U .S. DEPARTMENT OF TRANSPORTATIO 

OFFICE OF HEARINGS 

FEDERAL AVIATION ADMINISTRATION 

FEDERAL AVIATION ADMINISTRATION, 

Complainant, 

vs. 

JOSMAN BLYTHE. 

Respondent. 

RECEIVED 

JUL 0 | 2010 

HEARING DOCKET 

FAA Docket No. CP10SO0005 

Judge Benkin 

COMPLAINANT'S WITNESS AND EXHIBIT LISTS 

The Complainant, by and through his undersigned attorney, hereby submits in accordance 

with the Administrative Judge's Order Postponing Hearing served June 7, 2010, the 

Complainant's Witness and Exhibit lists as follows: 

I. WITNESS LIST (the following individuals are potential witnesses but may not all be 

called to testify): 

a. Clement St. Louis 

14 Kenwood Street, Apt. 2 

Dorchester, MA 02124 

Mr. St. Louis is employed as a flight attendant by Delta Airlines, formerly Northwest 

Airlines. On or about June 4, 2009, Respondent was a ticketed passenger on Delta Flight 

71, from Detroit, Michigan to Nagoya, Japan. Mr. St. Louis was the Purser on Flight 71. 

Mr. St. Louis is expected to testify including but not limited to his knowledge of 

Respondent's actions on Delta Flight 71. 

b. Karen Robertson 

9873 Oak Valley Drive 

Clarkston, MI 48348 

Ms. Robertson is employed as a flight attendant by Delta Airlines, formerly Northwest 

Airlines. On or about June 4, 2009, Respondent was a ticketed passenger on Delta Flight 
71, from Detroit, Michigan to Nagoya, Japan. Ms. Robertson was a flight attendant on 

Flight 71. Ms. Robertson is expected to testify including but not limited to her 

knowledge of Respondent's actions on Delta Flight 71. 

c. Tatsuya Ono 

33 Barker Avenue, Apt. 4G 

White Plains, NY 10601 

Ms. Ono is employed as a flight attendant by Delta Airlines, formerly Northwest Airlines. 

On or about June 4, 2009, Respondent was a ticketed passenger on Delta Flight 71, from 

Detroit, Michigan to Nagoya, Japan. Ms. Ono was a flight attendant on Flight 71. Ms. 

Ono is expected to testify including but not limited to her knowledge of Respondent's 

actions on Delta Flight 71. 

d. Sue Cragg 

8739 Ridge Avenue 

Philadelphia, PA 19128 

Ms. Cragg is employed as a flight attendant by Delta Airlines, formerly Northwest 

Airlines. On or about June 4, 2009, Respondent was a ticketed passenger on Delta Flight 

71, from Detroit, Michigan to Nagoya, Japan. Ms. Cragg was a flight attendant on Flight 

71. Ms. Cragg is expected to testify including but not limited to her knowledge of 

Respondent's actions on Delta Flight 71. 

Ricardo Lopez-Castillo 

1578 Jonathon Street 

Vista, CA 92083 

Ms. Lopez-Castillo is employed as a flight attendant by Delta Airlines, formerly 

Northwest Airlines. On or about June 4, 2009, Respondent was a ticketed passenger on 

Delta Flight 71, from Detroit, Michigan to Nagoya, Japan. Mr. Lopez-Castillo was a 

flight attendant on Flight 71. Mr. Lopez-Castillo is expected to testify including but not 

limited to his knowledge of Respondent's actions on Delta Flight 71. 
f, Jeffrey Ferrer 

6313 Bray Ct. 

Dublin, CA 94568 

Mr. Ferrer is employed as a flight attendant by Delta Airlines, formerly Northwest 

Airlines. On or about June 4, 2009, Respondent was a ticketed passenger on Delta Flight 

71, from Detroit, Michigan to Nagoya, Japan. Mr. Ferrer was a flight attendant on Flight 

71. Mr. Ferrer is expected to testify including but not limited to his knowledge of 

Respondent's actions on Delta Flight 71. 

g. Nancy Nyberg 

1507 Sunset Boulevard 

Hawley, MN 56549 

Ms. Nyberg is employed as a flight attendant by Delta Airlines, formerly Northwest 

Airlines. On or about June 4, 2009, Respondent was a ticketed passenger on Delta Flight 

71, from Detroit, Michigan to Nagoya, Japan. Ms. Nyberg was a flight attendant on 

Flight 71. Ms. Nyberg is expected to testify including but not limited to her knowledge 

of Respondent's actions on Delta Flight 71. 

h. Jeffrey Worthy 

Delta Corporate Security & Asset Protection 

Mr. Worthy is employed as a Regional Security Manager by Delta. Mr. Worthy is 

expected to testify including but not limited to his knowledge of the security matters of 

the incident. 

i. Connie Reimer 

Delta Air Lines Certificate Management Office 

2901 Metro Drive 

Suite 500 

Bloomington, MN 55425 

Ms. Reimer is employed as an Aviation Safety Inspector by the Federal Aviation 

Administration. Ms. Reimer is the inspector who investigated Respondent's actions on 

Delta flight 71 on or about June 4, 2009. Ms. Reimer is expected to testify including but 

not limited to her knowledge of the investigation of the incident. 
j . Tom Frishe 

1700 Columbia Avenue 

College Park, GA 30337 

Mr. Frishe is employed as an Air Carrier Operations Specialist with the Federal Aviation 

Administration. Mr. Frishe will testify regarding the sanction proposed in this matter for 

Respondent's interference with crewmembers' duties on Delta Flight 71. 
II. EXHIBIT LIST 

The Complainant may proffer the following: 

A-1 Northwest Airlines Electronic In-flight Incident Report filed by Purser Clement 

St. Louis, and flight attendants Karen Robertson, Cynthia Jones-Hughes and 

Tatsuya Ono 

A-2 Northwest Airlines Electronic In-flight Incident Narrative Report filed by flight 

attendant Sue Cragg 

A-3 Northwest Airlines electronic In-flight Incident Narrative Report filed by flight 

attendant Ricardo Lopez-Castillo 

A-4 Northwest Airlines electronic In-flight Incident Narrative Report filed by flight 

attendant Jeffrey Ferrer 

A-5 Email statement from flight attendant Nancy Nyberg 

A-6 Email communication regarding incident from Jeffrey Worthy 

A-7 Josman Blythe's response to the Letter of Investigation dated July 4, 2009 

A-8 2150.3b Appendix B; Enforcement Sanction Guidance Table 

Copies of the above-identified exhibits are attached to this submission and have been 

provided to the Administrative Judge and Respondent. Complainant also reserves the 

right to list additional exhibits, as they become known and to introduce other exhibits for 

purposes of impeachment or rebuttal. 

Respectfully submitted this 6"" day of July, 2010. 

NICOLE L. JACI^ON 

Attorney 

Office of the Regional Counsel 
CERTIFICATE OF SERVICE 

I certify that the foregoing Complainant's Witness and Exhibit List has been sent via 

facsimile, without attachments and Federal Express to: 

The Honorable Isaac D. Benkin, Administrative Law Judge 

Office of Hearings, M-20 

U.S. Department of Transportation 

1200 New Jersey Avenue, S.E. 

East Building Ground Floor, El2-320 

Washington, DC 20590 

(FAX) (202) 366-7536 

Josman Blythe 

c/o Douglas Blythe 

536 Medcalf Drive S.W. 

Sunsset Beach, NC 28468 

(FAX) (910) 579-1507 

and the original and one copy via regular mail to: 

Federal Aviation Administration 

800 Independence Avenue, S.W. 

Washington, DC 20591 

Attention: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building-Suite 2W1000 " ' -

JUL 0 6 2010 

Dated 
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Report ID: 311221 

Reference Number: F20090604-00071-DTW-06315-40-1 

Date Submitted: 16 Ju n 2009 11:15 AM 

Company : NWA 

5 I 

I 

CO 

621105 

Sue 

Cragg 

610 585-6494 

sue.cragg@nwa com 

9231 Eagle Veiw Drive 

00071 

DTW 

NGO 

04Jun09 

06315 

B747-400 

5D 

N 

Cruise 

DTW 

Employee Inrormation 

Employee ID 

First Name 

Last Name 

Home Phone Number 

Email Address 

Address 

Fliglit Information 

Fliglit Number 

Origin 

Destination 

Fliglit Date 

Aircran Number 

Aircraft Type 

Event Information 

Position or Seat Assignment 

Flight Diverted ? 

Diverted to : 

Flight Phase 

Flight Attendant Base 

Event Type 

Summary of Event 

Passenger Misconduct/Threatening Behavior 

• Alcohol/Drug Event 

• Appeared Intoxicated 

• Failed to Follow Crew Orden or Instructions 

• Threatening Behavior/Passenger Disruption 

• Level 2 Threat (physical contact person intentionally violates the physical safety/security of another through actual physical contact) 

• Towards Crew Member 

• Push/Shove 

Threats 

Apparent Intoxication 

Inflight Errors 

Event Summary 

Event Summary Pax was seated next to galley. I was told we need to watch him, he appeared to be intoxicated after 

the meal service. At this point the purser informed him, he had enough to drink. If in two hours he 

seemd ok, we would serve him. In two hour^, he came into the galley and asked for two beer^. He 

seemed ok at this point so, I served him one. 1 left the galley for a couple minutes, when I came 

back, I noticed someone had helped themselves to another beer. At this point the pax seemed very 

intoxicated. He was making inappropriate comments about the Air France plane that had just gone 

down. He stumbled trying to get to the lav. I asked him to take his seat. He said he was fine and 

wanted another drink. When he wouldn't take his seat, I asked the purser to please come back...they 

had words. 1 began my mid movie snack. When I ftnished, I went to the fwd galley to see what had 

happened. The purser was very upset. His elbow was bleeding. He said when he informed him he 

had enough and we were cutting him off for good, the pax pushed him and sad "You warn 

how much fiin I can be, just wait until we get to NGO". He continued to pester the crew f< 

alchohol the remainder for the flight. ••.jjtf c 

pax shoved purser while in dispute about being cut off from alcohol. Pax repeated told to take seat. 

Proceed to continual ask for more to drink. 

Preventive Measures 

PagdLpJ 

X 

pag« 1 of 2 

NOTE: DOT FAA Order 8(X)0.82 designates information received by the agency from an Aviation Safety Action Program (ASAP) as protected from public disclosure 

in accordance with the provisions of TKIe 14 of the Code of Federal Regulations (14 CFR) part 193 
LOG PAGE INFORMATION 

FOR OFFIOAL USE ONLY ST ^ 

page 2 of 2 

NO-fE: DOT FAA Order 6000.62 designates information received by tne agency from an Aviation Safety Action Program (ASAP) as protected from public disctesure 

in accordance with the provisions of Title 14 of the Code of Federal Regulations (14 CFR) part 193 
Report ID: 310762 

Reference Number: F20090604-00071-DTW-06309-29-11 

Date Submitted: 08 Ju n 2009 07:31 PM 

Company : NWA 

<n 

Employee Information 

Employee ID 

First Name 

Last Name 

Home Phone Number 

Email Address 

Address 

Flight Information 

Flight Number 

Origin 

Destination 

Flight Date 

Aircraft Number 

Aircraft Type 

Event Information 

Position or Seat Assignment 

Flight Diverted ? 

Diverted to : 

Flight Phase 

Flight Attendant Base 

Event Type 

Summary of Event 

Passenger Misconduct/Threatening Behavior 

• Alcohol/Drug Event 

Name 

c32396 

Ricardo 

Lopez-Castillo 

760 822-1990 

ricardo.Iopezcastillo@nwa.com 

1578 Jonathon St. Vista, Ca 92083 

00071 

DTW 

NGO 

04Jun09 

06309 

B747-400 

38 

N 

Cruise 

DTW 

Passenger had a little too much to drink. 

Josman Blythe 

Address 

State/Province 

Phone 

Identification Number/PNR 

Identification Number Issued 

From 

• Appeared intoxicated 

Level of Involvement 

City 

Country 

Postal Code 

Seat 

World Perks Number 

Violator 

Threats 

Apparent Intoxication 

Inflight Errors 

Event Summary 

Event Suimnar} 

["7^1 

Preventive Meaiures ^ 

LOG PAGE INFORMATIO N 

Si^cc^jra^ iH I served Mr.Blythe, sitting on 438, one red wine before diruier and two Dewars on 

the rocks during the rest of his meal. By the time [ was ready to go on fu^t break, I noticed that he 

had a beer can on his^inner table; therefore, I adviced some of my collegues taking care of Main 

Deck Galley Unit 4 t6 keep an eye on him since he appered intoxicated. 

As I was walking toward the bunks, I saw Clement, our purser, talking to Mr Blythe. Few hour later 

when I came back from break, I found out that he was not allow to be served any more alcohol. 

I communicated to my crew members to monitor any alcohol consumption by Mr.Blythe. 

page 1 of 1 

NOTE: DOT FAA Order 8000.62 designates information received by the agency from an Aviation Safety Action Pix>gfam (ASAP) as protected from public disclosure 

in accordance with the provisions of Title 14 of the Code of Federal Regulations (14 CFR) part 193 
Report ID : 310735 

Reference Number: F20090604-00071-DTW-06309-29-10 

Date Submitted: 08 Jun 2009 12:11 PM 

Company: NWA 

o 

a» 

Employee Information 

Employee I D 

First Name 

Last Name 

Home Phone Number 

Emai l Address 

Address 

Flight Information 

Flight Number 

Origin 

Destination 

Flight Date 

Aircraft Number 

Aircraft Type 

Event Information 

Position or Seat Assignment 

Flight Diverted ? 

