UNITED STATES DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, D.C. | -"•> l^Z f^ fCT 

L '1. L.. kJ

^ "tiVE f L D 

IN THE MATTER OF (JJQ 2 6 2010 

BUSH AIR CARGO, INC 1 vEABII^IG DOCKET 

FAA DOCKET NO. CPlOALOOOl 

(Civil Penalty Proceeding) 

DMSNO. FAA-2010-0311 

m •r- r o 

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J> ?2^.S 

COMPLAINANT'S MOTION FOR DECISION UJ 

CO 

The Complainant, pursuant to § 13.218(f)(5) of the Rules of Practice, 14 C.F.R. Part 13, 

moves for a decision This Motion is based on the pleadings to date in this matter. 

The complaint alleges that Respondent was required by its operations specifications to use 

Donald P. Ballard as the second in command in its operations subject to part 135, and that on 19 

occasions Respondent used a different person as the second in command. Based on the facts 

alleged, the complaint alleges that Respondent violated § 119.5(1) of the Federal Aviation 

Regulations (FAR), and that a $2800 civil penalty is appropriate. 

In its answer Respondent admits the facts as alleged, but denies it violated § 119.5(1). It 

alternatively asserts that if a violation is found that it was a harmless error for which no or a 

more appropriate fine should be assessed. 

The admitted facts establish a violation of § 119.5(1). At the time of the 19 flights in 

question, Respondent's operations specifications specified the use of a specific person as the 

second in command. Respondent admits both this and that it used someone else as the second in 

command. Complainant is, therefore, entitled to a decision finding the regulatory violation as 

alleged. 

Regarding sanction, the amount sought, $2800, is actually well below the range set forth in 

the applicable sanction guidance table, FAA Order 2150.3B, Appendix B, a copy of the relevant 

portion of which is attached as Exhibit 1. Respondent operates no more than five aircraft and has 

no more than five pilots, so it is a Group IV air carrier. The authority for the Administrator to 
promulgate Part 119 of the FAR is primarily set forth in 49 U.S.C. § 44701, so the violations at 

issue in this case are covered under 49 U.S.C. § 46301(a)(5)(A). Figure B-l-c (page B-12) 

specifies a minimum civil penalty for an operation contrary to an operations specification when it 

is a technical non-compliance, and a moderate to maximum civil penalty when the violation has 

a likely potential or actual adverse effect on safe operation. Assuming arguendo that 

Respondent's violations were a technical non-compliance, the range specified on page B-4 of the 

sanction guidance table for a Group IV carrier for violations covered under 49 U.S.C. 

§ 46301(a)(5)(A) is from $550 to $2199 for each of the 19 incidents in which Respondent 

violated § 119.5(1) of the FAR. Using the low end of this range results in civil penalty of 

$10,450. By seeking only $2800, Complainant has already given considerable weight to the 

mitigating and extenuating circumstances in this case, and is an amount that is more than 

reasonable for Respondent, especially given the safety implications of not complying with 

operations specifications. 

Based on the foregoing, a review of the pleadings indicates there is no genuine issue 

regarding a material fact, and Complainant is entitled to a decision finding the violations alleged 

and assessing a $2800 civil penalty. 

Respectfully submitted this 30* day of August 2010. 

HOWARD L. MARTIN, JR. 

Regional Counsel 

By:. £=. 

Glenn H. Brown 

Senior Attorney 
CERTIFICATE OF SERVICE 

Re: Bush Air Cargo 

FAA Docket No. CPlOALOOOl 

DMS No. FAA-2010-0311 

I hereby certify that on this date I have served a copy of the Agency's Motion for Decision 

Regarding Violations by postage-prepaid, certified mail, return receipt requested to the 

following: 

The Honorable Richard C. Goodwin 

Office of Hearings, M-20; 

U.S. Department of Transportation 

1200 New Jersey Avenue, S.E. 

East Building Ground Floor, Room El2-320 

Washington, DC 20590 

Barton M. Tieman, President 

Bush Air Cargo, Inc. 

