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

FEDERA L AVIATIO N ADMINISTRATION ,

Complainant , vs . JOSMA N BLYTHE .

Respondent . 

# RECEIVE D JU L 

## 0 | 201 0 

# HEARIN G DOCKE T FAA Docke t

No . CP10SO000 5 Judg e Benki n

COMPLAINANT' S WITNES S AND EXHIBI T LIST S Th e Complainant , b y an dthroug h hi s undersigne dattorney , hereb y submit s i n accordanc e wit h th e Administrativ e Judge' s Orde r Postponin g Hearin g serve dJun e 7 , 2010 , th e Complainant' s Witnes s an dExhibi t list s a s follows : I . WITNES S LIS T (th e followin g individual s ar e potentia l witnesse s bu t

ma y no t al l b e calle dt o testify) : a . Clemen t

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

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

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

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

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

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

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

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

no t limite dto her knowledg e o f

Respondent' s action s o n Delt aFligh t 71 .

c . Tatsuy aOn o 3 3 Barker Avenue , Apt . 4 G Whit e Plains , N Y 1060 1 Ms . On o i s employe da s aflight attendan t b y Delt aAirlines , formerl y Northwes t Airlines . On o r abou t Jun e 4 , 2009 , Responden t wa s atickete dpassenge r o n Delt aFligh t

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

o n Fligh t

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

no t limite dt o he r

knowledg e o f

Respondent' s action s o n Delt aFligh t

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

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

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

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

no t limite dt o he r

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

b y Delt aAirlines , formerly Northwes t

Airlines . O n o r

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

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

o n Fligh t

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

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

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

i s employe da s aflight attendan t

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

abou t Jun e 4 , 2009 , Responden t was atickete dpassenge r o n Delt aFlight 71 , fro mDetroit , Michiga n t o Nagoya , Japan . Mr . Ferre r wa s aflight

attendan t

o n Fligh t 71 . Mr . Ferre r

i s expecte dt o testif

y includin g bu t

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

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

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

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

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

no t limite dt o her

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

y includin g bu t

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

i s employe da s a

n Aviatio n Safet

y Inspecto r

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

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

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

y includin g bu t no t limite dto he r

knowledg e o f

th e investigatio n o f

th e incident .

### j . To mFrish e 1700 Columbi aAvenu e Colleg e Park , GA 3033 7 Mr . Frish e i s employe da s a n Ai r Carrie r Operation s Specialis t

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

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

### II . EXHIBI T LIS T

Th e Complainan t

may proffer

th e following : A- 1 Northwes t

Airline s Electroni c In-flight Inciden t Report file db y Purse r

Clemen t St . Louis , an dflight

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

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

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

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

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

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

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

fromflight

attendan t Nanc y Nyber g A- 6 Emai l communicatio n regardin g inciden t fromJeffrey Worth y A- 7 Josma n Blythe' s respons e to th e Lette r o f Investigatio n date dJul y 4 , 200 9 A- 8 2150.3 b Appendi x B ; Enforcemen t Sanctio n Guidanc e Tabl e Copie s o f th e above-identifie dexhibit s ar e attache dt o thi s submissio n an dhav e bee n provide dt o th e Administrativ e Judg e an dRespondent . Complainan t als o reserve s th e right t o lis t additiona l exhibits , a s the y becom e know n an dt o introduc e othe r exhibit s fo

r purpose s o f

impeachmen t

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

NICOL E L . JACI^O N Attorne y Offic e o f th e Regiona l Counse l

### CERTIFICAT E O FSERVIC E

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

vi a facsimile , withou t

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

o f Transportatio n 1200 Ne w Jerse y Avenue , S.E . Eas t Buildin g Groun dFloor , El2-32 0 Washington , D C 2059 0 (FAX ) (202 ) 366-753 6 Josma n Blyth e c/ o Dougla s Blyth e 53 6 Medcal f

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

JU L 0 6 201 0 Date d2. Z

?C 3 o ; ;

" s
o w 5i & ^(f l *•• § O S .

• n 3 ^ 5

- 

## g

r 

## 5 o U ) c ! 4 < ^

• D 0 1 i n m

- 1 

## 3 it i 

## 3 S 

# s •f l 

## d o 2

a ^ . w O o ^ A > o ^-. . U l > 2

3 a 6 1 3 a n

0 0 2 o .- , (/ I L J

- . D T 3 - ^ C ;; ! f D > < • A 

## ; v ( t a 

# i I

n

4 i > > O O O O V 

# ^ ^ ^ ^ t ^ ^ ^ ^ > ^ o o o o > > c
> a X o 

# 3 o z > z o o o z o o z tf) o o 3 T J D l 3 • < > > ( j j

>

m < A 3 f * tf)

5 o o U P o cr > o .( » o o o 

### 8 u o M O O v O O a > o o o o

t o

( D >

> 5 " O < • A 

### a . A a > 3

» z 

# I I

ii '

3 

### 8 r r O 3 0 3 O o o ) • ••.ij»-^_v;<-:-.'_ . . o o o o c 1 3 M O O o 

### •e~f e

— 2

l a

a i M A 8 £ S 

# Ii . 

# a 3 3 3

« 

# M

n s 

# E f Z

# s . 

# J n

c 

# s O J D n

- 1 c ( D A > ^ o 2 C ! « U I > ^ n

- I c r r

• 0 c A 

### < 

## 5 U ) o U I ~ * • > ^ U I > U I > T 3 C t/ i ^ T i >

• D C ;; ! A 

# 5 o l O 

# FO R OFFICIA LUS E ONLY - n N J o o v n o (T > o o o o - v l - n o o vf i o (7 1 

### g o C 3 O

- - J A

T A 3 

## s Z c 

### 3 o z

o 

## 8 S U J U J o o

O O l v- j c N J O O U 3 O N J 2 U J U J U J u o • J o U J o

(T V 0 0 N J O

<T> t - * U J o

( T i O A

l- ^ N J N J O l O

2

A

A

a i A ( A C o r 

### 3 

## 5

A

3 3- m

3 0 1 

### 3S 3 A i n @ 

## 5^« ^ •T 7 o D A

(T . V I s m ^ 3 A A O O .^- ^ T J 7 » 0 1

n A U J O i U 3

m 3 Q l 

### " ~

3 OJ S A D (t) A (/ I o 

### @ D S O J h o

m 3 0 1

O I n 

# i i

0 1 •5- 3 A C r r A ® 3 S

m 3 0 1

S T 0 ) c r c 

### - < 0 1 b 3 o ® 3 S 0 1 n o 3 • 0

3 - O 3 A

N J A 0 0 O i N J I J l U ) o

- D 3 - 3 A

N J 4 ^ 0 0 o 

### ^

• D 3 A \ o I - * 

### ^ V I V O V O M 

### »- » s m 

### ° 3 1 3 5 " 

### -< : ra A 0 1 a CTi \ 0 o o Z 0 1

7 v 0 1

- 1 A 3 7 3 O 2 " A ; 4 U l 

### S

^ A " m ^ 3 T 3 O -< A A c r 0 0 V D U J N J z

0 1 3

o 

### • <

o 1 3 

### » 

## ± l O 3 - A V I 

# s c s m " 3 T 3 O

- e A A O N J N J U 3 U I Z

O J

- H 0 1 c r c O 3 O 

### n O 

### z m < n 

### a 

## Q 2 o Z 

# 3 o z 0 \ 

### w m I • n I O 

### o « 

### o o I 

### o o o M I 

## o I O a \ 

### w o ( 0 I V O

# E

S-o

—a <2 § c g cr . b o o t o 

# i f ^ 

### S O J

A > z O 3 H o 0 1 o

- 1 A s 2 A 3 U l o 3 ; ?

