+U.S. DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, D.C. 

In the Matter of Renaissance Jet, Inc. 

Docket No. FAA-2013-1078, Case No. 2012EA390030 

Judge Sullivan 

AGENCY'S LIST OF WITNESSES/EXHIBITS 

RECEIVED 

JAN 1 2 2015 

EAR!NG DOCKET 

COMES NOW the Agency, by and through his designated representative, the 

Regional Counsel for the Eastern Region and his duly designated agents, and submits its 

list of witnesses and exhibits for the hearing as follows: 

WITNESSES 

John Combrinck-Graham, Greensboro Flight Standards District Office, 1301 S. 

Terminal Road, Greensboro, NC 27409, 336-369-3900. Subject of testimony: Mr. 

Combrinck will testify about his investigation of the subject incident; how this 

investigation (including but not limited to review of Renaissance Jet, Inc., documents) led 

him to the conclusion that Respondent violated the Federal Aviation Regulations as 

alleged in the Complaint; will explain the significance of the various alleged 

discrepancies to the operation of the aircraft; and will testify about why a $23,000 civil 

penalty is warranted per the FAA sanction guidelines. 

EXHIBITS 

See attached index cover sheet and attached (pre-marked) exhibits .. 

Respectfully submitted, 

Alfred R. Johuson, Jr. 

Regional Counsel 

By: 

ZacldZ 

Attorney 

Dated: January 8, 2015 
Index of Exhibits 

Exhibit C-1: Renaissance Jet, Inc. (hereinafter "RJI") General Operations Manual (hereinafter 

"GOM") Aircraft Discrepancy Record (M-2), April 2010, aircraft N241TR. 

Exhibit C-2: RJI GOM Aircraft Discrepancy Record (M-2), with Mechanical Discrepancies #4, #5, 

#6, aircraft N241TR. 

Exhibit C-3: RJI GOM Aircraft Discrepancy Record (M-2), December 30, January 1. 

Exhibit C-4: RJI GOM Aircraft Discrepancy Log and Historical Record, N241TR. 

Exhibit C-5: RJI GOM page 1-4. 

Exhibit C-6: RJI GOM page G-1, page G-2 

Exhibit C-7: RJI Minimum Equipment List (MEL), Page Xl. 

Exhibit C-8: RJI Minimum Equipment List (MEL), Page 34-7. 

Exhibit C-9: RJI Minimum Equipment List (MEL), Page 78-1. 

Exhibit C-10: Renaissance Jet, LLC Record of Flight and Load Manifest, aircraft N241TR, dated 

January 1, 2012. 

Exhibit C-11: Letter from Greensboro FSDO to president of RJI. 

Exhibit C-12: Excerpts from FAA Order 2150.3B re sanction guidance (7 pages) 
. ,-. ;: I::-"'·, _.; -......· , __ .,_; ....__ i ) '-

GENERAL OPERA TIOf~S f\!iANU!'o.L 

Aircraft Discrepancy Record {M-2) 

Renaissance Jet, inc. 

Form M-2 

DATE HOBBS MECHANICAL DISCREPANCY 

NO. I o[r I ,, 

A_J..(, 

DISCREPANCY- MAINTENANCE LOG 

AIRCRAFT N 74\ lR 

ACTION TAKEN 

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GENERAL OPERATIONS MANU A! ,.,.,., .. ,.,.,_, __ 

Aircraft Discrepancy Record {M-2) 

Renaissance Jet, inc. 

Form M-2 

DATE I HOBBS j MECP"..ANIO~L DISCREPANCY 

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l.:fo2-i i No. lu !cl 

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AIRCRAFT N 24\ c'K 

ACTION TAKEN 

. 
RENAISSANCE JET, INC. 

GENERAL OPERATIONS MANUAL 

Z-7/0riginal/08-15-08 

Aircraft Discrepancy Record (M-2) 

Renaissance Jet, Inc. 

Form M-2 

DISCREPANCY· MAINTENANCE LOG 

AIRCRAFTN t\1 c} lJ I Tl2. 