P.O. Box 93144 

Anchorage, AK 99509-3144 

I further certify that on this date I have served the original and two copies of the Agency's 

Motion for Decision Regarding Violations by postage-prepaid, certified mail, return receipt 

requested and facsimile, addressed as follows: 

Federal Aviation Administration 

800 Independence Avenue, S.W. 

Washington, DC 20591 

Attention: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building—Suite 2W1000 

DATED: ^^ ^ . £0 ^ ^O/ O 

Federal Aviation Administration, 

Office of Regional Counsel 

222 West 7th Avenue, Box 14, AAL-7 

Anchorage, Alaska 99513-7587 
10/01/07 2150.38 

Appendix B 

Table of Sanctions 

All Enforcement Programs 

Except Hazardous Materials 

Part One - Abbreviations and Definitions 

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

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

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

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

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

APIS means approved production inspection system 

A/W means airworthiness 

A WC means airworthiness certificate 

BTS means Under Secretary for Border and Transportation Security 

lA means inspection authorization 

LE means law enforcement 

PC means production certificate 

STC means supplemental type certificate 

TC means type certificate 

TFR means Temporary Flight Restriction 

TSA means Transportation Security Administration 

3. Definitions: 

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

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

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

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

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

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

violations are ongoing. 

b. Violation committed by a small business concern. Section 503 of Vision 100—Century 

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

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

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

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

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

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

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

i'&M Administration regulations implement the Small Business Act and define business concern as 

B-1 
10/01/07 2150.38 

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

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

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

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

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

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

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

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

meets the definition o( business concern and has armual receipts or the number of employees 

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

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

numbers of employees, unless otherwise noted). 

Manufacturing 

Aircraft - 1,500 employees 

Aircraft engine and part - 1 .OO'O employees 

Other aircraft part and equipment - 1,000 employees 

Air transportation 

Scheduled passenger - 1,500 employees 

Scheduled freight - 1,500 employees 

Nonscheduled passenger- 1,500 employees 

Nonscheduled offshore marine passenger - $25.5 million annual receipts 

Nonscheduled freight - 1,500 employees 

Nonscheduled offshore marine freight - $25.5 million armual receipts 

Other nonscheduled - $6.5 million annual receipts 

Support activities - $6.5 million armual receipts 

Flight Training - $23.5 million annual receipts 

Airport operations 

Airport operator, orgemized for profit - $6.5 million annual receipts 

Other operations, excluding air traffic control - $6.5 million annual receipts 

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

That is not a statutory or regulatory term for purposes of FAA enforcement. It includes each 

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

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

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

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

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

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

factors. 

8-2 
m 

:sm 

10/01/07 2150.3B 

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

OPERATORCLASSIFICATION OF AIR CARRIER AND OPERATOR 

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

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

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

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

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

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

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

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

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

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

pilots or 6 to 24 aircraft. 

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

than 5 pilots and no more than 5 aircraft. 

GROUP I - large business concern 

Maximum $I8,750-$25,000 

Moderate $10,000-$ 18,749 

Minimum $2,000-59,999 

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

§ 46301(a)(5)(A)): 

Maximum $8,250-$ 11,000 

Moderate $4,400-$8,249 

Minimum $l,100-$4,399 

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

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

Maximum $850-$ 1,100 

Moderate $650-$849 

Minimum $500 $649 

GROUP II - large business concern: 

B-3 
10/01/07 2150.38 

Maximum $16,250-$25,000 

Moderate $8,750-$ 16,249 

Minimum $l,850-$8,749 

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

Maximum 

Moderate 

Minimum 

$8,250-$ 11,000 

$3,850-$8,249 

$935-$3,849 

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

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

Maximum $750-$ 1,100 

Moderate $450-$ 749 

Minimum $250$ 449 

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

Maximum $7,150-$ 11,000 

Moderate $3,300-$7.,149 

Minimum $825-S3,299 

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

U.S.C. § 46301(a)(5)(A): 