Diverted to : 

Flight Phase 

Flight Attendant Base 

Event Type 

Summary of Event 

Passenger Misconduct/Threatening Behavior 

• Alcohol/Drug Event 

Name Josman Blythe 

C29963 

Jeffrey 

Ferrer 

2539514076 

Jeffrey. ferTer@nwa.com 

00071 

DTW 

NGO 

04Jun09 

06309 

B747-400 

4D 

N 

Cruise 

DTW 

F AA air traffic controller was overdrinking and refused to take crew orders/instructions. Demanded 

more alcohol. 

Level of Involvement 

City 

Country 

Postal Code 

Seat 

Worl d Perks Number 

Violator 

Address 

State/Province 

Phone 

Identification Number/PNR 

Identiflcation Number Issued 

From 

• Appeared intoxicated 

• Failed to Follow Crew Orders or Instructions 

• Refused to be sealed when seat belt sign illuminated 

• Adult Passenger 

• Passenger eventually complied 

• Please provide how many times the request was made prior to passenger compliance:Although I am unsure, I can at least remember more than 5 

times the passenger was told. 

• Threatening Behavior/Passenger Disruption 

• Level 2 Threat (physical contact person intentionally violates the physical safety/security o f another through actual physical contact) 

• Towards Crew Member 

• Push/Shove 

Page_JLof .rr^ 

page 1 of 2 

NOTE: DOT FAA Order 8000 82 designates information received by the agetKy from an Aviation Safety Action Program (ASAP) as protected trxjm public disclosure 

in accordance with the proviskms of Title 14 of the Code of Federal Regulations (14 CFR) pan 193 
• Other:places his entire arm around purser's shoulder and neck area; touches female FA 

• Actions taken 

• Defusing techniques 

• Verbal waming 

• Stopped alcohol service 

• Law enforcement met flight 

• Responding agency 

• Local authorities 

Threats 

Apparent Intoxication 

Service/Meal Complaint 

inflight Errors 

Event Summary 

Event Summary 

Preventive Measures 

LOG PAGE INFORMATION 

Passenger Blythe complained as to why he could not have several driniis at one time. He iiad been 

drinking free alcohol as mentioned in announcements. Early on, an FA cut him off He then 

demanded to talk to purser. He showed his FAA badge to apparently let us know that it was ok for 

him to drink. Purser told him that we would serve him alcohol after 2 hours. At exactly 2 hours, he 

asked me for beer. I verified with purser to determine whether it was ok to serve Mr. Blythe. Purser 

said it was ok. He gulped it down in less than 2 minutes. He asked for more alcohol from other FAs 

who were working first break. Since we fell Mr. Blythe was out of control in his alcohol 

consumption and could hardly walk straight, the purser told him that he was cut off for the rest of 

the flight. He refijsed to sit down and argued with the purser I heard both purser and Mr. Blythe 

say words like "you just assaulted mc." I did see Mr. Blythe come to the galley and place his arms 

around purser's shoulder and neck area. He seemed wanting to befriend all of us and wanting to see 

if he could get more alcohol. Passenger Blythe was argumentative when alcohol was refused and 

didn't want to sit down when purser asked him lo several times. A side note: passenger Blythe was 

the one who bought Mr. Santos of 43C alcohol early on. Mr. Santos later on fainted and lost 

consciousness and hit his head on bathroom door. Mr Santos had earlier told me that he couldn't 

drink alcohol because he would get dehydrated. Mr. Santos had been taking Prozac and may have 

had a suffered a severe reaction when mixed with alcohol. 

It is difficult to know how much alcohol a passenger can take and be fine. 1 think free alcohol 

should be limited and not openly advertised in announcements. If advertised, purser briefings 

should include limit to alcohol service per passenger, etc. However, in this case, passenger Blythe 

had FAA badge hanging on his person and no crew member would even think that the violator 

would be an FAA badged employee. FAA should talk to this employee. 

IWII«"*$1^ 

FOR OFFieiAl.ySLC ^^M V 

page 2 of 2 

NOTE: DOT FAA Order 8000.62 designates kifonnation received by the agency from an Aviation Safely Action Program (ASAP) as protected from public disdoture 

in aocordanoa with the proviskjns of 71110 14 of ttie Code of Federal Regulations (14 CFR) part 193 
"Lemieux, Michael L" 

<michael.Iemieux@nwa.com 

> 

06/30/2009 08:39 AM 

To Connie Reimer/AGL7FAA(a)FAA 

cc Jay Livesey/AGLj'FAA(§)FAA 

bcc 

Subject FW: Fit 71 / 04Jun09 / DTWNGO - Distruptive Passenger 

Connie, 

This is the last statement from flight 71 / 04Jun09 / DTWNGO -

Distruptive passenger. 

This will close out the flight on our side. 

Thanks, 

Michael 

Original Message 

From: Mullen, Robert F 

Sent: Sunday, June 28, 2009 11:56 AM 

To: Ahrenholz, Tricia L; Dorn, Wendy M; Lemieux, Michael L 

Co: Quigley, Devin J 

Subject: FW: Fit 71 / 04Jun09 / DTWNGO - Distruptive Passenger 

I believe this should close out flight 71. Sorry I have been on 

vacation. 

Original Message 

From: Nyberg, Nancy L 

Sent: Monday, June 22, 2009 11:33 PM 

To: Mullen, Robert F 

Subject: RE: Fit 71 / 04Jun09 / DTWNGO - Distruptive Passenger 

Hello Mr. Mullen, I am writing in regards to passenger Josman Blythe. 

worked an uppper deck position on this flight but did work in tourist 

class during our breaks. Mr. Blythe was extremely intoxicated and had 

been cut off from all alcoholic beverages. While serving the snack I 

witnessed Mr. Blythe going into our gaily and exiting with a beer. He 

was very "in your face",argumentative, condescending and rude. Our 

purser, Clement, was extremely calm and in control. I would fly with 

Clement anytime and be proud. Sincerely, Nancy Nyberg 

From: Mullen, Robert F 

Sent: Monday, June 08, 2009 2:29 PM 

To: Ferrer, Jeffrey; Harbick, Patricia A; Fetting, Carol A; Watts-D 

Orra, Patricia N; Nyberg, Nancy L; Gill, Geneva H; Lopez-Castillo, 

Ricardo; Cragg, Sue A 

Subject: FW: Fit 71 / 04Jun09 / DTWNGO - Distruptive Passenger 

Good afternoon crew members!!! You were worked this flight with a 

disruptive passenger. What I am writing about is that we need statement 

from all who witnessed or were involved in this incident. This is 

important as this will most likely lead to prosecution. Please if you 

have any info of witnessing the incident or were involved please either 

go on Atlas and go too IIR In-Flight Incedent Report or simply reply 

back to me with a statement. Also if you were no involved simply hit the 

reply button and inform me. By doing this it will stop me from having to 

FOR OmCIAL USE ONLY 

Hem Of Root ' 

ExWbiL, mPageJLjo^ i -i -
call you to ask if you were involved. Thanks and enjoy your summer. 

Mullen 

Rob 

Original Message 

From: Quigley, Devin J 

Sent: Monday, June 08, 2009 2:45 PM 

To: Brazell, Robin D; Hanson, Debra; Krijnen, Anneke J; Lemoncelli, 

Serena L; Mullen, Robert F; Wallace, Melinda M 

Subject: RE: Fit 71 / 04Jun09 / DTWNGO - Distruptive Passenger 

Rob Can you please take this flight. 

Thanks, 

Devin Quigley-Owens 

Purser Manager DTW 

734-247-2505 

734-247-2554-fax 

devin.quigley®nwa.com 

Original Message 

From: Lemieux, Michael L 

Sent: Monday, June 08, 2009 11:57 AM 

To: Misserian, Andrea E; Brazell, Robin D; Hanson, Debra; Krijnen, 

Anneke J; Lemoncelli, Serena L; Mullen, Robert F; Quigley, Devin J; 

Rawls, Bernard M; Reller, Britt D; Wallace, Melinda M 

Cc: Dorn, Wendy M 

Subject: Fit 71 / 04Jun09 / DTWNGO - Distruptive Passenger 

Hello DTW/ BOS, 

The FAA has requested statements from all crew members who witnessed or 

were involved with this incident. We currently have online reports from 

Purser St Louis and FAs Ono, Robertson and Jones-Hughes. Please 

contact the remaining FAs and request statements from them. We would 

prefer the statements be submitted via the new online reporting system; 

however they may also be forwarded via e-mail to ifsafety@nwa.com or via 

fax to 612-970-7395. The link to the new online report is found on the 

ATLAS home page under Hot Links. 

Passenger Joshman Blythe, seated in 43C appeared intoxicated and became 

distruptive. 

44 04JUN BOS 

65 04JUN DTW 

66 04JUN DTW 

85 04JUN DTW 

DTW 

DTW 

DTW 

DTW 

85 04JUN DTW 

DTW 

DTW 

136 04JUN DTW 

2002 OIJUN NGO 

NGO 

FPALL B P 

FAALL B-L--

FAALL B-L--

FAALL B 

FAALL B 

FAALL B 

FAALL B P 

FAALL B 

FAALL B--

FAALL B--

FAALL B--

FAALL B--

SRALL B--

SRALL B--

201192 

222195 

229963 

107636 

058684 

084422 

086738 

184932 

- 1234 

- 0669 

- 2323 

- 1211 

- 3204 

- 3195 

032 

048 

054 

000 

004 

006 

007 

008 

94 

00 

96 

05 

87 

61 

78 

79 

65 

52 

45 

87 

19 

14 

00976 

01139 

05747 

01532 

0219F 

0223F 

ST LOUIS, CLEMENT 

ONO, TATSUYA 

FERRER, JEFFREY 

HARBICK, PATRICIA 

FETTING, CAROL A 

WATTS-D•ORRA, PATR 

NYBERG, NANCY LYNN 

JONES-HUGHES, CYNT 

GILL, GENEVA 

ROBERTSON, KAREN L 

LOPEZ CASTILLO, RI 

CRAGG, SUE A. 

TAIRA, MAO 

SONE, MIRI 

Thanks, 

FOR OFRCIAL USE ONLY Page.^o'. 
Michael Lemieux 

Specialist, Inflight Safety 

Northwest Airlines, Inc. 

A subsidiary of Delta Air Lines 

Office: (612) 726-4988 

Fax: (612) 970-7395 

michael.lemieux®nwa.com 

RemofPioc ^ 

FOR OFRCIAL USE ONLY ^^k&Z 
"Thompson. Gary" To Charlene G Watt/ASO/FAA(a)FAA, Jay 

<gary.Thompson@delta.com Livesey/AGUFAA@FAA, Connie Reimer/AGUFAA(g)FAA 

> cc 

06/06/2009 01:10 PM bcc 

Subject FW: Fit 71 DTW-NGO 

FYl 

Gary Thompson 

General Manager IPS Health, Safety & Security 

404-715-1657 

From: Worthy, Jeffrey L [mailto:jeff.worthy(g)nwa.com] 

Sent: Saturtday, June 06, 2009 1:20 PM 

To: Thompson, Gafy; Reller, Britt D 

Cc: Winter, Eric 

Subject: Re: Fit 71 DTW-NGO 

The FAA has confirmed Blythe as an employee. Santos was not involved. At this juncture Blythe has been 

denied boarding on our flights and the FAA has been notified. As additional information b wcomes 

available from the station, I will fwd to you. 

» » » 

Sent from the Blackberry of: 

Jeff Worthy 

Regional Security Manager 

DUNW Corporate Security 

From: Thompson, Gary 

To: Reller, Britt D; Worthy, Jeffrey L 

Sent: Sat Jun 06 12:09:36 2009 

Subject: Re: Fit 71 DTW-NGO 

Jeff piz keep me in the loop. 

Are the FAs OK? 

The FAA reference is important - we need to confirm that ASAP 

Gary 

From: Reller, Britt D 

To: Thompson, Gary 

Sent: Fri Jun 05 12:10:11 2009 

Subject: Fw: Fit 71 DTW-NGO 

Fyi 

From: Worthy, Jeffrey L 

To: Takeda, Koji; Kinjo, Tamotsu 

Cc: Aguirre, Carmen C; Blume, Colleen K; Winter, Eric; Stone, John; Krueger, Fred; Sawaya, Alan; Julian, 

Michael; Horvath, Mark B; Jeske, Jill; Ahrenholz, Tricia L; Reller, Britt D; Hanson, Debra 

Sent: Fri Jun 05 11:08:23 2009 

Subject: Fit 71 DTW-NGO 

itemotProol ^ 

FOR OFFICIAL'"Jc OMIY ^Tlife 

• v 
Koji-san, 

We have an incident on 71 inbound last night regarding a disruptive pax (s) in seats 43b/c (Blythe & 

Santos) wherein they are alleged to have pushed/grabbed the Purser and or FA as well as verbal assault. 

The 2 were alleged to have overindulged in alcohol and prosaic (unconfirmed but reported via the SOC 

from the crew enroute). Also it was advised that LAW enforcement was requested. Could you explain why 

only a supervisor met the flight when a physical assault on the purser occurred and the LEO's were 

requested? Furthermore, these 2 were alleged and 1 has been confirmed to work for the FAA, were you 

able to gather badge numbers and identifying data on them as requested? Finally, they were to be denied 

boarding and turned over to the authorities. Were they denied boarding and or entry on subsequent flight 

(s)? 

The TSA has been notified and is requested additional information pertaining to status of the pax 

currently. PIz respond as soon as possible. 