DATE I HOBBS MECHANICAL DISCREPANCY ACTION TAKEN 

~-----+-- ---+-------------------~----------------------4 ' 

f:v·'"''\ d~,.'~l!\ i\cf..f kef\"" r-...L. ·--"-"'"·-·------! 

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EXHIBIT 
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e-Lf i :<,\jliUii 

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Ain::raftDiscrepancv L!W ;VYd_Histori~at RecordJIVl-l) 

'"'"'Hi with aircraft :for,not less than 120 days from the Stmt Date. ' ·.' •' J _, -· 

'?i,:,<I"·'. _/' (, ()·. ~-f\ ' ' A , --r··r,, t-..\.:~2.., ...... '1: \ \ \"'~' ... 

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~C.: 
RENAISSANCE JET, INC. 

GENERAL OPERATIONS MANUAL 

~ EXHIBIT 

i c-5' I P"'' 1 ..t 2 

3. Write Ups and Sign Offs in the Aircraft Discrepancy log 

1-4/0RIGINAL/08-15-08 

A. The Aircraft Discrepancy Log must be on board the aircraft during operation in 

order that the PIC may be aware of any inoperative instruments or equipment 

and be able to write up airworthines·s discrepancies as they are discovered. The 

Aircraft Discrepancy Log will be maintained within the aircraft for a period of a 

minimum of 120 days after any discrepancy is entered. It will then be placed in 

the historical data section of the maintenance logbook after 120 days. 

B. Each PIC who discovers a discrepancy that affects the airworthiness of the 

aircraft shall write it up in the aircraft discrepancy record as follows: 

1) Description of the discrepancy. 

2) Date of discovery. 

3) Printed name and signature of person discovering the discrepancy. 

C. Each authorized person who maintains, performs preventative maintenance, 

rebuilds or alters an aircraft, aircraft engine, propelier, appliance, or component 

part to comply with a provision of the MEL shall make an entry in the aircraft 

discrepancy Log containing the following information: 

1) A description of work performed, which shall include the statement 

"Aircraft operations continued per MEL ATA #-Item#". (Example: 

"Aircraft operations continued per MEL Item 23-1"), and the associated 

repair category, either A, B, C, or D. 

2) The date of completion of work performed. 

3) The signature, certificate number, and kind of certificate held by the 

person approving the work. The signature constitutes the approval for 

Return to Service only for the work performed. 

D. Each authorized person who approves an aircraft to continue operations with an 

MEL authorized inoperative item that does not have an (M) procedure shall make 

an entry into the aircraft discrepancy record containing the following information: 

1) The statement "Aircraft operations continued per MEL ATA #- Item#". 

(Example: "Aircraft operations continued per MEL Item 23-1"), and the 

associated repair category, either A, B, C, or D. 

2) Date action taken. 

3) The signature, certificate number, and type of certificate held by the 

person approving the aircraft to continue operations. 

E. The following persons are authorized to approve an aircraft to continue 

operations with inoperative items in accordance with the MEL: 
RENAISSANCE JET, INC. 

GENERAl OPERATIONS MANUAL 

1) The Pilot in Command. 

1-5/0RIGINAl/08-15-08 

2) The mechanic assigned to perform maintenance on the aircraft that has 

been delegated authority to approve an aircraft for Return to Service. 

3) The Director of Maintenance. 

4. Corrective Action to MEL inoperative Items 

A. The Director of Maintenance shall review the status of each item that has been 

approved to continue operations under the terms of the MEL, and shall schedule 

repair as required by the repair interval designator (A, B, Cor D) as specified in 

the MEL Except as provided in B below, repairs MUST be accomplished as 

specified by the repair interval designator. 

B. The Director of Maintenance is authorized to approve an extension to the repair 

intervals designated for 8 and C only, provided he accomplishes the following 

actions: NOTE: A and D time limitations cannot be extended. 

1) In the case that required parts are not immediately available: 

a. He shall obtain a firm delivery date of the part from the supplier. 

b. He shall have the supplier note the delivery date on the order 

invoice. 

c. He shall attach a copy of the invoice to the aircraft discrepancy 

record page containing the entry in question. 

d. Upon receipt of the subject part the Director of Operations shall 

be notified and repair scheduled. 

