### U .S . DEPARTMEN T O FTRANSPORTATI O OFFIC E O FHEARING S FEDERA L AVIATIO N ADMINISTRATIO N

FEDERA L AVIATIO N ADMINISTRATION ,

Complainant , vs . JOSMA N BLYTHE .

Respondent . 

# RECEIVE D JU L 

## 0 | 201 0 

# HEARIN G DOCKE T

FA A Docke t

No . CP10SO000 5 Judg e Benki n

COMPLAINANT' S WITNES S AN D EXHIBI T LIST S Th e Complainant , b y an dthroug h hi s undersigne dattorney , hereb y submit s in accordanc e wit h th e Administrativ e Judge' s Orde r Postponin g Hearin g serve dJun e 7 , 2010 , th e Complainant' s Witnes s an dExhibi t list s a s follows : I . WITNES S LIS T (th e followin g individual s are potentia l witnesse s but ma y no t al l b e calle dt o testify) : a . Clemen t

St . Loui s 1 4 Kenwoo dStreet , Apt . 2 Dorchester , M A 0212 4 Mr . St . Loui s i s employe da s aflight attendan t

b y Delt aAirlines , formerl y Northwes t Airlines . O n o r

abou t Jun e 4 , 2009 , Responden t wa s atickete dpassenge r o n Delt aFlight 71 , fromDetroit , Michiga n t o Nagoya , Japan . Mr . St . Loui s wa s th e Purse r o n Flight 71 . Mr . St . Loui s i s expecte dt o testif y includin g bu t

no t limite dt o hi s knowledg e o f Respondent' s action s o n Delt aFligh t 71 . b . Kare n Robertso n 987 3 Oa k Valley Driv e Clarkston , M I 4834 8 Ms . Robertso n i s employe da s aflight attendan t

b y Delt aAirlines , formerl y Northwes t Airlines . O n o r

abou t Jun e 4 , 2009 , Responden t wa s atickete dpassenge r o n Delt aFlight

### 71 , fromDetroit , Michiga n t o Nagoya , Japan . Ms . Robertso n wa s afligh t attendan t

o n Fligh t 71 . Ms . Robertso n i s expecte dt o testif y includin g bu t

no t limite dto her knowledg e o f

Respondent' s action s o n Delt aFligh t 71 . Tatsuy aOn e 3 3 Barke r Avenue , Apt . 4 G Whit e Plains , N Y 1060 1 Ms . On o i s employe da s aflight attendan t b y Delt aAirlines , formerl y Northwes t Airlines . O n or abou t Jun e 4 , 2009 , Responden t wa s atickete dpassenge r o n Delt aFligh t

71 , fro m Detroit , Michigan t o Nagoya , Japan . Ms . On o wa s aflight attendan t

o n Fligh t

71 . Ms . On o i s expecte dt o testif y includin g bu t

no t limite dt o her

knowledg e o f

Respondent' s action s o n Delt aFligh t

71 . Su e Crag g 873 9 Ridg e Avenu e Philadelphia , P A 1912 8 Ms . Crag g i s employe da s aflight attendan t

by Delt aAirlines , formerl y Northwes t Airlines . O n o r

abou t Jun e 4 , 2009 , Responden t wa s atickete dpassenge r o n Delt aFlight 71 , fro mDetroit , Michiga n t o Nagoya , Japan . Ms . Crag g was afligh t attendan t

o n Flight 71 . Ms . Crag g i s expecte dt o testif y includin g bu t

no t limite dt o he r

knowledg e o f Respondent' s action s o n Delt aFligh t 71 . Ricard o Lopez-Castill o 157 8 Jonatho n Stree t Vista , C A 9208 3 Ms . Lopez-Castill o i s employe da s aflight attendan t

b y Delt aAirlines , formerly Northwes t

Airlines . O n o r

abou t Jun e 4 , 2009 , Responden t wa s atickete dpassenge r o n Delt aFligh t

71 , fro mDetroit , Michiga n t o Nagoya , Japan . Mr . Lopez-Castill o wa s a flight attendan t

o n Fligh t

71 . Mr . Lopez-Castill o i s expecte dt o testif y includin g but

no t limite dt o hi s knowledg e o f Respondent' s action s o n Delt aFligh t 71 .

### f

. Jeffre y Ferre r 631 3 Bra y Ct . Dublin , C A 9456 8 Mr . Ferrer

i s employe da s afligh t attendan t

b y Delt aAirlines , formerl y Northwes t Airlines . O n o r

abou t Jun e 4 , 2009 , Responden t was atickete dpassenge r o n Delt aFligh t 71 , fromDetroit , Michiga n t o Nagoya , Japan . Mr . Ferre r wa s afligh

t attendan t

on Fligh t 71 . Mr . Ferre r

i s expecte dt o testif

y includin g bu t

no t limite dto hi s knowledg e o f Respondent' s action s o n Delt aFlight 71 . g . Nanc y Nyber g 150 7 Sunse t

Boulevar d Hawley , M N 5654 9 Ms . Nyber g i s employe da s afligh t attendan t

b y Delt aAirlines , formerl y Northwes t Airlines . O n o r

abou t Jun e 4 , 2009 , Responden t wa s atickete dpassenge r on Delt aFligh t 71 , fromDetroit , Michiga n t o Nagoya , Japan . Ms . Nyber g wa s aflight attendan t

o n Flight 71 . Ms . Nyber g i s expecte dto testif y includin g bu t

no t limite dt o her

knowledg e o f Respondent' s action s o n Delt aFligh t 71 . h , Jeffre y Worth y Delt aCorporat e Security & Asse t Protectio n Mr . Worth y i s employe da s aRegiona l Security Manage r b y Delta . Mr . Worth y i s expecte dt o testif

y includin g bu t

no t limite dt o hi s knowledg e o f th e security matter s o f th e incident . i . Conni e Reime r Delt aAi r Line s Certificat e Managemen t Offic e 290 1 Metr o Driv e Suit e 50 0 Bloomington , M N 5542 5 Ms . Reime r

i s employe da s a

n Aviatio n Safet

y Inspecto r

by th e Federal Aviatio n Administration . Ms . Reime r i s th e inspecto r

wh o investigate dRespondent' s action s o n Delt aflight

7 1 o n o r abou t Jun e 4 , 2009 . Ms . Reime r i s expecte dt o testif

y includin g bu t no t limite dt o he r

knowledg e o f

th e investigatio n o f

th e incident .

### j . To mFrish e 170 0 Columbi aAvenu e Colleg e Park , G A 3033 7 Mr . Frish e i s employe da s a n Ai r Carrie r Operation s Specialis t

with th e Federal Aviatio n Administration . Mr . Frish e wil l testif y regardin g th e sanctio n propose di n thi s matte r

fo r Respondent' s interferenc e with crewmembers ' dutie s o n Delt aFligh t 71 .

### II . EXHIBI T LIS T

Th e Complainan t

may proffer

th e following : A- 1 Northwes t

Airline s Electroni c In-fligh t Inciden t Report file dby Purse r

Clemen t St . Louis, an dflight

attendants Kare n Robertson , Cynthi aJones-Hughe s an d Tatsuy aOn o A- 2 Northwes t

Airline s Electroni c In-fligh t Inciden t Narrativ e Report

filedby flight attendan t Su e Crag g A- 3 Northwes t

Airline s electroni c In-fligh t Inciden t Narrativ e Report

filedby flight attendan t Ricard o Lopez-Castill o A- 4 Northwes t

Airline s electroni c In-fligh t Inciden t Narrativ e Report

filedby flight attendan t Jeffrey Ferre r A- 5 Emai l statemen t

fromflight

attendan t Nanc y Nyber g A- 6 Emai l communicatio n regardin g inciden t fromJeffrey Worth y A- 7 Josma n Blythe' s respons e to th e Lette r o f Investigatio n date dJul y 4 , 200 9 A- 8 2150.3 b Appendi x B ; Enforcemen t Sanctio n Guidanc e Tabl e Copie s o f

th e above-identifie dexhibit s ar e attache dto thi s submissio n an dhav e bee n provide dt o th e Administrativ e Judg e an dRespondent . Complainan t als o reserve s th e righ t t o lis t additiona l exhibits , a s the y becom e know n an dt o introduc e othe r exhibit s for purpose s o f

impeachmen t

o r rebuttal . Respectfull y submitte dthi s 6" ^ da y o f July , 2010 .

NICOL E L . JACKSO N Attorne y Offic e o f th e Regiona l Counse l

### CERTIFICAT E O FSERVIC E

I certif y that th e foregoin g Complainant' s Witnes s an dExhibi t Lis t ha s bee n sent

vi a facsimile , withou t

attachment s an dFedera l Expres s to : Th e Honorabl e Isaac D . Benkin , Administrativ e La w Judg e Offic e o f Hearings , M-2 0 U.S . Departmen t

o f Transportatio n 120 0 Ne w Jerse y Avenue , S.E . Eas t Buildin g Groun dFloor , E l 2-32 0 Washington , D C 2059 0 (FAX ) (202 ) 366-753 6 Josma n Blyth e c/ o Dougla s Blyth e 53 6 Medcal f

Driv e S.W . Sunsse t Beach , N C 2846 8 (FAX ) (910 ) 579-150 7 an dth e origina l an don e cop y vi aregular mai l to : Federal Aviatio n Administratio n 80 0 Independenc e Avenue , S.W . Washington , D C 2059 1 Attention : Hearin g Docke t Clerk , AGC-43 0 Wilbu r Wrigh t Building-Suit e 2W100 0 " ' "

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# I iiiiis i H CT ZRepor t 10:31122 1 Referenc e Number : F20090604-00071-DTW-06315-40- 1 Dat e Submitted : 1 6 Ju n 200 9 11:1 5 A M Company : NW A



# i

e n Employe e Inrormitlo n

Employe e I D Firs t Nam e Las t Nam e Hom e Phon e Numbe r Emai l Addres s Addres s Fligh t Intormatlo n Fligh t Numbe r Origi n Destinatio n Fligh t Dat e Aircraft Numbe r Aircraft Typ e Even t Informatio n Positio n o r

Sea t Assignmen t Fligh t Diverte d? Diverte dl o : Fligh t Phas e Fligh t Attendan t

Bas e Even t Typ e Summar y o f

Even t Passenge r

Misconduct/Threatenin g Behavio r • Alcohol/Dni g Even t

• Appeare dintoxicate d

• Failedt o Follo w Cre w Order s o r Instruction s

• Ttireatenin g Behavior/Passenge r Disruptio n • Leve l 2 Threa t

(physica l contac t

perso n intentionall y violate s th e physica l safety/securit y o f anothe r throug h actua l physica l contact )

• Toward s Cre w Membe r

• Push/Shov e Threat s Apparen t

Intoxicatio n Infligh t Error s Even t Summar y Even t Summar y Pa x wa s seate dnex t t o galley . I wa s tol dw e nee dt o watc h him , h e appeare dt o b e intoxicate dafte r th e mea l service . A l thi s poin t th e purse r

informe dhim , h e ha denoug h t o drink . I f i n tw o hour s h e seem dok , w e woul dserv e him . I n tw o hours , h e cam e int o th e galle y an daske dfor tw o beers . H e seeme do k

a t thi s poin t

so , I serve dhi mone . I lef t th e galle y for

acoupl e minutes , whe n I cam e back , I notice dsomeon e ha dhelpe dthenuelve s t o anothe r beer . A t thi s poin t

th e pa x seeme dver y intoxicated . H e wa s makin g inappropriat e comment s abou t th e Ai r Franc e plan e tha t

ha djus t gon e down . H e stumble dtryin g t o ge t t o th e Uv . I aske dhi mt o tak e hi s seat . H e sai dh e wa s fine an d wante danothe r

drink . Whe n h e wouldn' t tak e hi s seat , 1 aske dth e purse r t o pleas e com e back....the y ha dwords . I bega n m y mi dmovi e snack . Whe n I finished, I wen t t o th e fw dgalle y t o se e wha t ha d happened . Th e purse r

wa s very upset . Hi s elbo w wa s bleeding . H e sai dwhe n h e informe dhi mh e ha denoug h an dw e wer e cuttin g hi mof f fo r good , th e pa x pushe dhi man dsa d"Yo u wantJtoae e ^ p«fu\ < / H ho w muc h fu

n I ca n be . Jus t

wai t unti l w e ge t

t o NGO" . H e continue dt o peste r th e cre w f<iWII I O

RrlUv * / alchoho l th e remainde r

for th e flight. b21l0 5 Su e Ct^g g 61 0 585-649 4 sue.cragg@nw a co m 923 1 Eagl e Vei w Dnv c 0007 1 DT W NG O 04Jun0 9 0631 5 B747-40 0
5 D N
Cruis e DTW

pax shove dpurse r

whil e i n disput e abou t

bein g cu t

of f fro malcohol . Pa x repeale dtol dt o lak e seat . Procee dt o continua l as k fo r mor e l o drin k

Preventiv e Measure s pag « 1 a t 2 NOTE : DO T FA A Ode r8000.8 2 designate s informatio n receive d b yth e agetK yfro m a n Aviatio n Safet yActio n Progra m (ASAP ) a s protecte d fro m publi c disckisur e i n accordanc e wit h Iti e proviskin s o f Titl e 1 4 o f th e Cod e o f Federa l Regulation s (1 4 CFR ) par t 19 3 rwwilji , ILO G PAG E INFORMATIO N



# FO R OFFICIA LUS E ONLYST! ^ "°aifo5f:jr.h'^,:^;?o';;^iroix^^^^

^Repor t ID:31076 2 Referenc e Number : F20090604-00071-DTW-06309-29-1 1 Dat e Submitted : 0 8 Ju n 200 9 07:3 1 P M Company : NW A



# a > Employe e Informatio n

Employe e I D Firs t Nam e Las t Nam e Hom e Phon e Numbe r Emai l Addres s Addres s Fligh t Informatio n Fligh t Numbe r Origi n Destinatio n Fligh t Dat e Aircraf t Numbe r Aircraf t Typ e Even t Informatio n Positio n o r

Sea t Assignmen t Fligh t Diverte d? Diverte dlo : Fligh t Phas e Fligh t Attendan t

Bas e Even t Typ e Summar y o f

Even t Passenge rMisconduct/Threatenin g Behavio r • Alcohol/Dru g Even t Nam e Addres s State/Provinc e Phon e Identificatio n Number/PN R IdentiFicatio n Numbe r

Issue d Fro m

• Appeare dintoxicate d Threat s Apparen t

Intoxicatio n Infligh t Error s Even t Summar y Even t Sunnnar r-

Preventiv e Measure s - . LO G PAG E INFORMATIO N C3239 6 Ricard o Lopez-Castill o 76 0 822-199 0 ricardo.lopercaslillo@nwa.co m 157 8 Jonatho n S t

Vista , C a9208 3
0007 1 DT W NG O 04Jun0 9 0630 9 8747-40 0 3 8 N
Cruis e DT W Passenge r

ha dalittl e to o muc h t o drink .

Josma n Blyth e Leve l o f Involvemen t Cit y Countr y Posta l Cod e Sea t Worl dPerk s Numbe r Violato r

Sitvx^JVa ^ i ^ I serve dMr.Blythe , sittin g o n 43B , on e re dwin e befor e dinne r an dtw o Dewar s o n th e rock s durin g th e res t o f hi s meal . B y th e tim e I wa s read y l o g o o n fus t break , I notice dtha t

h e ha dabee r

ca n o n his,dinnc r

table ; therefore , 1 advice dsom e o f m y collegue s takin g car e o f Mai n Dec k Galle y Uni t

41 6 kee p an ey e o n hi msinc e h e appere dintoxicated . A s I wa s walkin g towar dth e bunks , I sa w Clement , ou r purser , talkin g t o Mr . Blythe . Fe w hou r late r whe n I cam e bac k

fro mbreak , I foun dou t tha t h e wa s no t

allo w t o b e serve dan y mor e alcohol . I communicate dt o m y cre w member s l o monito r an y alcoho l consumptio n b y Mr.Blythe .

pag e 1 of 1 NOTE : DO

T FA A Orde r8000.8 2 designate s informatio n receive d b yth e agenc

yfro m a n Aviatio n Safet

yActio n Progra m (ASAP ) a s protecte d fro m putjii c disclosur e i n accordance wit h th e provision s o f Titl e 1 4 o f th e Cod e o

f Federa l Regulation s (1 4 CFR ) par t 19 3Repor t ID : 31073 5 Referenc e Number : F20090604-00071-DTW-06309-29-1 0 Dat e Submitted : 0 8 Ju n 200 9 12:1 1 P M Company : NW A



# o t n Employe e Informatio n

Employe e I D Firs t Nam e Las t Nam e Hom e Phon e Numbe r Emai l Addres s Addres s Fligh t Informatio n Fligh t Numbe r Origi n Destinatio n Fligh t Dat e Aircraft Numbe r Aircraft Typ e Even t Informatio n Positio n o r

Sea t Assignmen t Fligh t Diverte d7 Diverte dt o : Fligh t Phas e Fligh t Attendan t

Bas e Even t Typ e Summar y o f

Even t Passenge r

Misconduct/Threatenin g Behavio r • Alcohol/Dru g Even t Nam e Josma n Blyth e C2996 3 Jeffre y Ferre r 253951407 6 Jeffrey . ferret@nw aco m

0007 1 DT W NG O O4Jun0 9 0630 9 B747-40 0
4 D N

Cruis e DT W

FA A ai r traffi c controlle r

wa s overdrinkin g an drefuse dt o tak e cre w orders/instnictions . Demande d mor e alcohol .

Leve l o f Involvemen t Cit y Countr y Posta l Cod e Sea t Worl dPerk s Numbe r Violato r Addres s State/Provinc e Phon e Identificatio n Number/PN R Identificatio n Numbe r

Issue d Fro m

• Appeare dintoxicate d

• Failedt o Follo w Cre w Order s o r Instruction s

• Refijse dt o b e seate dwhe n sea t bel t sig n illuminate d

• Adul t Passenge r • Passenge r

eventuall y complie d

• Pleas e provid e ho w man y time s th e reques t wa s mad e prio r

t o passenge r

compliance:Althoug h I a munsure , I ca n a t leas t remembe r

mor e tha n 5 time s th e passenge r

wa s told . • Threatenin g Behavior/Passenge r Disruptio n

• Leve l 2 Threa t

(physica l contac t

perso n intentionall y violate s th e physica l safety/securit y o f anothe r throug h actua l physica l contact )

• Toward s Cre w Membe r
• Push/Shov

e WBBIfl l WOOi / 

## Page_J_of_2r

pag e 1 o f 2 NOTE : DO

T FA A Orde r800 0 8

2 designate s intoimatio o receive d b ytl w agenc

yfro m a n Aviatio n Safet

yActk m Progra m (ASAP ) a s protecte d fro m publi c disclosur e i n accordance wit h th e proviskin s o f Titl e 1 4 of Ifi e Cod e o f Federa l Regulation s (1 4 CFR ) par t 19 3 %• Othcr:place s hi s entir e amaaroun dpurser' s shoulde r an dnec k

area ; touche s femal e F

A

• Action s take n • Defusin g technique s • Verba l warnin g • Stoppe dalcoho l servic e • La w enforcemen t

me t fligh t
• Respondin g agenc y • Loca l authoritie s Threat s Apparen t

Intoxicatio n Service/Mea l Complain t Innigh l Error s Even t Summar y Even t Summar y

Preventiv e Measure s LO G PAG E INFORMATIO N Passenge r Blyth e complaine da s t o wh y h e coul dno t hav e severa l driitk s a l on e time . H e ha dbee n drinkin g free alcoho l a s mentione di n announcements . Earl y on , a n F A cu t hi mof f H e the n demande dt o tal k

t o purser . H e showe dhi s FA A badg e t o apparentl y le t u s kno w tha t

i t wa s o k fo r hi mt o drink . Purse r

tol dhi mthat

w e woul dserv e hi malcoho l afte r 2 hours . A t

exactl y 2 hours , h e aske dm e fo

r beer . I verifie dwith purse r t o determin e whethe r

i t wa s o k t o serv e Mr . Blythe . Purse r sai di l wa s ok . H e gulpe di t dow n i n les s tha n 2 minutes . H e aske dfor mor e alcoho l fro mothe r FA s wh o wer e workin g first

break Sinc e w e fel l M r

Blyth e wa s ou t

o f contro l i n hi s alcoho l consumptio n an dcoul dhardl y wal k straight , th e purse r

tol dhi mtha t

h e wa s cu t

of f for th e res t o f th e fligh t H e refuse dt o si t

dow n an dargue dwith th e purser . I hear dbot h purse r an dMr . Blyth e sa y word s lik e "yo u jus t assaulte dme. " I di dse e Mr . Blyth e com e t o th e galle y an dplac e hi s arm s aroun dpurser' s shoulde r an dnec k area . H e seeme dwantin g t o befrien dal l o f u s an dwantin g t o se e i f h e coul dge t

mor e alcohol . Passenge r Blyth e wa s argumentativ e whe n alcoho l wa s refuse dan d didn' t wan t t o si t dow n whe n purse r

aske dhi ml o severa l times . A sid e note : passenge r Blyth e wa s th e on e wh o bough t

Mr . Santo s o f

43 C alcoho l earl y on . Mr . Santo s late r o n fainte dan dlos t consciousnes s an dhi t

hi s heado n bathroo mdoor . Mr . Santo s ha dearlie r tol dm e tha t

h e couldn' t drin k alcoho l becaus e h e woul dge t dehydrated . Mr . Santo s ha dbee n takin g Proza c an dmay hav e ha dasuffere dasever e reactio n whe n mixe dwith alcoho l I t i s difficult

t o kno w ho w muc h alcoho l apassenge r ca n tak e an db e fine . I thin k fre e alcoho l shoul db e limite dan dno t openl y advertise di

n announcements . I f

advertised , purse r

briefing s shoul dinclud e limi l t o alcoho l servic e pe r passenger , etc . However , i n thi s case , passenge r

Blyth e ha dFA A badg e hangin g o n hi s perso n an dn o cre w membe r woul deve n thin k

tha t th e violato r woul db e an FA A badge demployee . FA A shoul dtal k t o thi s employee .