Maximum $650-$ 1,100 

Moderate $400-$ 649 

Minimum $150-$ 399 

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

Maximum $4,400-$ 11,000 

Moderate $2,200-$4,399 

Minimum $550-$2,199 

GROUP IV - for violations covered under 49 U.S.C. § 4630I(a)( 1)(A) or (B) but not under 49 

U.S.C. § 46301(a)(5)(A): 

Maximum 

Moderate 

$500-$1,100 

$300-$499 

B-4 
10/01/07 2150.38 

Minimum $100-$299 

(2) VIOLATION COMMITTED BY PART 129 OPERATOR 

Maximum $18,750-$25,000 

Moderate $10,000-$ 18,749 

Minimum $2,000-$9,999 

(3) VIOLATION COMMITTED BY PART 125 OPERATOR. 

Large Business Concern: 

Maximum 

Moderate 

Minimum 

$16,250-$25,000 

$8,750-$ 16,249 

$l,850-$8,749 

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

Maximum 

Moderate 

Minimum 

$8,250-$ 11,000 

$3,850-$8,249 

$935-$3,849 

Small Business Concern (for violations covered under 49 U.S.C. § 46301(a)(1)(A) or (B) but 

not under 49 U.S.C. § 46301(a)(5)(A)): 

Maximum 

Moderate 

Minimum 

$750-$1,100 

$450-$749 

$250 $449 

(4) VIOLATION COMMITTED BY AIR AGENCY (INCLUDING REPAIR STATIONS. 

Large Business Concern: 

Maximum 

Moderate 

Minimum 

$16,250.-$25,000 

$8,750-$ 16,249 

$1,850-58,749 

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

Maximum 

Moderate 

Minimum 

$7,150-511,000 

$3,850-57,149 

$935-$3,849 

B-5 
10/01/07 2150.38 

Small Business Concern (for violations covered under 49 U.S.C. § 46301(a)( 1)(A) or (B) but 

not under 49 U.S.C. fj 46301(a)(5)(A)): 

Maximum $750-$ 1,100 

Moderate $450-$749 

Minimum $250 $449 

(5) VIOLATION COMMITTED BY AIRPORT OPERATOR. 

Large Business Concern: 

Maximum $18,750-525,000 

Moderate $10,000-518,749 

Minimum $2,000-$9,999 

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

Maximum $8,250-511,000 

Moderate $4,400-$8,249 

Minimum $1,100-54,399 

Small Business Concern (for violations covered under 49 U.S.C. § 46301(a)(1)(A) or (B) but 

not under 49 U.S.C. § 46301(a)(5)(A)): 

Maximum $850-$ 1,100 

Moderate $650-5849 

Minimum $500 $649 

(6) LARGE BUSINESS CONCERN - DOES NOT HOLD CERTIFICATE 

Maximum $l8,750-$25,000 

Moderate $ 10,000-$ 18,749 

Minimum $2,000-59,999 

(7) SMALL BUSINESS CONCERN - DOES NOT HOLD CERTIFICATE 

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

Maximum $4,400-511,000 

Moderate $2,200-$4,399 

Minimum $550-52,199 /.t^ ^ 

^IS^' 

B-6 
m 

10/01/07 2150.38 

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

U.S.C. § 46301(a)(5)(A): 

Maximum 5500-51,100 

Moderate $300-$499 

Minimum $100-$299 

(8) VIOLATION RELATING TO THE TRANSPORTATION OF A HAZARDOUS 

MATERIAL (14 CFR>. THE REGISTRATION OR RECORDATION OF AN 

AIRCRAFT NOT USED TO PROVIDE AIR TRANSPORTATION. 