2) In the case of other factors beyond the control of the Company: 

a. A statement containing all pertinent information shall be prepared 

and affixed to the record of the inoperative item. 

b. He shall coordinate with the Director of Operations to schedule 

repair on the expected repair date. 

3) The Greensboro FSDO must be notified of the above actions within 24 

hours, and authority received from the FSDO to extend a Category B or C 

time limitation. 

Note: "Schedule Repair" means making adequate arrangements for bringing the 

aircraft, parts, and maintenance personnel together at a given time and place. For 

repairs to be performed at Company facilities, the Director of Maintenance shall 

coordinate with the Director of Operations and arrange to take the aircraft out of service 

to effect the repair. In case of the necessity to use the services of an outside 

maintenance facility, this also involves mak'mg a firm schedule with the facility to effect 

the repairs. 
RENAISSANCE JET, INC. 

GENERAL OPERATiONS MANUAL 

G-1/0RIGINAUOS-15-08 

PREV!OUSL Y DEFERRED AND CORRECTED MECHANICAL IRREGULARITIES 

[135.23(g)][135.65(d)] 

PIC will follow this procedure for keeping copies of the Aircraft Discrepancy Log in the aircraft 

for access by appropriate personnel. 

1. Prior to flight verify the Aircraft Discrepancy Log is on board aircraft. 

2. If it is not onboard, place it onboard or replace it if it cannot be found 

3. If it was replaced, notify the Director of Maintenance and determine aircraft status. 

4. When you leave aircraft verify it remains on board. 

As part of his or her preflight duties, the assigned Pilot-in-Command (PIC) will review the 

Aircraft Discrepancy Log located within the aircraft to determine whether any write-ups have 

been deferred in accordance with the approved minimum equipment list, or corrected and the 

aircraft properly returned to service by qualified personnel. 

In the event the PIC finds a mechanical irregularity that has not been either corrected or 

properly deferred, or is past its deferral limit, the PIC will not takeoff. The PIC will contact the 

Director of Maintenance or his designee for instructions. 

The ,~>,ircraft Discrepancy Record will be maintained within the aircraft for a period of a minimum 

of 120 days after any discrepancy is entered. It will then be placed in the historical data section 

of the maintenance logbook after 120 days. 

c-C, 
RENAISSANCE JE 1, INC. 

MINIMUM EQUIPMENT LIST 

AIRCRAFT: 

N241TR BE-400 RJ-45 

REVISION: ORIGINAL 

DATE: 09/30/2008 

DEFINI!IONS 

PAGE: 

XI 

18. Repair Intervals: All users of an MEL approved under FAR 121, 125, 129 and 135 

must effect repairs of inoperative systems or components, deferred in accordance with 

the MEL, at or prior to the repair times established by the following letter designators: 

Category A. Items in this category shall be repaired within the time interval specified in 

the remarks column of the operator's approved MEL. 

Category B. Items in this category shall be repaired within three (3) consecutive 

calendar days (72 hours), exclUding the day the malfunction was recorded in the aircraft 

maintenance record/logbook. For example, if it were recorded at 10 a.m. on January 

26th, the three day interval would begin at midnight the 26th and end at midnight the 

29th. 

Category C. Items in this category shall be repaired within ten (10) consecutive calendar 

days (240 hours), excluding the day the malfunction was recorded in the aircraft 

maintenance record/logbook. For example, if it were recorded at 10 a.m. on January 

26th, the 10 day interval would begin at midnight the 26th and end at midnight February 

5th. 

Categon; D. Items in this category shall be repaired within one hundred and twenty 

(120) consecutive calendar days (2880 hours), excluding the day the malfunction was 

recorded in the aircraft ma·lntenance log and/or record. 

The letter designators are inserted adjacent to Column 2 . 