## MttlSlW^ ^ 

# FOROFFieiALilS £

pag e 2 o f 2 NOTE : OO T FA A Orde r80(X).8 2 designate s informatio n receive d b ytl> e agenc yfro m a n Aviatio n Safet yActio n Progra m (ASAP ) a s protecte d fro m puUk : disckmr e i n accordanc e wit h th e proviskm s o f Titl e 1 4 o f th e C^od e o f Federa l Regulation s (1 4 CFR ) par t 19 3"Lemieux , Michae l L " <michael.Iemieux@nwa.co m > 06/30/200 9 08:3 9 A

M T o Conni e Reimer/A G L/FAA@FA A

c c Ja yLivesey/AGL7FAA(a)FAA bc c Subjec t FW : Fi t 7 1 /

04Jun0 9 /

DTWNG O - Distruptlv e Passenge r


### Connie , Thi s i s th e las t statemen t fro mfligh t 7 1 / 04Jun0 9 / DTWNG O - Distruptiv e passenger . Thi s wil l clos e ou t th e fligh t o n ou r side . Thanks , Michae l Origina l Messag e From : Mullen , Rober t F Sent : Sunday , Jun e 28 , 200 9 11:5 6 AM To : Ahrenholz , Trici a L ; Dorn , Wend yM ; Lemieux , Michae l L Cc : Quigley , Devi n J Subject : FW : Fi t 7 1 / 04Jun0 9 / DTWNG O - Distruptiv e Passenge r I believ e thi s shoul d clos e ou t fligh t 71 . Sorr yI hav e bee n o n vacation . Origina l Messag e From : Nyberg , Nanc yL Sent : Monday , Jun e 22 , 200 9 11:3 3 P M To : Mullen , Rober t F Subject : RE : Fi t 7 1 / 04Jun0 9 / DTWNG O - Distruptiv e Passenge r Hell o Mr . Mullen , I a mwritin g i n regard s t o passenge r Josma n Blythe . worke d a n upppe r dec k positio n o n thi s fligh t bu t di d wor k i n touris t clas s durin g ou r breaks . Mr . Blyth e wa s extremel yintoxicate d an d ha d bee n cu t of f fro mal l alcoholi c beverages . Whil e servin g th e snac k I witnesse d Mr . Blyth e goin g int o ou r gail yan d exitin g wit h a beer . H e wa s ver y"i n you r face",argumentative , condescendin g an d rude . Ou r purser , Clement , wa s extremel ycal man d i n control . I woul d fl ywit h Clemen t anytim e an d b e proud . Sincerely , Nanc yNyber g From : Mullen , Robert F Sent : Monday , Jun e 08 , 200 9 2:2 9 P M To : Ferrer , Jeffrey ; Harbick , Patrici a A ; Fetting , Caro l A ; Watts- D Orra , Patrici a N ; Nyberg , Nanc yL ; Gill , Genev a H ; Lopez-Castillo , Ricardo ; Cragg , Su e A Subject : FW : Fi t 7 1 / 04Jun0 9 / DTWNG O - Distruptiv e Passenge r Goo d afternoo n cre w members!! ! Yo u wer e worke d thi s fligh t wit h a disruptiv e passenger . Wha t I a mwritin g abou t i s tha t w e nee d statemen t fro mal l wh o witnesse d o r wer e involve d i n thi s incident . Thi s i s importan t a s thi s wil l mos t likel ylea d t o prosecution . Pleas e i f yo u hav e an yinf o o f witnessin g th e inciden t o r wer e involve d pleas e eithe r g o o n Atla s an d g o to o II R In-Fligh t Inceden t Repor t o r simpl yrepl y bac k t o m e wit h a statement . Als o i f yo u wer e n o involve d simpl yhi t th e repl ybutto n an d infor mme . B ydoin g thi s i t wil l sto p m e fro mhavin g t o 

# FO R OmCIA L US E ONL

Ycal l yo u t o as k i f yo u wer e involved . Thank s an d enjo yyou r summer .

Mulle n Ro b Origina l Messag e From : Quigley , Devi n J Sent : Monday , Jun e 08 , 200 9 2:4 5 P M To : Brazell , Robi n D ; Hanson , Debra ; Krijnen , Annek e J ; Lemoncelli , Seren a L ; Mullen , Rober t F ; Wallace , Melind a M Subject : RE : Fi t 7 1 / 04Jun0 9 / DTWNG O - Distruptiv e Passenge r Ro b Ca n yo u pleas e tak e thi s flight . Thanks , Devi n Quigley-Owen s Purse r Manage r DT W 734-247-250 5 734-247-2554-fa x devin.quigleyOnwa.co m Origina l Messag e From : Lemieux , Michae l L Sent : Monday , Jun e 08 , 200 9 11:5 7 A M To : Misserian , Andre a E ; Brazell , Robi n D ; Hanson , Debra ; Krijnen , Annek e J ; Lemoncelli , Seren a L ; Mullen , Rober t F ; Quigley , Devi n J ; Rawls , Bernar d M ; Reller , Brit t D ; Wallace , Melind a M Cc : Dorn , Wend yM Subject : Fi t 7 1 / 04Jun0 9 / DTWNG O - Distruptiv e Passenge r Hell o DTW / BOS , Th e FA Aha s requeste d statement s fro mal l cre w member s wh o witnesse d o r wer e involve d wit h thi s incident . W e currentl yhav e onlin e report s fro m Purse r S t Loui s an d FA s Ono , Robertso n an d Jones-Hughes . Pleas e contac t th e remainin g FA s an d reques t statement s fro mthem . W e woul d prefe r th e statement s b e submitte d vi a th e ne w onlin e reportin g system ; howeve r the yma yals o b e forwarde d vi a e-mai l t o ifsafety@nwa.co mo r vi a fa x t o 612-970-7395 . Th e lin k t o th e ne w onlin e repor t i s foun d o n th e ATLA S hom e pag e unde r Ho t Links . Passenge r Joshma n Blythe , seate d i n 43 C appeare d intoxicate d an d becam e distruptive . 4 4 04JU NBO S 6 5 04JU NDT W 6 6 04JU NDT W 8 5 04JU NDT W

DT W DT W DT W DT W 8 5 04JU NDT W

DT W DT W 13 6 04JU NDT W 200 2 OIJU NNG O

NG O FPAL L B 1 FAAL L B-L- - FAAL L B-L- - FAAL L B FAAL L B FAAL L B FAAL L B 1 FAAL L B FAAL L B FAAL L B FAAL L B FAAL L B SRAL L B SRAL L B 20119 2

22219 5 22996 3 10763 6 05868 4 08442 2 08673 8 18493 2

- 12349 4

- 06690 0

- 23239 6

- 12110 5

- 32048 7

- 31956 1 0327 8

0487 9 0546 5 0005 2 0044 5 0068 7 0071 9 0081 4 0097 6 0113 9 0574 7 0153 2 00219 F 00223 F S T LOUIS , CLEMEN T

ONO , TATSUY A FERRER , JEFFRE Y HARBICK , PATRICI A FETTING , CARO L A WATT S -D'ORRA , PAT R NYBERG , NANC Y LYN N JONE S -HUGHES , CYN T GILL , GENEV A ROBERTSON , KARE NL LOPE Z CASTILLO , R I CRAGG , SU E A . TAIRA , MA O SONE , MIR I 

### Thanks , 

# FO R OFnCIA L US E ONL

Y ttemofProol^Michae l Lemieu x

Specialist , Infligh t Safet y Northwes t Airlines , Inc . Asubsidiar yo f Delt a Ai r Line s Office : (612 ) 726-498 8 Fax : (612 ) 970-739 5 michael.lemieux®nwa.co m



## ftemolPiooL-- 

# FO R OFFICIA LUS E ONLY^^^k^ Z"Thompson , Gary " T o Charlen e G Watt/ASO/FAA@FAA , Ja y <gary.Thompson@deita.co m Livesey/AGL/FAA(a)FAA , Conni e Reimer/AGI_/FAA@FAA > c c 06/06/200 9 01:1 0 P M bc c Subjec t FW : Fi t 7 1 DTW-NG O
FY ! GaryThompso n Genera l Manage rIP S Health , Safet y& Securit y 404-715-165 7 From : Worthy , Jeffre yL [mailto:jeff.worthy(g)nwa.com ] Sent : Saturday , Jun e 06 , 200 9 1:2 0 P M To : Thompson , Gary ; Reller , Brit t D Cc : Winter , Eri c Subject : Re : Fi t 7 1 DTW-NG O Th e FAA ha s confirmetj Blyth e a s a n employee . Santo s wa s no t involved . At thi s junctur e Blyth e ha s bee n denie d boardin g o n ou rflights an d th e FA A ha s bee n notified . A s additiona l informatio n b wcome s availabl e fro m th e station , 1 wil l fw d t o you . » » » Sen t fro m th e Blackberryof ; Jef f Worth y Regiona l Securit yManage r DL7N W Corporat e Securit y From : Thompson , Gar

y To : Reller , Brit t D ; Worthy , Jeffre yL Sent : Sat Ju n 0 6 12:09:3 6 200 9 Subject : Re : Fi t 7 1 DTW-NG O Jef f pi z kee p m e i n th e loop . Ar e th e FA s OK ? Th e FAA referenc e i s importan t - w e nee d t o confir m tha t ASA P Gar y From : Reller , Brit t D To : Thompson , Gar

y Sent : Fr i Ju n 0 5 12:10:1 1 200 9 Subject : Fw : Fi t 7 1 DTW-NG O Fy i From : Worthy , Jeffre yL To : Takeda , Koji ; Kinjo , Tamots u Cc : Aguirre , Carme n C ; Blume , Collee n K ; Winter , Eric ; Stone , John ; Krueger , Fred ; Sawaya , Alan ; Julian , Michael ; Horvath , Mar k B ; Jeske , Jill ; Ahrenholz , Trici a L ; Reller , Brit t D ; Hanson , Debr a Sent : Fr I Ju n 0 5 11:08:2 3 200 9 Subject : Fi t 7 1 DTW-NG O 

### itemofProo t ^ 

# FO R OFFICIAL'«" •ONLY^n i 9 ^Koji-san ,

W e hav e a n inciden t o n 7 1 inboun d las t nigh t regardin g a disruptiv e pax(s ) i n seats 43b/ c (Blyth e & Santos ) wherei n the yar e allege d t o hav e pushed/grabbe d th e Purse ran d o rF A a s wel l a s verba l assault . Th e 2 wer e allege d t o hav e overindulge d i n alcoho l an d prosai c (unconfirme d bu t reporte d vi a th e SO C fro m th e cre w enroute) . Als o i t wa s advise d tha t LA W enforcemen t wa s requested . Coul d yo u explai n wh y onl ya superviso rme t th e fligh t whe n a physica l assaul t o n th e purse roccurre d an d th e LEO' s wer e requested ? Furthermore , thes e 2 wer e allege d an d 1 ha s bee n confirme d t o wor k fo rth e FAA , wer e yo u abl e t o gathe rbadg e number s an d identifyin g dat a o n them a s requested ? Finally , the ywer e t o b e denie d boardin g an d turne d ove rt o th e authorities . Wer e the ydenie d boardin g an d o rentryo n subsequen t fligh t (s) ? Th e TS A ha s bee n notifie d an d i s requeste d additiona l informatio n pertainin g t o statu s o f th e pa x currently . PI z respon d a s soo n a s possible . Fred/Alan , A s yo u ar e headin g int o NG O , PL Z addres s thi s ASA P wit h statio n management . Regards , Jef i Worth y Regiona l Securit yManage r Asia, Canada , U.S . Wes t & MS P Hu b Operation s Delt a Corporat e Securit y& Asse t Protectio n 612-726-001 4 612-387-584 5 (cell ) 612-726-843 5 (Fax ) CONFIDENTIALIT Y NOTICE : Thi s E-mai l (includin g an yattachments ) i s covere d b yth e Electroni c Communication s Privac yAc t an d i s confidential , i t ma yb e legall yprivileged . I f yo u ar e no t th e intende d recipient , yo u ar e hereb ynotifie d tha t an yretention , dissemination , distribution , o rcopyin g o f thi s communicatio n i s strictl yprohibited . Pleas e repl yt o th e sende rtha t yo u hav e receive d th e messag e i n erro ran d the n delet e it .



# FO R OFFICIA LUS E ON I V P^^KS I

## Mr . J Blythe

62 9 Starboar

dRoa dN W Shallotte , N C 2847 0 ^^^IV^ n 

## JU L n Mr . Vanc e Harri s v 3 200 Q Supervisor y Principa l Operation s Inspector

^'^ A r

^ Federa l Aviation Administratio n ' " July 4 , 2009 Fil e #20098027026 3 Dea r Mr , Harris , I apologiz e fo

r takin g s o long t

o reply . I a

mcurrentl y outside the conu s an dwil l b e remainin g s o fo

r th e next severa l years . Afte

r learnin g o f

your letter , I emailedthi s to a friendto forwar

dt o you . M y trip oversea s wa s alon g andarduou s da y causin g m

e to b e u p ove r 2 4 hours . Whe n I boardedm

y fligh t in Detroit , I foim

dth e stewar

dt o b e rude an

dcondescending . I f I aske daquestion , he wouldrol l hi s eye s a t m e befor e replying . Whethe

r h e was jus t havin g aba

dday , o r ha dpersona l issues , I d

o no t know . Durin g th e cours e o f the flight, the passenge

r nex t t o m e becam e extremely inebriate dand , upon standing up , passedou t i n the aisle . Thi s furthe

r exasperate dth e moodof

all involved . Late

r in th e fli^t , the stewardan dI exchangedsom

e word s an

dI usedsom

e epithet s I shouldnot

have . H e took grea t offence . Ou

r word s wer

e between u s onl

y an da t n o time di dI disrupt

the peac e o f the othe r passenger s o r

interfer e wit h the flight

crews ' performanc e o f

duties . I spok

e t o the hea dstewar

dlater on andexpresse dm

y s^log y fo

r m y choic e o f

word s an dm y desir e to have a

n uneventful trip without

incident . Th e res t of th e trip wa s uneventful . Upo n arrivin g at

NGO , I spok

e t o airjwr t securit y abou t wha t ha doccurred . The

y talke dfirst

handt o al l partie s involved . Ther e wer e n o problems at

tha t time andthe situatio n appeare dcompletel y mollified . I t was decide dI wouldjus t

tak e th e next flight an dI wa s issue daboardin g pass . Thi s was simpl y apersonalit

y conflic t between myself

an dth e stewar

dtha t I though t ha dbee n woricedou

t without event . Sincerely , Mr . J Blyth

e 

# ? c n ItetnofPnx^^ Pagejjai-J— •

### 10/01/0 7 2150.3 B Appendi x B Tabl e o f Sanction s Al l Enforcemen t

Program s Excep t Hazardou s Material s Par t On e - Abbreviation s an dDefinition s 1 . Applicability . Thi s tabl e o f sanction s applie s t o violation s tha t occurre do n o r

after Octobe r 1 , 2007 . Fo r

violation s occurrin g befor e Octobe r 1 , 2007 , FA A enforcemen t personne l appl y th e sanctio n guidanc e principle s i n FA A Orde r 2150.3 A usin g u p t o th e statutor y maximu msanctio n amoun t i n effec t at th e tim e o f

th e violation . 2 . Abbreviations . Th e followin g abbreviation s ar e use din thi s Table : API S mean s approve dproductio n inspectio n syste m A/ W mean s airworthines s A W C mean s airworthines s certificat e BT S mean s Unde r

Secretar y for

Borde r an dTransportatio n Securit y l A mean s inspectio n authorizatio n L E mean s law enforcemen t — - P C mean s productio n certificat e ST C mean s supplementa l typ e certificat e T C mean s typ e certificat e TF Rmean s Temporar y Fligh t Restrictio n TS A mean s Transportatio n Securit y Administratio n 3 . Definitions : a . A continuin g violatio n arise s whe n aspecifi c violatio n occur s ove r mor e tha n on e day o r ove r mor e tha n on e flight. I t als o ma y involv e aviolatio n that i s ongoing , yb r

example , an ongoin g refusal t o provid e require drecord s t o th e FA A for inspection . Punitiv e sanction s ar e appropriat e for

continuin g violation s tha t ar e no t currentl y ongoing . Sanctio n guidanc e for thes e violation s i s se t

fort h i n paragraph s 6 an d7 {multipl e act s o r multipl e violations ) o f chapte r 7 . A combinatio n o f

punitiv e an dremedia l sanction s i s appropriat e whe n continuin g violation s ar e ongoing . b . Violatio n committe db y asmal l busines s concern . Sectio n 50 3 o f Visio n 100—Century o f Aviatio n Reauthorizatio n Ac t (CARA ) amende d4 9 U.S.C . § 4630 1 t o chang e th e civi l penalt y amount s th e FA A ma y see k for violation s tha t

occu r o n o r afte r Decembe r

12 , 2003 ; th e la w set s differen t

limit s o n th e civi l penaltie s th e FA A ma y see k for violation s b y smal l busines s concerns , a s oppose dt o violation s b y othe r entities . Visio n 10 0 CAR A give s smal l busines s concer n th e sam e meanin g a s i n th e Smal l Busines s Ac t (1 5 U.S.C . § 632) . Sectio n 63 2 define s smal l busines s concer n a s a n enterpris e "whic h i s independentl y owne dan d operate dan dwhic h i s no t dominan t

in it s fieldo f

operation. " Th e Smal l Busines s Administratio n regulation s implemen t th e Smal l Busines s Ac t

an ddefin e busines s concer n a s B- 1

## 10/0#0 7 2136.3 8

" abusines s entit

y organize dfo

r profit , wit h aplac e ofbusines s locate di n th e U.S. , andwhich operate s primarily within th e U.S . o r which make s asignifican

t contributio n t o th e U.S . econom y throug h paymen

t of taxe s o r us e o f Atnerica h procfeicts , material s or

labor. " 1 3 C.F.R . § 121.105 . Th

e S B A regulation s furthe

r define smal l busines s concer n i n tables , describin g eac h kindof

entit y b y it s economi c activit

y orih<Siustty , andlistin g th e limit fo r smal l b y annua

l receipt s or , mor

e commonly , htanber

o f employees . (Th e siz e limit s generally ar e establishe dunde

r the Nort h America n Industr y Classificatio n Syste

m(NAICS). ) Fo

r the complet e list , se e 1 3 C.F.R . § 121.20 1 o r th e SBA' s webslte^ t

www.sba.gov . Thus , if

aperso n meet s th e definitio n o i busines s concer n an dha s annua

l receipt s or

th e numbe

r o f employee s withi n the applicabl e SB A limit , i t i s asmal l busines s conc&^it , afti dth e FA A wil l de^^initte th e civi l penalt

y usin g the applicabl e range . Limit s fo r commoi f iViatio n entitie s follbw^ih number s o f

employees , unles s otherwis e noted) . Manufacturing Aircraf t - 1,50 0 employee s Aircraf t engine andpar

t - 1,00 0 employee s Othe r aircraf t par t an dequipmen

t - 1,00 0 employee s Ai r transportatio n Schedule dpassenge

r - 1,50 0 employee s Schedule dfreigh

t - 1,50 0 employee s Nonschedule dpassenge

r - 1,50 0 employee s -

— Nonschedule doffshor

e marine passenger

- $25. 5 millib n annual receipt s Nonschedule dfreigh

t - 1,50 0 employee s Nonschedule doffshor

e marine freigh

t - $25. 5 millio n annua

l receipt s Othe r nonschedule d- $6. 5 millio n annua l receipt s Suppor t activitie s - $6. 5 million annua l receipt s Fligh t Trainin g - $23. 5 millio n annua l receipt s Airpor t operation s y^rpor t operator , organize dfo

r profit - $6. 5 millicH

i sdi^iia l receipt s Odie r operations , excludin g air

traffi c contro l '•$ 6 5 A^Uon tuinua l receipt s Note thatidt

e following guidanc e use s larg e busines s concen t ^ some civi l penalt

y riuiges . Tha t i s no t astatutor y o r regulatot y ter mfo r purpose s o f

FA A cnforcemen

T I t incluc^ie&c h busines s concer

n tha t exceed s th e maximu

mlimi t fo r smal l busines s concern , a s well a s an y other entit y tha t doe s no t mee t the definitio n o f

"smal l busines s c6hcem. " c . Civi l Penalt

y Ranges . For

th e purpos e o f

thi s table , when Civi

l penalt y actio n i£ i recommendedan ddescribe da s Minimum, Moderate , o r Mcoeinnittt

, th e penalt

y range s are ' define din^subparagraphs(l ) through (9 ) o f thi s paragraiA . NOl

e that th e middl e o f

ia ^ recommendedsanctio n rang e wouldb e fo r asingl e violatio n witihou

t aggravatin g o r

triitigktin g factors .