Fred/Alan, 

As you are heading into NGO , PLZ address this ASAP with station management. 

Regards, 

Jeff Wonf)y 

Regional Security Manager 

Asia, Canada, U.S. West & MSP Hub Operations 

Delta Corporate Security & Asset Protection 

612-726-0014 612-387-5845 (cell) 

612-726-8435 (Fax) 

CONFIDENTIALITY NOTICE: This E-mail (including any attachments) is covered by the Electronic 

Communications Privacy Act and is confidential, it may be legally privileged. If you are not the intended 

recipient, you are hereby notified that any retention, dissemination, distribution, or copying of this 

communication is strictly prohibited. Please reply to the sender that you have received the message in 

error and then delete it. 

-'-'-.(f 

FOR OFFICIAL USE ONlv ^!S^ ^ 
Mr. J Blythe 

629 Starboard Road NW 

Shallotte, NC 28470 "^^'V^D 

Mr. Vance Harris 0 $ 2f)Qg 

Supervisory Principal Operations Inspector ^^f^/i 

Federal Aviation Administration ^^^' 

July 4, 2009 

File #200980270263 

Dear Mr. Harris, 

I apologize for taking so long to reply. I am currently outside the conus and will 

be remaining so for the next several years. After learning of your letter, I emailed this to a 

friend to forward to you. 

My trip overseas was a long and arduous day causing me to be up over 24 hours. 

When I boarded my flight in Detroit, I found the steward to be rude and condescending. 

If I asked a question, he would roll his eyes at me before replying. Whether he was just 

having a bad day, or had personal issues, I do not know. During the course of the flight, 

the passenger next to me became extremely inebriated and, upon standing up, passed out 

in the eiisle. This further exasperated the mood of all involved. Later in the fli^t, the 

steward and I exchanged some words and I used some epithets I should not have. He took 

great offence. Our words were between us only and at no time did I disrupt the peace of 

the other passengers or interfere with the flight crews' performance of duties. I spoke to 

the head steward later on and expressed my apology for my choice of words and my 

desire to have an uneventful trip without incident. 

The rest of the trip was uneventful. Upon arriving at NGO, I spoke to airport 

security about what had occurred. They talked first hand to all parties involved. There 

were no problems at that time and the situation appeared completely mollified. It was 

decided I would just take the next flight and I was issued a boarding pass. This was 

simply a personality conflict between myself and the steward that I thought had been 

woriced out without event. 

Sincerely, 

Mr. J Blythe 

€/> 

ItemotPrw^y-^ 

Page—L^-i—• 
10/01/07 2150.3B 

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 

AWCmtans airworthiness certificate 

BTS means Under Secretary for Border and Transportation Security 

lA means inspection authorization 

LE means law enforcement -^ 

PC means production certificate 

SIC 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 violations that occur on or after December 12, 2003; 

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

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

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

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

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

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

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 commonly, number of employees. (The size limits generally 

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

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

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

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

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

numbers of employees, unless otherwise noted). 

Manufacturing 

Aircraft - 1,500 employees 

Aircraft engine and part - 1,000 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 annual receipts 

Other nonscheduled - $6.5 million annual receipts 

Support activities - S6.5 million annual receipts 

Flight Training - $23.5 million annual receipts 

Airport operations 

Airport operator, organized for profit - $6.5 million armual 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. 

B-2 
10/01/07 2150.38 

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

OPERATOR. 

CLASSIFICATION OF AIR CARRIER AND OPERATOR 

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

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

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

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

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

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

revenue of less than $100,000,000, 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 1 - large business concern 

Maximum $18,750-$25,000 

Moderate $ 10,000-$ 18,749 

Minimum $2,000-$9,999 

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: 

8-3 
10/01/07 2150.38 

Maximum $16,250-$25,000 

Moderate $8,750-$ 16,249 

Minimum $l,850-$8,749 

GROUP 11 - small business concern (for violations covered under 49 U.S.C. § 46301(a)(5)(A)): 

Maximum $8,250-$ 11,000 

Moderate $3,850-$8,249 

Minimum $935-$3,849 

GROUP 11 - 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 III -for violations covered under 49 U.S.C. § 46301(a)(5)(A): 

Maximum $7,150-$ 11,000 

Moderate $3,300-$7,149 

Minimum $825-$3,299 

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

U.S.C. § 46301(a)(5)(A): 

Maximum $650-$ 1,100 

Moderate $400-$ 649 

Minimum $150-$ 399 

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

Maximum $4,400-$ 11,000 

Moderate $2,200-$4,399 

Minimum $550-$2,199 

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

U.S.C. § 46301(a)(5)(A): 

Maximum $500-$ 1,100 

Moderate $300-$499 

8-4 
10/01/07 2150.38 

Minimum $100-$299 

(2) VIOLATION COMMITTED BY PART 129 OPERATOR 

Maximum $18,750-$25,000 

Moderate $10,000-$ 18,749 

Minimum $2,000-$9,999 

(3) VIOLATION COMMITTED BY PART 125 OPERATOR. 

Large Business Concern: 

Maximum $16,250-$25,000 

Moderate $8,750-$ 16,249 

Minimum $l,850-$8,749 

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

Maximum $8,250-$ 11,000 

Moderate $3,850-$8,249 

Minimum $935-$3,849 

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

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

Large Business Concern: 

Maximum $16,250-$25,000 

Moderate $8,750-$ 16,249 

Minimum $l,850-$8,749 

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

Maximum $7,150-$ 11,000 

Moderate $3,850-$7,149 

Minimum $935-$3,849 

B-5 
10/01/07 2150.38 

Small Business Concem (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 

(5) VIOLATION COMMITTED BY AIRPORT OPERATOR. 

Large Business Concem: 

Maximum $18,750-$25,000 

Moderate $10,000-$ 18,749 

Minimum $2,000-$9,999 

Small Business Concem (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 

Small Business Concem (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 

(6) LARGE BUSINESS CONCERN - DOES NOT HOLD CERTIFICATE 

Maximum $18,750-$25,000 

Moderate $10,000-$ 18,749 

Minimum $2,000-$9,999 

(7) SMALL BUSINESS CONCERN - DOES NOT HOLD CERTIFICATE 

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

Maximum $4,400-$ 11,000 

Moderate $2,200-$4,399 

Minimum $550-$2,199 

8-6 
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 $500-$ 1,100 

Moderate $300-$499 

Minimum $100-$299 

(8) VIOLATION RELATING TO THE TRANSPORTATION OF A HAZARDOUS 

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

AIRCRAFT NOT USED TO PROVIDE AIR TRANSPORTATION. 

THE LIMITATION ON THE CONSTRUCTION OR ESTABLISHMENT OF A 

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

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

Group 1 Air Carrier or Operator): 

Maximum $16,250-$25,000 

Moderate $8,750-$ 16,249 

Minimum $l,850-$8,749 

Small Business Concem (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-$299 

(9) OTHER VIOLATION COMMITTED BY AN INDIVIDUAL. 

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

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

Maximum $850-$ 1,100 

8-7 
10/01/07 2150.38 

Moderate $650-$849 

Minimum $500-$649 

OTHER INDIVIDUAL - NOT SERVING IN CAPACITY OF AIRMAN. 

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)(lXA) or (B) but not under 49 

U.S.C. § 46301(a)(5)(A): 

Maximum $500-$ 1,100 

Moderate $300-$499 

Minimum $100-$299 

(10) ENGINEERING AND MANUFACTURING VIOLATIONS. 

Large Business Concem: 

Maximum $18,750-$25,000 

Moderate $10,000-$ 18,749 

Minimum $2,000-$9,999 

Small Business Concem or Individual (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 

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

46301(aXlKA) or (B) but not under 49 U.S.C. § 46301(aX5)(A): 

Maximum $850-$ 1,100 

Moderate $650-$849 

Minimum $500 $649 

8-8 
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 muhiple 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-l-d. Facilities and Equipment 

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

Fig. B-1-f Training Program 

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

Fig. B-l-h. Performance of Maintenance 

Fig. B-1-i. SFAR36 

Fig. B-I-j. Records and Reports 

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

Fig. B-1-1. 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-1-0. 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. Other 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 dmgs 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. Unmly passengers 

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

4. DUI/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 Violations 

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

5. Drug and Alcohol Testing Violations. 

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

Fig. B-5-b. Coverage 

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

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

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

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

Fig. B-5-g. Retum to duty dmg and alcohol testing 

8-10 
10/01/07 2150.38 

Fig. B-5-h. Follow-up dmg 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 dmg 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 Entities 

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

10. Aircraft Owner/Operator Registration Violations. 

Fig. B-10. Registration 

B-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. AAV 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 effect on safe operation 

CivU 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 

8-12 
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 

(1) 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-1-i. SFAR36 

(I) Failure to comply - second offense 

CivU Penalty 

Maximum 

Certificate 

Action 

Fig. B-l-j. Records and Reports 

(1) Deliberate violation 

(a) Intentionally false or fi-audulent 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 intermption 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 

CivU 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 

CivU Penalty 

Moderate to Maximum 

Certificate 

Action 

Fig. B-l-I. 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 

CivU 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 passengers 

(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 flight 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 

Certiffeate 

Action 

8-14 
10/01/07 2150.38 

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 

(1) Improperly Returning Aircraft to service 

(2) Illegal carriage of controlled substance with knowledge of 

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

top management personnel 

(3) Use of unqualified personnel other than flight deck 

crewmember 

Civil Penalty 

Maximum 

Maximum 

Certificate 

Action 

Revocation 

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

(1) Operation without a reservation from ATC 

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

(3) Use of international slot for domestic flight 

(4) Use of aircraft not meeting criteria in 

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

Civil Penalty 

Moderate 

Moderate 

Moderate 

Moderate 

Certificate 

Action 

2. PERSONNEL OF AIR 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 

CivU Penalty Certificate 

Action 

30- to 60-day 

Suspension 

30-to 120-

day 

Suspension 

30 to 60-day 

Suspension 

30 to 60-day 

Suspension 

B-15 
10/01/07 2150.38 

Fig. B-2-c. Records and Reports 

(1) Failure to make entry in aircraft log 

(2) Failure to make entry in worksheet 

(3) Failure to make entry in other maintenance record 

(4) Failure to sign-off work or inspection performed 

(5) Failure to complete and sign maintenance release 

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

alteration 

CivU Penalty Certificate 

Action 

15-to 60-day 

Suspension 

15-to 30-day 

Suspension 

15-to 30-day 

Suspension 

15-to 30-day 

Suspension 

15-to 30-day 

Suspension 

Revocation 

Fig. B-2-d. Flight operations 

(1) Preflight 

(a) Failure to use, or improper use of, checklist 

(b) Failure to check aircraft log, flight manifest, 

weather, etc. 

(c) Failure to make required inspection 

(d) Failure to inspect, or improper inspection of, 

aircraft 

(e) Failure to ensure seat and belt available for each 

passenger 

(2) Taxiing 

(a) Failure to adhere to clearance to instruction 

(b) Collision 

(c) Jet blast 

(d) Taxiing with standing passenger 

(e) Taxiingoffrunway, taxi way or ramp 

(3) Takeoff 

(a) Contrary to, or without, clearance 

(b) Below weather minimums 

Civil Penalty Certificate 

Action 

30- to 60-day 

Suspension 

30-to 90-day 

Suspension 

30- to 60-day 

Suspension 

15-to 30-day 

Suspension 

30- to 60-day 

Suspension 

30- to 60-day 

Suspension 

30-to 180-

day 

Suspension 

30-to 120-

day 

Suspension 

30- to 60-day 

Suspension 

30- to 90-day 

Suspension 

60-to 120-

day 

Suspension 

60-to 120-

day 

Suspension 

8-16 
10/01/07 2150.38 

Fig. B-2-d. Flight operations cont. 

(c) In excess of maximum gross weight 

(4) Enroute 

(a) Deviating from clearance or instruction 

(b) Operating VFR in clouds 

(c) Operating unairworthy aircraft 

(d) Unauthorized departure from flight deck 

(e) Operating within restricted or prohibited area 

(including a TFR) or Class A airspace 

(0 Operating contrary to a NOTAM 

(g) Operating without required equipment 

(h) Fuel mismanagement or exhaustion 

(i) Unauthorized manipulation of controls 

(5) Approach to landing 

(a) Deviating from clearance or instruction 

(b) Approach below weather minimums 

(c) Exceeding speed limit in Class D airspace 

(6) Landing 

(a) At or approaching wrong airport 

(b) Deviating from instrument approach procedure 

(c) Overweight aircraft 

(d) Hard 

CivU Penalty Certificate 

Action 

60-to 120-

day 

Suspension 

30- to 90-day 

Suspension 

90-day 

Suspension 

to 

Revocation 

30-to 180-

day 

suspension 

15-to 30-day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

suspension 

15-to 120-

day 

Suspension 

30-to 150-

day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

60-to 120-

day 

Suspension 

30- to 60-day 

Suspension 

90-to 180-

day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

15-to 60-day 

Suspension 

8-17 
10/01/07 2150.38 

Fig. B-2-d. Flight operations cont. 