. 19. "Administrative control item" means an item listed by the operator in the MEL for 

tracking and informational purposes. It may be added to an operator's MEL by approval 

of the Principal Operations Inspector provided no relief is granted, or provided conditions 

and iimitations are contained in an approved document (i.e. Structural Repair Manual, 

airworthiness directive, etc.). If relief other than that granted by an approved document 

is sought for an administrative control item, a request must be submitted to the 

Administrator. If the request results in review and approval by the FOEB, the item 

becomes an MMEL item rather than an administrative control item. 
RENAISSANCE JET, INC. 

MINIMUM EQUIPMENT LIST 

AIRCRAFT: REVISION: ORIGINAL I PAGE NO: 

N241TR BE-400 RJ-45 DATE: 09/30/2008 34-7 

1. SYSTEM, REPAIR CATEGORY 

SEQUENCE NUMBERS& 2. NUMBER INSTALLED 

ITEM 3. NUMBER REQUIRED FOR DISPATCH 

4. REMARKS AND EXCEPTIONS 

34 NAVIGA!ION 

60-1 Flight Management c 1 0 (0) May be inoperative provided: 

System (FMS) a) Required Navigation and Communication 

Systems are verified operative and 

b) Operations do not require FMS. 

Please refer to the MEL (M) & (0) Procedures 

section page C-27 for the associated procedures. 

i) Flight Management c 1 0 (0) May be out of currency provided: 

Database a) Current Aeronautical Charts are used to 

verify Navigation Fixes prior to dispatch, 

b) Procedures are established and used to 

verify status and suitability of Navigation 

Facilities used to define route of flight. 

Please refer to the MEL (M) & (0) Procedures 

section page C-27 for the associated procedures. 

60-2 Data Base Unit c 1 0 

EXHIBIT 
RENAISSANCE JET, INC. 

MINIMUM EQUIPMENT LIST 

AIRCRAFT: REVISION: ORIGINAL I PAGE NO: 

N241 TR BE-400 RJ-45 DATE: 09/30/2008 78-1 

1. SYSTEM, REPAIR CATEGORY 

SEQUENCE NUMBERS & 2. NUMBER INSTALLED 

ITEM 3. NUMBER REQUIRED FOR DISPATCH 

4. REMARKS AND EXCEPTIONS 

78 ENGINE EXHAUST 

30-1 Thrust Reverser c 2 0 {M) (0) One or both may be inoperative provided: 

Systems a) Inoperative Thrust Reverser(s) are 

secured in the STOWED position and 

b) AFM procedures for inoperative Thrust 

Reverser( s) are used. 

Please refer to the MEL {M) & (0) Procedures 

section page C-32 for the associated procedures. 

EXHIBIT 

C-'j 
Date (Local) \(II 12 Renaissance Jet LLC Customer Qz. 

lype Aircraft ll, \O_~G Record of Flight & Load Ma11ifest Cert. # 3RJA276

Tail Number N:lL\ \Tk Block and Flight Time (Zulu Time) }6~ l _L.j CG Lim

Leg From To #Pax Block Out - Flight Off Flight On Block In To~al Block Hobbs MGTOW ATOW Actual 

1 G,u i\1 L\12 'il \ "ll:L lei a.s . J_oL["l +uS\ I-+ )fj jJ] ISTol: 1 s-q.l '.)r,S/

- I 

2 u-12 <ll~I 2 :;l I I 'i\ J.l;}u d. I 1.1", ;}j'-llo 0 ~ll 0'] 15/'!D 14 :}}I :)<,(, , c

f-\BI Li'<~"l 0 __ ;p s 7 d.Lc;C( dJ..Jo j_J.I"' o +IS (_';, i - - -· 

3 

- .4 

5 

G 

-- -

7 

--

u 

k.. \.: .. \ ...•.•..•.•. ·.·· .•.•.•.. { .. ; (<At 9{!•·•·i.·•.· ... •·····.·< ··.··•··.··.····.·····.•·••'? ::·•v•<··.···· ......• . Totals r.· ...••.•.... · .:Cri<· > 

Aircaft I Airframe Time Engine Times Engine Cycles APU · \ VOR. VOR 

Time landings #1 left #2 Right #1 Left #2 Right Hours Cycles ' •..•... ··.•. #1 #2 

~ 

Previous cf 0 ,:)'1 , :) ·:np .15'+2 360. '[ 0)131. -1 '( \0 ··~ /" DATE 

. 