THE LIMITATION ON THE CONSTRUCTION OR ESTABLISHMENT OF A 

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

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

Group I Air Carrier or Operator): 

Maximum $16,250-$25,000 

Moderate 58,750-516,249 

Minimum $1,850-58,749 

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

Air Carrier or Operator) or Individual: 

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

Maximum $4,400-$ 11,000 

Moderate $2,200-$4,399 

Minimum $550-$2,199 

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

U.S.C. §46301 (a)(5)(A): 

Maximum $500-$ 1,100 

Moderate $300-$499 

Minimum $100-5299 

(9) OTHER VIOLATION COMMITTED BY AN INDIVIDUAL. 

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

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

Maximum 5850-51,100 

8-7 
10/01/07 2150.38 

Moderate 5650-5849 

Minimum 5500-5649 

OTHER INDIVIDUAL - NOT SERVING IN CAPACITY OF AIRMAN. 

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

Maximum $4,400-511,000 

Moderate 52,200-54,399 

Minimum $550-52,199 

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

U.S.C. § 46301(a)(5)(A): 

Maximum $500-$ 1,100 

Moderate $300-$499 

Minimum $l00-$299 

(10) ENGINEERING AND MANUFACTURING VIOLATIONS. 

Large Business Concern: 

Maximum $18,750-$25,000 

Moderate $10,000-$ 18,749 

Minimum $2,000-59,999 

Small Business Concern or Individual (for violations covered under 49 U.S.C. § 

46301(a)(5)(A): 

Maximum $8,250-$ 11,000 

Moderate $4,400-58,249 

Minimum $1,100-54,399 

Small Business Concern or Individual (for violations covered under 49 U.S.C. § 

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

Maximum $850-$ 1,100 

Moderate $650-$849 

Minimum $500 $649 

B-8 
10/01/07 2150.38 

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

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

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

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

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

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

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

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

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

penalty as recommended in the following tables. 

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

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

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

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

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

the following tables. 

Part Two - Sanction Guidance Tables 

Index 

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

Operators. 

Fig. B-1 -a. Maintenance Manual 

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

Fig. B-l-c. Operations Specifications 

Fig. B-1 -d. Facilides and Equipment 

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

Fig. B-1-f Training Program 

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

Fig. B-l-h. Performance of Maintenance 

Fig. B-l-i. SFAR36 

Fig. B-l-j. Records and Reports 

Fig. B-l-k. Dispatch and Flight Release Rules 

Fig. B-l-l. Operation of unairworthy aircraft 

Fig. B-l-m. Provisions specific to passenger-carrying 

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

Fig. B-1-o. Other provisions 

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

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

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

Fig. B-2-b. Inspection 

8-9 
10/01/07 2150.38 

Fig. B-2-C. Records and Reports 

Fig. B-2-d. Flight operations 

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

Fig. B-2-f Other Air Carrier Personnel 

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

Maintenance Personnel. 

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

Fig. B-3-b. Repair Stations 

Fig. B-3-C. ID Plate Violations 

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

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

Fig. B-3-f Student Operations 

Fig. B-3-g. Flight Instructors 

Fig. B-3-h. Odier Violations 

Fig. B-3-i. Weather Operations 

Fig. B-3-j. 14 C.F.R. 91.13(a), Careless or reckless operation so as to endanger (independent 

violation) 

Fig. B-3-k. Passenger operations 

Fig. B-3-1. Acting or attempting to act as a crewmember under the influence of drugs or 

alcohol; consumption of alcohol before operating an aircraft 

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

Fig. B-3-n. Miscellaneous 

Fig. B-3-0. Operations at Airports Requiring Slots 

Fig. B-3-p. Unruly passengers 

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

4. DUl/DWI Program, Falsification of Drug Convictions and Airman Medical 

Certificate Violations. 