## B- 2

### 10/01/0 7 2150.3 B

(1 ) VIOLATIO N COMMITTE D B Y U.S . AI RCARRIER S O RU.S . COMMERCIA L OPERATOR . CLASSIFICATIO N O FAI RCARRIE RAN D OPERATO R GROU P I - Eac h ai r

carrie r operatin g unde r

par t 12 1 o r par t 135 , with a

n annua l operatin g revenu e o f

$100,000,00 0 o r

more . Operatin g revenu e i s determine db y referenc e t o DOT' s "Ai r Carrie r Industr y Schedule dServic e Traffi c Statistic s Quarterly. " Se e http://ostpx\veb.dot.gov/aviation/index.htinl , an dclic k o n "Airlin e Financia l Review. " GROU P II - Eac h ai r

carrie r o r commercia l operato r

operatin g unde r

part 12 1 wit h a n annua l operatin g revenu e o f

les s tha n $100,000,000 , o r unde r part 13 5 wit h a

n annua l operatin g revenu e o f

les s tha n $100,000,000 , i f th e 13 5 operato r

ha s 5 0 o r

mor e pilot s an d2 5 o r

mor e aircraf t o n it s operation s specifications . Operatin g revenu e i s determine db y referenc e t o DOT' S "Ai r

Carrie r Industr y Schedule dServic e Traffi c Statistic s Quarterly. " GROU P II I - Eac h ai r

carrie r o r commercia l operato r

operatin g unde r

part 13 5 with 6 t o 4 9 pilot s o r 6 t o 2 4 aircraft . GROU P I V - Eac h ai r

carrie r o r commercia l operato r

operatin g unde r

part 13 5 with n o mor e tha n 5 pilot s an dn o mor e tha n 5 aircraft . GROU P 1 - larg e busines s concer n

Maximu m$18,750-$25,00 0 Moderat e $10,000- $ 18,74 9 Minimu m$2,000-$9,99 9 GROU P I - smal l busines s concer n (fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(5)(A)) :

Maximu m$8,250- $ 11,00 0 Moderat e $4,400-$8,24 9 Minimu m$l,100-$4,39 9 GROU P I - smal l busines s concer n (fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$850- $ 1,100 Moderat e $650-$84 9 Minimu m$50 0 $64 9 GROU P II - larg e busines s concern : 

### B- 3

### 10/01/6 7 2150.3 8 Maximu m$16,250-$25,00 0 Moderat e $8,750- $ 16,24 9 Minimu m$l,850-$8,74 9 GROU P I I - small busines s concer

n (for violation s covere dunder

4 9 U.S.C . § 4630I{a)(5KA)) : Maximu m$8,250- $ 11,000 Moderat e $3,850-$8,24 9 Minimu m$935-$3,84 9 GROUP II - small busines s concer n (for violation s covere dunder

4 9 U.S.C . § 46301(a)(1)(A ) or (B ) but not unde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$750- $ 1,10

0 Moderat e $450- $ 74 9 Minimu m$250 $ 44 9 GROU P III -fo r violation s covere dunder

4 9 U.S.C . § 46301(a)(5XA) : Maximu m$7,150- $ 11,000 Moderat e $3,300-$7,14 9 Minimu m$825-$3,29 9 GROU P III - fo r violation s covere dunder

4 9 U.S.C . § 4630l(a)(lXA ) o r (B ) but no t under 4 9 U.S.C . § 46301(a)(5)(A) :

Maximu m$650- $ 1,10

0 Moderat e $400- $ 64 9 Minimu m$150- $ 39 9 GROU P r V -fo r violation s covere dunder

4 9 U.S.C . § 4630 1 (a)(5XA) : Maximu m$4,400- $ 11,000 Moderat e $2,200.$4,39 9 Minimu m$550-$2,19 9

GROU P I V - fo r violation s covere dunde

r 4 9 U.S.C . § 46301(aXlXA ) o r (B ) but no t under 4 9 U.S.C . § 46301(aX5)(A) :

Maximu m$500- $ 1,10

0 Moderat e $300-$49 9 B-4

### 10/01/0 7 2150.3 8 Minimum$100-$29 9 (2 ) VIOLATION COMMITTE D B Y PAR

T 12 9 OPERATO R Maximu m$18,750-$25,00 0 Moderat e $10,000- $ 18,749 Minimu m$2,000-$9,99 9 (3 ) VIOLATION COMMITTE D B Y PAR

T 12 5 OPERATOR . Larg e Busines s Concern : Maximu m$16,250-$25,00 0 Moderate $8,750- $ 16,24 9 Minimum$l,850-$8,74 9 Smal l Busines s Concer

n (fo r violation s covere dunde

r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$8,250- $ 11,000 Moderate $3,850-$8,24 9 Minimum$935-$3,84 9 Smal l Busines s Concer

n (fo r violation s covere dunde

r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) but not under 4 9 U.S.C . § 46301(aX5)(A)) : Maximum$750- $ 1,10 0 Moderate $450-$74 9 Minimum$25 0 $44 9 (4 ) VIOLATION COMMITTE D B Y AI RAGENCY (INCLUDIN G REPAIRSTATIQN V Larg e Busines s Concern : Maximum$16,250-$25,00 0 Moderate $8,750-$16,24 9 Minimum$l,850-$8,74 9 Small Busines s Concer

n (for violation s covere dunder

4 9 U.S.C . § 46301(a)(5)(A)) : Maximum$7,150- $ 11,000 Moderat e $3,850-$7,14 9 Minimum$935-$3,84 9 B- 5

# ^om m21S0.3 B

Small Busines s Concer

n (fo r violation s covere dunde

r 4 9 U.S.C . § 46301(aXl)(A ) o r (B ) bu t no t under 4 9 U.S.C . § 46301(a)(5XA)) : Maximu m$750- $ 1,10

0 Moderat e $450-$74 9 Minimu m$25 0 $44 9 (5 ) VIOLATION COMMITTE D B Y AIRPOR

T OPERATOR . Larg e Busines s Concern : Maximu m$18,750-$25,00 0 Moderat e $10,000- $ 18,74 9 Minimu m$2,000-$9,99 9 Small Busines s Concer

n (fo r violation s covere dunde

r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$8,250- $ 11,000 Moderat e $4,400-$8,24 9 Minimu m$l,100-$4,39 9 Small Busines s Concer

n (fo r violation s covere dunder

4 9 U.S.C . § 46301(aXlXA ) o r (B ) but no t unde r 4 9 U.S.C . § 46301(aX5)(A)) : Maximu m$850-$l,10 0 Moderat e $650-$84 9 Minimu m$50 0 $64 9 (6 ) LARG

E BUSINES S CONCER

N - DOE S NO T HOL

D CERTIFICAT

E Maximu m$18,750-$25,00 0 Moderat e $10,000- $ 18,74 9 Minimu m$2,000-$9,99 9 (7 ) SMAL

L BUSINES S CONCER

N - DOE S NO T HOL

D CERTIFICATE Fo r violation s covere dunde

r 4 9 U.S.C . § 46301(aX5XA) : Maximu m$4,400- $ 11,000 Moderat e $2,200-$4,39 9 Minimu m$550-$2,19 9 B- 6

### 10/01/0 7 2150.3 8

Fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t no t unde r 4 9 U.S.C . § 46301(aX5XA) : Maximu m$500- $ 1,10 0 Moderat e $300-$49 9 Minimu m$100-$29 9 (8 ) VIOLATIO N RELATIN G T O TH E TRANSPORTATIO N O FA HAZARDOU S

MATERIA L (1 4 CFR) . TH E REGISTRATIO N O RRECORDATIO N O FAN AIRCRAF T NO T USE D T O PROVID E AI RTRANSPORTATION . TH E LIMITATIO N O N TH E CONSTRUCTIO N O RESTABLISHMEN T O FA LANDFILL . O RTH E SAF E DISPOSA L O FA LIFE-LIMITE D AIRCRAF T PART . Larg e Busines s Concer n (i f entit y i s no t

withi n amor e specifi c category , for example , Grou p 1 Ai r

Carrie r o r Operator) : Maximu m$16,250-$25,00 0 Moderat e $8,750- $ 16,24 9 Minimu m$l,850-$8,74 9 Smal l Busines s Concer n (i f no t withi n amor e specifi c categor y for example . Grou p II Ai r Carrie r

o r Operator ) o r

Individual : Fo r violation s covere dunde r 4 9 U.S.C . § 46301(aX5XA) : Maximu m$4,400- $ 11,00 0 Moderat e $2,200-$4,39 9 Minimu m$550-$2,19 9 Fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t no t unde r 4 9 U.S.C . §46301(a)(5)(A) : Maximu m$500- $ 1,10 0 Moderat e $300-$49 9 Minimu m$100-$29 9 (9 ) OTHE RVIOLATIO N COMMITTE D B Y A N INDIVIDUAL . AIRMA N SERVIN G A S A N AIRMA N - INDIVIDUA L SERVIN G I N CAPACIT Y O FA N AIRMAN . AL L VIOLATION S EXCEP T THOS E LISTE D IN (8) .

Maximu m$850- $ 1,10 0 

### B- 7

### 10/01/0 7 2150.3 B Moderat e $650-$84 9 Minimu m$500-$64 9 OTHE RINDIVIDUA

L - NOT SERVING I

N CAPACITY O FAIRMAN . ^ Fo r violation s coveredunde

r 4 9 U.S.C . § 4630KaX5XA) : Maximu m$4,400- $ 11,000 Moderat e $2,200-$4,39 9 Minimu m$550-$2,19 9 Fo r violation s covere dunde

r 4 9 U.S.C . § 4630I(aXl)^A ) o r (B ) but not under 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$500- $ 1,10

0 Moderat e $300-$49 9 Minimu m$100-$29 9 (10 ) ENGINEERING AN D MANUFACTURING VIOLATTlblNS . Larg e Busines s Concern :

Maximu m$18,750-$25,00 0 Moderat e $10,000- $ 18,74 9 Minimu m$2,000-$9,99 9 Small Busines s Concer

n or Individua l (fo r violation s coverednndo : 4 9 U.S.C . § 46301(aX5)(A) :

Maximu m$8,250- $ 11,000 Moderat e $4,400-$8,24 9 Minimu m$l,100-$4,39 9

Small Busines s Concer

n or Individua l (fo r violation s covere dunder

4 9 U.S.C . § 46301(aXlXA ) o r

(B ) but no t unde r 4 9 U.S.C . § 46301(a)(5XA) : Maximu m$850- $ 1,10

0 Moderat e $650-$84 9 Minimu m$50 0 $64 9

B- 8

### 10/01/0 7 2150.3 8

d . Pendin g complianc e o r correctiv e action ; injunctiv e relie f Fo r man y kind s o f

violations , ther e may b e circumstance s wher e th e FAA shoul dno t allo w th e offendin g entit y t o continu e t o operat e o r

t o continu e i n business . Example s includ e acertificat e holde r tha t doe s no t allo w an FA A inspecto r

t o inspec t

th e holder' s operatio n o r facilities , o r

an unapprove dmanufacture r tha t produce s aircraf

t part s i n violatio n o f

1 4 C.F.R . § 21.303 . I n tha t circumstance , suspensio n o f an entity' s certificat e o r othe r approval , pendin g complianc e o r correctiv e action , o r injunctiv e relie f

agains t an entit y that

doe s no t hol da n FA A approval , woul db e appropriate . I n egregiou s circumstance s revocatio n o f th e entity' s certificat e o r othe r approva l ma

y b e warranted . Suc h actio n o r relie f may b e considere din additio n t o th e assessmen t o f acivi l penalt y a s recommende di n th e followin g tables . Furthermore , amendmen t o r modificatio n o f

acertificat e o r

approva l may b e appropriat e in th e circumstanc e wher e adefinitiv e part o f th e offendin g entity' s operatio n ca n b e safel y exclude d fromth e operationa l approval . A n exampl e i s a n approve daircraf

t part s manufacture r

that make s multipl e kind s o f

parts , bu t

ha s qualit y contro l problem s for onl y on e kin do f

part . Suc h actio n ma y b e considere di n addition t o th e assessmen t o f acivi l penalt y a s recommende di n th e followin g tables . Par t Tw o - Sanctio n Guidanc e Table s

Inde x 1 , U.S . Ai r

Carriers , U.S . Commercia l Operators , Par t 12 5 Operators , an dPar t 12 9 Operators . Fig . B-1-a . Maintenanc e Manua l Fig . B-1-b . AA

V Directiv e Fig . B-l-c . Operation s Specification s Fig . B-1-d . Facilitie s cin dEquipmen t Fig . B- 1 -e . Maintenanc e an dInspectio n Organizatio n Fig . B-l- f

Trainin g Progra m Fig . B-I-g . Maintenanc e o r Aircraf t Paperwork Fig . B-l-h . Performanc e o f Maintenanc e Fig . B-1-i . SFAR3 6 Fig . B-l-j . Record s an dReport s Fig . B-l-k . Dispatc h an dFligh t Releas e Rule s Fig . B-1-1 . Operatio n o f unairworth y aircraf

t Fig . B-l-m . Provision s specifi c t o passenger-carryin g Fig . B-l-n . Provision s specifi c t o flight dec k cre w Fig . B-1-0 . Othe r

provision s Fig . B-1-p . Operation s a t airport s requirin g slot s 2 . Personne l o f

Ai r Carriers , Commercia l Operators , an dPar t 12 5 Operators . Fig . B-2-a . Maintenance , includin g inspectio n Fig . B-2-b . Inspectio n 8- 9

### 10/01/0 7 2150.3 8

Fig . B-2-c . Record s an

dReport s Fig . B52fd. Fligh

t operation s Fig . B-2'« . Othe

r provision s applicabl e t o individua l certificat e holder s Fig . B-2- f Othe r Ai r Carrier Personne l 3 . Individual s an dGenera l Aviatio n - Owners , POots , Rl^i r Stations , Pilo t

S^hoote , Mainteiianc e Personnel . Fig . B-3-a . Owners an

dOperator s Other

TTia n RequiredCrewmember s Fig . B-3-b . Repai

r Station s Fig . B-3-C . I

D Plat e Violation s Fig . B-3rd . Par

t 14 1 Pilo t School s Fig . BT3-^ . 

### Genera

l Aviatio n Maintenanc e Pereonnel Fig . B-3- f Studen t Operation s Fig . B<-3tg

- Fligh t Instructor s Fig . B-3'h , Othe

r Violation s Fig . B-3-i . Weathe

r Operation s Fig . B-3-j . 1 4 C.F.R . 91.13(a) , Careles s or reckles s operatio n s o a s t

o endanger

(independent violation ) Fig . B-3-k . Passenge

r operation s Fig . B-3-1 . Acting o

r attemptin g to ac t

a s acrewmetnl» r

unde r th e influenc e o f

drug s or alcohol ; consumption o f

alcoho l befor

e operatin g a

n aircraf t Fig . B-3-m , Crime ; securit

y risk; falsificatio n Fig . B-3-n . Miscellaneou s Fig . B-3-0 . Operation s a

t Airport s Requirin g Slot s Fig . B-3-p . Unmly passenger s Fig . B-3-q . Othe

r Violation s b

y Passenger s 4 . DUI/DWI Program , Falsificatio n o f Dru g Conviction s an dAirma n Medica l Certificat e Violations . Fig . B-4-a . Sanction s relate dto DUI/DW I Progra m Fig . B-4-b . Airma

n Medica l Certificat

e Violation s Fig . B-4-C . Dru

g conviction s - no falsificatio n involve d

5 . Dru g an dAlcoho l Testin g Violations . Fig . B-5-a . Dm

g an dalcoho l testin g violation s Fig . B-5-b . Coverag e Fig . B-5-c . Pre-employmen t dru g testin g Fig . B-5-d . Rando

mdru g andalcoho l testin g Fig . B-5-e . Post-acciden

t dru g an dalcoho l testin g Fig . B-5- f Reasonable caus e dru g an dreasonabl e suspicio n ticoho l testin g Fig . B-5-g . Retur

n t o dut y dru g an dalcoho l testin g

8-1 0

### 10/01/0 7 2150.3 8

Fig . B-5-h . Follow-u p dru g an dalcoho l testin g Fig . B-5-i . Retestin g covere demployee s Fig . B-5-j . Inappropriat e testin g Fig . B-5-k . Administrativ e an dothe r matter s Fig . B-5-1 . Medica l Revie w Officer (MRO ) Fig . B-5-m . Substanc e Abus e Professiona l (SAP ) referra l an devaluatio n Fig . B-5-n . Employe e Assistanc e Progra m Fig . B-5-0 . Alcoho l misus e information , training , an dreferra l Fig . B-5-p . Violation s o f th e dru g an dalcoho l prohibition s Fig . B-5-q . Employee s locate doutsid e th e Territor y o f th e U.S . Fig . B-5-r . Specime n collectio n Fig . B-5-S . Laborator y issue s Fig . B-5-t . Alcoho l testin g Fig . B-5-u . Consequence s t o th e uncertificate dindividua l Fig . B-5-V . Consequence s t o th e certificate dindividua l 6 . Airpor t

Operators . Fig . B-6-a . Certificatio n Fig . B-6-b . Certificatio n Manua l Fig . B-6-C . Operation s 7 . Violation s o f

Nois e Provisions . Fig . B-7-a . Aircraf

t Nois e (1 4 C.F.R . part

91 , subpar t

1 ) 8 . Violation s o f

Pilo t Record s Improvemen t Ac t (PRJA) . Fig . B-8-a . PRI A 9 . Engineerin g an dManufacturin g Violations . Fig . B-9-a . API S Holders , includin g productio n unde r typ e certificat e Fig . B-9-b . Productio n Certificat e Holder s Fig . B-9-C . Designee s Fig . B-9-d . Technica l Standar dOrde r Authorizatio n (TSOA) , Lette r o f Desig n Approval , an d Lette r o f Acceptanc e Manufacturer s Fig . B-9-e . Replacemen t o r Modificatio n Part s Manufacturer s Fig . B-9- f

Al l Productio n Approva l Holder s Fig . B-9-g . T C o r

ST C Holder ; Manufacturer s an dAlteratio n Entitie s Fig . B-9-h . Al l persons , includin g designee s 10 . Aircraft

Owner/Operato r

Registratio n Violations . Fig . B-10 . Registratio n
B-1 1

### 10/

0 J/0 7 2150.3 8 11 . Al l individual s an dentities : Failur e t o Surreade r C#IUIeate , Author l Approval . 1 -^ " . 1 

## »;ort)the r Fi g B-11 . I . V.§ , ^ RCARRIERS , U.S . gOIVfMl^ftCtA^ , fflER^Tia^gl^BT 12 ? QP^ftJiyife^AI^ P PAR T 12 » OPERATORS . - f Fig . B-1-a . Maintenanc e Manua l (1 ) Failur e t o maintai n curren t manua l (2 ) Failur e t o provid e adequat e instmction s an dprocedure s i n manua l (3 ) Failur e t o distribut e manua l t o appropriat e perst>nne l (4 ) Releas e o f

aircraf t withou t require dequipmen t O ^ Penalt y ? Minimu m, vjts Moderat e t o Maximum;; , itertttnu mt o Moderat e ^ Moderat e t o Maximu m. C«rtincaie ' UptoT-dai y ;su3pen^oi] i r ;

y p t o 7-da y suspensio n Fig . B-l-b . A/W Directiv e (1 ) Failur e t o compl y a v U Penalt y ; Moderat e t o Maxirfiiiii* ' ' P*--j—,-_^—.t-i- , tQertiflcat e . Acfio b

"TTT ? 

### Fig . B-l-c . Operation s Specification s Civ U Penalt y 

### ate

Actio n (1 ) Exceedinspectio n or

overhaul tim

e limitatio n Moderat e 

### -ti

p fo 7-da y suspensio n (2 ) Operatio n contrar

y t o op s spec s - technica

l noncon^?lianc e Minimuni fi t fit'

- 

### (3 ) Operatio n contrar

y t o op s spec s - likely potential o r actua l advers e effec

t o n saf e operatio n Moderat e to Maximu

m; I ^,

- -v . 