A 3 . 3 3 - o < A

A

A

o 3 > U l

> 

# I

i . 5 o S . O J O 3 A 3

A A

3 IC I 

### ^ ? X

• a . 0 1 3 " < o 3 " 

# i S ! - t; , K= > A o -C

- U l ^ A 0 3 • ^ ^ 

### S 3 r r A 3 f- r O 3 9 1 < 5 ; c I D r r o ' 3 " U c ^ ^ 

# 5 % I T O i 3 3 U 3 5 ' i n A o ; r r A U J 0 3 s 3 0 1 U l 7 ^ A Q . C X
• < o 5 s s o

> U l D • o 0 1 w A T I Q . 0 1 

## ° i A > 

## a a A 3 a A 3 Q &

A O 3 ;« r 3 O i 3 "S . • < o X 

## s f- r A Q . U J O

O

o . 

### 8

U J o

3 z C 3 

## i r V I V I o . o 3 Z c 3

• o z X V I >

o . a " T A VI VI z 3 A 

# ^ s

3 A 

## < s m z

- I

• o m U l ^ U l

>

4 i >

3 0 3 A

0 ) J f 3 _ 5 " l O 0 3 A 3

- 6 1 <

• D C

- I V I A

^ o n S |

Q.Q.3 - SSO J 0 1 p 3 ( o 5! 3 A(QI£ 3 n r 3 i A 0 1 C 3^J ^ P rA U J 3 - = 0 3

• ^ S A S 2'C L i n A Q . in - 2 >

• D 

# I f

• D o- < O J 3 A < * CT9

- , 5 A ^ A ni- ' 3 - ^ 0 1 O J <- < O 3 -"I D o = - 

# ^ 1 A 3 : ^ A PD . 3 I p >
( n < A m < 3 0 > U J N J m o o V O o a \ o 4 k o o o



### o o \ w o V O I M VO

? I A O

J ~ 

## 5 ^ o tf» o o c 3

o

. c

o o D

T 3 

# 5 -3 r n 3 - 9 L 

# i 0 1 c 

## 5 o

U l c . 3 - A 

### 1? A

•3 . < 

## ?

& r t o 3 

## S & a 0 3 

## g' 8 f ^ 3

< 5



# FO R OFFICIA LUS E ONLY2. S a Q l- Q 

### s o 

## i | 

# I f U l > ? (

6 Aa . 3 3



# I 5

> U ) 

### c 

### z z >

- < o • n m 

### z

- 1 9i . 0 1 c 3 - O A ' i n 

### a A 

# 1 S " i n E 3 Q . 3 t o 0 1 A

• < 7 3 C A I - 

### 5 

## s ; A 3 A 3 A S 3 A c r 3 1 ICl ' 3 -

. - s 

### ? A 

### > 5 2 O J I d A 3 5 «- r 3 S 3 1 I D 3 - 

### "9 C 

### ;; ! A ( — 5 •j y I T

- 1 A 

### 5 ^ V ) n 

### 8 3 s r ft 

### S. T J C A I— 

### 5 1/ 1 (- r O • D T 3 & O i n o o _ w 0 ) 

### i . o A 

### ?

- 1

- 1 

# 1 <

- 1 i O J 3 3 t o T l C A 

### ^ 1 - 

### 5 m 

### < n 3 M O N J ( A ) S J m 1 • n M 

### o o V O 

### o 0 » 

### o o o o V I h » 1 

### o H 1 O o > w o V O 1 V O



# FO R OFFICIA LUS E ONLY2, 2 

# i s i s

O r o i s Q -

t o 5 1

e n

• ? ? 

# I r - O C I

m O Z 

# 3 o o c

T J 

# I 3 

# a^ o i 

# ^ 3 o z • n 

### z m X m 

# I S 8 E o c ^ > ^ V« l D U J

o

i

• < Si . n o 3 - O 

### S "

I D A

A 0 1 >



# FO R OFFICIA L US P ONL Y U J > A 

### 5 O - w H -"r rO 3 - O Z 3 in'

^ ^^ . 0 Q. ^ A " r-rW l 3 3 " i n ^ 0 1 < D - D . on , 3 - O J 3 a A Q . Q . o D . A

A 

### s o c _ O L < " A 3 - 0 1 a .

3 - O l 3 Q . i 0 1 c

i n A

0 1 3 O - • < o c

I D A

n 3 - A < 5 3 I D 

### 5 j

n Q . O 3 _ i n f t c 0 1 i- r o ' 3 o 3 A T 3 A < A 3 t - t Z T o c I D z r r r 3 - 

## s

A A O 3 • 5 = <

A 3 

# i' z A 0 1 V I c 

### 8 > m < 3 0 ^ N J W •t k N J Q l ^fr*- r- n Q.5' w int o

5 c r • o <

n Ln3n/i2>>H 2 03- D 

# ifllli^iilii i

O O 0 1 r r 3 c Q.3-C 3 i n- • o "'•< ' r r i n -^[ y r r

. 2 " 3 ""is . ^Au^ g 

# ^slp ' 3-c>oS:5 - A 3 3 - 3 - : 3 Q-Q.r>-O I ! ^ o o o .t

^ 3 , „ " " m •OAgq S i a-Q J * TM S - D . < Q- A 3-f B 3 C Q . ^^< ^ A 3 f t • 0 1 i n r r

S ^ 3D

- 

## !^^? ^ or=-Ai ^ mOS^03C03X3 A

olSmZ^I^HSl - ZOW(°003r-^ 0 On;x^2§"j52 S 3i2z:J3ni2Hx° - 0TMCiomtnS^j-l3 - C2^^O'~2O..0 i rn^Z<^.-OC>i n Hm5H^2>^2. 0 m_|-^m"imj,"^ < 

### S „"TITI-I" H -" ^ ';n22jD_<z3j. n l/l_,>?o05>niF? i -l32^2i4ii2H 5 ^TiS^iCH^giS . ?°Sc^222| a SL S 1 1 K J O 

### o V O 

### o o \ o o o o N l I 

### o o a \ w o V O I V O

; j < AA !A5^"§ - °-Q,cr r 

# Pi s

* 1 D O 3 ^ r r i n c r 

## 3°gf g am , ^ 3 

### R?5 A ^

> L H S C m 'J

J o n 

# S s §^2zS-2"^i S

A !