~ 

C• 

~ 

/ ~ < 

\ '-l J I • 'i -) ., Current .. ("I LOG / / 

. . qo:_)\ ~I .YlJS ~C)(,.'( 3 1, '1 :rus :.:,1\3 / Totals b ,,'<';; 

·~. 

DEV /_./ '• .

// 

Crew Tal(eoffs Landings Actual Number Leg# Hold On Off Total 

Members Day Night Day Night Hrs IMC Apprchs Flown (Check) Duty (Z) Duty {Z) Duty 

Q\J 2 - ]. o.]. I 1. ;_ ·- \L\\)D )OjCO (1 0 

')F I I ~ o.t I " -- I ..:~eu .J_J()0 q,o 

CREW EXPENSES AIRCRAFT EXPENSE RVSM Primary Standby Secondary 

ITEM COST FUEL GAL $ BURN Log Alt. Alt. Alt. 

' LEG 1 lEG 1 :S LH,)D() 3£...\~SC 34oo0 LEG 2 LEG 2 

lEG3 LEG 3 

LEG4 LEG 4 

LEG 5 l.EG 5 

LEG 6 LEG 6 (One 

LEG 7 LEG 7 

LEG 8 LEG 8 

__ ..... ·--FAX 

-
U.S. Department 

of Transportation 

Feder©JI Avi<l~loil 

A!llmiili~trali©i1. 

January 9, 2012 

CERTIFIED MAIL-RETURN RECEIPT REQUESTED 

File No. 2012EA390030 

Mr. Robert B. Stroud, President 

Renaissance Jet, Inc. 

8541 Calloway Road 

Aberdeen, ~JC 28315 

Dear Mr. Stroud: 

FAA, Greensboro FSDO, EA39 

1301 S. Terminal SeN'ice Road 

Greensboro, North Carolina 27409 

336-369-3900, Fax: 336-369-3980 

An inspection of N241TR was performed on January 5, 2012. Maintenance records available 

with the aircraft indicated that the aircraft had been operated without appropriate entries in the 

maintenance records indicating the aircraft was approved for return to service. Operating in this 

manner is contrary to the General Operations Manual for Renaissance Jet, Inc. and Title 14 of 

the Code of Federal Regulations. 

This letter is to inform you that this matter is under investigation by the Federal Aviation 

Administration (FAA). We would appreciate receiving any evidence or statements you might 

care to make regarding this matter within 10 days of receipt of this letter. Any discussion or 

written statements furnished by you will be given consideration in our investigation. If we do not 

hear from you within the specified time, our report will be processed without the benefit of your 

statement. 

Sincerely, 

Origimll Signed by: 

John Combrinck-Graham 

Aviation Safety Inspector 

READING FILE COJ:Dr" 

I 

( -{ (I 

.1.f2. 
PRIVACY ACT NOTICE 

This notice is provided in accordance with Section (e)(3) of the Privacy Act, 5 U.S.C., Section 

552a(e)(3) and concerns the information requested in the letter or form with which this Notice is 

enclosed. 

A. Authority: This information is solicited pursuant to Title 49, U.S.C., Subtitle VII, Section 

40101, et seq., and regulations issued thereunder codified in Parts 61 and 91 ofTitle 14 of 

the Code of Federal Regulations (14 CFR). Submission of this information is voluntary. The 

request for information is intended to provide you with an opportunity to participate in the 

investigation. 

B. Principal purpose: The requested information will be used to help determine whether or not 

there has been a violation of the Federal Aviation Regulations, and if so, what, if any, 

enforcement should be taken. 

C. Routine uses: Records from this system of records rnay be disclosed in accordance with the 

routine uses as they appear in System of Records No. DOT/FAA 847 as published from time 

to time in the Federal Register. 

I 

I 

EXHIBIT 

C-lt) 

l 'Ll 2.. 
07/26/07 2150.38 

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

OPERATOR. 