### Fig . B-l-d . Facilide s an dEquipmen t CfyilPenflt y i<^rtUlc«t e (1 ) Failur e t o provide adequately fo

r prope r servicing , maintenance , repair , o

r inspectio n of

facilitie s andequipment Maximu m

V-' U 

### iiJ^eJBnit e ^pnisio n iwrvising , , Ijiiiintenarice^i : i^airan d inipeetiono f Clitic s an d' equipment i s provide dto ' Revocatio n



### 8-1 2

### 10/01/0 7 2150.3 B

Fig . B-l-e . Maintenanc e an dInspectio n Organizatio n (I ) Failur e t o provid e o r maintai n amaintenanc e an d inspectio n organizatio n Civi l Penalt y Maximu m Certificat e Actio n Indefinite Suspensio n unti l a n appropriat e maintenanc e an d inspectio n organizatio n i s provide dt

o Revocatio n Fig . B-l-f . Trainin g Progra m (1 ) Failur e t o hav e trainin g progra m

(2 ) Failur e t o maintai n trainin g progra m (3 ) Failur e t o trai n personne l adequatel y Civi l Penalt y Maximu m

Moderat e t o Maximu m Moderat e t o Maximu m Certificat e Actio n Indefinit e Suspensio n unti l complianc e t o Revocatio n Fig . B-l-g . Maintenanc e o r Aircraft Paperwor k (I ) Incomplet e o r

unsigne dreleas e (2 ) Failur e t o revis e a/c dat aafte r repai r Civi l Penalt y Minimu mt o Maximu m Moderat e t o Maximu m Certificat e Actio n Fig . B-l-h . Performanc e o f Maintenanc e (1 ) B y unauthorize dperso n (2 ) Failur e t o perfor mo r imprope r

maintenanc e Civi l Penalt y Maximu m Moderat e t o Maximu m Certificat e Actio n Fig.B-1-i . SFAR3 6 (1 ) Failur e t o compl y - secon doffens e Civi l Penalt y Maximu m Certificat e Actio n Fig . B-l-j . Record s an dReport s (I ) Deliberat e violatio n (a ) Intentionall y fals e o r fraudulent

entry , reproduction , o r

alteratio n i n recor do r repor t (b ) Othe r Civ U Penalt y Certificat e Actio n Revocatio n 180-da y Suspensio n t o Revocatio n 

### 8-1 3

### 10/01/0 7 2150.3 8

Fig . B-1^4 ' Record s & Report s cont . Civ U Penalty Certificat e (2 ) Failur e t o mak e accurat e mechanica l interruptio n summar y repor t Moderat e t o Maximu m (3 ) Failur e t o mak e availabl e repor t o f majo r alteratio n o r repai r Moderat e t o Maximu m Indefinit e Suspensio n t o Revocatio n (4 ) FailufC^K

) mak e accurat e mechanica l reliabilit y repor t Moderat e t o Maximu m (5 ) Failurc't o mak e require dentr y i n aircraf t lo g Minimu mt o Maximu m (6 ) Failur e t o mak e availabl e pilo t recor d Moderat e t o Maximu m Indefinit e Si&pensio n t o Revocatio n (7 ) Failur e t o mak e availabl e loa dmanifes t Moderat e t o Maximu m Indefinit e Suspensio n t o Revocatio n (8 ) Failur e t p monito r

an drecor denrout e radi o communicatio n | Moderat e t o Maximu m ^«ir^flcat e Actio n X, i W ~ Fig . B-l-k . Dispatc h an dFligh t Releas e Rule s Civ U Penalt y 

## n': (1 ) An y »iQ^do n o f

subpar t U o f 1 4 CF Rpar t

12 1 Mddittite't o Maximu m Fig . B-l-l . Operatio n o f unainvortb y aircraf t (1 ) Technica l non-conformit y t o TC ; n o likel y effec t o n saf e 

## (^ratio n 1 (i2) Non-confonnit y t o T C tha t ma y have , o r

has , advers e effec t o n sal b operatio n (3 ) Releas e o f

aircraf t withou t require dequipmen t Chl l Penalt y ' Minimu m Moderat e t o Maximu m Moderat e t o Maximu m

• 

### C^itiflcat e A ^ n

.. , 

### tf p t d7-da

y 4U^nsio n Pig . B-l-m . Provision s specifi c t o passenger-carryin g Civ U Penalt y Certificat e (1 ) Boarding , o r

servin g alcoholi c beverag e to , aperso n wh o appear s t o ji ^ intoxicate d Maximu m (2 ) Failun ; fomef

passenger s Moderat e t o Maximu m (3 ) Failuret p ensur e sea t an dbel t for eac h passenge r Miixjpi m (4 ) Qperatii M w/p operabl e publi c addres s syste m Mgadawan (S ) Failur e t dstor e baggag e properl y Moditt e Fig . B-l-n . Provision s specifi c t o flight dec k cre w {\) Us e o f

crcwmcmbe r

wit h expire dmedica l certificat e (2 ) Failur e ft? mak e fligh t dec k sea t availabl e t o authorize d enrout e intspector Civi l Penalt y Minimu mt o Moderat e Maximu m CertifTeat e Actio a



### 8-1 4

### 10/01/0 7 2150.3 8

Fig . B-l-n . Provision s specifi c t o flight dec k cre w cont . (3 ) Us e o f

unqualifie dcrewmembe r (4 ) Fligh t

an dDut y Tim e violatio n Civi l Penalt y Maximu m Moderat e Certificat e Actio n Fig . B-1-0 . Othe r

provision s (1 ) Improperl y Returnin g Aircraf t t o servic e (2 ) Illega l carriag e o f

controlle dsubstanc e wit h knowledg e o f carrier , tha t

is , knowledg e of

, o r involvemen t

in , conduc t

b y to p managemen t

personne l (3 ) Us e o f

unqualifie dpersonne l othe r tha n flight

dec k crewmembe r Civi l Penalt y Maximu m

Maximu m Certificat e Actio n Revocatio n

Fig . B-l-p . Operation s a t airport s requirin g slot s (I ) Operatio n withou t

areservatio n fro mAT C (2 ) Operatio n wit h areservation , bu t a t th e wron g tim e (3 ) Us e o f

internationa l slo t

fo r domesti c flight (4 ) Us e o f

aircraf t no t meetin g criteri ain 1 4 C.F.R . § 93.123(c)(2 ) i n commute r slo t Civi l Penalt y Moderat e Moderat e Moderat e Moderat e Certificat e Actio n



### 2 . PERSONNE L O FAI RCARRIERS . COMMERCIA L OPERATORS . AN D PAR T 125 OPERATORS . Fig . B-2-a . Maintenance , includin g inspectio n (1 ) Performin g maintenanc e withou t certificate , rating , o r authorizatio n (2 ) Performin g maintenanc e tha t exceed s limitation s (3 ) Failur e t o performmaintenanc e properl y Civi l Penalt y Maximu m Certificat e Actio n 30

- t o 45-da y Suspensio n 30-t o 120

- day Suspensio n Fig . B-2-b . Inspectio n (I ) Failur e t o mak e require dinspectio n (2 ) Makin g imprope r

inspectio n (3 ) Imprope r

releas e o f

aircraf t t o servic e (4 ) Releasin g aircraf

t fo r servic e withou t

require dequipmen t Civi l Penalt y Certificat e Actio n 30

- t o 60-da y Suspensio n 30-t o 120

- da y Suspensio n 3 0 t o 60-da y Suspensio n 3 0 t o 60-da y Suspensio n



### B-1 5

f,i .

## 10/01/0 7 2150.3 8

Fig . B-2-C . Record s an dReport s Civ U Penalt y Certificat e 

### (1 ) Failure t

o mak e entr y i n aircraf t lo g 11-t o 60-da y )ensio r iS-'t o 30-da

v (2 ) Failur e t o mak e entr y i n worksheet

t-tr - ^i.w' i 

### ensio n 

## il^t o 30- % S|tfpensioi i (3 ) Failur e to mak e entr y i n othe r maintenanc e recor

d (4 ) Failur e to sign-of

f wor k o r inspectio n performed 15-t o 30-da y S#pensic>n ri-t o 30-da

y • (5 ) Failur e to complet

e an dsig n maintenanc e releas e o n (6 ) Intentionally fals e o

r fraudulent

entry , reproduction , o

r alteratio n Revocation • i H 

### Fig . B-2-d . Fligh t

operation s CitttiPftnalty Cei^flcat e 

### (1 ) Prefliijfh

t (a ) Failur e to use , o r imprope r us e of , checklis t 30 i fo 60-da y Suspension (b ) Failur e t o chec k aircraf t log , flight

manifest , weather , etc . 3Q-t o 90-da y sio n (c ) Failur e t o mak e require dinspectio n 30-fo60-da y Suspensio n (d ) Failur e to inspect , o

r imprope r inspectio n of

, aircraf t 1% ^ 30-da y Suspension (e) Failur e to ensur e sea t an dbel t availabl e fo

r each passenge r 30^1 0 60-da y Sni^pension; . K2 ) Taxiin i (a ) Failur e t o adher e to clearanc e t o instructio n 30 ^ to 60-da y lio n (b ) Collisio n 30-t o 180

- da y SiBpension

• 'nHiij^i * II I 

### (c ) Jet blas t 36«t o 120

- da y lio n (d ) Taxiing wit

h standin g passenger 30

- to 60-da y j^VSpensio n (e ) Taxiing of

f runway , taxi wa

y or ram p (3)Take9 ^ ! (a ) Cbnbar

y to , o r without , clearanc e 30

- t o 90-da y SiBpension 60-t o 120

- da y Suspensio n (b ) Below weathe

r minimum s 60

- to 120

- da y Suspensio n 

### 8-1 6

### 10/01/0 7 2150.3 8

Fig . B-2-d . Fligh t

operation s cont . (c ) I n exces s o f

maximu mgros s weigh t (4 ) Enrout e (a ) Deviatin g fro mclearanc e o r instructio n (b ) Operatin g VF Ri n cloud s (c ) Operatin g unairworth y aircraf t (d ) Unauthorize ddepartur e fro mflight dec k (e ) Operatin g withi n restricte do r prohibite dare a (includin g aTFR ) o r

Clas s A airspac e ( 0 Operatin g contrar y t o aNOTA M (g ) Operatin g withou t

require dequipmen t (h ) Fue l mismanagemen t o r exhaustio n (i ) Unauthorize dmanipulatio n o f control s (5 ) Approac h t o landin g (a ) Deviatin g fromclearanc e o r instructio n (b ) Approac h belo w weathe r minimum s (c ) Exceedin g spee dlimi t i n Clas s D airspac e (6 ) Landin g (a ) A t o r approachin g wron g airpor t (b ) Deviatin g frominstrumen t approac h procedur e (c ) Overweigh t

aircraf t (d ) Har d Civi l Penalt y Certificat e Actio n 60-t o 120

- day Suspensio n 30

- t o 90-da y Suspensio n 90-da y Suspensio n t o Revocatio n 30

- t o 180

- da y suspensio n 15-t o 30-da y Suspensio n 30

- t o 90-da y Suspensio n 30

- t o 90-da y suspensio n 15-t o 120

- da y Suspensio n 30-t o 150

- da y Suspensio n 30

- t o 90-da y Suspensio n 30

- t o 90-da y Suspensio n 60

- t o 120

- da y Suspensio n 30

- t o 60-da y Suspensio n 90-t o 180

- da y Suspensio n 30

- t o 90-da y Suspensio n 30

- t o 90-da y Suspensio n 15-t o 60-da y Suspensio n 

### 8-1 7

### 10/01/0 7 2150.3 8

Fig . B-2-d . Fligh t

operation s cont . (e ) Shor t o r lon g ( 0 Wheels-u

p (g ) Failur e t o compl y wit h preferentia

l runwa y system (h ) Deviatin g fromclearanc e o r instructio n Civ U Penalt y

"'"

' eertificat e Aetio n 30-t o 180

- da y Suspensio n IS-t o 90-da

y SiMpensio n 15-da y S^pensio n 30

- to 90-da

y Suspensio n Fig . B-2-e . Othe r

provision s applicabl e t o individua l certificat e holder s (1 ) CriQlfl^«wsurit

y risk ; falsification (a ) Controlle dsubstanc e violatio n unde r 4 9 li.S.C: § 44710(b ) (b ) Counterfeit

part s violatio n unde

r 49y.S.C. § 44726(b ) (c ) Securit

y risk unde r 49U:S.C.§461ll(a )

(d ) Intentionally fals e o

r fraudulen t ent^ i introduction , o r

alteratio n o

n a h applicatio n or

acertificat

e o r ratin g
(e ) Maidng andincorrec t

statemen t on a n applicatio n fo

r amedica l certificat e

(f ) Carriag e o f

illega l drug s (controlle d substattces ) on aircraf

t Civ U Penalty

: Certificat e Actio n

' -Y-r' . 

### Mandator y Revocatio n l^dator y Revocatio n Mandator y Suspensio n or Revocation , aSifequested by.BT S Revocatio n of0j6rtiflcate s audiorize d ai^licfdble par t o f 1 4 CF R [Iplirinit e Suspensio n (pMidin g ^apctiono f applicatio n and detiinninatio n o f qualification ) Revocatio n i|»fipedica l cotificat e Revocatio n



### 8-1 8

### 10/01/0 7 2150.3 B

Fig . B-2-e . Othe r

provision s applicabl e t o individua l certificat e holder s cont . (2 ) Violatio n o f

nois e o r soni c boo mstandar do r regulatio n unde r 4 9 U.S.C . § 44709(b) ( 1 )(B ) (3 ) Violatio n o f

Sectio n 13(a ) o f

Fis h & Wildlif

e Ac t o f 195 6 unde r 4 9 U.S.C . § 44709(b)(2 ) (4 ) Fligh t

dec k cre w operation s (a ) Allowin g unauthorize dmanipulatio n o f control s b y uncertificate dindividua l attemptin g t o se t recor d unde r 4 9 U.S.C . § 44724(a ) (b ) Actin g o r

attemptin g t o ac t

a s acrewmembe r unde r th e influenc e o f

drug s o r alcohol ; consumptio n o f

alcoho l before operatin g a n aircraf t (i ) Consumin g alcoho l withi n 8 hour s before operatin g aircraf

t (ii ) Unde r

th e influenc e o f

alcoho l (iii ) Whil e usin g an y dru g tha t affect s th e crewmember s facultie s in an y wa y contrar y t o safety (iv ) Alcoho l concentratio n .0 4 percen t o r abov e (v ) Refusal o f

prope r reques t fro mL E officia l t o submi t t o alcoho l tes t (c ) Violatio n o f

steril e cockpi t

rul e (d ) Unauthorize dadmissio n t o flight dec k (e ) Failur e t o clos e an dlock flight dec k doo r (f ) Failur e t o mak e flight

dec k sea t availabl e t o authorize denrout e inspecto r (g ) Failur e t o kee p manua l curren t (5 ) Fligh t

an dDuty Tim e violatio n (6 ) Aircraf

t certificatio n (a ) Operafio n withou t

vali dairworthines s certificat e i n aircraf t (b ) Operatio n whe n n o airworthines s certificat e issue dfor aircraf t (7 ) Cre w certificatio n an dqualificatio n (a ) Operatin g whe n avali dmedica l certificat e ha d no t bee n issue d Civi l Penalt y Certificat e Actio n Suspensio n t o Revocatio n Suspensio n t o Revocatio n Revocatio n

Revocatio n Revocatio n Revocatio n Revocatio n Revocatio n 30

- t o 90-da y Suspensio n 30

- t o 90-da y Suspensio n 30-da y Suspensio n 30

- t o 60-da y Suspensio n 15-day Suspensio n 15-t o 90-da y Suspensio n 15-t o 30-da y Suspensio n 30

- t o 90-da y Suspensio n 30

- t o 90-da y Suspensio n 30

- t o 90-da y Suspensio n



### 8-1 9

### 10/01/9 7 2150-3 8

Fig . B^^ : Othe r

provision s applicabl e t o individua l certinci|t«ilM>ider s cont . (b ) Liel c o f

typ e rating (c ) Misse dproficienc y chec k o r lin e check (d ) Lac k o f curren t experienc e (e ) Failur e t o hav e curren

t airma n o r medica l certificat e in possessio n ( 0 Lacko f

initia l o r recurren t trainin g (g ) Operatio n wit

h known disqualifying disabilit y (i ) Operatin g withou

t validmedica

l certificat e when not medically qualifie do

r applicatio n fo

r medica l certificat e deferre d OvflPcitialty ^

=

• 

### Minimu mto Moderate "

, . . i * 

### ^^itificat e 4 * 180-da y Suspensio n ' t o Revocatio n 30

- to 90-da

y .Suspensio n 30-t o 90-da

y Suspensio n 30

- to 90-da

y Suspensio n R&catio n Revocatio n Fig . B-2-f . Othe r Ai r Carrie r Personne l (1 ) Failure to keep manua

l curren t Civ U Penalt y Minimu m Certificat e

^Actio n 30 ^ t o 90-da y 'Suspensio n L S AN D GENERA L AVIATIO N - OWNERS . P|^)TS . REPAI RSTAT|ONS . LS . MAINTENANC E PERSONNEL . ,.ifc*^y i 

### Fig . B-3«a^

^ Owner s an dOperator s Othe r Tha n Require d Civi l Penalt y Certificate ' Actfo n ^1 ) Failttjjijf

o compl y wit h airworthines s directiv e MddiSitat e t o Maximum (2 ) Failijati^jtjO perfor

mor imprope r performanc e o f maintenap(» i Including require dmaintenanc e Moderat e to Maximum> (3 ) Failmel o mak

e prope r entr y i n aircraf t lo g Minimu mto Moderate (4 ) OpeiW^i^ o f

aircraf t beyondannual , 100-hour , or Minimu mt o Moderat

e 

# i a o f

unairworth

y aircraf t (6 ) uit^UUM^ll

y fals e o r fraudulent

entry , reproduction , o r alterattion^JHi^ao

y recor do r repor t Modwate to Maximum Maxinua n Revocatio n

. Il l• 1 

### Fig . B-3-b«'Repai r

Station s

I I •'

- 1 •"''•' • • ' 

### (1 ) Faii^tefoptpvid e require dfacilitie s fo r prope r servicing , mairitenaiiii» , repair , o

r inspectio n Civ U Penalt y Moderat e t o Maximu

m

• , , •,••,- 1 

### tCeWfical e Jt»dC'">t e ^Sui^nsio n complianc e t o Revocatio n



### 8-2 0

### 10/01/0 7 2150.3 8

Fig . B-3-b . Repai r

Station s cont . (2 ) Failur e to provide qualifiedpersonnel wh o ca n perform , supervise , andinspect

wor k fo r which the statio n i s rate d

(3 ) Failur e t o maintain recor

do f supervisor

y o r inspectio n personnel (4 ) Failur e t o maintain recor

d (5 ) Failur e to ensur e tha t correc t calibratio n of

all inspectio n an dtes t equipmen t i s accomplishe da

t prescribe dinterval s (6 ) Failur e t o adequately describ e wor

k performed (7 ) Failur e of mechani c to mak

e lo g entry , record , o

r repor t (8 ) Failur e to sign o r complet e maintenanc e releas e (9 ) Inspectio n of

wor k performed , o

r approva l fo r retur n t o service , b y othe r tha n aqualifie dinspector (10 ) Failur

e to hav e a

n adequat e inspectio n syste

mtha t produce s satisfactor

y qualit y contro l (11 ) Maintainin g o

r alterin g a n articl e fo

r which i t i s rated , without using require dtechnica

l data , equipmen

t o r facilitie s (12 ) Failur

e to perfor mo r properly perfor

mmaintenance , repair , alteration , o

r require dinspectio n fo

r a n air carrier or commercia

l operator (13 ) Maintainin g o

r alterin g a n airframe , powerplant , propeller , instrument , radio , o r accessor y fo r which the repair statio n i s not

rate d (14 ) Failur

e to repor t defect o r unairworthy conditio n to FA A i n atimely manne

r (15 ) Failur

e to satisf y housin g andfacilit

y requirement (16 ) Chang e o f

location , housin g or

facilitie s withou t

writte n approva l (17 ) Operatin g a s acertificate drepair statio n witiiout

arepair statio n certificat

e (18 ) Failur

e to permi t FA A t o inspec t (19 ) Failur

e to perfor minspectio n properly on par t 12 5 aircraf t (20 ) Failur

e t o comply wit

h SFAR3 6 - Secondoffens e (21 ) Failur

e to maintain andcarr

y ou t BTS-require dsecurit

y measure s unde

r 4 9 U.S.C . § 44924(c)(1 ) Civ U Penalty Maximu m

Moderat e t o Maximu m Moderat e to Maximu

m Minimu mto Maximu

m Minimu mto Moderat

e Moderate t

o Maximu m Minimu mto Moderat

e Maximu m Moderat e to Maximu

m Maximum Moderat e t o Maximu m Maximum Moderate to Maximu

m Moderat e Moderate Maximum Maximum Moderat e Maximum Certificat e Actio n Indefinit e Suspension until complianc e t o Revocatio n