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

Fig. B-4-b. Airman Medical Certificate 'l^iolations 

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

5. Drug and Alcohol Testing Violations. 1 

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

Fig. B-5-b. Coverage | 

Fig. B-5-C. Pre-employment drug testing | 

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

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

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

Fig. B-5-g. Return to duty drug and alcohol testing «*^ni 

8-10 
10/01/07 2150.38 

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

Fig. B-5-i. Retesting covered employees 

Fig. B-5-j. Inappropriate testing 

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

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

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

Fig. B-5-n. Employee Assistance Program 

Fig. B-5-0. Alcohol misuse information, training, and referral 

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

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

Fig. B-5-r. Specimen collection 

Fig. B-5-S. Laboratory issues 

Fig. B-5-t. Alcohol testing 

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

Fig. B-5-V. Consequences to the certificated individual 

6. Airport Operators. 

Fig. B-6-a. Certification 

Fig. B-6-b. Certification Manual 

Fig. B-6-c. Operations 

7. Violations of Noise Provisions. 

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

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

Fig. B-8-a. PRIA 

9. Engineering and Manufacturing Violations. 

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

Fig. B-9-b. Production Certificate Holders 

Fig. B-9-C. Designees 

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

Letter of Acceptance Manufacturers 

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

Fig. B-9-f All Production Approval Holders 

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

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

10. Aircraft Owner/Operator Registration Violations. 

Fig. B-10. Registration 

8-11 
10/01/07 2150.38 

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

Approval. 

Fig. B-11. 

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

PART 129 OPERATORS. 

Fig. B-l-a. Maintenance Manual 

(1) Failure to maintain current manual 

(2) Failure to provide adequate 

instructions and procedures in 

manual 

(3) Failure to distribute manual to appropriate personnel 

(4) Release of aircraft without required equipment 

Civil Penalty 

Minimum 

Moderate to Maximum 

Minimum to Moderate 

Moderate to Maximum 

Certificate 

Action 

Up to 7-day 

suspension 

Up to 7-day 

suspension 

Fig, B-l-b. A/W Directive 

(1) Failure to comply 

Civil Penalty 

Moderate to Maximum 

Certificate 

Action 

Fig. B-l-c. Operations Specifications 

(1) Exceed inspection or overhaul time limitation 

(2) Operation contrary to ops specs - technical 

noncompliance 

(3) Operation contrary to ops specs - likely potential or actual 

adverse etTect on safe operation 

Civil Penalty 

Moderate 

Minimum 

Moderate to Maximum 

Certificate 

Action 

Up to 7-day 

suspension 

Fig. B-l-d. Facilities and Equipment 

(1) Failure to provide adequately for proper servicing, 

maintenance, repair, or inspection of facilities and equipment 

Civil Penalty 

Maximum 

Certificate 

Action 

Indefinite 

Suspension 

until proper 

servicing, 

maintenance, 

repair and 

inspection of 

facilities and 

equipment is 

provided to 

Revocation 

1.- ^ . 

8-12 
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10/01/07 2150.38 

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

(1) Failure to provide or maintain a maintenance and 

inspection organization 

Civil Penalty 

Maximum 

Certificate 

Action 

Indefinite 

Suspension 

until an 

appropriate 

maintenance 

and 

inspection 

organization 

is provided to 

Revocation 

Fig. B-l-f. Training Program 

(1) Failure to have training program 

(2) Failure to maintain training program 

(3) Failure to train personnel adequately 

Civil Penalty 

Maximum 

Moderate to Maximum 

Moderate to Maximum 

Certificate 

Action 

Indefinite 

Suspension 

until 

compliance 

to 

Revocation 

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

(I) Incomplete or unsigned release 

(2) Failure to revise a/c data after repair 

Civil Penalty 

Minimum to Maximum 

Moderate to Maximum 

Certificate 

Action 

Fig. B-l-h. Performance of Maintenance 

(1) By unauthorized person 

(2) Failure to perform or improper maintenance 

Civil Penalty 

Maximum 

Moderate to Maximum 

Certificate 

Action 

Fig. B-l-i. SFAR 36 

(1) Failure to comply - second offense 

Civil Penalty 

Maximum 

Certificate 

Action 

,i^m 

Fig. B-l-j. Records and Reports 

(1) Deliberate violation 

(a) Intentionally false or fraudulent entry, 

reproduction, or alteration in record or 

report 

(b) Other 

Civil Penalty Certificate 

Action 

Revocation 

180-day 

Suspension 

to 

Revocation 

8-13 
10/01/07 2150.38 

Fig. B-l-j. Records & Reports cont. 