CLASSIFICATION OF AIR CARRIER AND OPERATOR 

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

operating revenue of $100,000,000 or more. Operating revenue is determined by 

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

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

Review." 

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

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

operating revenue ofless than $100,000,000, if the 135 operator has 50 or more pilots and 

25 or more aircraft on its operations specifications. Operating revenue is determined by 

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

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

49 pilots or 6 to 24 aircraft. 

GROUP IV- Each air carrier or commercial operator operating under part 135 with no 

more than 5 pilots and no more than 5 aircraft. 

GROUP I- large business concern (for violations on or after 12112/03) 

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) that occurred after 6115/06): 

Maximum 

Moderate 

Minimum 

$8,250-$11,000 

$4,400-$8,249 

$1,100-$4,399 

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

§ 46301(a)(5)(A) that occurred from 12112/03 until6/l5/06): 

Maximum 

Moderate 

Minimum 

$7,500-$10,000 

$4,000-$7,499 

$1,000-$3,999 

8-4 
07/26/07 2150.38 

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

46301 (a)(l)(A) or (B) but not under 49 U.S.C. § 4630l(a)(5)(A) that occurred on or after 

12/12/03): 

Maximum 

Moderate 

Minimum 

$850-$1, I 00 

$650-$849 

$500 $649 

GROUP II -large business concern (for violations on or after 12/12/03): 

Maximum 

Moderate 

Minimum 

$16,250-$25,000 

$8,750-$16,249 

$1,850-$8,749 

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

4630l(a)(5)(A) that occurred after 6/15/06): 

Maximum 

Moderate 

Minimum 

$8,250-$11,000 

$3,850-$8,249 

$935-$3,849 

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

4630l(a)(5)(A) that occurred from 12/12/03 until6/15/06): 

Maximum 

Moderate 

Minimum 

$6,500-$10,000 

$3,500-$6,499 

$850-$3,499 

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

4630l(a)(l)(A) or (B) but not under 49 U.S.C. § 4630l(a)(5)(A) that occurred on or after 

12/12/03): 

Maximum 

Moderate 

Minimum 

$750-$1 ,I 00 

$450-$ 749 

$250$ 449 

GROUP III -for violations covered under 49 U.S.C. § 4630l(a)(5)(A) that occurred after 

6/15/06: 

Maximum 

Moderate 

Minimum 

$7,150-$11,000 

$3,300-$7,149 

$825-$3,299 

B-5 
07/26/07 2150.38 

GROUP III- for violations covered under 49 U.S.C. § 46301(a)(5)(A) that occurred from 

12/12/03 until6/15/06: 

Maximum 

Moderate 

Minimum 

$5,500-$10,000 

$3,000-$5,499 

$750-$2,999 

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

under 49 U.S. C.§ 46301(a)(5)(A) that occurred on or after 12/12/03: 

Maximum $650-$1,100 

Moderate $400-$ 649 

Minimum $150-$ 399 

GROUP IV -for violations covered under 49 U.S.C. § 4630l(a)(5)(A) that occurred after 

6/15/06: 

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)(5)(A) that occurred from 

12/12/03 until 6/15/06: 

Maximum $4,000-$10,000 

Moderate $2,000-$3,999 

Minimum $500-$1,999 

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) that occurred on or after 12/12/03: 

Maximum $500-$1,100 

Moderate $300-$499 

Minimum $100-$299 

(2) VIOLATION COMMITTED BY PART 129 OPERATOR(for violations on or after 

12/12/03). 

Maximum $18,750-$25,000 

Moderate $10,000-$18,749 

Minimum $2,000-$9,999 

B-6 
07/26/07 

(3) VIOLATION COMMITTED BY PART 125 OPERATOR 

Large Business Concern (for violations on or after 12/12/03): 

Maximum 

Moderate 

Minimum 

$16,250-$25,000 

$8,750-$16,249 

$1,850-$8,749 

2150.38 

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

occurred after 6/15/06): 

Maximum 

Moderate 

Minimum 

$8,250-$11,000 

$3,850-$8,249 

$935-$3,849 

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

occurred from 12/12/03 until6/15/06): 