U p to 30-da y Suspensio n U p t o 30-da y Suspensio n U p t o 30-da y Suspensio n U p t o 30-da y Suspensio n Suspensio n o r Revocatio n

Indefmit e Suspensio n unti l ^^JThpliance
Mandator y Suspensio n pendin g BT S finding o f complianc e



### 8-2 1

### 10/01/0 7 2150.3 8

Fig . B-3«ib . Repai r

Station s cont . Civ U Penalt y Certificat e (22 ) Posin g ai l immediat e securit y risk a s determine db y BT S unde r

4 9 U.S.C . § 44924(c)(2 ) Mandator y Revocatio n Fig . B-3-d . I D Plat e Violation s (I ) -] 4 C;F.R . 45.13(b) , Imprope r removal , changing , o r placin g o f

identificatio n informatio n o n aproduc t (a ) Inadverten t (b ) Intentiona l misrepresentin g identit y o f produc t (2 ) 1 4 CF R45.23(c) , Imprope r remova l o r

installatio n o f identificatio n plat e (a ) Inadverten t (b ) Intentiona l misrepresentin g identit y o f produc t Civ U Penalt y

Minimu m Mffltimum^ 

### lN«i|«rtlt«ni U J 

# ^Wimr n /^r^i i Certificat e

Actio n

• RibVocalion R^Vpcatio n Fig . B-3-d . Pi M 14 1 Pilo t School s 'i^nalty Cfrtificat e (1 ) Knowingl y permittin g schoo l aircraf t t o b e use dfor unlawfu l cjiflriaB e o f

controlle dsubstance s $»VQcatio n • (2 ) Refilsal t o permi t

inspectio n o f

facilities , equipment , personniil , records , o r

certificat e 

### Msjcipuu n ^Indie^nit e

Stfispensio n unti l Complianc e Revocatio n (3 ) Fals e advertisin g Majttmui n (4 ) Failur e t o can y checklis t o r operator' s handboo k Minifflu m (5 ) Improfie r

creditin g to , o r

graduatio n of

, studen t I I ' 'iij-'ii'*' ' (a ) Inadverten t Mod^^t e t o Maximu m I'iv;*'!!! ' 

### (b ) Intentiona

l Mtikfan i vocatio n (6 ) Refiisal t o permi t

FA A test , check , o r

examinatio n o f studen t 

### lu m traefinit e

Sijfpensio n ^ \ Coinplianc e 

## fo Revocatio n (7 ) UnqiMdifiedo r

unauthorize dinstructio n Mo<i|eraf o t o Maximu m (8 ) Failuf^t o taftablis h o r maintai n trainin g recor d Mt^erat e t o Maximu m Fig . B-3-e . Genera l Aviatio n Maintenanc e Personne l Civi l Penalt y Cettilicat e ISk)- % 60-da y (1 ) Failur e it

o revis e aircraf

t dat aafte r

majo r repai r o r alteratio n _ nsio n (2 ) Failur e t o perfor mo r imprope r performanc e o f maintenanc e 30-t o 120

- da y Suspensio n



### 8-2 2

### 10/01/0 7 2150.3 B

Fig . B-3-e . Genera l Aviatio n Maintenanc e Personne l cont . (3 ) Failur e o f

mechani c t o accomplis h inspectio n properl y (4 ) Failur e o f

mechani c t o recor dinspectio n (5 ) Failur e o f

l A holde r

t o accomplis h inspectio n properi y

(6 ) Failur e o f

l A holde r

t o recor dinspectio n (7 ) Maintenanc e performe db y perso n withou t acertificat e (8 ) Maintenanc e performe db y perso n wh o exceede d certificat e limitation s (9 ) Imprope r

approva l fo

r retur n t o servic e (10 ) Failur e t o mak e maintenanc e recor dentr y (11 ) Failur e t o se t

forth adequat e descriptio n o f wor k performe d (12 ) Intentionall y fals e o r fraudulen t

entry , reproduction , o r alteratio n i n maintenanc e recor d Civi l Penalt y

Moderat e t o Maximu m Certificat e Actio n 30

- t o 60-da y Suspensio n 15-t o 30-da y Suspensio n 60-da y Suspensio n t o Revocatio n OfI A 15

- t o 30-da y Suspensio n ofI A 15-t o 60-da y Suspensio n 30-t o 120

- da y Suspensio n 30

- t o 60-da y Suspensio n 15-t o 30-da y Suspensio n Revocatio n Fig . B-3-f

. Studen t

Operation s (1 ) Carryin g passenge r (2 ) Sol o flight

withou t require dendorsemen t (3 ) Operatio n o n internationa l flight (4 ) Us e o f

aircraf t i n busines s (5 ) Operatio n for

compensatio n o r

hir e Civi l Penalt y Certificat e Actio n Revocatio n 45

- t o 90-da y Suspensio n 60

- t o 90-da y Suspensio n 30-t o 120

- da y Suspensio n Revocatio n Fig . B-3-g , FUgh t

Instructor s (1 ) Fals e endorsemen t

o f an y studen t

pilo t recor d (2 ) Exceedin g flight

tim e limitatio n (3 ) Instructio n in aircraf t for whic h he/sh e i s no t

rate d Civ U Penalt y Certificat e Actio n Revocatio n 30

- t o 90-da y Suspensio n 60-t o 180

- da y Suspensio n 

### B-2 3

### 10/01/0 7 

## 2150.3 8

Fig . B-34g^^be r

Fligh t Violation s Ci|(tt^«B«It y Certificat e 

# m ^ ^Q

n andqualificatio n (a ) *)Q|Jcratio

n whe n avali dpilo t

certificat e ha dnot beegi^He d MteiniiU m 

# M . Btlo

n whil e pilo t

certificat e i s suspende d Revocatio n (c ) ^€i|iittNttio

n without pilo t or medica l certificat e i n persona l possessio n (certificate s valid ) Minimu m (d)^0^»litio n without

acurren t medica l certificat e whwuriec^cally qualifie d 

# mi 30-18 0 da y (e ) ^^ratio n without

avali dmedica

l certificat e whttii'ifo t medically qualifiedor

whe n applicatio n fo r rp^^laa l certificat e deferre d .evocation (f ) Operatio n wit

h known medica

l deficienc y 90.da y Su^ensio n IMa^pcatio

n (g ) Operatio n fo

r compensatio n o

r hir e when avali d commercia

l pilo t certificat e ha dnot been issue d ^0-da y Suspensio n t o Revocatio n (h ) Operatio n without

typ e or clas s ratin g 60-t o 120

- Susipei^sip n 

### |0*1wW-Si y (2 ) C^peitil^-yilie n avali dairworthines s certificat e hadno t 111 ? 

### ensioiqi, , , . <^),Fai.lul|^j| 0 clos e flight

pla n o r file arrival notic e Miiumu m (4 ) Failur e t o obtain pre-fligh

t information (5 ) Devi^ H j^ mATC instructio n o r clearanc e i.ri ' '*• • 

### 30

- t o 90-day lion 30-f o 90-day isipn (6 ) Taxitji ^ takeoff

, or landing withou

t aclearance , wher

e ATCfow»l

j iit i operatio n (7 ) Fa]ltu^l & Uiaintai

n radi o communication s i n Clas s D ^^$0-da y Sugp^io n ipac e -I^BOrday jo#isio n (8 ) Faihttefo^i^pl y wit

h airpor t traffic patter

n (^ ) Operation inClas s B airspac e withou t or contrar y t o a c|wi!M>c e (]0 ) C^ieriy^

h i n Clas s C airspac e without maintainin g contac t wa^AT G 30

- t o 60-day iidn, . (fl ) i tdntrar y t o aNOTA M (12 ) Fatlinvfo'maintai n altitud e ji^.^<1 3 

### ^Orda y jU^jyensio n 

# ^Ji^-da y iSuspension (13 ) ^pee dlimitatio n



### 8-2 4

### 10/01/0 7 2150.3 B

Fig . B-3-h . Othe r

Fligh t Violation s cont . (15 ) Failur e t o compl y with Airworthines s Directiv e (16 ) Operatio n withou t

require dinstrumen t

and/o r equipmen t (17 ) Failur e t o compl y with operatin g limitatio n (18 ) Unauthorize doperatio n withi n Clas s A airspac e (19 ) Failur e t o adher e t o right o f wa y rul e (20 ) Failur e t o compl y with VF Rcruisin g altitud e (21 ) Failur e t o maintai n require dminimu maltitud e ove r structure , person , o r

vehicl e -congeste dare a (22 ) Failur e t o maintai n require dminimu maltitude s ove r structure , person , o r

vehicl e - sparsel y populate dare a (23 ) Failur e t o maintai n radi o watc h whil e unde r IF R (24 ) Failur e t o repor t

compulsor y reportin g poin t unde r IFR (25 ) Failur e t o displa y positio n ligh t (26 ) Failur e t o maintai n prope r altimete r settin g (27 ) Operatin g withi n restricte do r prohibite dare a(includin g aTFR ) o r

Clas s A airspac e (28 ) Unauthorize ddroppin g o f objec t fromaircraf

t (29 ) Unauthorize dtowin g (30 ) Acrobati c flight

o n airway , ove r

congeste darea , belo w minimu maltitude , etc . (31 ) Takin g of

f with insufficien t

fuel (32 ) Fue l mismanagemen t o r exhaustio n (33 ) Operatin g s o a s t o caus e acollisio n hazar d Civi l Penalt y Certificat e Actio n 30-t o 180

- day Suspensio n 30

- to 90-day Suspensio n 30

- t o 90-da y Suspensio n 30

- to 90-da y Suspensio n 15

- t o 90-day Suspensio n 30

- to 90-da y Suspensio n 50-t o 180

- day Suspensio n 30-t o 120

- day Suspensio n 30

- t o 60-da y Suspensio n 30

- t o 60-da y Suspensio n 30

- t o 60-da y Suspensio n 30

- t o 60-da y Suspensio n 30

- t o 90-da y Suspensio n 30

- t o 60-da y Suspensio n 30

- t o 60-da y Suspensio n 90-t o 180

- day Suspensio n 30-t o 150

- day Suspensio n 30-t o 150

- day Suspensio n 60-t o 180

- day Suspensio n



### B-2 5

### 10/01/0 7 2150.3 8

Fig . B-3-i . Weathe r

Operation s (1 ) Failure t o comply wit

h visibilit y minimu mi n controlle d airspac e (2 ) Failure.f

o comply wit

h visibilit y minimu moutsid e controlle dairspac e (3 ) Failure t o comply wit

h distanc e fromcloud s requirement in confrolle dairspac e (4 ) Failure t o comply wit

h distanc e fro

mcloud s requirement outsid e o f coiitrolle dairspac e (5 ) Operatin g VF

Runde r 1,00 0 foo t ceilin g withi n Clas s D airspac e (6 ) Failure fo comply wit

h IF Rlanding minimum (7 ) Failure t o comply wit

h instrumen

t approac h procedure Civi l Penalty

•••, 1 

### ^Certificate Actio n 60

- t o 180

- da y .iSuspiensio

n 30-t o 120

- da y Suspensio n 0^t o 180

- da y ISuspensio n 30-t o 120

- da y Suspensio n :^0-fol20

- day r Suspensio n day ; . Suspensio n 45-f o 180

- da y .Suspensio n Fig . B-3-j[ v 1 4 C.F. R91.13(a) , Careles s o r reckles s i^mtio o 1 ^ y t o endange r (independen t

violation ) 

### (I ) ^Hhc^vp\taidin g Civ U Penalty l^eillpcate .

jetto n l5-,t o 30-da

y guspensio n (2 ) Shor t o r lon g landin g P->|fti>0-da y sio n (3 ) Landingt^n , or

takin g of f from, close drunwa

y ^-f(^60-da y ^uqwasio n (4 ) Landin g on , or

takin g of f from, ram p or other improper are a HO-f o 120

- da y lion (5 ) Taxiin g collisio n 3i|-|* > 90-da y lio n rsfer (6 ) Leavin g aitvraf

t unattende dwit

h engine runnin g 90-da y Suspensio n (7 ) Taxiin g alrcraf

l of f runway , taxi way , or

ram p l6-tp,90-da y Susp^tsio n F^ , B-3-l c Pissenge r

operation s (1 ) Carryin g passenger

wh o i s under th e influenc e o f

drug s o r alcoho l CivUpeqalt y Cer^cat e Actio n 30

- to 120

- 

### <fa y Suspensio n 

### 8-2 6

### 10/01/0 7 2150.3 8

Fig . B-3-k . Passenge r

operation s cont . (2 ) Performin g acrobatic s whe n no t al l passenger s ar e equippe dwit h approve dparachute s (3 ) Us e o f

unapprove dparachut e (4 ) Permittin g unauthorize dparachut e jumpin g (5 ) Carryin g passenge r

withou t require drecen t

flight experienc e (6 ) Operatio n withou t

a n approve dseat

o r berth an dapprove d safety bel t

for eac h perso n o n boar dth e aircraf t require dt o hav e the mdurin g takeoff , e n rout e flight, an dlandin g Civi l Penalt y Certificat e Actio n 60

- t o 90-da y Suspensio n 30

- t o 60-da y Suspensio n 30

- t o 90-da y Suspensio n 30-t o 120

- da y Suspensio n 30

- t o 60-da y Suspensio n Fig . B-3-1 . Actin g o r

atiemptin g t o ac t

a s acrewmembe r unde r th e infiuenc e o f

drug s o r

alcohol ; consumptio n o f alcoho l befor e operatin g a n aircraft (1 ) Consumin g alcoho l withi n 8 hour s befor e operatin g aircraf t (2 ) Unde r

th e influenc e o f

alcoho l (3 ) Whil e usin g an y dru g tha t affect s th e crewmember s facultie s i n an y wa y contrar y t o safety (4 ) Alcoho l concenfratio n .0 4 percen t o r abov e (5 ) Refusa l o f

prope r reques t fro mLE officia l t o submi t t o alcoho l tes t Civi l Penalt y Certificat e Actio n Revocatio n Revocatio n Revocatio n Revocatio n Revocatio n Fig . B-3-m . Crime ; securit y risk ; falsificatio n (1 ) Controlle dsubstanc e violatio n unde r 4 9 U.S.C . § 44710(b ) (2 ) Counterfei t

part s violatio n unde r

4 9 U.S.C . § 44726(b ) (3 ) Securit y risk

unde r 4 9 U.S.C . § 46111(b )

(4 ) Intentionall y fals e o r fraudulent entry , reproduction , o r

alteratio n o n an applicatio n o r

acertificat e o r

ratin g Civ U Penalt y Certificat e Actio n Mandator y Revocatio n Mandator y Revocatio n Mandator y Suspensio n o r Revocation , a s requeste d b y BT S Revocatio n o f certificate s authorize d unde r applicabl e par t o f 1 4 CF R



### 8-2 7

tr.l ^

## 10/01/6 7 2150.3 8

Fig . B-3-tt' . MisceUaneou s CIv U Penalt y Certificat e (1 ) Alldwiti g unauthorize dmanipulatio n of control s b y uneertijfieate

dindividua

l attemptin g t o set

recor dunde r 4 9 O.S.C- f

44724(a) jMwidator y •Revocation (2)C a airctaf t | e o f illega l drug s (controlle dsubstances ) on Revocatio n (3 ) Conducting operatio n withou t require doperatin g certificat e 60

- to 120

- da y Suspensio n i(4) Mistof t o f a n airport-approve didentificatio n meditir n (5 ) Mal^i ^ a

n incorrec t

statement o n a n applicatfdil'fo

r amedica l certificate Moderat e t o Maximum . Ipdefmit e Smipensio n (pendin g ;l:Qif^ectio n of ' .applicatio n and deferminatid

n o f 

### quflification ) O r ,Reypcatio n pfi^ica l ^^ficat e ' I * 

### (6 ) Refiisa

l t o produc e pilo t

certificate , lo g or

record s 30-da y Suspension , andunti l produce dto jRe^ocation Fig . B-3Ht,:H0peration s a t Airport s Requirin g Slot s C i ^ Penalt y ;Ce|ttfteate Acmt i 1 ) Operitip W withou t areservatio n fromATC 

# I 3? S 

### Mi^^inu mt o Moderate • •~*'-» - 

### ) Opetatidr

t wit h areservatio n fromATC , bu t a t the wrong tim e Mihiinumt o Moderate Fig . B-3-p;'Unrul y passenger s Civ U Penalt y Certificat e Actio n (1 ) InterftWiicewitf

i crewmembe

r (1 4 C.F.R . 91.11,121.580 , 125.328 , |3f.120 ) Maximum (t ) f^y^^rtassaul t

o f flight o r cabi n crewmembe

r under 4 9 tlllJC . §4631 8 $1,100-$8,00 0 (S ) Physicafassault

o f individua l other tha n acrewmembe

r under49flC.§4631 8 $50 0 - $5,00 0 (4 ) Threaten t o physically assaul t flight or cabi n crevmiembe

r utider49U.SX:. S 4631 8 $1,100-$5,00 0 (5 ) Threaten to physically assaul t individua l other tha n flight o r cabi n crewmembe

r unde r 4 9 U.S.C . § 4631 8 $50 0 - $5,00 0



### 8-2 8

### 10/01/0 7 2150.3 8

Fig . B-3-p . Unrul y passenger s cont . (6 ) Act s in amanne

r tha t pose s imminen

t threa t t o safet y of aircraf t or other individual s o

n aircraf t unde r 4 9 U.S.C . § 4631 8 Civ U Penalty $5,00 0 - $25,00 0 ($5,00 0 - $27,50 0 fo

r violation s afte

r 6/15/2006 ) Certificat e

Actio n Fig . B-3-q . Othe r

Violation s by Passenger s (1 ) Smokin g whil e N

o Smoking sign i s lighte d (2 ) Smokin g i

n aircraf t lavator y (3 ) Tamperin g wit

h smok e detector unde r 4 9 U.S.C . § 46301(b ) (4 ) Failure to faste

n sea t bel t whil e sea t belt sig n i s lighte d (5 ) Failur e to occupy a

n approve dsea

t o r bert h wit h asafet y belt , and , i f

installed , shoulde

r harnes s properly secure ddurin g movemen t o n the surface , takeoff

, o r landin g (6 ) Operatin g aportabl e electroni c devic e (7 ) Drinkin g alcoholi c beverag e not serve dby carrier Civ U Penalt y Maximu m Maximum $1,80 0 to $2,20 0 Minimu mt o Moderat e Minimu mt o Moderat e Maximu m Maximu m Certificat e

Actio n

4 . DUI/DW I PROGRAM . FALSIFICATIO N O FDRU G CONVICTION S AN D AIRMAN MEDICA L CERTIFICAT E VIOLATION S Fig . B-4-a . Sanction s relate dt o DUI/DWI Progra m (1 ) Intentionall y fals e o

r fraudulent

entr y o n medica l certificat e applicatio n regardin g aDU I convictio n or administrativ e actio n unde

r 1 4 C.F.R . § 67.403(a)(1 ) (2 ) Makin g a

n incorrect statemen t o n amedica

l certificate applicatio n regardin g aDU I convictio n or

administrativ e actio n under 1 4 C.F.R . § 67.403(c)(1 )

(3 ) Failur e to repor t amoto r vehicl e actio n (MVA ) under 1 4 C.F.R . §61.15(e ) (4 ) Tw o MVA s arisin g fromseparat e incident s withi n 3 years , an dreporte dbot

h unde r 1 4 C.F.R . §61.15(d ) Civi l Penalty Certificat e Actio n Revocatio n o f al l airma n an dmedica l certificate s Indefinit e Suspensio n (pendin g correctio n o f applicatio n an d determinatio n of qualification ) o r Revocatio n of medica l certificat e 15-t o 45-da

y Suspension o f al l par t 6 1 certificate s 90-t o 120

- da y Suspensio n o f al l par t 6 1 certificate s 

### B-2 9

### 10/01/0 7 2150.3 8 Certificat e 

### Fig . B-4Ta. Sanction s relate dto DUI/DW I Progra mcont . Civ U Penalty (5 ) Thre e MVA s arisin g fromseparat e incident s withih 3 year s unde

r 1 4 C.F.R . § 61.15(d) ivpcation ofallpart6 l certificate s .-S-* . 