Ar r O A 

### 5xTM^od^° ^ iS0i0rn:2 H

2-j?35r-2m(/)j .

H O Z 

# H i

I D O ^^ O AS?; ^ o3> H i n—O J n i

I D < ^ —

—A3-r i 3 - J = 0 )

A„ , A 3 Ol^^Q. ^ J O O

- 3

- 5 3 - n A A n = 5 A 3« o = B3- 0 A^^ 3 -•3-i n • ^ AC Q." " 5 " * O r r Q * 3 5 3<5 ? Igrr S A3- _ ?«" §

w A ^ A 3 3 A 5 ^ Q l ^.-Ar f J T = = A< 3

- Sq-- 3 5 « A 

### SRepor t ID : 31122 1 Referenc e Number : F20090604-00071-DTW-06315-40- 1 Dat e Submitted : 1 6 Ju n 200 9 11:1 5 A M Company : NW A



# 5 

# I I C O 62110 5 Su e Crag g 61 0 585-649 4 sue.cragg@nw aco m 923 1 Eagl e Vei w Driv e 0007 1 DT W NG O 04Jun0 9 0631 5 B747-40 0

5 D N Cruis e DTW Employe e Inrormatio n Employe e I D Firs t Nam e Las t Nam e Hom e Phon e Numbe r Emai l Addres s Addres s Fligli t Informatio n Fligli t Numbe r Origi n Destinatio n Fligli t Dat e Aircra n Numbe r Aircraft Typ e Even t Informatio n Positio n o r

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

Bas e Even t Typ e Summar y o f

Even t Passenge r

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

• Appeare dIntoxicate d

• Faile dt o Follo w Cre w Orde n o r Instruction s

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

(physica l contac t

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

• Toward s Cre w Membe r

• Push/Shov e Threat s Apparen t

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

thi s poin t

th e purse r

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

a t thi s poin t

so , I serve dhi mone . 1 lef t th e galle y for

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

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

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

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

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

n I ca n be , jus t

wai t unti l w e ge t

t o NGO" . H e continue dt o peste r th e cre w f

< alchoho l th e remainde r

for th e flight . ••.jjtf c pax shove dpurse r

whil e i n disput e abou t

bein g cu t

of f fro malcohol . Pax repeate dtol dt o tak e seat . Procee dt o continua l as k fo r mor e t o drink .

Preventiv e Measure s 

## PagdLp J 

# X

pag « 1 o f 2 NOTE : DO T FA A Orde r8(X)0.8 2 designate s informatio n receive d b yth e agenc yfro m a n Aviatio n Safet yActio n Progra m (ASAP ) a s protecte d fro m publi c disclosur e i n accordanc e wit h th e provision s o f TKI e 1 4 o f th e Cod e o f Federa l Regulation s (1 4 CFR ) par t 19 3LO G PAG E INFORMATIO N



# FO R OFFIOA LUS E ONL

YST ^

pag e 2 of 2 NO-fE : DO

T FA A Orde r6000.6 2 designate s informatio n receive d bytn e agenc yfro m a n Aviatio n Safet

yActio n Progra m (ASAP ) a s protecte d fro m publi c disctesur e i n accordanc e wit h th e provision s of Titl e 1 4 o f th e Cod e o f Federa l Regulation s (1 4 CFR ) par t 19 3Repor t ID : 31076 2 Referenc e Number : F20090604-00071-DTW-06309-29-1 1 Dat e Submitted : 0 8 Ju n 200 9 07:3 1 P M Company : NW A



# < n Employe e Informatio n

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

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

Bas e Even t Typ e Summar y o f

Even t Passenge r

Misconduct/Threatenin g Behavio r

• Alcohol/Dru g Even t Nam e c3239 6 Ricard o Lopez-Castill o 76 0 822-199 0 ricardo.Iopezcastillo@nwa.com 157 8 Jonatho n St . Vista , C a9208 3
0007 1 DT W NG O 04Jun0 9 0630 9 B747-40 0 3 8 N Cruis e DT W Passenge r

ha dalittl e to o muc h t o drink .

Josma n Blyth e Addres s State/Provinc e Phon e Identificatio n Number/PN R Identificatio n Numbe r

Issue d Fro m

• Appeare dintoxicate d Leve l o f Involvemen t Cit y Countr y Posta l Cod e Sea t Worl dPerk s Numbe r Violato r

Threat s Apparen t

Intoxicatio n Infligh t Error s Even t Summar y Even t Suimnar } 

## ["7^ 1
Preventiv e Meaiure s ^ LO G PAG E INFORMATIO N Si^cc^jra ^ i H I serve dMr.Blythe , sittin g o n 438 , on e re dwin e befor e diruie r an dtw o Dewar s o n th e rock s durin g th e res t o f hi s meal . B y th e tim e [ wa s read y t o g o o n fu^ t break , I notice dthat

h e ha dabee r

ca n o n his^inne r

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

4 t 6 kee p an ey e o n hi msinc e h e appere dintoxicated . A s I wa s walkin g towar dth e bunks , I sa w Clement , ou r purser , talkin g t o M r

Blythe . Fe w hou r

later whe n I cam e bac k

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

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

pag e 1 o f 1 NOTE : DO

T FA A Orde r8000.6 2 designate s informatio n receive d byth e agenc yfro m a n Aviatio n Safet

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

f Federa l Regulation s (1 4 CFR ) par t 19 3Repor t ID : 31073 5

Referenc e Number : F20090604-00071-DTW-06309-29-1 0 Dat e Submitted : 0 8 Ju n 200 9 12:1 1 P M Company : NW A



# o a » Employe e Informatio n

Employe e I D Firs t Nam e Las t Nam e Hom e Phon e Numbe r Emai l Addres s Addres s Fligh t Informatio n Fligh t Numbe r Origi n Destinatio n Fligh t Dat e Aircraf t Numbe r Aircraf t Typ e Even t Informatio n Positio n o rSea t Assignmen t Fligh t Diverte d ? Diverte d t o : Fligh t Phas e Fligh t Attendan t Bas e Even t Typ e Summar yo f Even t Passenge rMisconduct/Threatenin g Behavio r • Alcohol/Dru g Even t Nam e Josma n Blyth e C2996 3 Jeffre y Ferre r 253951407 6 Jeffrey . ferTer@nwa.co m

0007 1 DT W NG O 04Jun0 9 0630 9 B747-40 0

4 D N

Cruis e DT W

F A A ai rtraffi c controlle rwa s overdrinkin g an d refuse d t o tak e cre w orders/instructions . Demande d mor e alcohol .