(e) Short or long 

(0 Wheels-up 

(g) Failure to comply with preferential runway 

system 

(h) Deviating from clearance or instruction 

CivU Penalty Certificate 

Action 

30-to 180-

day 

Suspension 

15- to 90-day 

Suspension 

15-day 

Suspension 

30- to 90-day 

Suspension 

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

certificate holders 

(1) Crime; security risk; falsification 

(a) Controlled substance violation under 

49 U.S.C. §44710(b) 

(b) Counterfeit parts violation under 

49 U.S.C. § 44726(b) 

(c) Security risk under 

49 U.S.C. §46111(a) 

(d) Intentionally false or fraudulent 

entry, reproduction, or alteration on ah 

application or a certificate or rating 

(e) Making and incorrect statement on an 

application for a medical certificate 

(f) Caniage of illegal drugs (controlled 

substances) on aircraft 

Civil Penalty Certificate 

Action 

Mandatory 

Revocation 

Mandatory 

Revocation 

Mandatory 

Suspension 

or 

Revocation, 

as requested 

by BTS 

Revocation 

of certificates 

authorized 

under 

applicable 

part of 14 

CFR 

Indefinite 

Suspension 

(pending 

correction of 

application 

and 

determination 

of 

qualification) 

or 

Revocation 

of medical 

certificate 

Revocation 

8-18 
10/01/07 2150.38 

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

certificate holders cont. 

(2) Violation of noise or sonic boom standard or regulation 

under 49 U.S.C. § 44709(b)(1)(B) 

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

under 49 U.S.C. § 44709(b)(2) 

(4) Flight deck crew operations 

(a) Allowing unauthorized manipulation of controls 

by uncertificated individual attempting to set record 

under 49 U.S.C. § 44724(a) 

(b) Acting or attempting to act as a crewmember 

under the influence of drugs or alcohol; 

consumption of alcohol before operating an aircraft 

(i) Consuming alcohol within 8 hours before 

operating aircraft 

(ii) Under the influence of alcohol 

(iii) While using any drug that affects the 

crewmembers faculties in any way contrary to 

safety 

(iv) Alcohol concentration .04 percent or above 

(v) Refusal of proper request from LE official to 

submit to alcohol test 

(c) Violation ofsterile cockpit rule 

(d) Unauthorized admission to flight deck 

(e) Failure to close and lock flight deck door 

(0 Failure to make flight deck seat available to 

authorized enroute inspector 

(g) Failure to keep manual current 

(5) Flight and Duty Time violation 

(6) Aircraft certification 

(a) Operation without valid airworthiness certificate 

in aircraft 

(b) Operation when no airworthiness certificate 

issued for aircraft 

(7) Crew certification and qualification 

(a) Operating when a valid medical certificate had 

not been issued 

CivU Penalty Certificate 

Action 

Suspension 

to 

Revocation 

Suspension 

to 

Revocation 

Revocation 

Revocation 

Revocation 

Revocation 

Revocation 

Revocation 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

30-day 

Suspension 

30- to 60-day 

Suspension 

15-day 

Suspension 

15-to 90-day 

Suspension 

15-to 30-day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

8-19 
10/01/07 2150.38 

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

certificate holders cont. 

(b) Lack of type rating 

(c) Missed proficiency check or line check 

(d) Lack of current experience 

(e) Failure to have current airman or medical 

certificate in possession 

(0 Lack of initial or recurrent training 

(g) Operation with known disqualifying disability 

(i) Operating without valid medical certificate when not 

medically qualified or application for medical certificate 

deferred 

CivU Penalty 

Minimum to Moderate 

Certificate 

Action 

180-day 

Suspension 

to 

Revocation 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

Revocation 

Revocation 

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

(1) Failure to keep manual current 

CivU Penalty 

Minimum 

Certificate 

Action 

30- to 90-day 

Suspension 

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

PILOT SCHOOLS. MAINTENANCE PERSONNEL. 

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

Crewmembers 

CivU Penalty Certificate 

Action 

(1) Failure to comply with airworthiness directive Moderate to Maximum 

(2) Failure to perform or improper performance of 

maintenance, including required maintenance 

Moderate to Maximum 

(3) Failure to make proper entry in aircraft log 

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

progressive inspection 

Minimum to Moderate 

Minimum to Moderate 

(5) Operation of unairworthy aircraft Moderate to Maximum 

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

alteration in any record or report 

Maximum Revocation 

Fig. B-3-b. Repair Stations 

(1) Failure to provide required facilities for proper servicing. 

maintenance, repair, or inspection 

CivU Penalty 

Moderate to Maximum 

Certificate 

Action 

Indefinite 

Suspension 

until 

compliance 

to 

Revocation 

B-20 
10/01/07 2150.38 

Fig. B-3-b. Repair Stations cont. 

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

supervise, and inspect work for which the station is rated 

(3) Failure to maintain record of supervisory or inspection 

personnel 

(4) Failure to maintain record 

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

and test equipment is accomplished at prescribed intervals 

(6) Failure to adequately describe work performed 

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

(8) Failure to sign or complete maintenance release 

(9) Inspection of work performed, or approval for retum to 

service, by other than a qualified inspector 

(10) Failure to have an adequate inspection system that 

produces satisfactory quality control 

(11) Maintaining or altering an article for which it is rated, 

without using required technical data, equipment or facilities 

(12) Failure to perform or properly perform maintenance, 

repair, alteration, or required inspection for an air carrier or 

commercial operator 

(13) Maintaining or altering an airframe, powerplant, 

propeller, instrument, radio, or accessory for which the repair 

station is not rated 

(14) Failure to report defect or unairworthy condition to 

FAA in a timely manner 

(15) Failure to satisfy housing and facility requirement 

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

approval 

(17) Opjerating as a certificated repair station without a repair 

station certificate 

(18) Failure to permit FAA to inspect 

(19) Failure to perform inspection properly on part 125 

aircraft 

(20) Failure to comply with SFAR 36 - Second offense 

(21) Failure to maintain and carry out BTS-required security 

measures under 49 U.S.C. § 44924(c)(1) 

CivU Penalty 

Maximum 

Moderate to Maximum 

Moderate to Maximum 

Minimum to Maximum 

Minimum to Moderate 

Moderate to Maximum 

Minimum to Moderate 

Maximum 

Moderate to Maximum 

Maximum 

Moderate to Maximum 

Maximum 

Moderate to Maximum 

Moderate 

Moderate 

Maximum 

Maximum 

Moderate 

Maximum 

Certificate 

Action 

Indefinite 

Suspension 

until 

compliance 

to 

Revocation 

Up to 30-day 

Suspension 

Up to 30-day 

Suspension 

Up to 30-day 

Suspension 

Up to 30-day 

Suspension 

Suspension 

or 

Revocation 

Indefinite 

Suspension 

until 

35Jthpliance 

Mandatory 

Suspension 

pending BTS 

finding of 

compliance 

8-21 
10/01/07 2150.38 

Fig. B-3-b. Repair Stations cont. 

(22) Posing an immediate security risk as determined by 

BTS under 49 U.S.C. § 44924(c)(2) 

CivU Penalty Certificate 

Action 

Mandatory 

Revocation 

Fig. B-3-C. ID Plate Violations 

(1) -1^4 C.F.R. 45.13(b), Improper removal, changing, or 

placing of identification information on a product 

(a) Inadvertent 

(b) Intentional misrepresenting identity of product 

(2) 14 CFR 45.23(c), Improper removal or installation of 

identification plate 

(a) Inadvertent 

(b) Intentional misrepresenting identity of product 

Civil Penalty 

Minimum 

Maximum 

Minimum 

Maximum 

Certificate 

Action 

Revocation 

Revocation 

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

(1) Knowingly permitting school aircraft to be used for 

unlawful carriage of controlled substances 

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

personnel, records, or certificate 

(3) False advertising 

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

(5) Improper crediting to, or graduation of, student 

(a) Inadvertent 

(b) Intentional 

(6) Reftisal to permit FAA test, check, or examination of 

student 

(7) Unqualified or unauthorized instruction 

(8) Failure to establish or maintain training record 

Civil Penalty 

Maximum 

Maximum 

Minimum 

Moderate to Maximum 

Maximum 

Moderate to Maximum 

Moderate to Maximum 

Certificate 

Action 

Revocation 

Indefinite 

Suspension 

until 

Compliance 

to 

Revocation 

Revocation 

Indefinite 

Suspension 

until 

Compliance 

to 

Revocation 

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

(1) Failure to revise aircraft data after major repair or 

alteration 

(2) Failure to perform or improper performance of 

maintenance 

CivU Penalty Certificate 

Action 

30- to 60-day 

Suspension 

30-to 120-

day 

Suspension 

8-22 
10/01/07 2150.38 

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

cont. 

(3) Failure of mechanic to accomplish inspection properly 

(4) Failure of mechanic to record inspection 

(5) Failure of lA holder to accomplish inspection properly 

(6) Failure of lA holder to record inspection 

(7) Maintenance performed by person without a certificate 

(8) Maintenance performed by person who exceeded 

certificate limitations 

(9) Improper approval for retum to service 

(10) Failure to make maintenance record entry 

(11) Failure to set forth adequate description of work 

performed 

(12) Intentionally false or fraudulent entry, reproduction, or 

alteration in maintenance record 

Civil Penalty 

Moderate to Maximum 

Certificate 

Action 

30- to 60-day 

Suspension 

15-to 30-day 

Suspension 

60-day 

Suspension 

to 

Revocation 

ofIA 

15- to 30-day 

Suspension 

ofIA 

15- to 60-day 

Suspension 

30-to 120-

day 

Suspension 

30- to 60-day 

Suspension 

15-to 30-day 

Suspension 

Revocation 

Fig. B-3-f. Student Operations 

(1) Carrying passenger 

(2) Solo flight without required endorsement 

(3) Operation on international flight 

(4) Use of aircraft in business 

(5) Operation for compensation or hire 

Civil Penalty Certificate 

Action 

Revocation 

45- to 90-day 

Suspension 

60- to 90-day 

Suspension 

30-to 120-

day 

Suspension 

Revocation 

Fig. B-3-g. Flight Instructors 

(1) False endorsement of any student pilot record 

(2) Exceeding flight time limitation 

(3) Instruction in aircraft for which he/she is not rated 

CivU Penalty Cerfificate 

Action 

Revocation 

30- to 90-day 

Suspension 

60-to 180-

day 

Suspension 

8-23 
10/01/07 2150.38 

Fig. B-3-h. Other Flight Violations 

(1) Certification and qualification 

(a) Operation when a valid pilot certificate had not 

been issued 

(b) Operation while pilot certificate is suspended 

(c) Operation without pilot or medical certificate in 

personal possession (certificates valid) 

(d) Operation without a current medical certificate 

when medically qualified 

(e) Operation without a valid medical certificate 

when not medically qualifiedor when application 

for medical certificate deferred 

(f) Operation with known medical deficiency 

(g) Operation for compensation or hire when a valid 

commercial pilot certificate had not been issued 

(h) Operation without type or class rating 

(2) Operation when a valid airworthiness certificate had not 

been issued 

(3) Failure to close flight plan or file arrival notice 

(4) Failure to obtain pre-flight information 

(5) Deviation from ATC instruction or clearance 

(6) Taxiing, takeoff, or landing without a clearance, where 

ATC tower is in operation 

(7) Failure to maintain radio communications in Class D 

airspace 

(8) Failure to comply with airport traffic pattern 

(9) Operation in Class B airspace without or contrary to a 

clearance 

(10) Operation in Class C airspace without maintaining 

contact with ATC 

(11) Operation contrary to a NOTAM 

(12) Failure to maintain altihide 

(13) Exceeding speed limitation 

CivU Penalty 

Maximum 

Minimum 

-

Minimum 

Certificate 

Action 

Revocation 

30-180 day 

suspension 

Revocation 

90-day 

Suspension 

to 

Revocation 

90-day 

Suspension 

to 

Revocation 

60-to 120-

day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

30- to 60-day 

Suspension 

30- to 60-day 

Suspension 

30- to 60-day 

Suspension 

30- to 60-day 

Suspension 

30- to 90-day 

suspension 

30- to 60-day 

Suspension 

30- to 60-day 

Suspension 

8-24 
10/01/07 2150.38 

Fig. B-3-h. Other Flight Violations cont. 

(15) Failure to comply with Airworthiness Directive 

(16) Operation without required instrument and/or equipment 

(17) Failure to comply with operating limitation 

(18) Unauthorized operation within Class A airspace 

(19) Failure to adhere to right of way rule 

(20) Failure to comply with VFR cruising altitude 

(21) Failure to maintain required minimum altitude over 

structure, person, or vehicle -congested area 

(22) Failure to maintain required minimum altitudes over 

structure, person, or vehicle - sparsely populated area 

(23) Failure to maintain radio watch while under IFR 

(24) Failure to report compulsory reporting point under IFR 

(25) Failure to display position light 

(26) Failure to maintain proper altimeter setting 

(27) Operating within restricted or prohibited area (including 

a TFR) or Class A airspace 

(28) Unauthorized dropping of object from aircraft 

(29) Unauthorized towing 

(30) Acrobatic flight on airway, over congested area, below 

minimum altitude, etc. 

(31) Taking off with insufficient fuel 

(32) Fuel mismanagement or exhaustion 

(33) Operating so as to cause a collision hazard 

Civil Penalty Certificate 

Action 

30-to 180-

day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

15- to 90-day 

Suspension 

30- to 90-day 

Suspension 

60-to 180-

day 

Suspension 

30-to 120-

day 

Suspension 

30- to 60-day 

Suspension 

30- to 60-day 

Suspension 

30- to 60-day 

Suspension 

30- to 60-day 

Suspension 

30- to 90-day 

Suspension 

30- to 60-day 

Suspension 

30- to 60-day 

Suspension 

90-to 180-

day. 

