received pursuant to 

PRIA to individual not directly involved in hiring process 

(a) Minor Minimum 

(b) Intent to cause harm Maximum 

(14) For air carriers that operate 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 pilot to continue in service longer than Maximum 

90 days without requesting, receiving and evaluating 

records identified in 49 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 of employment after the 90-day 

period is subject to a satisfactory evaluation of records 

identified in 49 U.S.C. § 44703(±)(1) 

9. ENGINEERING AND MANUFACTURING VIOLATIONS. Note that the following actions 

taken in cases of violations by FAA designees only include legal enforcement actions under 14 C.F .R. 

part 13. Whenever FAA enforcement action personnel determine that the holder of a designation, or the 

holder of a design or production approval that is not a certi:Qcate, is no longer qualified to hold that 

designation or approval, remedial action should be initiated. In addition, remedial action should be 

considered whenever the holder refuses to allow inspection, or otherwise continues to fail to comply 

with an applicable requirement. Suspensions and terminations of designations are handled in 

accordance with FAA Ord. ers No. 81 00.8B, Designee Management Handbook, Chapter 11; No. 

8100.9, DAS, DOA, and SFAR 36 Authorization Procedures, Chapter 8; and No. 811 0.37C, Designated 

Engineering Representative (DER) Guidance Handbook, 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), Moderate to Discontinue 

production inspection system 21.125, Maximum issuance of a!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) Failure to maintain technical 21.123(b) Moderate to Discontinue 

data or drawing at the place of Maximum issuance of alw 

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 Moderate to 

aircraft Maximum 

(5) Failure to properly conduct 21.128 Moderate to 

required test run 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 

(1) 

Holders 

Refusal to allow FAA to make 21.157 Moderate to Indefinite 

Action • 

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 of authority Maximum 

to subsidiary manufacturer or 

supplier 

(3) Failure to immediately notify 21.147 Moderate to 

FAA, in writing, of quality control Maximum 

system changes that affect the 

inspection, conformity, or 

airworthiness of the product 

(4) Failure to surrender a PC for 21.155, Moderate Revocation 

cancellation upon transfer of 21.159 

ownership or upon change in 

location of the manufacturing 

facility 

(5) Failure to maintain the 21.165(a) Moderate to 

approved quality control system Maximum 

(6) Failure to determine that each 21.165(b) Moderate to 

completed product submitted for Maximum 

a/w certification or approval is in 

conformity with the type 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 inspect the 

manufacturer's organization, 

facilities, product, record, technical 

data file or service difficulty file 

(b) Failure to submit a report or 21.277 Moderate to Indefinite 

information necessary for the ~ Maximum Suspension of 

issuance of an AD TCorAWCs, 

pending 

compliance to 

Revocation 

(c) Failure to place the required Minimum to 

technical data and type inspection Moderate 

report in the technical 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 of subpart G are Maximum 

met prior to certifying that the 

determination has been made 

(e) Failure to place the 21.267(d) Moderate to 

manufacturing and quality control Maximum 

data required by 21.143 with the 

data required by 21.293(a)(I)(ii) 

prior to certifying that this has been 

done 

(t) Failure to notify the FAA 21.245 Moderate to 

within 48 hours of any change that Maximum 

could affect the ability of the DOA 

to meet the requirements in 

Subpart J 

(g) Failure to obtain FAA 21.261 Minimum to Indefinite 

concurrence on the 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, or NW certificate 

approval beyond the scope of its 

authorization 

(2) Designated Alteration Station 

(DAS) 

(a) Exercising any authority 21.441(a) Maximum 

under subpart M 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 staff necessary 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 of any change that Maximum 

could affect the ability of the DAS 

to meet subpart M 

(d) Failure, upon reasonable 21.449 Maximum 

request, to let the FAA inspect the 

DAS facility, product, or record 

• B-46 
10/01/07 2150.38 

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

(e) DAS issues STCor A WC 21.451 Maximum Revocation 

Action 

of • 

beyond the scope of its STCor AWC 

authorization 

(f) Issuing an STC involving 21.45l(d) Maximum Indefinite 

exhaust emissions change Suspension of 

requirements of part 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 issued under 21.463(a) Moderate to Indefinite 

subpart M, 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 that each applicable (2) Maximum Suspension of 

airworthiness requirement is met STC pending 

compliance to 

Revocation 

(i) Issuing an STC without 21.463(a) Moderate to Indefinite 

finding that the type of product, as (3) Maximum Suspension of 

modified by the STC data, is of STC pending 

proper design for safe operation compliance to 

Revocation 

subpart 

G) For 

M, 

each 

failure 

STC 

to submit 

issued under 

the 

21.463(b) Moderate • 

copies of the STC or the o)her 

required data 

(k) For each amendment to an 21.473 Moderate to 

airworthiness certificate under Maximum 

subpart M, 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 

A WC without obtaining from the Moderate 

FAA a necessary limitation or 

condition - (m) Failure to conduct an 21.477(a) Moderate to 

investigation or report the results of Maximum 

the investigation or taken 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 submit the 21.477(b) Moderate to Indefinite 

information necessary for the issue Maximum Suspension of 

of an 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 subpart M 

Fig. B-9-d. Technical Standard 14C.F.R. 49U.S.C. Civil Penalty Certificate 

Order Authorization (TSOA), Action 

Letter of Design Approva 1, and 

Letter of Acceptance 

Manufacturers 

(1) Unauthorized display ofTSO 21.603(a) Maximum 

marking 

(2) Failure of holder of Letter of 21.603(b) Maximum 

• Acceptance to comply with 

21.603(b) 