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

• Appeare dintoxicate d

• Faile d t o Follo w Cre w Order s o rInstruction s

• Refuse d t o b e seale d whe n sea t bel t sig n illuminate d

• Adul t Passenge r • Passenge reventuall ycomplie d

• Pleas e provid e ho w man ytime s th e reques t wa s mad e prio rt o passenge rcompliance:Althoug h I a m unsure , I ca n a t leas t remembe rmor e tha n 5 time s th e passenge rwa s told . • Threatenin g Behavior/Passenge rDisruptio n • Leve l 2 Threa t (physica l contac t perso n intentionall yviolate s th e physica l safety/securit yo f anothe rthroug h actua l physica l contact )

• Toward s Cre w Membe r

• Push/Shov e 

### Page_JLo f .rr ^ pag e 1 o f 2 NOTE : DO T FA A Orde r800 0 8 2 designate s informatio n receive d b yth e agetK yfro m a n Aviatio n Safet yActio n Progra m (ASAP ) a s protecte d trxj m publi c disclosur e i n accordanc e wit h th e proviskm s o f Titl e 1 4 o f th e Cod e o f Federa l Regulation s (1 4 CFR ) pa n 19 3• Other:place s hi s entir e armaroun dpurser' s shoulde r an dnec k

area ; touche s femal e FA
• Action s take n • Defusin g technique s • Verba l wamin g • Stoppe dalcoho l servic e • Law enforcemen t

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

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

Preventiv e Measure s LO G PAG E INFORMATIO N Passenge r Blyth e complaine da s t o wh y h e coul dno t hav e severa l drinii s a t

on e time . H e iia dbee n drinkin g free alcoho l a s mentione di n announcements . Earl y on , a n F A cu t hi moff H e the n demande dt o tal k

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

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

tol dhi mtha t

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

exactl y 2 hours , h e aske dm e for

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

i t wa s o k t o serv e Mr . Blythe . Purse r sai di t wa s ok . H e gulpe di

t dow n i n les s tha n 2 minutes . H e aske dfor mor e alcoho l fromothe r FA s wh o wer e workin g firs t

break . Sinc e w e fel l Mr . Blyth e wa s ou t o f contro l i n hi s alcoho l consumptio n an dcoul dhardl y wal k straight , th e purse r

tol dhi mtha t

h e wa s cu t

of f fo r th e res t o f th e flight . H e refijse dt o si t dow n an dargue dwith th e purse r I hear dbot h purse r

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

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

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

Mr . Santo s o f

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

hi s hea do n bathroo mdoor . M r Santo s ha dearlie r

tol dm e tha t

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

t o kno w ho w muc h alcoho l apassenge r ca n tak e an db e fine . 1 thin k free alcoho l shoul db e limite dan dno t openl y advertise di

n announcements . I f

advertised , purse r

briefing s shoul dinclud e limi t

t o alcoho l servic e pe r

passenger , etc . However , i n thi s case , passenge r Blyth e ha dFA A badg e hangin g o n hi s perso n an dn o cre w membe r woul deve n thin k

tha t th e violato r woul db e a

n FA A badge demployee . FA A shoul dtal k t o thi s employee .



## IWII«"*$1 ^ 

# FOROFFieiAl.ySL C ^^M V

pag e 2 o f 2 NOTE : DO T FA A Orde r8000.6 2 designate s kifonnatio n receive d b yth e agenc yfro m a n Aviatio n Safel yActio n Progra m (ASAP ) a s protecte d fro m publi c disdotur e i n aocordano a wit h th e proviskjn s o f 7111 0 1 4 o f ttie Cod e o f Federa l Regulation s (1 4 CFR ) par t 19 3"Lemieux , Michae l L " <michael.Iemieux@nwa.co m > 06/30/2009 08:3 9 A M T o Conni e Reimer/AGL7FAA(a)FAA c c Ja yLivesey/AGLj'FAA(§)FA A bc c Subjec t FW : Fi t 7 1 /

04Jun0 9 /

DTWNG O - Distruptiv e Passenge r


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

# FO R OmCIA L US E ONL

Y He m O fRoot ' ExWbiL , m PageJLjo ^ i -i -cal l yo u t o as k i f yo u wer e involved . Thank s an d enjo yyou r summer .

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

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

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

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

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

- 123 4

- 066 9

- 232 3

- 121 1

- 320 4

- 319 5 03 2

04 8 05 4 00 0 00 4 00 6 00 7 00 8 9 4 0 0 9 6 0 5 8 7 6 1 7 8 7 9 6 5 5 2 4 5 8 7 1 9 1 4 0097 6 0113 9 0574 7 0153 2 0219 F 0223 F S T LOUIS , CLEMEN T

ONO , TATSUY A FERRER , JEFFRE Y HARBICK , PATRICI A FETTING , CARO L A WATTS-D•ORRA , PAT R NYBERG , NANC Y LYN N JONES-HUGHES , CYN T GILL , GENEV A ROBERTSON , KARE NL LOPE Z CASTILLO , R I CRAGG , SU E A . TAIRA , MA O SONE , MIR I Thanks , 

# FO R OFRCIA LUS E ONLY Page.^o' .Michae l Lemieu x

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



### RemofPioc ^ 

# FO R OFRCIA LUS E ONL

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

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

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

### itemotProo l ^ 

# FO R OFFICIAL'"J cOMI Y^Tlif e • vKoji-san ,

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

-'-'-.( f 

# FO R OFFICIA LUS E ONl v^!S^ ^

### Mr . J Blyth e

62 9 Starboar dRoa dN W Shallotte , N C 2847 0 "^^'V^ D Mr . Vanc e Harri s 0 $ 2f)Q g Supervisory Principa l Operation s Inspecto r ^^f^/

i Federa l Aviatio n Administratio n ^^^ ' Jul y 4 , 200 9 Fil e #20098027026 3 Dea r Mr . Harris , I apologiz e for

takin g s o lon g t o reply . I a mcurrentl y outsid e th e conu s an dwil l b e remainin g s o fo r

th e nex t severa l years . After

learnin g o f

you r letter , I emaile dthi s t o a friendt o forwardt o you . M y tri p oversea s wa s alon g an darduou s da y causin g m e t o b e u p ove r 2 4 hours . Whe n I boarde dm y flight i n Detroit , I foundth e stewar dt o b e rud e an dcondescending . I f I aske daquestion , h e woul drol l hi s eye s a t m e befor e replying . Whethe r h e wa s jus t havin g abadday , o r

ha dpersona l issues , I d o no t know . Durin g th e cours e o f th e flight, th e passenge r

nex t t o m e becam e extremel y inebriate dand , upo n standin g up , passe dout i n th e eiisle . Thi s furthe r