Suspension 

30-to 150-

day 

Suspension 

30-to 150-

day 

Suspension 

60-to 180-

day 

Suspension 

B-25 
10/01/07 2150.38 

Fig. B-3-i. Weather Operafions 

(I) Failure to comply with visibility minimum in controlled 

airspace 

(2) Failure to comply with visibility minimum outside 

controlled airspace 

(3) Failure to comply with distance from clouds requirement 

in controlled airspace 

(4) Failure to comply with distance from clouds requirement 

outside of controlled airspace 

(5) Operating VFR under 1,000 foot ceiling within Class D 

airspace 

(6) Failure to comply with IFR landing minimum 

(7) Failure to comply with instrument approach procedure 

CivU Penalty Certificate 

Action 

60-to 180-

day 

Suspension 

30-to 120-

day 

Suspension 

60-to 180-

day 

Suspension 

30-to 120-

day 

Suspension 

30-to 120-

day 

Suspension 

45-to 180-

day 

Suspension 

45-to 180-

day 

Suspension 

Fig. B-3-j. 14 C.F.R. 91.13(a), Careless or reckless 

operation so as to endanger (independent violation) 

(I) Wheels up landing 

(2) Short or long landing 

(3) Landing on, or taking off from, closed runway 

(4) Landing on, or taking off from, ramp or other improper 

area 

(5) Taxiing collision 

(6) Leaving aircraft unattended with engine running 

(7) Taxiing aircraft off runway, taxiway, or ramp 

CivU Penalty Certificate 

Action 

15-to 30-day 

Suspension 

30- to 90-day 

Suspension 

30- to 60-day 

Suspension 

30-to 120-

day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

30- to 90-day 

Suspension 

Fig. B-3-k. Passenger operations 

(I) Carrying passenger who is under the influence of drugs or 

alcohol 

Civil Penalty Certificate 

Action 

30- to 120-

day 

Suspension 

8-26 
10/01/07 2150.38 

Fig. B-3-k. Passenger operations cont. 

(2) Performing acrobatics when not all passengers are 

equipped with approved parachutes 

(3) Use of unapproved parachute 

(4) Permitting unauthorized parachute jumping 

(5) Carrying passenger without required recent flight 

experience 

(6) Operation without an approved seat or berth and approved 

safety belt for each person on board the aircraft required to 

have them during takeoff, en route flight, and landing 

CivU Penalty Certificate 

Action 

60- to 90-day 

Suspension 

30- to 60-day 

Suspension 

30- to 90-day 

Suspension 

30-to 120-

day 

Suspension 

30- to 60-day 

Suspension 

Fig. B-3-L Acting or attempting to act as a crewmember 

under the infiuence of drugs or alcohol; consumption of 

alcohol before operating an aircraft 

(1) Consuming alcohol within 8 hours before operating 

aircraft 

(2) Under the influence of alcohol 

(3) While using any drug that affects the crewmembers 

faculties in any way contrary to safety 

(4) Alcohol concenfration .04 percent or above 

(5) Refusal of proper request from LE official to submit to 

alcohol test 

CivU Penalty Certificate 

Action 

Revocation 

Revocation 

Revocation 

Revocation 

Revocation 

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

(1) Controlled substance violation under 49 U.S.C. § 

44710(b) 

(2) Counterfeit parts violation under 49 U.S.C. § 44726(b) 

(3) Security risk under 49 U.S.C. § 46111(b) 

(4) Intentionally false or fraudulent 

entry, reproduction, or alteration on an 

application or a certificate or rating 

CivU Penalty Certificate 

Action 

Mandatory 

Revocation 

Mandatory 

Revocation 

Mandatory 

Suspension 

or 

Revocation, 

as requested 

by BTS 

Revocation 

of certificates 

authorized 

under 

applicable 

part of 14 

CFR 

8-27 
10/01/07 2150.38 

Fig. B-3-n. MisceUaneous 

(1) Allowing unauthorized manipulation of controls by 

uncertificated individual attempting to set record under 

49 U.S.C. § 44724(a) 

(2) Carriage of illegal drugs (controlled substances) on 

aircraft 

(3) Conducting operation without required operating 

certificate 

(4) Misuse of an airport-approved identification medium 

(5) Making an incorrect statement on an 

application for a medical certificate 

(6) Refusal to produce pilot certificate, log or records 

CivU Penalty 

Moderate to Maximum 

Certificate 

Action 

Mandatory 

Revocation 

Revocation 

60-to 120-

day 

Suspension 

Indefinite 

Suspension 

(pending 

correction of 

application 

and 

determination 

of 

qualification) 

or 

Revocation 

of medical 

certificate 

30-day 

Suspension, 

and until 

produced to 

Revocation 

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

(1) Operation without a reservation from ATC 

(2) Operation with a reservation from ATC, but at the wrong 

time 

CivU Penalty 

Minimum to Moderate 

Minimum to Moderate 

Certificate 

Action 

Fig. B-3-p. Unruly passengers 

(1) Interference with crewmember(14 C.F.R. 91.11, 121.580, 

125.328, 135.120) 

(2) Physical assault of flight or cabin crewmember 

under 49 U.S.C. §46318 

(3) Physical assault of individual other than a crewmember 

under 49 U.S.C. §46318 

(4) Threaten to physically assault flight or cabin crewmember 

under 49 U.S.C. §46318 

(5) Threaten to physically assault individual other than flight 

or cabin crewmember under 49 U.S.C. § 46318 

CivU Penalty 

Maximum 

$1,100-$8,000 

$500-$5,000 

$1,100-$5,000 

$500 - $5,000 

Certificate 

Action 

B-28 
10/01/07 2150.38 

Fig. B-3-p. Unruly passengers cont. 

(6) Acts in a manner that poses imminent threat to safety of 

aircraft or other individuals on aircraft under 49 U.S.C. § 

46318 

CivU Penalty 

$5,000 - $25,000 

($5,000 - $27,500 for 

violations after 6/15/2006) 

Certificate 

Action 

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

(1) Smoking while No Smoking sign is lighted 

(2) Smoking in aircraft lavatory 

(3) Tampering with smoke detector 

under 49 U.S.C. § 46301(b) 

(4) Failure to fasten seat belt while seat belt sign is lighted 

(5) Failure to occupy an approved seat or berth with a safety 

belt, and, if installed, shoulder harness properly secured during 

movement on the surface, takeoff, or landing 

(6) Operating a portable electronic device 

(7) Drinking alcoholic beverage not served by carrier 

CIvU Penalty 

Maximum 

Maximum 

$1,800 to 

$2,200 

Minimiun to Moderate 

Minimum to Moderate 

Maximum 

Maximum 

Certificate 

Action 

4. DUI/DWI PROGRAM. FALSIFICATION OF DRUG CONVICTIONS AND AIRMAN 

MEDICAL CERTIFICATE VIOLATIONS 

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

(1) Intentionally false or fraudulent entry on medical 

certificate application regarding a DUI conviction or 

administrative action under 14 C.F.R. § 67.403(a)(1) 

(2) Making an incorrect statement on a medical certificate 

application regarding a DUI conviction or administrafive 

action imder 

14 C.F.R. § 67.403(c)(1) 

(3) Failure to report a motor vehicle action (MVA) under 14 

C.F.R. §61.15(e) 

(4) Two MVAs arising from separate incidents within 3 years, 

and reported both under 

14 C.F.R. §61.15(d) 

CivU Penalty Certificate 

Action 

Revocation 

of all airman 

and medical 

certificates 

Indefinite 

Suspension 

(pending 

correction of 

applicafion 

and 

determination 

of 

qualification) 

or 

Revocation 

of medical 

certificate 

15-to 45-day 

Suspension 

ofallpart61 

certificates 

90-to 120-

day 

Suspension 

of all part 61 

certificates 

8-29 
10/01/07 2150.38 

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

(5) Three MVAs arising from separate incidents within 3 

years under 14 CFR. § 61.15(d) 

CivU Penalty Certificate 

Action 

Revocation 

of all part 61 

certificates 

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

(I) Intentionally false or fraudulent statement on an 

application for a medical certificate or on a request for any 

special issuance or SODA under 

14 C.F.R. § 67.403(a)(1) 

(2) Intentionally false or fraudulent entry in a record that is 

kept, made or used to show compliance under 

14 C.F.R. § 67.403(a)(2) 

(3) Reproduction of a medical certificate for fraudulent 

purpose under 14 C.F.R. § 67.403(a)(3) 

(4) Alteration of medical certificate under 

14 CFR. § 67.403(a)(4) 

(5) Making an incorrect statement on a medical certificate 

application under 14 C.F.R. § 67.403(c)(1) 

Civil Penalty Certificate 

Action 

Revocation 

of all airman 

and medical 

certificates 

Revocation 

of all airman 

and medical 

certificates 

Revocation 

of all airman 

and medical 

certificates 

Revocation 

of all airman 

and medical 

certificates 

Indefinite 

Suspension 

(pending 

correction of 

application 

and 

determination 

of 

qualification) 

or 

Revocation 

of medical 

certificate 

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

(1) Single conviction for simple possession* 

CivU Penalty Certificate 

Action 

45- to 120-

day 

Suspension 

of all part 61, 

63, or 65 

certificates 

8-30 
10/01/07 2150.38 

Fig. B-4-C. Drug convictions - no falsificaHon involved 

cont. 

(2) Multiple convictions for simple possession* 

(3) Conviction(s) for other than simple possession* 

CivU Penalty Certificate 

Action 

120-day 

Suspension 

to 

Revocation 

of all part 61, 

63, or 65 

certificates 

Revocation 

of all part 61, 

63, or 65 

certificates 

*It may be appropriate, in the exercise of prosecutorial discretion, not to take enforcement action when 

a conviction is several years old when discovered by the FAA and there is evidence that the certificate 

holder has been rehabilitated such that the individual can be expected to conform his or her conduct to 

safety requirements. 

5. DRUG AND ALCOHOL TESTING VIOLATIONS. 

Fig. B-5-a. Drug and Alcohol Testing Violations 

(1) Failure of an air carrier operating under part 121 or part 

135 operator to obtain an operations specification 

(2) Failure of a part 145 operator (that opts to have its own 

drug program and AMPP) to obtain an operations 

specification 

(3) Failure of a Section 135.1(c) or non-FAA air traffic 

control facility to submit a registration to the FAA 

(4) Failure of a contractor (that opts to have its OVSTI drug and 

alcohol programs) to submit a registtation to the FAA 

(5) Failure to implement or maintain continuous coverage in 

an FAA antidrug program and/or AMPP in accordance with 

Appendices I and/or J 

CivU Penalty 

Moderate 

Moderate 

Moderate 

Moderate 

Maximum 

Certificate 

Action 

Indefinite 

Suspension 

pending 

compliance 

or 

Revocation 

Fig. B-5-b. Coverage 

(1) Failiu-e to include a safety-sensitive employee in FAA 

mandated drug and alcohol testing programs 

(2) Permitting a contractor employee to perform a fionction 

listed in Appendix I or J who is not covered under an FAAmandated antidrug and/or alcohol misuse prevention program 

CivU Penalty 

Maximum 

Maximum 

Certificate 

Action 

8-31 
10/01/07 2150.38 

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

(1) Failure to advise each individual applying to perform a 

safety-sensitive function of the pre-employment testing 

requirement 

(2) Failure to pre-employment drug test an individual and/or 

receive a negative drug test result prior to hiring or 

transferring that individual for a safety-sensitive function 

(3) Failure to pre-employment drug test before hiring or 

transferring an individual into a safety-sensitive position if 

more than 180 days elapse between a pre-employment test 

and placing the individual into a safety-sensitive function 

CIvU Penalty 

Minimum 

Maximum 

Moderate 

Certificate 

Action 

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

(1) Failure to conduct random drug and/or alcohol testing 

(2) Failure to meet the minimum annual percentage rate for 

random drug and/or alcohol testing 

(3) Failure to use a scientifically valid method of random 

selection 

(4) Failure to ensure that random drug and/or alcohol tests 

are unannounced 

(5) Failure to ensure the dates for administering random tests 

are spread reasonably throughout the calendar year 

(6) Failure to ensure diat an employee who is notified to 

report for random drug and/or alcohol testing proceeds 

immediately to the testing site 

(7) Failure to conduct alcohol testing just before the employee 

is to perform a safety-sensitive function, during or just after the 

employee has ceased performing a safety-sensitive function 

CivU Penalty 

Maximum 

Moderate 

Moderate 

Moderate 

Minimum 

Moderate 

Minimum 

Certificate 

Action 

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

(1) Failure to drug and/or alcohol test each employee who 

performs a safety-sensitive function, if that employee's 

performance either contributed to an accident or cannot be 

completely discounted as a contributing factor to the accident. 

(2) Failure to post-accident drug test an employee within 32 

hours after the accident. 

(3) Failure to conduct post-accident alcohol testing on an 

employee within 8 hours after the accident 

(4) Failure to prepare and maintain on file required records 

stating the reasons the post-accident alcohol test was not 

administered within 2 hours and/or 8 hours. 

ClvU Penalty 

Maximum 

Maximum 

Maximum 

Minimum 

Certificate 

Action 

Fig. B-5-f. Reasonable cause drug and reasonable 

suspicion alcohol testing 

(1) Failiu-e to drug and/or alcohol test each employee who 

performs a safety-sensitive function and who is reasonably 

suspected of using a prohibited drug and/or misusing alcohol 

ClvU Penalty 

Maximum 

Certificate 

Action 

8-32 
10/01/07 2150.38 

Fig. B-5-f. Reasonable cause drug and reasonable 

suspicion alcohol testing cont. 