### Fig ; !B-4>-t). Airma n Medical Certificat e Violation s Cfv U Penalt y Certificat e i|:^^: i 

### ;(1 ) Intentionally fals e o

r fraudulent

statement on a n lapplicatiot

) fo r amedica l certificat e o r on areques t

fo r an y specia l issuanc e o

r SOD A unde r 1 4 C.F.R. § 67.403(a)(1 ) *R|p6catio n p^airma n (nedical cate s 

# m 1(2 ) Intentionally fals e or

fraudulent

entr y in arecordtha

t i s kept , mad e o r usedto show complianc e under ;14 C.F.R . § 67.403(a)(2 ) negatio n Hofa W airma n 

### |an|!(nedica

l p ) Reproduction o f

amedica l certificat e fo r fraudulent purpos e unde

r 1 4 C.F.R . § 67.403(aX3 ) pwocatto n ofll n airma

n ^^ipedica l cate s 

# i (4 ) Alteratio n o f

medica l certificat e unde r 1 4 C.F.R . § 67.403(aX4 ) evOcauon o f al l airman andmedical »cate s ^gertaf o 

# 1 ^ (5 ) Maktij g a

n incorrec t

statemen t o n amedica

l certificat e applicatio n under

1 4 C.F.R . § 67.403(c)(1 ) hite io n tpertdin g correctio n o f applfCatio n and ' det^ttiinatio n o f qualification ) or Revocatio n of medica l certificate Fig . B-4-« . Dru g conviction s - no falsificatio n involved . (1 ) Singl e CiMTvictio

n fo r simpl e possession * Civ U Penalt y Certificat e

Actio n j(15-tol20

- Suspensio n ofallpar t 61 , 63,.«?r6 5 certificate s



### 8-3 0

### 10/01/0 7 2150.3 8

Fig . B-4-c . Dru g conviction s - n o falsificatio n involve d cont . (2 ) Multipl e conviction s fo r simpl e possession *

(3 ) Conviction(s ) fo

r othe r tha n simpl e possession * Civ U Penalt y Certificat e Actio n 120-day Suspensio n t o Revocatio n ofallpar t 61 , 63 , o r 6 5 certificate s Revocatio n o f al l part 61 , 63 , o r 6 5 certificate s *I t ma y b e appropriate , i n th e exercis e o f prosecutoria l discretion , no t t o tak e enforcemen t

actio n whe n aconvictio n i s severa l year s ol dwhe n discovere db y th e FA A an dther e i s evidenc e tha t th e certificat e holde r ha s bee n rehabilitate dsuc h tha t th e individua l ca n b e expecte dt o confor mhi s o r he r conduc t t o safet y requirements . 5 . DRU G AN D ALCOHO L TESTIN G VIOLATIONS . Fig . B-5-a . Dru g an dAlcoho l Testin g Violation s (1 ) Failur e o f

an ai r carrie r operatin g imde r

par t 12 1 o r par t 13 5 operato r

t o obtai n an operation s specificatio n (2 ) Failur e o f

apart 14 5 operato r

(tha t opt s t o hav e it s ow n dru g progra man dAMPP ) t o obtai n an operation s specificatio n (3 ) Failur e o f

aSectio n 135.1(c ) o r

non-FA A ai r

traffi c contro l facility t o submi t aregistratio n t o th e FA A (4 ) Failur e o f

acontracto r

(tha t opt s t o hav e it s ow n dru g an d alcoho l programs ) t o submi t aregistratio n t o th e FA A (5 ) Failur e t o implemen t o r maintai n continuou s coverag e in a n FA A antidru g progra mand/o r AMP P i n accordanc e with Appendice s I and/o r

J Civ U Penalt y Moderat e Moderat e Moderat e Moderat e Maximu m Certificat e Actio n

Indefinit e Suspensio n pendin g complianc e o r Revocatio n Fig . B-5-b . Coverag e (I ) Failur e t o includ e asafety-sensitiv e employe e i n FA A mandate ddru g an dalcoho l testin g program s (2 ) Permittin g acontracto r employe e t o perfor maflmctio n liste di n Appendi x I o r

J wh o i s no t

covere dunde r

a n FAA

mandate dantidru g and/o r alcoho l misus e preventio n progra m Civ U Penalt y Maximu m Maximu m Certificat e Actio n



### 8-3 1

r^

## io/oiyo 7 2150.3 8 ::>' '

Fig . B<-SM£'Pre-employmen t dru g testin g d^lD l Penalt y " ^ Certificat e (1 ) Failpfi e t b advis e eac h individua l applyin g t o perfor ma safety-sensitiv e functio n o f th e pre-employmen t

testin g requiremen t Minfitiu m (2 ) FailU ^ t o pre-employmen t dru g tes t a n individua l and/o r receiv e anegativ e dru g tes t resul t prio r t o hirin g o r transfere e dia t

individua l fo r

asafety-sensitiv e functio n Maximu m '^^sfenlt H (3 ) FaihWlJlf

O pre-employmen t

dru g tes t befor e hirin g o r transfenfinpj n individua l int o asafety-sensitiv e positio n i f mor e thai t

IS O day s elaps e betwee n apre-employmen t tes t an dplaCHig th e individua l int o asafety-sensitiv e functio n Moderat e
Fig . B-S-d . Rando mdru g an dalcoho l testin g Civ U Penalt y Certificat e (1 ) Failufel: o conduc t

rando mdru g and/o r

alcoho l testin g 

# ^m w (2 ) Failurt i t o mee t

th e minimu mannua l percentag e rati ' for rando mdru g and/o r

alcoho l testin g Moderat e (3 ) Failur e t o us e ascientificall y vali dmetho do f rando m selectio n Moderat e (4 ) Failur e t o ensur e tha t rando mdru g and/o r

alcoho l test s ar e unanAo^e d Mod<^t e (5 ) Failur e t o ensur e th e date s fo r administerin g rando mtest s ar e sprea dreasonabl y throughou t th e calenda r

yea r Minimu m (6 ) Failur e t o ensur e tha t a n employe e wh o i s notifie dt o repor t fo r rando mdru g and/o r

alcoho l testin g proceed s immediatel y t o th e testin g sit e Modorat e (7 ) Failure4 o conduc t

alcoho l testin g jus t

befor e th e emplpye e i s t o perfor masafety-sensitiv e function , durin g o r jus t afte r til? employe e ha s cease dperformin g asafety-sensitiv e fbnctio n Mtnitiru m OyfilPeiialt y Fig . B-S-e. . Post-acciden t dru g an dalcoho l testin g (1 ) Failur e t o dru g and/o r alcoho l tes t

eac h employe e wh o perform s asafety-sensitiv e function , i f tha t employee' s performai^e e eithe r

contribute dt o a n acciden t o r caiuio t b e cpnipletely<^iscounte da s acontributin g facto r t o th e accident . Maximu m (2 ) FailuM ! I p post-acciden t dru g tes t a n employe e withi n 3 2 ifeur s aftCT ^ accident . Maximu m (i ) Failur e #tk;nduc t

post-acciden t

alcoho l testin g o n a n qpiploye e wWiin 8 hour s afte r th e acciden t Maximu m 

### lu m (4 ) Failur e t o prepar e an dmaintai n o n file require drecord s statin g th e reason s th e post-acciden t alcoho l tes t

wa s no t administere dwithi n 2 hour s and/o r 8 hours . ^ Fig . B-5-f. Reasonabl e caus e dru g an dreasonabl e s|ispicio n alcoho l testin g <3h^l»eiiiAt y Cetltiflcat e Actio n (1 ) Failur e t o dru g and/o r alcoho l tes t

eac h employe e wh o perform s asafety-sensitiv e functio n an dwh o i s reasonabl y suspecte do f

usin g aprohibite ddru g and/o r misusin g alcoho l Maximu m



### B-3 2

### 10/01/0 7 2150.3 8

Fig . B-S-f

. Reasonabl e caus e dru g an dreasonabl e suspicio n alcoho l testin g cont . (2 ) Reasonabl e caus e dru g testin g o f individual s withou t

a reasonabl e an darticulabl e belie f tha t th e employe e i s usin g a prohibite ddru g o n th e basi s o f specific , contemporaneou s physical , behavioral , o r

performanc e indicator s o f probabl e dru g us e (3 ) Reasonabl e suspicio n alcoho l testin g o f individual s whe n reasonabl e suspicio n o f

alcoho l misus e ha s no t

bee n determine db y atraine dsuperviso r base do n specific , contemporaneous , articulabl e observation s concernin g th e appearance , behavior , speec h o r bod y odo r

o f th e employe e (4 ) Failur e t o prepar e an dmaintai n on file arecor dstatin g th e reason s th e reasonabl e suspicio n alcoho l tes t wa s no t administere dwithi n 2 hour s and/o r 8 hour s (5 ) Failur e t o remov e asafety-sensitiv e employe e wh o i s unde r th e influenc e o f

o r impaire dby alcoho l Civ U Penalt y Moderat e

Moderat e

Moderat e Maximu m Certificat e Actio n

Fig . B-5-g . Retur n t o dut y dru g an dalcoho l testin g (1 ) Failur e t o conduc t

aretum-to-dut y dru g tes t befor e an individua l i s returne dt o perfor masafety-sensitiv e functio n afte r th e individua l refuse dt o submi t t o arequire ddru g tes t

o r receive daverifie dpositiv e dru g tes t resul t (2 ) Failur e t o receiv e averifie dnegativ e retur n t o dut y dru g tes t resul t fo r an individua l prio r

t o th e individual' s retur n t o a safety-sensitiv e functio n (3 ) Failur e t o administe r aretum-to-dut y alcoho l tes t o n a n individua l wh o engage di n prohibite dconduc t prio r t o returnin g hi mo r

he r t o asafety-sensitiv e fiinction . (4 ) Failur e t o ensur e tha t th e employe e ha s receive dan alcoho l tes t resul t wit h a n alcoho l concentratio n o f les s tha n 0.0 2 o n a retum-to-dut y tes t

prio r t o resumin g th e performanc e o f safety

sensitiv e dutie s Civi l Penalt y Maximu m

Maximu m Maximu m Maximu m Certificat e Actio n

Fig . B-5-h . Follow-u p dru g an dalcoho l testin g (1 ) Failur e t o implemen t areasonabl e progra mo f unannounce dtestin g fo r

eac h individua l wh o ha s bee n hire dt o perfor mo r

wh o ha s bee n returne dt o th e performanc e o f a safety-sensitiv e functio n afte r refusin g t o submi t

t o atest , receivin g averifie dpositiv e dm g tes t result , o r engagin g i n prohibite dalcoho l conduc t (2 ) Failur e t o administe r a t leas t si x follow-u p test s in th e first 1 2 month s followin g th e retur n t o dut y o f a n employe e (3 ) Failur e t o discontinu e follow-u p testin g after 6 0 month s fromth e dat e th e individua l returne dt o acovere dfunctio n (4 ) Failur e o f

asubstanc e abus e professiona l t o determin e th e numbe r an dfrequency o f

follow-u p test s Civ U Penalt y Maximu m

Maximu m Moderat e Maximu m Certificat e Actio n



### B-33

### 10/01/0 7 

### 2150.3 8

Fig . El-5^<i Follow-up dru g an dalcoho l testin g cont . (5 ) Failur e to ensur e tha t follow-u p alcoho l testin g of

a covere demploye e onl

y occur s jus t

befor e th e employe e i s to perfor msafety-sensitiv e fiinctions, during , or jus t afte r the employe e ha s cease dcovere dfunction s CIVUP«iialt y MintrRu m 

### C^ficat e

- '" ; : • . '•^' " i 

### Fig . B-5-L Retestin g covere demployee s Civi l Penalt y Cei^cat e Actfon •f-T T 

### (1 ) Failur e t o retcs t acovere demploye e wit

h a n alcoho l concenfration of

greate r tha n .02 an dles s tha n .0 4 whe n the employe r ha s chose n t o permit the employe e to perfor

ma safety-sensitiv e function withi n 8 hour s o f alcoho l Use Maxiinum (2 ) Permittin g a

n individua

l wit h a n alcoho l concentratio n o f .0 2 or abov e t o rettimt o dut y performin g safety-sensitiv e function s unles s 8 hour s ha s elapse do r the individua

l i s reteste dan

dtest s below .0 2 Maximum Fig . B-S-J . Inappropriat e testin g (1 ) Inappropriat

e testin g usin g DO T or

FA A Authorit

y Cit ^ Penalt y Moderat e Ce^tificiit e Actio n ';':

- J 

### Fig . B-5-k . Administrativ e an dothe r matter s Civ U Penalt y €e#fl€a4 e



# m (I ) Failur e t o permit the Administrator

or the Administrator' s representativ e to examine record s Maxipium |$tdcpnite ^^uspjensio n iiehdin g ^in|>lianc e %' ^ • jtvi^io n (2 ) Failur e to conduc t

dru g andalcoho l record s check requiris d uade r 4 9 C.F.R . §40.2 5 Moderate (3 ) Failur e to provide dru g andalcoho l testin g record s requestedunde

r 4 9 C.F.R . § 40.2 5 Moderat e 

### (4 ) Using a

n employe e t o perfor

msafety-sensitiv e function s afte r obtaioli g ^formatio n dia

t th e employe e violate dDOT diii g andal^Qi/egulations , withou t obtainin g informatio n thjii th e em^oye e complie dwit h retum-to-dut

y requirement s Moderate (5 ) Failur e t o notif y th e FA A o f amedica l certificat e lieider (issue dunde

r par t 67) , who teste dpositiv e o n aDO T dru g test , withi n twelv e working day s o f th e dat e o f the verifie dpositiv e resul t Modul e ii, - 

### (6 ) Failur e to notif y th e FA A o f amedica l certificat e holde r (i^ue dimde

r par t 67) , who engage di

n prohibite dalcoho l c<mduct , whhi n tw o workin g day s o f th e violatio n date Moderate (7 ) Failur e to notif y the FA A o f th e refiisa l to submi t

to testin g b y apar t 61 , par t 63 , or par t 6 5 certificate holder

withi n five workin g day s o f

the refusa l t o tes t M<»iettlt b



### 8-3 4

### 10/01/0 7 

### 2150.3 8

Fig . B-5-k . Administrativ e an dothe r marter s cont . (8 ) Knowingl y usin g an y perso n t o perfor man y safety

sensitiv e functio n after

bein g permanentl y preclude dfrom performin g tha t

safety-sensitiv e functio n (9 ) Failur e t o submi t

a n annua l dm g an dalcoho l (MIS ) repor t in accordanc e with Appendice s I an dJ (10) . Failur e t o maintai n record s o f an employee' s dm g rehabilitation , th e dm g tes t collectio n process , training , and/o r negativ e dm g tes t

result s fo

r th e require dtimefram e (11 ) Releasin g dm g o r

alcoho l testin g informatio n withou t th e appropriat e consen t (12 ) Failur e t o maintai n record s i n asecur e locatio n wit h controlle dacces s (13 ) Failur e t o maintai n record s o f employe e alcoho l tes t result s o f 0.0 2 o r greate r for th e require dtimefram e (14 ) Failur e t o maintai n record s relate dt o violation s o f section s 65.46a , 121.458 , o r 135.25 3 for

th e require d timefram e (15 ) Failur e t o maintai n documentatio n o f refusals , calibratio n documentation , employe e evaluation s an dreferrals , an dcopie s o f annua l report s (MIS ) for th e require dtimefram e (16 ) Failur e t o maintai n record s relate dt o al l tes t result s belo w 0.0 2 for

th e require dtimefram e (17 ) Failur e t o submi t

an annua l repor t

(MIS ) in th e for

man d manne r prescribe db y th e Administrato r (18 ) Failur e t o submi t

an annua l repor t

(MIS ) b y Marc h 15 * (19 ) Releasin g alcoho l testin g informatio n withou t th e appropriat e consen t Civi l Penalt y Maximu m

Minimu m Moderat e Maximu m Maximu m Moderat e Moderat e Moderat e Minimu m Minimu m Minimu m Maximu m Certificat e Actio n Indefinit e Suspensio n pendin g complianc e t o Revocatio n

Fig . B-5-1 . Medica l Revie w OflTice r (MRO ) (1 ) Failur e t o us e aqualifie dindividua l t o perfor mMR O service s (2 ) Failur e o f

MR O t o verif

y and/o r maintai n record s o f negativ e tes t

result s (3 ) Failur e o f

MR O t o review , interpret , an dveril y positiv e tes t result s (4 ) Failur e o f

MR O t o intervie w a n employe e o r applican t wh o ha s ha daconfirme dpositiv e dm g tes t resul t (5 ) Failur e o f

MR O t o transmi t

th e result s t o employe r (6 ) Failur e o f

MR O t o proces s employe e request s fo r testin g o f spli t specimen s (7 ) Failur e o f

MR O t o ensur e al l record s maintaine db y th e forme r MR O ar e forwarde dt o th e ne w MR O withi n th e appropriat e tim e frame Civi l Penalt y Maximu m Minimu m Maximu m Maximu m Maximu m Maximtm i Moderat e Certificat e Actio n

. -



### 8-3 5

## 10/01/O r 2150.3 8

Fig . 6-il^i ! Medica l Review Office r (MRO ) cont . -rrr i.)tw;j'" ; H I i.iii<»U<iti>rM' n • ii'r i ii..l-.w i t 

### Penalty Certificat e {S ) Faili ^ b f

MRO t o maintain record s i

n confidenc e an

d releas e blil V i n accordanc e wit

h th e provision s o f

1 4 C.F.R . par t I2l f ffepihdi x 1 and4 9 C.F.R . par t 4 0 Maxinm m (9 ) Faifiir^'d

f MRO t o maintain record s concernin g dm g test s confirme dpositiv e b

y the laborator

y fo r the require d timefra^' ' Maximu m <10 ) Failur e o f MRO t o inquir e whethe r a n individua

l hold s a n airma n medica l certificat e issuedunde

r par t 67 , or woul db e require dto hol dsuch certificat e i n orde r t o perfor mthe dutie s p f the positio n fo

r whic h the applican

t i s applyin g Maximu m (11 ) Failur

e o f MRO t o verif y th e primar y tes t result pendii^ , th e result o f th e spli t specimen ij'>'ij'!.4',''":*"' ' KitHfim

if'^i ' 

### Fig . B-S-m . Substanc e Abus e Professional (SAP ) referra l an devaluittio n enalt y .'iii-.i.Bf e 

### jjgijgMlcate . fl ) Failur e to us e aqualifie dindividua l t o perfor mSA P service s Maximu m 1 ^ A ' 

### (2 ) Failur e t o advis e a

n employee o f

the resource s availabl e t o himo r he r in evaluatin g an

dresolvin g problem s associate d yit h th e misus e o f

alcoho l Minimu m (lUm'iiil^- * 

### (3 ) Failur e o f aSA P to conduc t

aface-to-fac e evaliiatio h o f fee employe e andrecommen deducation and/or treatment (4 ) Failufeo f

aSA P to ensure tha

t each employe e who ha s committe daDO T dm g and/or alcoho l regulatio n violation , ha s $uc(^ssfi41 y complie dwit

h the SAP' s recommendation s fo r educatio n and/o r

freatment

prior to establishin g afollow-u

p feisting pla

n Moderate

« i I nf . .>'•> . i t .