exasperate dth e moo do f all involved . Late r

i n th e fli^t, th e stewar dan dI exchange dsom e word s an dI use dsom e epithet s I shoul dnot have . H e too k great offence . Ou r

word s wer e betwee n u s onl y an da t n o tim e di dI disrup t

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

interfer e with th e flight

crews ' performanc e o f

duties . I spok e t o th e hea dstewar dlate r

o n an dexpresse dmy apolog y for m y choic e o f

word s an dmy desir e t o hav e a

n uneventfu l tri p withou t incident . The res t o f th e tri p wa s uneventful . Upo n arrivin g a t NGO , I spok e t o airport securit y abou t

wha t ha doccurred . The y talke dfirs t han dt o al l partie s involved . Ther e were n o problem s a t

that tim e an dth e situatio n appeare dcompletel y mollified . I t was decide dI woul djus t

tak e th e nex t

flight an dI was issue daboardin g pass . Thi s wa s simpl y apersonalit y conflic t betwee n mysel f

an dth e stewar dtha t

I though t ha dbee n worice dou t

withou t event . Sincerely ,

Mr . J Blyth e

€/ > 

## ItemotPrw^y- ^ 

# Page—L^-i— •

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

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

after Octobe r 1 , 2007 . Fo r

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

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

Secretar y for

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

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

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

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

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

occu r o n o r afte r Decembe r

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

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

i n it s fieldo f

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

an ddefin e busines s concer n a s 

### B- 1

### 10/01/0 7 2150.3 8

" abusines s entit

y organize dfo

r profit , wit h aplac e o f

busines s locate di

n th e U.S. , an

dwhich operate s primarily within th e U.S . o r which make s asignifican

t contributio n t o the U.S . econom y through paymen

t o f taxe s o r us e o f America n products , material s o r

labor. " 1 3 C.F.R . § 121.105 . Th

e SB A regulation s furthe

r defin e smal l busines s concer

n i n tables , describin g each kindo

f entit y by it s economi c activit

y or industry , an

dlistin g th e limit

fo r smal l b y annua l receipt s or , mor

e commonly , numbe

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

r the Nort h America n Industr y Classificatio n Syste

m(NAICS). ) Fo

r the complet e list , se e 1 3 C.F.R . § 121.20 1 or the SBA' s websit

e a t www.sba.gov . Thus , i

f aperso n meet s the definitio n of

busines s concer

n an dha s annua

l receipt s or

the numbe

r o f employee s within the applicabl e SB A limit , i t i s asmal l busines s concern , an dth e FA A will determin e the civil penalt

y usin g the applicabl e range . Limit s fo r common aviatio n entitie s follow (in number s of

employees , unles s otherwis e noted) . Manufacturing Aircraf t - 1,50 0 employee s Aircraf t engine an dpar t - 1,00 0 employee s Othe r aircraf t par t an dequipmen

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

r - 1,50 0 employee s Scheduledfreigh

t - 1,50 0 employee s Nonschedule dpassenge

r - 1,50 0 employee s Nonschedule doffshor

e marine passenge

r - $25. 5 millio n annua

l receipt s Nonscheduledfreigh

t - 1,50 0 employee s Nonscheduledoffshor

e marine freigh

t - $25. 5 millio n annua

l receipt s Othe r nonschedule d- $6. 5 million annua l receipt s Suppor t activitie s - S6. 5 million annua l receipt s Fligh t Training - $23. 5 millio n annua l receipt s Airpor t operation s Airpor t operator , organize dfo

r profit - $6. 5 millio n armua

l receipt s Othe r operations , excludin g air

traffic contro l - $6. 5 millio n annua l receipt s Note tha t the following guidanc e use s larg e busines s concer n fo r som e civi l penalt

y ranges . Tha t i s no t astatutor y o r regulator y ter mfo r purpose s o f

FA A enforcement : It

include s each busines s concer

n tha t exceed s th e maximu

mlimit fo r small busines s concern , a s well a s an y othe r entit y tha t doe s no t mee t the definitio n o f

"small busines s concern. " c . Civi l Penalt y Ranges . For

the purpos e o f

thi s table , when civi l penalt y actio n i s recommendedanddescribe da s Minimum, Moderate , o r Maximum, th e penalt

y range s ar

e definedi n subparagraph s (1 ) through (9 ) o f thi s paragraph . Note tha

t th e middl e o f

eac h recommendedsanctio n rang e wouldb e fo r asingl e violatio n without

aggravatin g o

r mitigatin g factors .

B-2

### 10/01/0 7 2150.3 8

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

carrie r operatin g unde r

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

n annua l operatin g revenu e o f

$100,000,00 0 o r

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

carrie r o r commercia l operato r

operatin g unde r

part 12 1 with a

n annua l operatin g revenu e o f

les s tha n $100,000,000 , o r unde r part 13 5 with an annua l operatin g revenu e o f

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

ha s 5 0 o r

mor e pilot s an d2 5 o r

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

### "Ai r

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

carrie r o r commercia l operato r

operatin g unde r

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

carrie r o r commercia l operato r

operatin g unde r

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

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

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

### 8- 3

### 10/01/0 7 2150.3 8 Maximu m$16,250-$25,00 0 Moderat e $8,750- $ 16,24 9 Minimu m$l,850-$8,74 9 GROU P 1 1 - smal l busines s concer n (fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$8,250- $ 11,00 0 Moderat e $3,850-$8,24 9 Minimu m$935-$3,84 9 GROU P 1 1 - smal l busines s concer n (fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$750- $ 1,100 Moderat e $450- $ 74 9 Minimu m$250 $ 44 9 GROU P II I -fo r

violation s covere dunde r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$7,150- $ 11,00 0 Moderat e $3,300-$7,14 9 Minimu m$825-$3,29 9 GROU P II I - fo

r violation s covere dunde r 4 9 U.S.C . § 46301(a)(lXA ) o r (B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A) :

Maximu m$650- $ 1,100 Moderat e $400- $ 64 9 Minimu m$150- $ 39 9 GROU P IV -fo r

violation s covere dunde r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$4,400- $ 11,00 0 Moderat e $2,200-$4,39 9 Minimu m$550-$2,19 9

GROU P IV - fo

r violation s covere dunde r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A) :

Maximu m$500- $ 1,10 0 Moderat e $300-$49 9 

### 8- 4

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

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

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

n (fo r violation s covere dunde

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

n (fo r violation s covere dunde

r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximum$750- $ 1,10 0 Moderate $450-$74 9 Minimum$25 0 $44 9 (4 ) VIOLATION COMMITTE D B Y AI RAGENC Y (INCLUDIN G REPAIRSTATION) . Larg e Busines s Concern : Maximu m$16,250-$25,00 0 Moderate $8,750- $ 16,24 9 Minimum$l,850-$8,74 9 Smal l Busines s Conce m(fo

r violation s covere dunder

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

### 10/01/0 7 2150.3 8

Small Busines s Concem(fo r violation s covere dunde

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

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

T OPERATOR . Larg e Busines s Concem : Maximu m$18,750-$25,00 0 Moderat e $10,000- $ 18,749 Minimu m$2,000-$9,99 9 Small Busines s Concem(fo r violation s coveredunde