Maximum 

Moderate 

Minimum 

$6,500-$10,000 

$3,500-$6,499 

$850-$3,499 

Small Business Concern (for violations covered under 49 U.S.C. § 46301(a)(l)(A) or (B) 

but not under 49 U.S.C. § 4630l(a)(5)(A) that occurred on or after 12/12/03): 

Maximum 

Moderate 

Minimum 

$750-$1,100 

$450-$749 

$250 $449 

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

Large Business Concern (for violations on or after 12112/03): 

Maximum 

Moderate 

Minimum 

$16,250-$25,000 

$8,750-$16,249 

$1,850-$8,749 

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

occurred after 6/15/06): 

Maximum 

Moderate 

Minimum 

$7,150-$11,000 

$3,850-$7,149 

$935-$3,849 

B-7 
07/26/07 2150.38 

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

AND PART 129 OPERATORS. 

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

(1) 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 Acti· 

(1) Failure to comply Moderate to Maximum 

Fig. B-1-c. Operations Specifications Civil Penalty Certificate Acti1 

fl) 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 Moderate to Maximum 

actual adverse effect on safe operation 

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

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

maintenance, repair, or inspection of facilities and Suspension until 

equipment proper servicing 

maintenance, re; 

and inspection o 

facilities and 

equipment is 

provided to 

Revocation 

c-\1-

B-16 
07/26/07 2150.38 

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

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

inspection organization Suspension until 

appropriate 

maintenance and 

inspection 

organization is 

provided to 

Revocation 

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

( 1) Failure to have training program Maximum Indefinite 

Suspension until 

compliance to 

Revocation 

(2) Failure to maintain training program Moderate to Maximum 

(3) Failure to train personnel adequately Moderate to Maximum 

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

( 1) Incomplete or unsigned release Minimum to Maximum 

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

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

( 1) By unauthorized person Maximum 

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

I Fig. B-1-i. SFAR 36 I Civil Penalty I Certificate Acti( 

I (l) Failure to comply- second offense I Maximum 

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

(1) Deliberate violation 

(a) Intentionally false or fraudulent entry, Revocation 

reproduction, or alteration in record or 

report 

(b) Other 180-day Suspensi 

to Revocation 

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

summary_ report 

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

repmr 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 

B-17 
07/26/07 2150.38 

Fig. B-1-j. Records & Reports cont. Civil Penaltv Certificate A ~rio -

(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 emoute radio Moderate to Maximum 

communication 

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

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

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

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

safe 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 passen2er-carrying Civil Penalty Certificate Acti' -

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

who 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 Acti 

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

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

authorized emoute inspector 

(3) Use of unqualified crewmember Maximum 

( 4) Flight and Duty Time violation Moderate 

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

(l) Improperly Returning Aircraft to service Maximum 

(2) Illegal carriage of controlled substance with Revocation 

knowledge of carrier, that is, knowledge of, or 

involvement in, conduct by top management personnel 

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

crewmember -

B-18 
CERTIFICATE OF SERVICE 

I hereby certify that the foregoing AGENCY'S LIST OF WITNESSES/EXHIBITS 

have been sent on this date via FAX and first class mail to: 

John Adams Hodge, Esq. 

P.O.Box 25553 

Columbia, SC 29224 

FAX: 803-783-9210 

Jndge J.E. Sullivan 

U.S. Administrative Law Judge 

Office of Hearings, M-20 

U.S. Department of Transportation 

1200 New Jersey Avenue, S.E. (E11-310) 

Washington, DC 20590 

FAX: 202-366-7536 

I hereby certifY that the foregoing AGENCY'S LIST OF WITNESSES/EXHIBITS 

have been sent on this date via first class mail to: 

Federal Aviation Administration (Original and one copy) 

800 Independence Avenue, S.W. 

Washington, D.C. 20591 

Attn: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building- Room 2014 

Date :_~J"-A"-N'------".8--'--- ~L~.~~~~~~­

f I 

Paralegal Specialist 

Federal Aviation Administration 

Office of Regional Counsel 

1 Aviation Plaza 

Jamaica, NY 11434