(2) Failure to make accurate mechanical interruption summary 

report 

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

repair 

(4) Failure to make accurate mechanical reliability report 

(5) Failure to make required entry in aircraft log 

(6) Failure to make available pilot record 

(7) Failure to make available load manifest 

(8) Failure to monitor and record enroute radio communication 

Civil Penalty 

Moderate to Maximum 

Moderate to Maximum 

Moderate to Maximum 

Minimum to Maximum 

Moderate to Maximum 

Moderate to Maximum 

Moderate to Maximum 

Certificate 

Action 

Indefinite 

Suspension 

to 

Revocation 

Indefinite 

Suspension 

to 

Revocation 

Indefinite 

Suspension 

to 

Revocation 

Fig. B-l-k. Dispatch and Flight Release Rules 

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

Civil Penalty 

Moderate to Maximum 

Certificate 

Action 

Fig. B-l-l. Operation of unairworthy aircraft 

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

operation 

(2) Non-conformity to TC that may have, or has, adverse 

effect on safe operation 

(3) Release of aircraft without required equipment 

Civil Penalty 

Minimum 

Moderate to Maximum 

Moderate to Maximum 

Certificate 

Action 

Up to 7-day 

suspension 

Fig. B-l-m. Provisions specific to passenger-carrying 

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

appears to be intoxicated 

(2) Failure to brief passensers 

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

(4) Operation w/o operable public address system 

(5) Failure to store baggage properly 

Civil Penalty 

Maximum 

Moderate to Maximum 

Maximum 

Maximum 

Moderate 

Certificate 

Action 

Fig. B-l-n. Provisions specific to fiight deck crew 

(1) Use of crewmember with expired medical certificate 

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

enroute inspector 

Civil Penalty 

Minimum to Moderate 

Maximum 

Certificate 

Action 

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Fig. B-l-n. Provisions specific to flight deck crew cont. 

(3) Use of unqualified crewmember 

(4) Flight and Duty Time violation 

Civil Penalty 

Maximum 

Moderate 

Certificate 

Action 

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

Action 

(1) Improperly Retuming Aircraft to service Maximum 

(2) Illegal carriage of controlled substance with knowledge of 

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

top management personnel 

Revocation 

(3) Use of unqualified personnel other than flight deck 

crewmember 

Maximum 

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

Action 

(1) Operation without a reservation from ATC Moderate 

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

(3) Use of international slot for domestic flight Moderate 

(4) Use of aircraft not meeting criteria in 

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

Moderate 

2. PERSONNEL OF .\IR CARRIERS. COMMERCIAL OPERATORS. AND PART 125 

OPERATORS. 

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

(1) Performing maintenance without certificate, rating, or 

authorization 

(2) Performing maintenance that exceeds limitations 

(3) Failure to perform maintenance properly 

Civil Penalty 

Maximum 

Certificate 

Action 

30- to 45-day 

Suspension 

30-to 120-

day 

Suspension 

Fig. B-2-b. Inspection 

(1) Failure to make required inspection 

(2) Making improper inspection 

(3) Improper release of aircraft to service 

(4) Releasing aircraft for service without required equipment 

Civil Penalty Certificate 

Action 

30- to 60-day 

Suspension 

30-to 120-

day 

Suspension 

30 to 60-day 

Suspension 

30 to 60-day 

Suspension 

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