(2) Reasonable cause drug testing of individuals without a 

reasonable and articulable belief that the employee is using a 

prohibited drug on the basis of specific, contemporaneous 

physical, behavioral, or performance indicators of probable 

drug use 

(3) Reasonable suspicion alcohol testing of individuals when 

reasonable suspicion of alcohol misuse has not been 

determined by a trained supervisor based on specific, 

contemporaneous, articulable observations concerning the 

appearance, behavior, speech or body odor of the employee 

(4) Failure to prepare and maintain on file a record stating the 

reasons the reasonable suspicion alcohol test was not 

administered within 2 hours and/or 8 hours 

(5) Failure to remove a safety-sensitive employee who is 

under the influence of or impaired by alcohol 

CivU Penalty 

Moderate 

Moderate 

Moderate 

Maximum 

Certificate 

Action 

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

(1) Failure to conduct a retum-to-duty drug test before an 

individual is returned to perform a safety-sensitive function 

after the individual refused to submit to a required drug test or 

received a verified positive drug test result 

(2) Failure to receive a verified negative return to duty drug 

test result for an individual prior to the individual's retum to a 

safety-sensitive function 

(3) Failure to administer a retum-to-duty alcohol test on an 

individual who engaged in prohibited conduct prior to 

returning him or her to a safety-sensitive function. 

(4) Failure to ensure that the employee has received an alcohol 

test result with an alcohol concentration of less than 0.02 on a 

retum-to-duty test prior to resuming the performance of safetysensifive duties 

Civil Penalty 

Maximum 

Maximum 

Maximum 

Maximum 

Certificate 

Action 

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

(1) Failure to implement a reasonable program of 

unannounced testing for each individual who has been hired to 

perform or who has been returned to the performance of a 

safety-sensitive function after refusing to submit to a test, 

receiving a verified positive drug test result, or engaging in 

prohibited alcohol conduct 

(2) Failure to administer at least six follow-up tests in the first 

12 months following the retiun to duty of an employee 

(3) Failiu-e to discontinue follow-up testing after 60 months 

from the date the individual renamed to a covered function 

(4) Failure of a substance abuse professional to determine the 

number and frequency of follow-up tests 

CivU Penalty 

Maximum 

Maximum 

Moderate 

Maximum 

Certificate 

Action 

8-33 
10/01/07 2150.38 

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

(5) Failure to ensure that follow-up alcohol testing of a 

covered employee only occurs just before the employee is to 

perform safety-sensitive fiinctions, during, or just after the 

employee has ceased covered functions 

Civil Penalty 

Minimum 

Certificate 

Action 

Fig. B-5-i. Retesting covered employees 

(1) Failure to retest a covered employee with an alcohol 

concentration of greater than .02 and less than .04 when the 

employer has chosen to permit the employee to perform a 

safety-sensitive function within 8 hours of alcohol use 

(2) Permitting an individual with an alcohol concentration of 

.02 or above to retum to duty performing safety-sensitive 

fiinctions unless 8 hours has elapsed or the individual is 

retested and tests below .02 

CivU Penalty 

Maximiun 

Maximum 

Certificate 

Action 

Fig. B-5-j. Inappropriate testing 

(1) Inappropriate testing using DOT or FAA Authority 

ClvU Penalty 

Moderate 

Certificate 

Action 

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

(1) Failure to permit the Administrator or the Administrator's 

representative to examine records 

(2) Failure to conduct drug and alcohol records check required 

under 49 C.F.R. § 40.25 

(3) Failure to provide dmg and alcohol testing records 

requested under 49 C.F.R. § 40.25 

(4) Using an employee to perform safety-sensitive fiinctions 

after obtaining information that the employee violated DOT 

drug and alcohol regulations, without obtaining information 

that the employee complied with retum-to-duty requirements 

(5) Failure to notify the FAA of a medical certificate holder 

(issued under part 67), who tested positive on a DOT dmg test, 

within twelve working days of the date of the verified positive 

result 

(6) Failure to notify the FAA of a medical certificate holder 

(issued under part 67), who engaged in prohibited alcohol 

conduct, within two working days of the violation date 

(7) Failure to notify die FAA of the refusal to submit to 

testing by a part 61, part 63, or part 65 certificate holder within 

five working days of the refusal to test 

CivU Penalty 

Maximum 

Moderate 

Moderate 

Moderate 

Moderate 

Moderate 

Moderate 

Certificate 

Action 

Indefinite 

Suspension 

pending 

compliance 

to 

Revocation 

8-34 
10/01/07 2150.38 

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

(8) Knowingly using any person to perform any safetysensitive function after being permanently precluded from 

performing that safety-sensitive function 

(9) Failure to submit an annual dmg and alcohol (MIS) report 

in accordance with Appendices I and J 

(10). Failure to maintain records of an employee's drug 

rehabilitation, the dmg test collection process, training, and/or 

negative dmg test results for the required timeframe 

(11) Releasing dmg or alcohol testing information without the 

appropriate consent 

(12) Failure to maintain records in a secure location with 

controlled access 

(13) Failure to maintain records of employee alcohol test 

results of 0.02 or greater for the required timeframe 

(14) Failure to maintain records related to violations of 

sections 65.46a, 121.458, or 135.253 for the required 

timeframe 

(15) Failure to maintain documentation of refusals, calibration 

documentation, employee evaluations and referrals, and copies 

of annual reports (MIS) for the required timeframe 

(16) Failure to maintain records related to all test results 

below 0.02 for the required timeframe 

(17) Failure to submit an annual report (MIS) in the form and 

manner prescribed by the Administrator 

(18) Failure to submit an annual report (MIS) by March 15* 

(19) Releasing alcohol testing information without the 

appropriate consent 

Civil Penalty 

Maximum 

Minimum 

Moderate 

Maximum 

Maximum 

Moderate 

Moderate 

Moderate 

Minimum 

Minimum 

Minimum 

Maximum 

Certificate 

Action 

Indefinite 

Suspension 

pending 

compliance 

to 

Revocation 

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

(1) Failure to use a qualified individual to perform MRO 

services 

(2) Failure of MRO to verify and/or maintain records of 

negative test results 

(3) Failure of MRO to review, interpret, and verify positive 

test results 

(4) Failure of MRO to interview an employee or applicant 

who has had a confirmed positive dmg test result 

(5) Failure of MRO to transmit the results to employer 

(6) Failiu-e of MRO to process employee requests for testing 

of split specimens 

(7) Failure of MRO to ensure all records maintained by the 

former MRO are forwarded to the new MRO within the 

appropriate time frame 

Civil Penalty 

Maximiun 

Minimum 

Maximum 

Maximum 

Maximum 

Maximum 

Moderate 

Certificate 

Action 

8-35 
10/01/07 2150.38 

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

(8) Failure of MRO to maintain records in confidence and 

release only in accordance with the provisions of 14 C.F.R. 

part 121, Appendix 1 and 49 C.F.R. part 40 

(9) Failure of MRO to maintain records conceming dmg tests 

confirmed positive by the laboratory for the required 

timeframe 

(10) Failure of MRO to inquire whether an individual holds an 

airman medical certificate issued under part 67, or would be 

required to hold such certificate in order to perform the duties 

of the position for which the applicant is applying 

(11) Failure of MRO to verify the primary test result pending 

the result of the split specimen 

Civil Penalty 

Maximum 

Maximum 

Maximum 

Maximum 

Certificate 

Action 

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

and evaluation 

(1) Failure to use a qualified individual to perform SAP 

services 

(2) Failure to advise an employee of the resources available to 

him or her in evaluating and resolving problems associated 

with the misuse of alcohol 

(3) Failure of a SAP to conduct a face-to-face evaluation of 

the employee and recommend education and/or treatment 

(4) Failure of a SAP to ensure that each employee who has 

committed a DOT dmg and/or alcohol regulation violation, has 

successfully complied with the SAP's recommendations for 

education and/or tt-eattnent prior to establishing a follow-up 

testing plan 

Civil Penalty 

Maximum 

Minimum 

Moderate 

Moderate 

Certificate 

Action 

Fig. B-S-n. Employee Assistance Program 

(I) Failure to display and distribute informational materials, a 

community service hotline telephone number and the 

employer's policy regarding dmg use in the work place 

(2) Failure to conduct initial employee training 

X3) Failure to conduct initial and recurrent supervisory 

training 

(4) Failure to document initial employee and supervisory 

training on dmg use 

Civil Penalty 

Moderate 

Minimum 

Maximum 

Moderate 

Certificate 

Action 

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

referral 

(1) Failure to promulgate a policy on the misuse of alcohol 

(2) Failure to conduct supervisory training regarding alcohol use 

(3) Failure to distribute and/or document the distribution of 

alcohol informational materials to employees 

CivU Penalty 

Moderate 

Minimum 

Minimum 

Certificate 

Action 

B-36 
10/01/07 2150.38 

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

(1) Failure to remove an individual from safety-sensitive 

functions for on-duty use, pre-duty use, use following an 

accident, reftisal to submit to a test, and/or a dmg posiuve 

and/or an alcohol concentration of .04 or greater 

(2) Allowing a covered employee who used alcohol within 8 

hours of an accident to perform or continue performing safetysensitive fiinctions 

(3) Failure to notify the Federal Air Surgeon of a part 67 

medical certificate holder who received a positive dmg test 

result and/or received an alcohol concentration of .04 or 

greater on an alcohol test 

(4) Allowing a part 67 medical certificate holder to perform 

safety-sensitive duties for an employer following an alcohol 

violation and/or dmg positive 

(5) Failure to notify the FAA of a part 61, 63, and/or 65 

certificate holder who refused to submit to testing 

CivU Penalty 

Maximum 

Maximum 

Maximum 

Maximum 

Maximum 

Certificate 

Action 

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

U.S. 

(1) Subjecting an employee located outside the territory of 

the United States to a DOT dmg or alcohol test 

CivU Penalty 

Maximum 

Certificate 

Action 

Fig. B-5-r. Specimen coUection 

(1) Failure to use urine collection personnel who meet the 

requirements of 49 C.F.R. part 40, subpart C 

(2) Failure to use collection sites, forms, equipment and 

supplies for DOT urine collections that meet the 

requirements in 49 C.F.R. part 40, subpart D 

(3) Failiu"e to conduct specimen collections in accordance 

with 49 C.F.R. part 40, subpart E 

(4) Failure to process split specimen tests in accordance 

with 49 C.F.R. part 40, subpart H 

(5) Failure to address problems with dmg tests in 

accordance with 49 C.F.R. part 40, subpart I 

CivU Penalty 

Moderate 

Moderate 

Moderate 

Moderate 

Moderate 

Certificate 

Action 

Fig. B-5-S. Laboratory issues 

(1) Failure to use drug testing laboratories that meet the 

requirements in 49 C.F.R. part 40, subpart F 

CivU Penalty 

Maximum 

Certificate 

Action 

8-37 
10/01/07 2150.38 

Fig. B-5-t. Alcohol testing 

(1) Failure to use alcohol testing personnel that meet the 

requirements of 49 C.F.R. part 40, subpart J 

(2) Failure to use collection sites, forms, equipment and 

supplies for DOT alcohol testing that meet the requirements 

in 49 C.F.R. part 40, subpart K 

(3) Failure to conduct alcohol screening tests in accordance 

with 49 C.F.R. part 40, subpart L 

(4) Failure to conduct alcohol confirmation tests in 

accordance with 49 C.F.R. part 40, subpart M 

(5) Failure to address problems with dmg tests in 

accordance with 49 C.F.R. part 40, subpart N. 

CivU Penalty 

Moderate 

Moderate 

Moderate 

Moderate 

Moderate 

Certificate 

Action 

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

(1) Refusal to submit to a dmg or alcohol test 

(2) Positive dmg test result or alcohol test result .04 or 

above on any dmg or alcohol test. 

(3) Performs a safety-sensitive function for an employer 

after receiving a verified positive test result without 

following appropriate retum to duty procedures 

(4) Performs a safety-sensitive function for an employer 

while having an alcohol concentration of 0.04 or greater 

(5) Performs a safety-sensitive function for an employer 

while using prohibited dmgs or alcohol on duty 

(6) Performs a safety-sensitive fimction 

for an employer within 8 hours after consuming any 

alcoholic beverage 

(7) Performs a safety-sensitive fimction for an employer 

within 4 hours after consuming any alcoholic beverage 

(8) Has actual knowledge of an accident involving an 

aircraft for which he or she performed a safety sensitive 

function at or near the time of the accident, and uses alcohol 

within the 8 hours following the accident 

CivU Penalty 

Maximum 

Maximum 

Maximum 

Maximum 

Maximum 

Maximum 

Maximum 

Maximum 

Certificate 

Action 

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

(1) Refusal by the holder of a certificate issued under parts 

61, 63, or 65 to submit to a dmg or alcohol test 

(2) Positive dmg test result or alcohol test result .04 or 

above by the holder of a certificate issued under parts 61, 63, 

or 65 on any dmg or alcohol test. 

CivU Penalty Certificate 

Action 

Revocation 

Revocation 

8-38 
10/01/07 2150.38 

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

cont. 