(3) Failure to manufacture article in 21.607(a) Moderate to 

accordance with the 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 of complete 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 of Design 

Approval 

(8) Failure to forward information 21.6ll(a) Minimum to 

on a minor design change to the Moderate 

appropriate Aircraft Certification 

Office 

• B-48 
10/01/07 2150.38 

Fig. B-9~d. Technical Standard 14C.F.R. 49 u.s.c. Civil Pen~lty Certificate 

Letter 

Order 

of 

Authorization 

Design Approval, 

(TSOA), 

and 

Action • 

Letter of Acceptance 

Manufacturers cont. 

(9) Before making a major change, 21.611(b) Moderate to 

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 Moderate to 

authorized FAA representative to Maximum 

inspect an article, Q/C inspection or 

test, or the 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 

other authority relief 

(2) Failure to maintain the 21.303(h) Moderate to 

fabrication inspection system to Maximum 

ensure each completed part 

conforms with its approved design 

. and is safe for installation on • 

applicable TC product 

(3) Failure to ensure that incoming 21.303 Moderate to 

materials used in the finished part (h)(l) Maximum 

are as specified in the design data 

(4) Failure to ensure that 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) Failure to ensure that materials 21.303 Moderate to 

are suitably stored and adequately (h)(3) Maximum 

protected 

(6) Failure to accomplish all 21.303 ~ Moderate to 

processing affecting quality and (h)(4) Maximum 

safety of the part in accordance with 

acceptable specifications 

(7) Failure to inspect parts process 21.303 Moderate to 

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. Replacement or 14 C.F.R. 49U.S.C. Civil Penalty Certificate or 

Modification Parts Other Action 

Manufacturers cont. 

(8) Failure to make a current design 21.303 Moderate to 

drawing readily available to (h)(6) Maximum 

manufacturing and inspection 

personnel or to 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 of a major design 

change before it is incorporated into 

the finished part 

(I 0) Failure to segregate and identify 21.303 Moderate to 

rejected materials and components in (h)(8) Maximum 

such a manner as to preclude their use 

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 I 0 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 Other Action 

Entities 

(I) Failure to submit the data 21.99 ~ Maximum Indefinite 

necessary for the issuance of NW 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. Civil Penalty Certificate or 

designees Other Action 

(I) Falsification of application, 21.2(a)(l ), (2), Maximum Revocation of 

• report, or record (3), or (4) certificate(s) 

B-50 
10/01/07 2150.38 

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

(2) 

designees 

Failure 

cont. 

to provide written 44704 Minimum 

Other Action • 

evidence of permission to use an (a)(2) 

STC 

(3) Failure to provide written 44704 Minimum 

evidence of permission to use a TC (a)(3) 

( 4) Changing a product based on an 44704 Maximum 

STC without being the holder or (a)(2) 

having the permission of the STC 

holder 

(5) Manufacturing a product based 44704 Maximum 

on a TC without being the holder or (a)(3) 

having permission of the TC holder 

10. AIRCRAFT OWNER/OPERATOR REGISTRATION VIOLATIONS 

Fig. B-1 0. Registration. 14C.F.R. 49U.S.C. Civil Penalty Certificate 

Action 

( 1) Operation of an unregistered 91.203 44101 Maximum* 30-90 day 

aircraft (a)(2) Suspension of 

pilot certificate 

(2) Operation of an aircraft without 91.203 Minimum 30-90 day 

an effective (14 C.F .R. 4 7.41 ), 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) 

Maximum* 

to 

pilot 

Suspension 

certificate 

of • 

(4) Operation in U.S. on pink 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) Failure to return an ineffective 47.4J(b) Minimum Revoke aircraft 

or invalid aircraft registration 47.43(b) registration 

certificate certificate 

(6) Failure to submit triennial 46.5l(d) 44105 Suspension or 

report revocation of 

registration 

certificate 

(7) Failure to submit required flight 47.9(f) Minimum 

information ~ to 

Moderate* 

(8) Failure to submit change of 47.45 44105 Minimum 

address 

(9) Failure to submit required 47.71 Minimum 

dealer information to 

Moderate 

B-51 • 
• 

• 

• 

10/01/07 

Fig. B-10. Registration cont. 14C.F.R. 49U.S.C. Civil Penalty 

(1 0) Use of registered aircraft to 44106 

carry out or facilitate unlawful drug (b), 

activities 44710 

* Civil penalty action applies only if owner/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 

of all other 

certificates of 

aircraft 

registration 

issued to its 

owner, and 

revocation of 

all airman 

certificates 

(2) Entity Moderate c.p. per day, with the total calculated under the Multjple Act polic;y