### Ci^lP^ilalt y B-S-o . Employe e Assistanc e Progra m (I ) Failu^t o displa

y anddistribut

e informationa

l materials , a epmmun^|d|Vic e hotlin e telephone numbe r andthe >yer! l j^il^ y regardin g dmg us e in th e wor k plac e Moderat

e m- M J ^ Failur e l o conduc t

initia l employee trainin g '^ ^ Failure l o conduc t

initia l an drecurren t supervisor

y ining Mrhimiii h ^ m Maximu m

.. . - i 

### (4 ) Failure t o document

initia l employe e an

dsupervisor

y trainin g or t dru g us e M(^ler8t e ( 

### 'CSylll^ait y 1 ^ . B-5-0 . Alcoho l misus e information , training , an d r^fenral (1)-Failure ^ promulgate apolic y on the misus e o f aifiohol'Y' ; dl^ e 4 ;ii^ A %i i 1, 1 

### mFailur e t o conduc t supervisor y training regarding •l^y'HHlii . ^J'i;'''".n*'iiir,iH ^ 

### (I ) Failur e t o distribut e and/or

documen t the distributio n o f afooho l informationa

l material s to employee s ' Minimun i

8-3 6

^ t

### 10/01/0 7 2150.3 8

Fig . B-5-p . Violation s of

th e dru g an dalcoho l prohibition s (1 ) Failur e t o remov e a

n individua

l fromsafety-sensitiv e function s fo

r on-dut y use , pre-dut

y use , us e following a

n accident , refusa

l to submit

t o atest , and/or

adm g positiv e and/or a n alcoho l coiicentratio n of

.0 4 o r greater (2 ) Allowin g acovere demploye e who usedalcoho l withi n 8 hour s o f a n acciden t t o perfor mo r continu e performin g safety

sensitiv e function s (3 ) Failur e t o notif y the Federa

l Ai r Surgeo n o f

apar t 67 medica l certificat e holde r who receive dapositiv e dm g tes t result and/or receive da

n alcoho l concentratio n o

f .04 o r greater o n a n alcoho l tes t (4 ) Allowing apar

t 6 7 medica l certificat e holde r t o perfor m safety-sensitiv e dutie s fo

r a n employe r following a

n alcoho l violatio n and/or

dm g positiv e (5 ) Failur e t o notif y the FA A o f apar t 61 , 63 , and/or

6 5 certificat e holde r who refusedt

o submit to testin g Civ U Penalt y Maximu m Maximu m Maximu m Maximu m Maximu m Certificat e

Actio n

Fig . B-5-q . Employee s locate doutsid e th e Territor y of th e U.S . (1 ) Subjecting a

n employe e locatedoutside the territor y of the Unite dState s to aDO T dm g o r alcoho l tes t Civ U Penalt y Maximum Certificat e Actio n Fig . B-5-r . Specime n coUectio n (1 ) Failur e t o us e urin e collectio n personnel who mee t th e requirement s o

f 4 9 C.F.R . par

t 40 , subpar

t C (2 ) Failur e t o us e collectio n sites , forms , equipmen t an d supplie s fo

r DO T urin e collection s tha

t mee t the requirement s i

n 4 9 C.F.R . par

t 40 , subpar

t D (3 ) Failur e t o conduc t specimen collection s i

n accordanc e wit h 4 9 C.F.R . par

t 40 , subpar

t E (4 ) Failur e t o proces s spli t

specimen test s i

n accordanc e wit h 4 9 C.F.R . par

t 40 , subpar

t H (5 ) Failur e t o addres s problem s wit

h dm g test s i

n accordanc e wit

h 4 9 C.F.R . par

t 40 , subpar

t 1 Civ

U Penalt y Moderat e Moderat e Moderat e Moderat e Moderat e Certificat e

Actio n

Fig . B-5-s . Laborator y issue s (1 ) Failur e t o us e dru g testin g laboratorie s tha t mee t the requirement s i

n 4 9 C.F.R . par

t 40 , subpar

t F Civ

U Penalt y Maximum Certificat e Actio n



### 8-3 7

### 10/01/0 7 2150.3 8

Fig . B-S-t r Alcoho l testin g (1 ) Failur e t o us e alcoho l testin g personne l tha t mee t the requirement s o

f 4 9 C.F.R . par

t 40 , subpar

t J (2 ) Failur e to us e collectio n sites , forms , equipmen t and supplie s fo

r DO T alcoho l testin g tha

t mee t the requirement s i n 4 9 C.F.R . par

t 40 , subpar

t K (3 ) Failur e to conduc t

alcoho l screenin g test s i

n accordanc e wit h 4 9 C.F.R . par

t 40 , subpar

t L (4 ) Failur e t o conduc t alcoho l confirmatio n test s i n accordanc e wit

h 4 9 C.F.R . par

t 40 , subpar

t M (5 ) Failur e t o addres s problem s wit

h dm g test s i

n accordanc e wit

h 4 9 C.F.R . par

t 40 , subpar

t N . CIviiPienalty

Moderat e Modeiifat e Moderat e Moderat e Moderat e \'' A Certificat e

Actio n

.. -

i\:: . :1 ; f , 

### Fig . B-5-u . Consequence s t o th e uncertificate dindividua l Civ U Penalty C:«ltificate Actio n '>v'a i 

### (1 ) Refusa

l to submit

to adm g or

alcoho l tes t Maxiitiu m (2 ) Positiv e dm

g tes t result o r alcoho l tes t

result .0 4 or abov e on an

y dm g or alcoho l test . Maximu m (3 ) Perfottti s asafety-sensitiv e function fo r a n employe r aftei

- receivin g averifie dpositiv e tes t result without following appropriat

e retur n to dut y procedure s Maximu m (4 ) Performs asafety-sensitiv e fiinction fo r a n employe r whil e havUl

^ a n alcoho l concentratio n o f

0.04 or greater Maximu

m •2» - 

### (5 ) Perform s ^safety-sensitiv e fimctio n fo r a n employe r whil e usin g prohibite ddmg s o r alcoho l o n dut

y Maximu

m (6 ) Perform s asafety-sensitiv e function fo r a n employe r withi n 8 hour s afte

r consumin g an

y alcoholi c beverag e Maxitnii m (7 ) Performs asafety-sensitiv e function fo r a n employe r within 4 hour s afte

r consumin g an

y alcoholi c beverag e Maximu m (8 ) Ha s actua

l knowledg e o f

a n accident involvin g a

n aircraf t fo r whic h h e o r she performe dasafet

y sensitiv e fimction a

t o r nea r the tim e o f the accident , anduse s alcoho l withi n th e 8 hour s followin g th e accident Maximu m
Fig . B-5-v . Consequence s t o th e certificate dindividua l Civ U Penalt y Certificat e



# Miss . "(1 ) Refusiai%;|^ the holde

r o f acertificat

e issue dunde

r part s 61,63 , o r 6 5 t o submit

to adm g or

alcoho l tes t Revocatio n

• 'fji..!»%; . i 

### (2 ) Positiv e dmg tes t

result or alcoho l tes t

resul t .04 or abov e b y th e holde r o f acertificate issue dunder

part s 61 , 63 , or 6 5 o n an y dm g or alcoho l test . ceypcation



### 8-3 8

### 10/01/0 7 2150.3 8

Fig . B-S-v . Consequence s t o th e certificate dindividua l cont . (3 ) Failur e o f

a n individua l t o disclos e t o th e MR O tha t h e o r sh e hold s a n airma n medica l certificat e issue dunde r par t 67 , o r woul db e require dt o hol dsuc h certificate , in orde r t o perfor mth e dutie s o f

th e positio n fo

r whic h h e o r

sh e i s applyin g (4 ) Perform s asafety-sensitiv e fiinctio n fo r a n employe r afte r receivin g averifie dpositiv e tes t resul t withou t followin g appropriat e return t o dut y procedure s (5 ) Perform s asafety-sensitiv e functio n fo r a n employe r whil e havin g a n alcoho l concentratio n o f 0.0 4 o r greate r (6 ) Perform s asafety-sensitiv e functio n fo r an employe r whil e usin g prohibite ddmg s o r alcoho l o n dut y (7 ) Perform s asafety-sensitiv e functio n (fligh t crewmember , flight

attendant , ai r

traffi c control ) fo

r an employe r withi n 8 hour s afte r

consumin g an y alcoholi c beverag e (8 ) Perform s asafety-sensitiv e fiinction (fligh t instmction , aircraf t dispatcher , maintenance , o r preventiv e maintenance , groun dsecurit y coordinator , aviatio n screening ) for a n employe r withi n 4 hour s after

consumin g an y alcoholi c beverag e (9 ) Ha s actua l knowledg e o f an acciden t

involvin g an aircraf t fo r whic h h e o r

sh e performe dasafety sensitiv e functio n at

o r nea r th e tim e o f

th e accident , an duse s alcoho l withi n th e 8 hour s followin g th e acciden t Civi l Penalt y Certificat e Actio n Revocatio n

Revocatio n Revocatio n Revocatio n Revocatio n

Revocatio n

Revocatio n



### 6 . AIRPOR T OPERATORS . Fig . B-6-a . Certificatio n (1 ) Operatio n withou t

apar t 13 9 certificat e (2 ) Operatio n i n violatio n o f apar t 13 9 certificat e (3 ) Failur e t o permi t

FA A inspecto r

t o conduc t

inspectio n Civi l Penalt y

Maximum ; Injunctiv e relie f Moderat e t o Maximu m Maximu m Certificat e Actio n

Indefinit e Suspensio n unti l Complianc e t o Revocatio n Fig . B-6-b . Certificatio n Manua l (1 ) Failur e t o compl y wit h a n approve dairpor t

certificatio n manua l (2 ) Failur e t o includ e al l require dinformatio n i n th e airpor t certificatio n manua l Civi l Penalt y Moderat e t o Maximu m Minimu mt o Moderat e Certificat e Actio n



### B-3 9

### 10/01/0 7 

## 2150.3 8 ^eltiflcat e Aefto B Fig . B-^b ^ Certificatio n Manua l cont . Civi l l^ttalt y (3 ) Failur e t o maintai n curren t airpor t certificatio n maniia l b n th e airpor t Moderat e t o Maximu m 

## a 4> . . iiiirfii . (4 ) Failur e t o mak e curren t airpor t certificatio n manua l availabl e t o th e FA A fo

r inspectio n Moderat e t o Maximu m %#finit e • : Su^nsio n unti l O^plianc e to4eyocatio n avilpSinait y T'tff l ti:«riiScat e Fig . B-6-C . Operation s (1 ) Failtiioe t o maintai n sufficien t qualifie dpersonne l t o compl y wifli requirement s o f th e airpor t

certificatio n tnanua l afl< | FA A regulation s Moderat e t o Maximu m (2 ) Failuret b maintai n an drepai r th e pavemen t

o f eac h runway , taxiway , loadin g ramp , an dparkin g are ao n th e airpor t Moderat e t o Maximu m (3 ) Failvffe.t

o maintai n an drepai r

eac h gravel , turf

, o r othe r unpave driinway , taxiway , o r loadin g ram p an dparkin g are ao n th e airpor t Moderat e t o Maximu m (4 ) Failur e t o provid e an dmaintai n an airpor t safety are a M9deHtfft< 0 Maximu m (5 ) Failur e t o provid e an dmaintai n th e require dmarkin g an dsignit ^ jystem s for

ai r carrie r operation s Maximu m (6 ) FailUhi1 6 provid e an dmaintai n lightin g system s for ai r ^rrie r operation s whe n th e airpor t i s ope n durin g hour s o f ^arioies s o r

durin g condition s belo w VF Rminimum s Moderat e t o Maximu m (^ ) Failur e to jHOvid

e an dmaintai n require drescu e an d firefightin g capabilit y an dequipmen t durin g ai r

carrie r cjperation s Maximu m ($ ) Failur e t o maintai n rescu e an dfirefighting vehicle s Maximu m (9 ) Failui^l o r^pon dt o a n emergenc y durin g ai r carrie r (^ration s o r

demonstrat e complianc e wit h respons e fequiremCTt s Maximu m (10 ) Failto e t o respondwithi n th e require dperformanc e r^^nsetiiae s Maximu m (11 ) Faiii^ ^ ensur e tha t rescu e an dfirefighting pfts<mncljl|lj ^ gyijppe di n a n acceptabl e manne r Moderat e to Maximu m (12 ) Failuo ^ t o ensur e tha t rescu e an dfirefighting t)ersoDn|el|i^pi^perl y uaine d Moderat e t o Maximu m ()3 ) Fail|p[ ^ Insur e tha t sufficien t

rescu e an dfirefighting pgrs^imeiaii; ^ availabl e durin g al l ai r carrie r operation s Moderat e (14 ) Failur e t o ensur e tha t procedure s ar e establishe dan d equipmen t

isftiaintaine dfo r

alertin g rescu e an dfirefighting personne l tttjc y existin g o r impendin g emergenc y Moderat e t o Maximu m (15 ) Failur e t o establis h an dmaintai n standard s fo r pirotectin g agains t

fire an dexplosion s in storing , dbpensing , an dotherwis e handlin g fuel , lubricants , an d oxyge n o n th e airpor t Moderit e t o Maximu m



### 8-4 0

### 10/01/0 7 2150.3 8

Fig . B-6-C . Operation s cont . (16 ) Failur e t o perfor msurveillanc e o f afuelin g activit y b y fuelin g agen t

o n th e airpor t (17 ) Failur e t o ensur e an dmaintai n arecor do f th e inspectio n o f

th e physica l facilitie s o f eac h airpor t

tenan t fuelin g agen t (18 ) Failur e t o ensur e tha t afuelin g agen t

an dit s employee s ar e properl y traine d (19 ) Failur e t o requir e atenan t fuelin g agen t

t o tak e correctiv e actio n for

noncomplianc e with aftieling standar d (20 ) Failur e t o ensur e tha t th e airpor t

emergenc y pla n i s reviewe dwith al l partie s unde r th e pla n an dtha t

al l informatio n i n th e pla n i s curren t (21 ) Failur e t o establis h an dmaintai n procedure s fo r th e protectio n o f

person s an dpropert y o n th e airpor t durin g th e handlin g an dstorin g o f

hazardou s material s (22 ) Failur e t o provid e traffi c an dwin ddirectio n indicator s (23 ) Failur e t o develo p an dmaintai n a n airpor t emergenc y pla n (24 ) Failur e t o conduc t

self

- inspection s o f

th e airpor t

a s require d (25 ) Failur e t o provid e equipmen t an dprocedure s for carryin g ou t

an inspectio n progra mfo r areportin g syste m t o ensur e correctio n o f

condition s note ddurin g th e inspection s (26 ) Failur e t o prepare , keep , an dmak e availabl e arecor d o f self-inspection s (27 ) Failur e t o limi t

acces s b y groun dvehicle s t o movemen t

area s an dsafet y area s (28 ) Failur e t o establis h an dimplemen t procedure s fo

r acces s t o an doperatio n on , th e movemen t are aan dsafet y area s b y groun dvehicle s (29 ) Failur e t o ensur e tha t groun dvehicle s operatin g o n th e movemen t

are aar e confrolle db y two-wa y radi o communicatio n o r

othe r acceptabl e mean s (30 ) Failur e t o ensur e tha t eac h perso n operatin g agroun d vehicl e with acces s t o th e movemen t are ai s familiar

with airpor t procedure s fo r

operatio n o f

groun dvehicle s (31 ) Failur e t o ensur e tha t obstmction s ar e removed , marked , o r

lighte d (32 ) Failur e t o preven t

th e constmctio n o f

facilitie s o n th e airpor t tha t woul dderogat e th e operatio n o f a n electroni c o r visua l navai dan dai r

Uaffi c contro l facilitie s o n th e airpor t (33 ) Failur e t o tak e immediat e measure s t o alleviat e wildlif e hazard s (34 ) Failur e t o preven t

th e inadverten t

entr y t o th e movemen t

are ab y unauthorize dperson s o r vehicle s Civ U Penalt y

Moderat e t o Maximu m Minimu mt o Moderat e Moderat e t o Maximu m Moderat e t o Maximu m Minimu mt o Moderat e Moderat e t o Maximu m Moderat e Maximu m Maximu m Moderat e t o Maximu m

Moderat e t o Maximu m Moderat e Moderat e Moderat e Minimu mt o Moderat e Moderat e t o Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Moderat e Certificat e Actio n



### 8-4 1

### 10/01/0 7 

## 2150.3 8

Fig . B-6-C . Operation s cont . (35 ) Failure to provide fo

r the collectio n anddisseminatio n o f airpor t conditio n information to ai r carrier s (36 ) Failur

e to mar k and , if appropriate , ligh

t constmctio n area s andunserviceabl e areas , constmctio n equipment , an d each constmctio n roadwa

y (37 ) Failur

e t o provide procedure s fo

r avoidin g damag e t

o existin g utilities , cables , wires , conduits , pipelines , or othe r undergroun dfacilitie s (38 ) Failure t o restric t

air carrie r operation s t o saf

e portion s o f the airpor t p 9 ) Failur

e t o tak e actio n t o conduct awildlif e assessment (40 ) Failur

e to implemen

t wildlif e assessmen

t o r the FAA

approve dwildlif

e Hazar dManagemen

t Pla n Civ

U Penalty Moderat e t o Maximu m Moderat e to Maximu

m Minimu mt o Moderat e Maximu m Moderat e t o Maximu m- , Mdderat c t o Maximu m Certificat e

' } ' •

,"* ; • . " •



### 7 . VIOLATION S O FNOIS E PROVISIONS . Fig . B-7-a . Aircraf

t Nois e (1 4 C.F.R . par t

91 , subpar t

I ) (1 ) Prohibitio n o n operatin g withou t complyin g wit

h Stag e 3 nois e level s under

4 9 U.S.C . § 4752 8 (2 ) Nonadditio n Rule unde r 4 9 U.S.C . § 4752 9 (3 ) Importe daircraf

t operate dto provide ai

r transportatio n i n the 4 8 contiguou s state s without complyin g wit

h Stag e 3 nois e level s unde

r 4 9 U.S.C . § 4753 0 (4 ) Recordkeepin g o

r notificatio n violatio n CIv U Penalty Moderat e t o Maximu m Moderat e t o Maximur

h Moderat e to Maximu

m Minimun i [Certificat e

Actio n

';<"' . . •

'•" 7 •

-:__-f e - U 

### 8 . VIOLATION S O FPILO T RECORD S IMPROVEMEN T A^ f fpRIA) . ,iAit ^ 

### Fig . B-8-a . PRI A Civ U Penalty i^eifij(icate (1 ) Permittin g aperso n to begin servic e a s apilo t prio r t o requesting , receiving, andevaluatin g record s pursuant to (he provision s o f

PRI A Maximu m (2 ) Failin g to obtai n fromth e subject o f aPRIA reques t

a writte n CQOSen

t fo r releas e o f record s requeste dunde

r PRIA iiS ^ 

### (a ) Inadvertent

error Moderat e (b ) Egrfij^OUS/n

o consent given ur n (3 ) Furnishin g records , pursuant t o reques t under PRIA , tha t hav e bee n maintaine dfo

r mor e tha n 5 year s befor

e the date o f reques t >yhe n recorddoe s not

relat e t o revocatio n o

r suspensio n o f

airma n certificat

e o r motor vehicl e licens e tha t wa s in effect

at tim e o f reques t 

## Mod^ e (4 ) Failin g to maintai n record s describe di n 4 9 U.S.C . § § 44703(hXlXA ) and(B ) fo

r five year s Modwat e t o Maximu

m



### 8-4 2

### 10/01/0 7 2150.3 8

Fig . B-8-a . PRI A cont . (5 ) Furnishin g record s pursuan t t o areques t

unde r PRI A befor e receivin g acop y o f th e writte n consen t

o f th e individua l wh o i s th e subjec t o f th e reques t (a ) Inadverten t

erro r (b ) Egregious/n o consen t give n (6 ) Failin g t o provid e acop y o f al l record s pursuan t

t o a reques t unde r PRI A withi n 3 0 day s o f th e dat e th e reques t i s receive d (a ) Inadverten t

erro r (b ) Egregious/intentiona l (7 ) Failin g t o provid e t o th e individua l wh o i s th e subjec t o f reques t unde r PRIA , o n o r

befor e th e 20" ' da y followin g th e dat e o f

th e receip t

o f suc h arequest , writte n notic e o f th e reques t

an do f th e individual' s right

t o receiv e acop y o f suc h record s (8 ) Failing , upo n areques t fro man individua l wh o i s th e subjec t o f reques t unde r PRIA , t o provid e acop y o f record s t o th e individua l (9 ) Failin g t o permi t

th e subjec t

o f areques t for record s unde r PRJ A t o submi t

writte n comment s t o correc t an y inaccuracie s in thos e record s before makin g afinal hirin g decisio n (10 ) Failing , upo n awritte n reques t fro mapilo t

wh o i s o r ha s bee n employe db y an ai r carrier , t o mak e availabl e for revie w withi n 3 0 days , record s referre dt o i n 4 9 U.S.C . § § 44703(h)(l)(B)(i ) o r

(ii ) pertainin g t o th e employmen t o f tha t pilo t (a ) Makin g record s availabl e bu t untimel y (b ) No t makin g th e record s availabl e (11 ) Us e o f

record s receive dpursuan t t o PRI A for

reason s othe r than assessin g th e qualification s o f individua l in decidin g whethe r

t o hir e th e individua l a s pilo t (12 ) Failin g t o protec t

th e privac y o f

apilo t an dth e confidentialit y o f

record s receive d (13 ) Divulgin g content s o f record s receive dpursuan t t o PRI A t o individua l no t

directl y involve di n hirin g proces s (a ) Mino r (b ) Inten t t o caus e har m (14 ) Fo r ai r carrier s tha t

operat e aircraf

t wit h amaximu m loa dcapacit y o f

7,50 0 pound s o r

less , o r ahelicopter , o n a flight that i s no t aschedule doperatio n - (a ) Permittin g apilo t

t o continu e in servic e longe r tha n 9 0 day s withou t

requesting , receivin g an devaluatin g record s identifie din 4 9 U.S.C . § 44703(0(1 ) Civi l Penalt y

Moderat e Maximu m

Moderat e Maximu m Maximu m

Maximu m Maximu m

Minimu mt o Moderat e Maximu m Maximu m Maximu m

Minimu m Maximu m

Maximu m Certificat e Actio n



### 8-4 3

### 10/01/0 7 

## 2150.3 8 ^^etrtificat T Acti| ^ Fig . B-^« . PRI A cont . Civ U Penalty (b ) Failin g t

o provide contrachia

l notification to the individua l tha t continuatio n o f

employmen

t afte r the 90-da y perio di s subject

t o asatisfactor

y evaluatio n of

record s identifie din 4 9 U.S.C . § 44703(0(1 ) Moderat e

9 . ENGINEERIN G AN

D MANUFACTURIN G VIOpWTIONS . Note tiiat th e followinaadtion s take n incase s o f

violation s b

y FA A designee s onl

y include lega

l enforcemen

t action s unde

r 1 4 C<F.R . par t 13 . Wheneve

r FA A enforcemen

t actio n personnel determine tha t the holde r o f ade$t^u#>n^Cirth e holde r o f adesig n o

r productio n approva

l tha t i s not acertificate , i s n o longer

qualifiedtoltQC^^iit

r • designatio n or

approval , remedia

l actio n shouldb e initiated . I n addition , remedial actif^^^^^ i considere dwheneve

r the holde r refuse s t o allo w inspection , o

r othrawis e continue s to fai l |p4|p|cc0i y wit h a n applicabl e requirement . Suspension s an dtermination s o f

dfisipiation s are handled.i n i ., , accordanc e wit

h FA A Ord . er s No . ^lOO.SB , Designe e Managemeri t Handbook , Ch^t ^ i\;)^o. r 8100.9 , DAS , DOA

, an dSFA R3 6 Authorizatio n Procedures , Chapte r 8 ; ari dNo . 8110.37C , D«s/^te< y Engineerin g Representativ e (DER ) Guidanc e Handbook , Chapt a7 , . ^ Fig . B-9-a . API S Holders , includin g productio n unde r typ e certificat e (1 ) Failur e to maintain the approve d productio n inspectio n syste m (APIS ) t o ensure produc t

conformit y andto ensur

e produc t i s i n conditio n fo r saf e operatio n (2 ) Failur e t o maintain technica

l dat ao r drawin g a t the plac e o f mariufactiir

e (3 ) Failur e to maintain inspectio n record (4 ) Failur e to properly flight

tes t aircraf t (5 ) Failur e t o properly conduc t require dtest

ru n o n aproductio n engin e (6 ) Failur e to properi y conduc t requiredfiinction tes t

o n a productio n propelle

r 1 4 C.F.R .