(3) Failure of an individual to disclose to the MRO that he 

or she holds an airman medical certificate issued under part 

67, or would be required to hold such certificate, in order to 

perform the duties of the position for which he or she is 

applying 

(4) Performs a safety-sensitive function for an employer 

after receiving a verified positive test result without 

following appropriate reUim to duty procedures 

(5) Performs a safety-sensitive fimction for an employer 

while having an alcohol concentration of 0.04 or greater 

(6) Performs a safety-sensitive function for an employer 

while using prohibited dmgs or alcohol on duty 

(7) Performs a safety-sensitive fimction (flight 

crewmember, flight attendant, air tt-aflic control) for an 

employer within 8 hours after consuming any alcoholic 

beverage 

(8) Performs a safety-sensitive fimction (flight instmction, 

aircraft dispatcher, maintenance, or preventive maintenance, 

ground security coordinator, aviation screening) for an 

employer within 4 hours after consuming any alcoholic 

beverage 

(9) Has actual knowledge of an accident involving an 

aircraft for which he or she performed a safety sensitive 

function at or near the time of the accident, and uses alcohol 

within the 8 hours following the accident 

CivU Penalty Certificate 

Action 

Revocation 

Revocation 

Revocation 

Revocation 

Revocation 

Revocation 

Revocation 

6. AIRPORT OPERATORS. 

Fig. B-6-a. Certification 

(1) Operation without a part 139 certificate 

(2) Operation in violation of a part 139 certificate 

(3) Failure to permit FAA inspector to conduct inspection 

Civil Penalty 

Maximum; 

Injunctive relief 

Moderate to Maximum 

Maximum 

Certificate 

Action 

Indefinite 

Suspension 

until 

Compliance 

to Revocation 

Fig. B-6-b. Certification Manual 

(1) Failure to comply with an approved airport certification 

manual 

(2) Failure to include all required information in the airport 

certification manual 

Civil Penalty 

Moderate to Maximum 

Minimum to Moderate 

Certificate 

Action 

8-39 
10/01/07 2150.38 

Fig. B-6-b. Certification Manual cont. 

(3) Failure to maintain current airport certification manual 

on the airport 

(4) Failure to make current airport certification manual 

available to the FAA for inspection 

ClvU Penalty 

Moderate to Maximum 

Moderate to Maximum 

Certificate 

Action 

Indefinite 

Suspension 

until 

Compliance 

to Revocation 

Fig. B-6-C. Operations 

(1) Failure to maintain sufficient qualified personnel to 

comply with requirements of the airport certification 

manual and FAA regulations 

(2) Failiu-e to maintain and repair the pavement of each 

mnway, taxiway, loading ramp, and parking area on the 

airport 

(3) Failure to maintain and repair each gravel, turf, or other 

unpaved nmway, taxiway, or loading ramp and parking 

area on the airport 

(4) Failure to provide and maintain an airport safety area 

(5) Failure to provide and maintain the required marking 

and signing systems for air carrier operations 

(6) Failure to provide and maintain lighting systems for air 

carrier operations when the airport is open during hours of 

darkness or during conditions below VFR minimums 

(7) Failure to provide and maintain required rescue and 

firefighting capability and equipment during air carrier 

operations 

(8) Failure to maintain rescue and firefighting vehicles 

(9) Failure to respond to an emergency during air carrier 

operations or demonstrate compliance with response 

requirements 

(10) Failure to respond within the required performance 

response times 

(11) Failure to ensure that rescue and firefighting 

persormel are equipped in an acceptable manner 

(12) Failure to ensure that rescue and firefighting 

personnel are properly frained 

(13) Failure to ensure that sufficient rescue and firefighting 

personnel are available during all air carrier operations 

(14) Failure to ensure that procedures are established and 

equipment is maintained for alerting rescue and firefighting 

personnel to any existing or impending emergency 

(15) Failure to establish and maintain standards for 

protecting against fire and explosions in storing, 

dispensing, and otherwise handling fuel, lubricants, and 

oxygen on the airport 

ClvU Penalty 

Moderate to Maximum 

Moderate to Maximum 

Moderate to Maximum 

Moderate to Maximum 

Maximum 

Moderate to Maximum 

Maximum 

Maximum 

Maximum 

Maximum 

Moderate to Maximum 

Moderate to Maximum 

Moderate 

Moderate to Maximum 

Moderate to Maximum 

Certificate 

Action 

B-40 
10/01/07 2150.38 

Fig. B-6-C. Operations cont. 

(16) Failure to perform surveillance of a fijeling activity by 

fueling agent on the airport 

(17) Failure to ensure and maintain a record of the 

inspection of the physical facilities of each airport tenant 

fueling agent 

(18) Failure to ensure that a fiieling agent and its 

employees are properly trained 

(19) Failure to require a tenant fueling agent to take 

corrective action for noncompliance with a fueling standard 

(20) Failure to ensure that the airport emergency plan is 

reviewed with all parties under the plan and that all 

information in the plan is current 

(21) Failure to establish and maintain procedures for the 

protection of persons and property on the airport during the 

handling and storing of hazardous materials 

(22) Failure to provide traffic and wind direction indicators 

(23) Failure to develop and maintain an airport emergency 

plan 

(24) Failure to conduct self- inspections of the airport as 

required 

(25) Failure to provide equipment and procedures for 

carrying out an inspection program for a reporting system 

to ensure correction of conditions noted during the 

inspections 

(26) Failure to prepare, keep, and make available a record 

of self-inspections 

(27) Failure to limit access by ground vehicles to 

movement areas and safety areas 

(28) Failure to establish and implement procedures for 

access to and operation on, the movement area and safety 

areas by ground vehicles 

(29) Failure to ensure that ground vehicles operating on the 

movement area are controlled by two-way radio 

communication or other acceptable means 

(30) Failure to ensure that each person operating a ground 

vehicle with access to the movement area is familiar with 

airport procedures for operation of ground vehicles 

(31) Failure to ensure that obsfructions are removed, 

marked, or lighted 

(32) Failure to prevent the constmction of facilities on the 

airport that would derogate the operation of an electronic or 

visual navaid and air traffic control facilities on the airport 

(33) Failure to take immediate measures to alleviate 

wildlife hazards 

(34) Failure to prevent the inadvertent entry to the 

movement area by imauthorized persons or vehicles 

CivU Penalty 

Moderate to Maximum 

Minimum to Moderate 

Moderate to Maximum 

Moderate to Maximum 

Minimum to Moderate 

Moderate to Maximum 

Moderate 

Maximum 

Maximum 

Moderate to Maximum 

Moderate to Maximum 

Moderate 

Moderate 

Moderate 

Minimum to Moderate 

Moderate to Maximum 

Moderate to Maximiun 

Moderate to Maximum 

Moderate 

Certificate 

Action 

8-41 
10/01/07 2150.38 

Fig. B-6-C. Operations cont. 

(35) Failure to provide for the collection and dissemination 

of airport condition information to air carriers 

(36) Failure to mark and, if appropriate, light constmction 

areas and unserviceable areas, constmction equipment, and 

each constmction roadway 

(37) Failure to provide procedures for avoiding damage to 

existing utilities, cables, wires, conduits, pipelines, or other 

underground facilities 

(38) Failure to restrict air carrier operations to safe portions 

of the airport 

(39) Failure to take action to conduct a wildlife assessment 

(40) Failure to implement wildlife assessment or the FAAapproved wildlife Hazard Management Plan 

CivU Penalty 

Moderate to Maximum 

Moderate to Maximum 

Minimum to Moderate 

Maximum 

Moderate to Maximum 

Moderate to Maximum 

Certificate 

Action 

7. VIOLATIONS OF NOISE PROVISIONS. 

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

(1) Prohibition on operating without complying with Stage 

3 noise levels under 49 U.S.C. § 47528 

(2) Nonaddition Rule under 49 U.S.C. § 47529 

(3) Imported aircraft operated to provide air transportation 

in the 48 contiguous states without complying with Stage 3 

noise levels under 49 U.S.C. § 47530 

(4) Recordkeeping or notification violation 

CivU Penalty 

Moderate to Maximum 

Moderate to Maximum 

Moderate to Maximum 

Minimum 

Certificate 

Action 

8. VIOLATIONS OF PILOT RECORDS IMPROVEMENT ACT tPRIA). 

Fig. B-8-a. PRIA 

(1) Permitting a person to begin service as a pilot prior to 

requesting, receiving, and evaluating records pursuant to 

the provisions of PRIA 

(2) Failing to obtain from the subject of a PRIA request a 

written consent for release of records requested imder PRIA 

(a) Inadvertent error 

(b) Egregious/no consent given 

(3) Furnishing records, pursuant to request under PRIA, 

that have been maintained for more than 5 years before the 

date of request when record does not relate to revocation or 

suspension of airman certificate or motor vehicle license 

that was in effect at time of request 

(4) Failing to maintain records described in 49 U.S.C. §§ 

44703(h)(lXA) and (B) for five years 

Civil Penalty 

Maximum 

Moderate 

Maximum 

Moderate 

Moderate to Maximum 

Certificate 

Action 

B-42 
10/01/07 2150.38 

Fig. B-8-a. PRIA cont. 

(5) Furnishing records pursuant to a request under PRIA 

before receiving a copy of the written consent of the 

individual who is the subject of the request 

(a) Inadvertent error 

(b) Egregious/no consent given 

(6) Failing to provide a copy of all records pursuant to a 

request under PRIA within 30 days of the date the request 

is received 

(a) Inadvertent error 

(b) Egregious/intentional 

(7) Failing to provide to the individual who is the subject 

of request under PRIA, on or before the 20"" day following 

the date of the receipt of such a request, written notice of 

the request and of the individual's right to receive a copy of 

such records 

(8) Failing, upon a request from an individual who is the 

subject of request under PRIA, to provide a copy of records 

to the individual 

(9) Failing to permit the subject of a request for records 

under PRIA to submit written comments to correct any 

inaccuracies in those records before making a final hiring 

decision 

(10) Failing, upon a written request from a pilot who is or 

has been employed by an air carrier, to make available for 

review within 30 days, records referred to in 49 U.S.C. §§ 

44703(h)(l)(B)(i) or (ii) pertaining to the employment of 

that pilot 

(a) Making records available but untimely 

(b) Not making the records available 

(11) Use of records received pursuant to PRIA for reasons 

other than assessing the qualifications of individual in 

deciding whether to hire the individual as pilot 

(12) Failing to protect the privacy of a pilot and the 

confidentiality of records received 

(13) Divulging contents of records received pursuant to 

PRIA to individual not directly involved in hiring process 

(a) Minor 

(b) Intent to cause harm 

(14) For air carriers that operate aircraft with a maximum 

load capacity of 7,500 pounds or less, or a helicopter, on a 

flight that is not a scheduled operation -

(a) Permitting a pilot to confinue in service longer than 

90 days without requesting, receiving and evaluating 

records identified in 49 U.S.C. § 44703(f)(1) 

Civil Penalty 

Moderate 

Maximum 

Moderate 

Maximum 

Maximum 

Maximum 

Maximum 

Minimum to Moderate 

Maximum 

Maximum 

Maximum 

Minimum 

Maximum 

Maximum 

Certificate 

Action 

8-43 
10/01/07 2150.38 

Fig. B-8-a. PRIA cont. 

(b) Failing to provide contracttial notification to the 

individual that continuation of employment after the 90-day 

period is subject to a satisfactory evaluation of records 

identified in 49 U.S.C. § 44703(0(1) 

CivU Penalty 

Moderate 

Certificate 

Action 

9. ENGINEERING AND MANUFACTURING VIOLATIONS. Note that the following actions 

taken in cases of violations by FAA designees only include legal enforcement actions under 14 C.F.R. 

part 13. Whenever FAA enforcement action personnel determine that the holder of a designation, or the 

holder of a design or production approval that is not a certificate, is no longer qualified to hold that 

designation or approval, remedial action should be initiated. In addition, remedial action should be 

considered whenever the holder refuses to allow inspection, or otherwise continues to fail to comply 

with an applicable requirement. Suspensions and terminations of designations are handled in 

accordance with FAA Ord. ers No. 8100.8B, Designee Management Handbook, Chapter 11; No. 

8100.9, DAS, DOA, and SFAR 36 Authorization Procedures, Chapter 8; and No. 8110.37C, Designated 

Engineering Representative (DER) Guidance Handbook, Chapter 7 

Fig. B-9-a. APIS Holders, 

including production under type 

certificate 

(1) Failure to maintain the approved 

production inspection system 

(APIS) to ensure product conformity 

and to ensure product is in condition 

for safe operation 

(2) Failure to maintain technical 

data or drawing at the place of 

manufacture 

(3) Failure to maintain inspection 

record 

(4) Failure to properly flight test 

aircraft 

(5) Failure to properly conduct 

required test run on a production 

engine 

(6) Failure to properly conduct 

required fionction test on a 

production propeller 

14 C.F.R. 

21.123(c), 

21.125, 

21.127, 

21.128, 

21.129, 

21.130 

21.123(b) 

21.123(c), 

21.125 

(b)(10) 

21.127 

21.128 

21.129 

49 U.S.C. Civil Penalty 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Certificate 

Action 

Discontinue 

issuance of a/w 

certificates 

pending 

compliance 

Discontinue 

issuance of a/w 

certificates 

pending 

compliance 

.._ 

8-44 
10/01/07 2150.38 

Fig. B-9-b. Production Certificate 

Holders 

(1) Refusal to allow FAA to make 

any inspections and tests necessary to 

determine compliance with 

regulations 

(2) Failure to make information 

regarding a delegation of authority 

to subsidiary manufacturer or 

supplier 

(3) Failure to immediately notify 

FAA, in writing, of quality control 

system changes that affect the 

inspection, conformity, or 

airworthiness of the product 

(4) Failure to surrender a PC for 

cancellation upon d-ansfer of 

ownership or upon change in 

location of the manufacttiring 

facility 

(5) Failure to maintain the 

approved quality control system 

(6) Failure to determine that each 

completed product submitted for 

a/w certification or approval is in 

conformity with the type design and 

in condition for safe operation 

14 C.F.R. 

21.157 

21.143(b) 

21.147 

21.155, 

21.159 

21.165(a) 

21.165(b) 

49 U.S.C. ClvU Penalty 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate 

Moderate to 

Maximum 

Moderate to 

Maximum 

Certificate 

Action 

Indefinite 

Suspension 

pending 

compliance to 

Revocation 

Revocation 

Fig. B-9-c. Designees 

(1) Delegation Option 

Authorization (DOA) 

(a) Refiisal to permit authorized 

FAA employee to inspect the 

manufachirer's organization, 

facilities, product, record, technical 

data file, or service difficulty file 

(b) Failure to submit a report or 

information necessary for the 

issuance of an AD 

(c) Failure to place the required 

technical data and type inspection 

report in the technical data file 

required by 21.293(aXl)(i) 

14 C.F.R. 

21.249 

21.277 

49 U.S.C. CivU Penalty 

Maximum 

Moderate to 

Maximum 

Minimum to 

Moderate 

Certificate 

Action 

Indefinite 

Suspension of 

TC or AWCs, 

pending 

compliance to 

Revocation 

B-45 
10/01/07 2150.38 

Fig. B-9-C. Designees cont. 