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

r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t not unde r 4 9 U.S.C . § 46301(a)(5)(A)) : Maximu m$850- $ 1,10

0 Moderat e $650-$84 9 Minimu m$50 0 $64 9 (6 ) LARG

E BUSINES S CONCER

N - DOES NO T HOL

D CERTIFICAT

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

L BUSINES S CONCER

N - DOE S NO T HOL

D CERTIFICATE Fo r violation s coveredunde

r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$4,400- $ 11,000 Moderat e $2,200-$4,39 9 Minimu m$550-$2,19 9 8- 6

### 10/01/0 7 2150.3 8

Fo r violation s covere dunde r 4 9 U.S.C . § 46301(a)(1)(A ) o r (B ) bu t no t unde r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$500- $ 1,10 0 Moderat e $300-$49 9 Minimu m$100-$29 9 (8 ) VIOLATIO N RELATIN G T O TH E TRANSPORTATIO N O FA HAZARDOU S

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

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

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

o r Operator ) o r

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

Maximu m$850- $ 1,10 0 

### 8- 7

### 10/01/0 7 2150.3 8 Moderat e $650-$84 9 Minimu m$500-$64 9 OTHE RINDIVIDUA

L - NO T SERVING I

N CAPACITY O

FAIRMAN . Fo r violation s coveredunde

r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$4,400- $ 11,00

0 Moderat e $2,200-$4,39 9 Minimu m$550-$2,19 9 Fo r violation s coveredunde

r 4 9 U.S.C . § 46301(a)(lXA ) or (B ) but not unde r 4 9 U.S.C . § 46301(a)(5)(A) : Maximu m$500- $ 1,10

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

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

Individua l (fo r violation s covere dunde

r 4 9 U.S.C . § 46301(a)(5)(A) :

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

Smal l Busines s Concemo

r Individua l (fo r violation s covere dunder

4 9 U.S.C . § 46301(aXlKA ) or

(B ) bu t no t unde r 49 U.S.C . § 46301(aX5)(A) : Maximu m$850- $ 1,10

0 Moderat e $650-$84 9 Minimu m$500 $64 9

8- 8

### 10/01/0 7 2150.3 8

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

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

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

t o inspec t

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

an unapprove dmanufacture r tha t produce s aircraf

t part s i n violatio n o f

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

agains t a n entit y that

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

y b e warranted . Suc h actio n o r relie f may b e considere di

n additio n t o th e assessmen t o f acivi l penalt y a s recommende din th e followin g tables . Furthermore , amendmen t o r modificatio n o f

acertificat e o r

approva l ma y b e appropriat e i n th e circumstanc e wher e adefinitiv e par t o f th e offendin g entity' s operatio n can b e safel y exclude d fromth e operationa l approval . A n exampl e i s a n approve daircraf

t part s manufacture r

that make s muhipl e kind s o f

parts , bu t

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

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

Inde x 1 . U.S . Ai r

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

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

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

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

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

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

### 10/01/0 7 2150.3 8

Fig . B-2-C . Record s an dReport s Fig . B-2-d . Fligh t

operation s Fig . B-2-e . Othe r

provision s applicabl e t o individua l certificat e holder s Fig . B-2- f

Othe r Ai r Carrie r Personne l 3 . Individual s an dGenera l Aviatio n - Owners , Pilots , Repai r Stations , Pilo t

Schools , Maintenanc e Personnel . Fig . B-3-a . Owner s an dOperator s Othe r Tha n Require dCrewmember s Fig . B-3-b . Repai r

Station s Fig . B-3-C . ID Plat e Violation s Fig . B-3-d . Par

t 14 1 Pilo t School s Fig . B-3-e . Genera l Aviatio n Maintenanc e Personne l Fig . B-3- f

Studen t

Operation s Fig . B-3-g. Fligh t

Instructor s Fig . B-3-h . Othe r

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

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

operation s Fig . B-3-1 . Actin g o r

attemptin g t o ac t

a s acrewmembe r

unde r th e influenc e o f

dmg s o r alcohol ; consumptio n o f

alcoho l befor e operatin g an aircraf t Fig . B-3-m . Crime ; securit y risk; falsificatio n Fig . B-3-n . Miscellaneou s Fig . B-3-0 . Operation s at Airport s Requirin g Slot s Fig . B-3-p . Unml y passenger s Fig . B-3-q . Othe r

Violation s b y Passenger s 4 . DUI/DW I Program , Falsificatio n o f Dru g Conviction s an dAirma n Medica l Certificat e Violations . Fig . B-4-a . Sanction s relate dt o DUI/DW I Progra m Fig . B-4-b . Airman Medica l Certificat e Violation s Fig . B-4-C . Dru g conviction s - n o falsificatio n involve d

5 . Dru g an dAlcoho l Testin g Violations . Fig . B-5-a . Dru g an dalcoho l testin g violation s Fig . B-5-b . Coverag e Fig . B-5-c . Pre-employmen t dm g testin g Fig . B-5-d . Rando mdru g an dalcoho l testin g Fig . B-5-e . Post-acciden t dm g an dalcoho l testin g Fig . B-5- f

Reasonable caus e dm g an dreasonabl e suspicio n alcoho l testin g Fig . B-5-g. Retumt o dut y dm g an dalcoho l testin g 

### 8-1 0

### 10/01/0 7 2150.3 8

Fig . B-5-h . Follow-up dm g an dalcoho l testin g Fig . B-5-i . Retestin g covere demployee s Fig . B-5-j . Inappropriate testin g Fig . B-5-k . Administrativ e an dothe r matter s Fig . B-5-1 . Medica

l Review Office

r (MRO ) Fig . B-5-m . Substanc e Abus e Professiona l (SAP) referra

l andevaluatio n Fig . B-5-n . Employe e Assistanc e Progra m Fig . B-5-0 . Alcoho l misus e information , training , an dreferra l Fig . B-5-p . Violation s o f

the dmg an

dalcoho l prohibition s Fig . B-5-q . Employee s locatedoutside the Territor y o f the U.S . Fig . B-5-r . Specimen collectio n Fig . B-5-s . Laborator

y issue s Fig . B-5-t . Alcoho l testin g Fig . B-5-U . Consequence s t o the uncertificate dindividua l Fig . B-5-v . Consequence s t o th e certificate dindividua l 6 . Airpor t