21.123(c) , 21.125 , 21.127 , 21.128 , 21.129 , 21.13 0 21.123(b )

21.123(c) , 21.12 5 (bXlO ) 21.12 7 21.12 8 21.12 9 4 9 U.S.C . Civi l Penalt y Moderat e t o Maximu m

Moderat e to Maximum Moderate t o Maximu m Moderat e t o Maximum Moderat e t o Maximu m Moderat e t o Maximum Cliilflcat e

t^S^ntinu e ibulort^eofa/w ' eerttftcate s o#piaiic e ibiscdntinu e issuanc e o f

a/ w «»i|«liiianc e

L-p- ; A.'

- • ' ' . •- ' i

" i 

### !

4 

### \



### 8-4 4

### 10/01/0 7 2150.3 8

Fig . B-9-b . Productio n Certificat e Holder s (1 ) Refusal t o allo w FAA to make an y inspection s an dtest s necessar y t o determin e complianc e wit h regulation s (2 ) Failur e t o mak e informatio n regardin g adelegatio n o f authorit y t o subsidiar y manufacture r o r supplie r (3 ) Failur e t o immediatel y notif y FAA , i n writing , o f

qualit y contro l syste mchange s that

affec t th e inspection , conformity , o r airworthines s o f

th e produc t (4 ) Failur e t o surrende r

aP C for cancellatio n upo n transfe r o f ownershi p o r

upo n chang e in locatio n o f

th e manufacturin g facilit y (5 ) Failur e t o maintai n th e approve dqualit y confro l syste m (6 ) Failur e t o determin e that eac h complete dproduc t

submitte dfo r a/ w certificatio n o r

approva l i s i n conformit y wit h th e typ e desig n an d i n conditio n for

saf e operatio n 1 4 C.F.R .

21.15 7

21.143(b )

21.14 7

21.155 , 21.15 9 21.165(a ) 21.165(b ) 4 9 U.S.C . Civi l Penalt y Moderat e t o Maximu m

Moderat e t o Maximu m Moderat e t o Maximu m

Moderat e

Moderat e t o Maximu m Moderat e t o Maximu m Certificat e

Actio n Indefinit e Suspensio n pendin g complianc e t o Revocatio n

Revocatio n

Fig . B-9-C . Designee s (I ) Delegatio n Optio n Authorizatio n (DOA ) (a ) Refusa l t o permi t

authorize d FA A employe e t o inspec t th e manufacturer' s organization , facilities , product , record , technica l dat afile, o r

servic e difficult y file (b ) Failur e t o submi t

arepor t o r informatio n necessar y fo r di e issuanc e o f

a n A D (c ) Failur e t o plac e th e require d technica l dat aan dtyp e inspectio n repor t i n th e technica l dat afile require db y 21.293(aXlXi ) 1 4 C.F.R .
21.24 9

21.27 7 4 9 U.S.C . Civ U Penalt y

Maximu m

Moderat e t o Maximu m

Minimu mt o Moderat e Certificat e

Actio n

Indefinit e Suspensio n o f T C o r AWCs , pendin g complianc e t o Revocatio n



### 8-4 5

### 10/01/0 7 2150.3 8 trertificatf

e ; < ^;t'"', | 

### Fig . 8-9-^9 . • D«signee s cont .

<ii.j i 

### 1 4 C.F.R . 4 9 U.&C . Civ U Penalt y (d ) Flf^Ur t to determine tha

t di e P C requirement s o f

subpar t G ar e me t prior to certifyin g tha

t the deterniiflft^ba s bee

n mad e 21.267(b ) Moderat e t o Maximu m (e ) Figur e t o plac e the manufacttiring andqualit

y contto l dat arequire dby 21.14 3 wit h the dat arequire db

y 21.293(a X 1X'' ) prio r to certifyin g tha

t thi s ha s bee

n done 21.267(d ) Moderat e t o Maximu m
-jpHf - 

### ( 0 Failur e to notif y the FA A within 4 8 hour s o f

an y chang e tha

t coul daffec

t the abilit y of the DO A to mee t the requirements i

n Subpar t I : 21.24 5 Moderat e to Maximu m (g ) Failur e to obtai n FA

A concurrenc e on th e applicatio n o f an y equivalen

t safet y provisio n applie dunde

r 21.2 1 21.26 1 Minimu mto Moderat e fusjpinsio n o f

tCorAWC , ffRdin g [lni>|iiianc e to , "''^ " ''] m-t ' (h ) DO A issue s ne

w o r amended TC . o r STC , AWC , o

r AA V approva l beyondthe scop e o f

its authorizatio n 21.25 1 Ipv^atio n o f (2 ) Desi^iate dAlteratio n Statio n (DAS ) (a ) Exercisin g an

y authorit y unde r sulpar t M without

submittin g an dobtainin g approva

l o f procedure s manua

l 21.441(a) Maximum (b ) Per|brmin g an

y DA S fimction affectedby chang e i n facilitie s or

staf f necessar y t o mee t th e requirement s o f

§ 21.439 , o

r - affectedb y any chang e i

n the proceduresapprove dunde

r § 21.441(ii^!withou

t obtainin g approval fixm

i the FA A fo r thos e Iphange s 21.441(b ) Moderate t o Maximim i

(c ) Failure t o notif

y the FA A withi n 4&lipur s o f

any chang e tha

t coul daffe? ^ th e ability o f

Ui e DA S to mee t subpar t M 21.44 5

meci suppan iv

i (d ) Failure , upo

n reasonabl e request , t o le

t the FA A inspec t the DA S facility , product , o

r recor d Moderate t o Maximum . i ^ 

### 21.44 9 Maximum



## 8-4 6

### 10/01/0 7 2150.3 8

1 Fig . B-9-C . Designee s cont . (e ) DA S issue s ST C o r

AW C beyon dth e scop e o f

it s authorizatio n ( 0 Issuin g an ST C involvin g exhaus t emission s chang e requirement s o f

par t 3 4 o r acoustica l chang e requirement s o f par t 3 6 befor e th e FA A finds thos e requirement s ar e me t 1 (g ) Fo r

eac h ST C issue dunde r subpar t M , failur e t o follo w th e procedure s manua l approve dunde r § 21.44 1 o r

failur e t o submi t statemen t describin g th e requirement s i n § 21.463(a)(1 ) (h ) Issuin g a n ST C withou t finding tha t

eac h applicabl e airworthines s requiremen t i s me t (i ) Issuin g an ST C withou t finding tha t

th e typ e o f

product , a s modifie db y th e ST C data , i s o f prope r desig n fo

r saf e operatio n (j ) Fo r eac h ST C issue dunde r subpar t M , failur e t o submi t

th e copie s o f th e ST C o r

th e othe r require ddat a 1 (k ) Fo r

eac h amendmen t

t o a n airworthines s certificat e unde r subpar t M , failur e t o follo w th e procedure s manua l approve dunde r § 21.44 1 o r

failur e t o follo w §21.473(a)-(c ) (1 ) Issuin g an experimenta l AW C withou t

obtainin g fi-omth e FA A anecessar y limitatio n o r conditio n (m ) Failur e t o conduc t

an investigatio n o r

repor t th e result s o f tiie investigatio n o r

take n o r propose dactio n 1 4 C.F.R . 21.45 1 21.451(d )

21.463(a ) (1 )

21.463(a ) (2 ) 21.463(a ) (3 ) 21.463(b )

21.47 3

21.47 5 21.477(a ) 4 9 U.S.C . Civi l Penalt y Maximu m Maximu m

Moderat e t o Maximu m

Moderat e t o Maximu m

Moderat e t o Maximu m

Moderat e

Moderat e t o Maximu m

Minimu mt o Moderat e Moderat e t o Maximu m Certificat e

Actio n Revocatio n o f ST C o r AW C Indefinit e Suspensio n o f ST C pendin g complianc e t o Revocatio n Indefinit e Suspensio n o f ST C pendin g complianc e t o Revocatio n Indefinit e Suspensio n o f ST C pendin g complianc e t o Revocatio n Indefinit e Suspensio n o f ST C pendin g complianc e t o Revocatio n



### 8-4 7

### 10/01/0 7 2150;3 B

Fig . B^Sn&nDesignee s cont . 1 4 C.F.R . 4 9 0 . 

# 'a^^¥;i;m~'''"^i^s ^ <n>^lur e t o submi t

tiie infonntftic mnecessar y for th e issu e o f a n airworthines s directiv e 21.477(b ) Moderat e t o Maximu m STgtjrAWC . :l| g iiiicet b ' ^io n '^ ' (o ) Bulur e t o maintain , at th e DA S facility , th e require dcurren t record s 21.493(a ) Moderat e t o Maximu m (p ) Ffiiure^t o provid e requeste d records.^d'ti w FAA ; failur e t o sen d 4at afilem^^en DA S n o longe r jopeiateaMjBide

r subpar t M 21.493(b ) Moderat e t o Maximu m 

## m'"'>'- ' Fig . B-9H(1 . Teclinica l Standar d prde r Ayjiet4zatio n (TSOA) , Xette r of#«| ^ Approval , an d Lette r of : Afce^tanc e 1 4 C.F.R . 4 9 U.S.C . Civ U Penalt y

|1 ) UnaipriZib ddispla y o f TS O jnatjkin g . t 21.603(a ) Maximu m TT- I (2 ) ^Failun i o f

holde r o f Lette r o f Acc<^tatl|!«t o compl y with 21.603(b ) Maximu m T »l-r:"f ' (3 ) Fdlliitotnanufactur e articl e i n Accordanc e wit h th e approve d lechnica l an dqualit y contio l dat a (indtheTS Q 21.607(a ) Moderat e t o Maximu m (4 ) Failur e t o properi y conduc t a fequue dtest

o r inspectio n 21.607(b ) Moderat e t o Maximu m 0 ) Failur e t o maintai n di e Q/ C syste mt o ensur e eac h articl e meet s 1^1.607(a ) an di s i n aconditio n for j ^ e operatio n 21.607(b ) Moderat e t o Maximu m (6 ) Failufct o prepar e an dmaintai n aciuren t fU e o f complet e technica l <|Bt aan dinspectio n record s 21.607(c ) Moderat e t o Maximu m l"i»^''ji'' " (7 ) Failur e t o permanenU y an d Ifgibl y mari e eac h articl e produce d ilbde r th e TSO A o r

Lette r o f Desig n EETOval . 21.607(d ) 

# i Minimu mt o Moderat e

» • !»xij,i'i'n ' . ' I " (8 ) Failur e to forwar dinformatio n oi l amino r

desig n chang e t o th e alppropriat e Aircraf

t Certificatio n (Mic e 21.611(a ) Minimu mt o Moderat e



### B-4 8

### 10/01/0 7 2150.3 8

Fig . B-9-d . Technica l Standar d Orde r Authorizatio n (TSOA) , Lerte r o f Desig n Approval , an d Lette r o f Acceptanc e Manufacturer s cont . (9 ) Befor e makin g amajo r change , failur e t o t o assig n ane w typ e o r mode l designatio n t o th e articl e an d appl y for an authorizatio n unde r

1 4 CF R§21.60 5 (10 ) Failur e t o retai n technica l dat a (11 ) Refusal t o permi t

an authorize dFA A representativ e t o inspec t a n article , Q/C inspectio n o r test , o r th e manufacturin g facilitie s o r technica l dat afile 1 4 C.F.R .

21.611(b )

21.61 3 21.61 5 4 9 U.S.C . Civi l Penalt y

Moderat e t o Maximu m

Moderat e t o Maximu m Moderat e t o Maximu m Certificat e

Actio n

Fig . B-9-e . Replacemen t o r Modificatio n Part s Manufacturer s (1 ) Productio n withou t

P M A o r othe r authorit y (2 ) Failur e t o maintai n th e fabricatio n inspectio n syste mt o ensur e eac h complete dpar t conform s with it s approve ddesig n an di s saf e for installatio n o n applicabl e T C produc t (3 ) Failur e t o ensur e tha t incomin g material s use di n th e finishedpar t ar e a s specifie di n th e desig n dat a (4 ) Failur e t o ensur e tha t incomin g material s ar e properl y identifie di f thei r physica l an dchemica l propertie s caimo t

otherwis e b e readil y an daccuratel y determine d (5 ) Failur e t o ensur e tha t material s ar e suitabl y store dan dadequatel y protecte d (6 ) Failur e t o accomplis h al l processin g affectin g qualit y an d safety o f th e par t i n accordanc e wit h acceptabl e specification s (7 ) Failur e t o inspec t

part s proces s fo r conformit

y wit h th e desig n dat aat pxjint s i n productio n wher e accurat e determination s ca n b e mad e 1 4 C.F.R . 21.303(a ) 21.303(h )

21.30 3 (h)(1 ) 21.30 3 (h)(2 )

21.30 3 (h)(3 ) 21.30 3 

### (hX4 ) 21.30 3 (h)(5 ) 4 9 U.S.C . Civi l Penalt y Maximu m Moderat e t o Maximu m

Moderat e t o Maximu m Moderat e t o Maximu m

Moderat e t o Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Certificat e o r

Othe r Actio n Injunctiv e relie f



### 8-4 9

### 10/01/0 7

Fig . B-9-e . Replacemen t o r Modificatio n Part s Manufacturer s cont . 1 4 C.F.R . 4 9 U.S.C . Civ U Penalt y 

### 2150.3 8 i4b«i!lHkat e O

f 

### i^tlM^ Actio n (8 ) Failur e t o make acurren t desig n drawin g readil y availabl e to manufacturin g an dinspectio n personne l o r

t o us e suc h adrawin g whe n necessary 21.30 3 (h)(6 ) Moderat e t o Maximu m (9 ) Failur e t o adequatel y contro l a majo r desig n chang e o r

t o obtai n FAA approva l o f

amajor desig n chang e befor

e i t i s incorporate dint o th e finishedpart 21.30 3 (h)(7 ) Moderat e t o Maximu m (10 ) Failur e t o segregat e an didentif y rejecte dmaterial s an dcomponent s in suc h amanne r

a s t o preclud e thei r

us e i n afinishedproduc t 21.30 3 (h)(8 ) Moderat e t o Maximu m (11 ) Failur e t o maintai n an didentif y a n inspectio n recor dwit

h acomplete d part , o r to retain th e recordfo

r a t leas t 2 year s 21.30 3 (h)(9 ) Moderat e t o Maximu m (12 ) Failur e t o notif

y th e FAA , in writing , withi n 1 0 day s afte r relocating o r

expansio n o f manufacturin g facilitie s 21.303(j ) Moderat e t o Maximu m (13 ) Failur e t o determin e tha t eac h complete dpar t

conform s to th e desig n dat aan di s saf

e fo r installatio n O n T C produc t 21.303(k ) Moderat e t o Maximu m iibU . Fig . B-9-f

. A U Productio n Approva l Holder s (1 ) Failur e to report

eac h malfunctio n o r

defec t specifie di n sectio n 21.3(c ) withi n th e tim e specifie di n 21.3(e ) 1 4 C.F.R . 4 9 U.S.C . Qvi l Penalt y Moderat e t o Maximiu n '^^ ' •

• •,..''*:.. . i '

pig . B-9-g . T C o r

ST C Holder ; Manufacturer s an dAlteratio n tnititie s (1 ) Failur e t o submi t

th e dat a necessai y fo

r th e issuanc e o f

A/ W cSrectiv e containin g th e appropriat e con-ectiv e actio n 1 4 C.F.R . 21.9 9 491J.S.C . Civi l Penalt y Maximu m 

### t^il^Actio n

Indefiaiit e S«i$MSioiio f 

### S^m-AWCs , (^^ili$itive^<^o

n ,t^*iyoottio n i'r^r4fc^,i|f Fig . B-9-h . Al l persons , includin g designee s 1 4 C.F.R . 4 9 U.S.C . Civ U Penalt y ^^irWcateo r 

### Oi^erActio n (1 ) Falsificirtion o f

application , report, o r recor d 21.2(a)(1) , (2) ,

(3) , o r (4 ) 

### Maximu m R$yocatio n o f

certificate(s ) 8-5 0

### 10/01/0 7 2150.3 8

Fig . B-9-h . Al l persons , includin g designee s cont . (2 ) Failur e t o provid e writte n evidenc e o f

permissio n t o us e a

n ST C (3 ) Failur e t o provid e writte n evidenc e o f

permissio n t o us e aT C (4 ) Changin g aproduc t

basedo n a

n ST C withou t

bein g th e holde r

o r havin g th e permissio n o f th e ST C holde r (5 ) Manufacturin g aproduc t base d o n aT C withou t

bein g th e holde r

o r havin g permissio n o f

th e T C holde r 1 4 C.F.R . 4 9 U.S.C . 4470 4 (a)(2 ) 4470 4 (a)(3 ) 4470 4 (a)(2 ) 4470 4 (a)(3 ) Civi l Penalt y

Minimu m Minimu m Maximu m

Maximu m Certificat e o r

Othe r Actio n



### 10 . AIRCRAF T OWNER/OPERATO RREGISTRATIO N VIOLATION S Fig . B-10 . Registration . (1 ) Operatio n o f

an unregistere d aircraf t (2 ) Operatio n o f

an aircraf

t withou t a n effectiv e (1 4 C.F.R . 47.41) , vali d (1 4 C.F.R . § 47.43 ) certificat e o n boar d (3 ) Operatio n outsid e U.S . o n pin k cop y (4 ) Operatio n in U.S . o n pin k cop y withou t complianc e with 1 4 C.F.R . 47.31(b ) (5 ) Failur e t o retur n an ineffectiv e o r invali daircraf

t regisUatio n certificat e (6 ) Failur e to submi t

triennia l repor t (7 ) Failur e t o submi t

require dflight informatio n (8 ) Failur e t o submi t

chang e o f addres s (9 ) Failur e t o submi t

require d deale r informatio n 1 4 C.F.R . 91.20 3 (a)(2 ) 91.20 3 (a)(2 ) 91.20 3 (a)(2 ) 91.20 3 (a)(2 ) 47.41(b ) 47.43(b ) 46.51(d ) 47.9(f ) 47.4 5 47.7 1 4 9 U.S.C .

4410 1

4410 1

4410 5

4410 5 Civi l Penalt y

Maximum * Minimu m t o Maximum * Minimu m t o Maximum * Moderat e t o Maximum * Minimu m

Minimu m t o Moderate * Minimu m Minimu m t o Moderat e Certificat e

Actio n 30-9 0 day Suspensio n o f pilo t certificat e 30-9 0 da y Suspensio n o f pilo t certificat e 30-9 0 day Suspensio n o f pilo t certificat e 30-9 0 day s suspensio n o f pilo t certificat e Revok e aircraf

t registratio n certificat e Suspensio n o r revocatio n o f registratio n certificat e



### 8-5 1

### 10/01/0 7 2150.3 8

Fig . B'lpi^Hsgbtratio n cont . (10 ) Us e o f

registere daircraf

t t o carr y out o r facilitat e unlawfu l dru g activitie s 1 4 C.F.R . 49U.S.C . 4410 6 (b) , 4471 0 Civ

U Penalt y Mandatory

ipevdfcatio n o f aircraf t tfgijtratio n li^iiijateah dJ <>f«^«ptite r NG«itiiScatciso

f registratio n Issue dto it s ewneT i and rtjvo§«ipnof

"• • all airma n <itiiS^te s * Civilpenatty actio n applie s only if owner/operator

i s differen

t fi-ompilot . 11 . AL L 4i^^|[VIDUAL S AN D ENTITIES . FaUur e t o surrende r suspende do r

revoke d certifical^^iiitiiorization , o r othe r approva l 

# Ifc&i l

feft" 

### Civi l Penalt y ^1 ) Indiipta l Moderat e c.p . per day , wit h th e total c.p . generall y $5^00 0 t o $11.00 0 fZ ) Entit y Moderat

e c.p . pe r day , wit h th e tota l calculate durtde

r th e Multipl e Ac t

poficl^ '

8-5 2