(d) Failure to determine that the 

PC requirements of subpart G are 

met prior to certifying that the 

determination has been made 

(e) Failure to place the 

manufacttiring and quality conft-ol 

data required by 21.143 with the 

data required by 21.293(a)(l)(ii) 

prior to certifying that this has been 

done 

(0 Failure to notify the FAA 

within 48 hours of any change that 

could affect the ability of the DOA 

to meet the requirements in 

Subpart J 

(g) Failure to obtain FAA 

concurrence on the application of 

any equivalent safety provision 

applied under 21.21 

(h) DOA issues new or amended 

TC, or STC, AWC, or AAV 

approval beyond the scope of its 

authorization 

(2) Designated Alteration Station 

(DAS) 

(a) Exercising any authority 

under subpart M without submitting 

and obtaining approval of 

procedures manual 

(b) Performing any DAS 

function affected by change in 

facilities or staff necessary to meet 

the requirements of § 21.439, or ^ 

affected by any change in the 

procedures approved under 

§ 21.441(a) without obtaining 

approval from the FAA for those 

changes 

(c) Failure to notify the FAA 

within 48 hours of any change that 

could affect the ability of the DAS 

to meet subpart M 

(d) Failure, upon reasonable 

request, to let the FAA inspect the 

DAS facility, product, or record 

14 C.F.R. 

21.267(b) 

21.267(d) 

21.245 

21.261 

21.251 

21.441(a) 

21.441(b) 

21.445 

21.449 

49 U.S.C. ClvU Penalty 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Minimum to 

Moderate 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Maximum 

Certificate 

Action 

Indefinite 

Suspension of 

TC or AWC, 

pending 

compliance to 

Revocation 

Revocation of 

certificate 

8-46 
10/01/07 2150.38 

Fig. B-9-C. Designees cont. 

(e) DAS issues STC or AWC 

beyond the scope of its 

authorization 

(0 Issuing an STC involving 

exhaust emissions change 

requirements of part 34 or 

acoustical change requirements of 

part 36 before the FAA finds those 

requirements are met 

(g) For each STC issued under 

subpart M, failure to follow the 

procedures manual approved under 

§ 21.441 or failure to submit 

statement describing the 

requirements in § 21.463(a)( 1) 

(h) Issuing an STC without 

finding that each applicable 

airworthiness requirement is met 

(i) Issuing an STC without 

finding that the type of product, as 

modified by the STC data, is of 

proper design for safe operation 

(j) For each STC issued under 

subpart M, failure to submit the 

copies of the STC or the other 

required data 

(k) For each amendment to an 

airworthiness certificate under 

subpart M, failure to follow the 

procedures manual approved under 

§ 21.441 or failure to follow 

§2l.473(a)-(c) 

(1) Issuing an experimental 

AWC without obtaining from the 

FAA a necessary limitation or 

condition 

(m) Failure to conduct an 

investigation or report the results of 

the investigation or taken or 

proposed action 

14 C.F.R. 

21.451 

21.451(d) 

21.463(a) 

(1) 

21.463(a) 

(2) 

21.463(a) 

(3) 

21.463(b) 

21.473 

21.475 

21.477(a) 

49 U.S.C. CivU Penalty 

Maximum 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate 

Moderate to 

Maximum 

Minimum to 

Moderate 

Moderate to 

Maximum 

Certificate 

Action 

Revocation of 

STC or AWC 

Indefinite 

Suspension of 

STC pending 

compliance to 

Revocation 

Indefinite 

Suspension of 

STC pending 

compliance to 

Revocation 

Indefinite 

Suspension of 

STC pending 

compliance to 

Revocation 

Indefinite 

Suspension of 

STC pending 

compliance to 

Revocation 

8-47 
10/01/07 2150.38 

Fig. B-9-C. Designees cont. 

(n) Failure to submit the 

information necessary for the issue 

of an airworthiness directive 

(o) Failure to maintain, at the 

DAS facility, the required current 

records 

(p) Failure to provide requested 

records to the FAA; failure to send 

data file when DAS no longer 

operates under subpart M 

14 C.F.R. 

21.477(b) 

21.493(a) 

21.493(b) 

49 U.S.C. ClvU Penalty 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Certificate 

Action 

Indefinite 

Suspension of 

STC or AWC, 

pending 

compliance to 

Revocation 

Fig. B-9-d. Technical Standard 

Order Authorization (TSOA), 

Letter of Design Approval, and 

Letter of Acceptance 

Manufacturers 

(1) Unauthorized display of TSO 

marking 

(2) Failure of holder of Letter of 

Acceptance to comply with 

21.603(b) 

(3) Failure to manufacture article in 

accordance with the approved 

technical and quality control data 

and the TSO 

(4) Failure to properly conduct a 

required test or inspection 

(5) Failure to maintain the Q/C 

system to ensure each article meets 

21.607(a) and is in a condition for 

safe operation 

(6) Failure to prepare and maintain 

a current file of complete technical 

data and inspection records 

(7) Failure to permanently and 

legibly mark each article produced 

under the TSOA or Letter of Design 

Approval 

(8) Failure to forward information 

on a minor design change to the 

appropriate Aircraft Certification 

Office 

14 C.F.R. 

21.603(a) 

21.603(b) 

21.607(a) 

21.607(b) 

21.607(b) 

21.607(c) 

21.607(d) 

21.611(a) 

49 U.S.C. ClvU Penalty 

Maximum 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Minimum to 

Moderate 

Minimum to 

Moderate 

Certificate 

Action 

8-48 
10/01/07 2150.38 

Fig. B-9-d. Technical Standard 

Order Authorization (TSOA), 

Letter of Design Approval, and 

Letter of Acceptance 

Manufacturers cont. 

(9) Before making a major change, 

failure to to assign a new type or 

model designation to the article and 

apply for an authorization under 14 

CFR §21.605 

(10) Failure to retain technical data 

(11) Reftisal to permit an 

authorized FAA representative to 

inspect an article, Q/C inspection or 

test, or the manufacturing facilities 

or technical data file 

14 C.F.R 

21.611(b) 

21.613 

21.615 

49 U.S.C. Civil Penalty 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Certificate 

Action 

Fig. B-9-e. Replacement or 

Modification Parts 

Manufacturers 

(1) Production without PMA or 

other authority 

(2) Failure to maintain the 

fabrication inspection system to 

ensure each completed part 

conforms with its approved design 

and is safe for installation on 

applicable TC product 

(3) Failure to ensure that incoming 

materials used in the finished part 

are as specified in the design data 

(4) Failure to ensure that incoming 

materials are properly identified if 

their physical and chemical 

properties cannot otherwise be 

readily and accurately determined 

(5) Failure to ensure that materials 

are suitably stored and adequately 

protected 

(6) Failure to accomplish all 

processing affecfing quality and 

safety of the part in accordance with 

acceptable specifications 

(7) Failure to inspect parts process 

for conformity with the design data at 

points in production where accurate 

determinations can be made 

14 C.F.R. 

21.303(a) 

21.303(h) 

21.303 

(h)(1) 

21.303 

(h)(2) 

21.303 

(h)(3) 

21.303 

(h)(4) 

21.303 

(h)(5) 

49 U.S.C. Civil Penalty 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Certificate or 

Other Action 

Injunctive 

relief 

8^9 

!:« 
I 

10/01/07 2150.38 

Fig. B-9-e. Replacement or 

Modification Parts 

Manufacturers cont. 

(8) Failure to make a current design 

drawing readily available to 

manufacturing and inspection 

personnel or to use such a drawing 

when necessary 

(9) Failure to adequately control a 

major design change or to obtain 

FAA approval of a major design 

change before it is incorporated into 

the finished part 

(10) Failure to segregate and identify 

rejected materials and components in 

such a manner as to preclude their use 

in a finished product 

(11) Failure to maintain and identify 

an inspection record with a completed 

part, or to retain the record for at least 

2 years 

(12) Failure to notify the FAA, in 

writing, within 10 days after 

relocating or expansion of 

manufacturing facilities 

(13) Failure to determine that each 

completed part conforms to the 

design data and is safe for installation 

on TC product 

14 C.F.R. 

21.303 

(h)(6) 

21.303 

(h)(7) 

21.303 

(h)(8) 

21.303 

(h)(9) 

2l.303(j) 

21.303(k) 

49 U.S.C. CivU Penalty 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Moderate to 

Maximum 

Certificate or 

Other Action 

Fig. B-9-f. All Production 

Approval Holders 

(1) Failure to report each 

malfunction or defect specified in 

section 21.3(c) within the time 

specified in 21.3(e) 

14 C.F.R. 49 U.S.C. Civil Penalty 

Moderate to 

Maximum 

Certificate 

Action 

Fig. B-9-g. TC or STC Holder; 

Manufacturers and Alteration 

Entities 

(1) Failure to submit the data 

necessary for the issuance of A/W 

directive containing the appropriate 

corrective action 

14 C.F.R. 

21.99 

49 U.S.C. Civil Penalty 

Maximum 

Certificate or 

Other Action 

Indefinite 

Suspension of 

TC or AWCs, 

pending 

corrective action 

to Revocation 

Fig. B-9-h. AU persons, including 

designees 

(1) Falsificafion of application, 

report, or record 

14 C.F.R. 

21.2(a)(1), (2), 

(3), or (4) 

49 U.S.C. CivU Penalty 

Maximum 

Certificate or 

Other Action 

Revocation of 

certificate(s) 

8-50 
10/01/07 2150.38 

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

designees cont. 

(2) Failure to provide written 

evidence of permission to use an 

STC 

(3) Failure to provide written 

evidence of permission to use a TC 

(4) Changing a product based on an 

STC without being the holder or 

having the permission of the STC 

holder 

(5) Manufacturing a product based 

on a TC without being the holder or 

having permission of the TC holder 

14 C.F.R. 49 U.S.C. 

44704 

(a)(2) 

44704 

(a)(3) 

44704 

(a)(2) 

44704 

(a)(3) 

CivU Penalty 

Minimum 

Minimum 

Maximum 

Maximum 

Certificate or 

Other Action 

10. AIRCRAFT OWNER/OPERATOR REGISTRATION VIOLATIONS 

Fig. B-10. Registration. 

(1) Operation of an unregistered 

aircraft 

(2) Operation of an aircraft without 

an effective (14 C.F.R 47.41), valid 

(14 C.F.R. § 47.43) certificate on 

board 

(3) Operation outside U.S. on pink 

copy 

(4) Operation in U.S. on pink copy 

without compliance with 14 C.F.R. 

47.31(b) 

(5) Failure to remm an ineffective 

or invalid aircraft registration 

certificate 

(6) Failure to submit triennial 

report 

(7) Failure to submit required flight 

information 

(8) Failure to submit change of 

address 

(9) Failure to submit required 

dealer information 

14 C.F.R. 

91.203 

(a)(2) 

91.203 

(a)(2) 

91.203 

(a)(2) 

91.203 

(a)(2) 

47.41(b) 

47.43(b) 

46.51(d) 

47.9(0 

47.45 

47.71 

49 U.S.C. 

44101 

44101 

44105 

44105 

CivU Penalty 

Maximum* 

Minimum 

to 

Maximum* 

Minimum 

to 

Maximum* 

Moderate 

to 

Maximum* 

Minimum 

Minimum 

to 

Moderate* 

Minimum 

Minimum 

to 

Moderate 

Certificate 

Action 

30-90 day 

Suspension of 

pilot certificate 

30-90 day 

Suspension of 

pilot certificate 

30-90 day 

Suspension of 

pilot certificate 

30-90 days 

suspension of 

pilot certificate 

Revoke aircraft 

registration 

certificate 

Suspension or 

revocation of 

registration 

certificate 

8-51 
10/01/07 2150.38 

Fig. B-10. Registration cont. 

(10) Use ofregistered aircraft to 

carry out or facilitate unlawfiil dmg 

activities 

14 C.F.R. 49 U.S.C. 

44106 

(b), 

44710 

CivU Penalty Certificate 

Action 

Mandatory 

revocation of 

aircraft 

registration 

certificate and 

of all other 

certificates of 

aircraft 

registration 

issued to its 

owner, and 

revocation of 

all airman 

certificates 

* Civil penalty action applies only if owner/operator is different from pilot. 

11. ALL INDIVIDUALS AND ENTITIES. FaUure to surrender suspended or revoked 

certificate, authorizafion, or other approval 

Fig. B-11. Civil Penalty 

(I) Individual Moderate c.p. per day, with the total c.p. generally S5,000 to $11,000 

(2) Entity Moderate c.p. per day, with the total calculated under the Multiple Act policy 

8-52