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

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

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

t 91 , subpar

t I ) 8 . Violation s of

Pilo t Record s Improvemen t

Ac t (PRIA) . Fig.B-8-a . PRI

A 9 . Engineerin g an dManufacturin g Violations . Fig . B-9-a . API S Holders , including productio n under typ e certificat

e Fig . B-9-b . Productio n Certificat e Holder s Fig . B-9-C . Designee s Fig . B-9-d . Technica

l Standar dOrde r Authorizatio n (TSOA) , Lette r o f Design Approval , an

d Lette r o f Acceptanc e Manufacturer s Fig . B-9-e . Replacemen

t o r Modification Part s Manufacturer s Fig . B-9- f All Productio n Approva

l Holder s Fig . B-9-g . T

C or ST C Holder ; Manufacturer s an dAlteratio n Entitie s Fig . B-9-h . Al

l persons , including designee s 10 . Aircraf

t Owner/Operato r

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

### 10/01/0 7 2150.3 8

11 . Al l individual s an dentities : Failur e t o Surrende r Certificate , Authorization , o r Othe r Approval . Fi g B-11 . 1 . U.S . AI RCARRIERS , U.S . COMMERCIA L OPERATORS . PAR T 125 OPERATORS . AN D PART 12 9 OPERATORS . Fig . B-l-a . Maintenanc e Manua l (1 ) Failur e t o maintain curren

t manua l (2 ) Failur e t o provide adequat

e instruction s an

dprocedure s i

n manua l (3 ) Failur e t o distribute manua

l t o appropriat

e personnel (4 ) Releas e of

aircraf t without requiredequipmen

t Civi l Penalty

Minimu m Moderat e t o Maximu m Minimu mto Moderat

e Moderat e t o Maximu m Certificat e Actio n U p t o 7-da y suspensio n

U p to 7-da y suspensio n Fig . B-l-b . AA

V Directiv e (1 ) Failur e t o compl y Civi l Penalty Moderat e to Maximu

m Certificat e Actio n Fig . B-l-c . Operation s Specification s (1 ) Exceedinspectio n o

r overhaul tim

e limitatio n (2 ) Operatio n contrar

y t o op s spec s - technica

l noncomplianc e (3 ) Operatio n contrar

y t o op s spec s - likel

y potentia l or actual advers e effec

t o n saf e operatio n Civ U Penalt y Moderat e Minimum Moderat e to Maximu

m Certificat e Actio n U p t o 7-da y suspensio n

Fig . B-l-d . Facilitie s an dEquipmen t (1 ) Failur e t o provide adequately fo

r prope r servicing , maintenance , repair , o

r inspectio n of

facilitie s andequipment Civi l Penalt y Maximu m Certificat e

Actio n Indefinit e Suspensio n unti l proper servicing , maintenance , repair and inspectio n o f facilitie s an d equipment i s provide dt o Revocatio n



### 8-1 2

### 10/01/0 7 2150.3 8

Fig . B-l-e . Maintenanc e an dInspectio n Organizatio n (1 ) Failur e t o provid e o r maintai n amaintenanc e an d inspectio n organizatio n Civi l Penalt y Maximu m Certificat e Actio n Indefinite Suspensio n unti l a n appropriate maintenanc e and inspectio n organizatio n i s provide dt o Revocatio n Fig . B-l-f . Trainin g Progra m (1 ) Failur e t o hav e trainin g progra m

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

Moderat e t o Maximu m Moderat e t o Maximu m Certificat e Actio n Indefinit e Suspensio n unti l complianc e t o Revocatio n Fig . B-l-g . Maintenanc e o r Aircraft Paperwor k (1 ) Incomplet e o r

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

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

entry , reproduction , o r

alteratio n i n recor do r repor t (b ) Othe r Civi l Penalt y Certificat e Actio n Revocatio n 180-day Suspensio n t o Revocatio n 

### 8-1 3

### 10/01/0 7 2150.3 8

Fig . B-l-j . Record s & Report s cont . (2 ) Failur e to mak e accurat e mechanica

l intermptio n summar

y repor t (3 ) Failur e to mak e availabl e repor

t o f majo r alteratio n or repair (4 ) Failur e to mak e accurat e mechanica

l reliabilit y repor t (5 ) Failur e t o mak e require dentr

y i n aircraf t lo g (6 ) Failur e to mak e availabl e pilot

recor d (7 ) Failur e t o mak e availabl e loa

dmanifest (8 ) Failur e to monitor

an drecor denrout e radi o communicatio n Civ U Penalty Moderat e to Maximu

m Moderat e t o Maximu m Moderat e t o Maximu m Minimu mt o Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Certificat e Actio n Indefinit e Suspension to Revocatio n Indefinit e Suspension to Revocation Indefinit e Suspensio n to Revocatio n Fig . B-l-k . Dispatc h an dFligh t Releas e Rule s (1 ) An y violatio n o f

subpar t U of 1 4 CF Rpar t 12 1 Civ

U Penalty Moderat e to Maximu

m Certificat e Actio n Fig . B-l-I . Operatio n of

unairworth y aircraf

t (1 ) Technica

l non-conformit

y t o TC ; n o likely effect

o n saf e operatio n (2 ) Non-conformit

y t o T C tha t ma y have , o r has , advers e effec t o n saf e operatio n (3 ) Releas e o f

aircraf t without require dequipmen

t Civ

U Penalt y Minimu m Moderat e to Maximu

m Moderat e t o Maximu m Certificat e Actio n

U p t o 7-da y suspensio n Fig . B-l-m . Provision s specifi c to passenger-carryin g (1 ) Boarding , o

r servin g alcoholi c beverag e to , aperso n wh o appear s t o b e intoxicate d (2 ) Failur e to brief passenger s (3 ) Failur e to ensur e sea t an dbel t fo r each passenger (4 ) Operatio n w/

o operabl e publi c addres s system (5 ) Failur e to stor e baggag e properly Civi l Penalt y Maximu m Moderat e to Maximu

m Maximu m Maximu m Moderat e Certificat e

Actio n

Fig . B-l-n . Provision s specific to flight deck cre w (1 ) Us e o f crewmembe

r wit h expire dmedica

l certificate (2 ) Failur e to mak e fligh t deck sea t availabl e to authorize d enrout e inspecto r Civil Penalt y Minimu mto Moderat

e Maximu m Certiffeat e Action



### 8-1 4

### 10/01/0 7 2150.3 8

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

unqualifie dcrewmembe r (4 ) Fligh t

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

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

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

is , knowledg e of

, o r involvemen t

in , conduc t

b y to p managemen t

personne l (3 ) Us e o f

unqualifie dpersonne l othe r tha n flight

dec k crewmembe r Civi l Penalt y Maximu m

Maximu m Certificat e Actio n Revocatio n

Fig . B-l-p . Operation s a t airport s requirin g slot s (1 ) Operatio n withou t

areservatio n fromAT C (2 ) Operatio n with areservation , bu t a t th e wron g tim e (3 ) Us e o f

internationa l slo t

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

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



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

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

- day Suspensio n Fig . B-2-b . Inspectio n (1 ) Failur e t o mak e require dinspectio n (2 ) Makin g imprope r

inspectio n (3 ) Imprope r

releas e o f

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

t for servic e withou t

require dequipmen t Civ U Penalt y Certificat e Actio n 30

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

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



### B-1 5

### 10/01/0 7 2150.3 8

Fig . B-2-c . Record s an dReport s (1 ) Failur e to mak e entr y i n aircraf t lo g (2 ) Failur e to mak e entr y i n worksheet (3 ) Failur e t o mak e entr y i n othe r maintenanc e recor

d (4 ) Failur e t o sign-of f wor k o r inspectio n performed (5 ) Failur e t o complet e an dsign maintenanc e releas e (6 ) Intentionally fals e o

r fraudulen t entry , reproduction , o

r alteratio n Civ U Penalt y Certificate Actio n 15-t o 60-da

y Suspension 15-t o 30-da

y Suspension 15-t o 30-da

y Suspension 15-t o 30-da

y Suspension 15-t o 30-da

y Suspension Revocation Fig . B-2-d . Fligh t

operation s (1 ) Prefligh

t (a ) Failur e t o use , o r imprope r us e of , checklis t (b ) Failur e t o chec k aircraf t log , flight

manifest , weather , etc . (c ) Failur e t o mak e require dinspectio n (d ) Failur e to inspect , o

r imprope r inspectio n of

, aircraf t (e ) Failur e t o ensur e sea t andbelt availabl e fo

r each passenge r (2 ) Taxiin g (a ) Failur e t o adher e to clearanc e to instructio n (b ) Collision (c ) Jet blas t (d ) Taxiing wit

h standin g passenger (e ) Taxiingoffrunway , taxi wa y or ram p (3 ) Takeof

f (a) Contrar

y to , o r without , clearanc e (b ) Below weathe

r minimum s Civi l Penalt y Certificat e Actio n 30

- to 60-da

y Suspension 30-t o 90-da y Suspension 30

- t o 60-da y Suspension 15-t o 30-da

y Suspension 30

- t o 60-da y Suspension 30

- t o 60-da y Suspension 30-t o 180

- da y Suspension 30-t o 120

- da y Suspension 30

- t o 60-da y Suspension 30

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

- da y Suspension 60-t o 120

- da y Suspension 

### 8-1 6

### 10/01/0 7 2150.3 8

Fig . B-2-d . Fligh t

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

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

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

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

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

- day Suspensio n 30

- t o 90-da y Suspensio n 90-da y Suspensio n t o Revocatio n 30-t o 180

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

- t o 90-da y Suspensio n 30

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

- da y Suspensio n 30-t o 150

- da y Suspensio n 30

- t o 90-da y Suspensio n 30

- t o 90-da y Suspensio n 60-t o 120

- da y Suspensio n 30

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

- da y Suspensio n 30

- t o 90-da y Suspensio n 30

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

### 8-1 7

### 10/01/0 7 2150.3 8

Fig . B-2-d . Fligh t

operation s cont . (e ) Shor t o r lon g ( 0 Wheels-u p (g ) Failur e t o compl y wit h preferentia l runwa y syste m (h ) Deviatin g fromclearanc e o r instructio n Civ U Penalt y Certificat e Actio n 30-t o 180

- day Suspensio n 15

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

- t o 90-da y Suspensio n Fig . B-2-e . Othe r

provision s applicabl e t o individua l certificat e holder s (1 ) Crime ; securit y risk ; falsificatio n (a ) Controlle dsubstanc e violatio n unde r 4 9 U.S.C . §44710(b ) (b ) Counterfei t

part s violatio n unde r 4 9 U.S.C . § 44726(b ) (c ) Securit y ris k

unde r 4 9 U.S.C . §46111(a )

(d ) Intentionall y fals e o r fraudulen t entry , reproduction , o r

alteratio n o n ah applicatio n o r

acertificat e o r

ratin g

(e ) Makin g an dincorrec t statemen t

o n an applicatio n for

amedica l certificat e

(f ) Caniag e o f

illega l drug s (controlle d substances ) o n aircraf

t Civi l Penalt y Certificat e Actio n Mandator y Revocatio n Mandator y Revocatio n Mandator y Suspensio n o r Revocation , a s requeste d b y BT S Revocatio n o f certificate s authorize d unde r applicabl e par t o f 1 4 CF R Indefinit e Suspensio n (pendin g correctio n o f applicatio n an d determinatio n o f qualification ) o r Revocatio n o f medica l certificat e Revocatio n



### 8-1 8

### 10/01/0 7 2150.3 8

Fig . B-2-e . Othe r

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

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

Sectio n 13(a ) o f

Fis h & Wildlif

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

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

attemptin g t o ac t

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

drug s o r alcohol ; consumptio n o f

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

t (ii ) Unde r

th e influenc e o f

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

prope r reques t fromL E officia l t o submi t t o alcoho l tes t (c ) Violatio n ofsteril e cockpi t rul e (d ) Unauthorize dadmissio n t o flight dec k (e ) Failur e t o clos e an dloc k flight dec k doo r ( 0 Failur e t o mak e flight dec k sea t availabl e t o authorize denrout e inspecto r (g ) Failur e t o kee p manua l curren t (5 ) Fligh t

an dDut y Tim e violatio n (6 ) Aircraf

t certificatio n (a ) Operatio n withou t

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

Revocatio n Revocatio n Revocatio n Revocatio n Revocatio n 30

- t o 90-da y Suspensio n 30

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

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

- t o 90-da y Suspensio n 30

- t o 90-da y Suspensio n 30

- t o 90-da y Suspensio n



### 8-1 9

### 10/01/0 7 2150.3 8

Fig . B-2-e . Othe r

provision s applicabl e t o individua l certificat e holder s cont . (b ) Lac k o f typ e ratin g (c ) Misse dproficienc y chec k o r lin e chec k (d ) Lac k o f curren t experienc e (e ) Failur e t o hav e curren t airma n or

medica l certificat e i n possessio n ( 0 Lac k o f initia l or recurren t trainin g (g ) Operatio n with know n disqualifyin g disabilit y (i ) Operatin g withou t

vali dmedica l certificat e whe n no t medicall y qualifie do r

applicatio n fo

r medica l certificat e deferre d Civ U Penalt y

Minimu mt o Moderat e Certificat e Actio n 180-day Suspensio n t o Revocatio n 30

- t o 90-da y Suspensio n 30

- t o 90-da y Suspensio n 30

- t o 90-da y Suspensio n Revocatio n Revocatio n Fig . B-2-f

. Othe r Ai r Carrie r Personne l (1 ) Failur e t o kee p manua l curren t Civ U Penalt y Minimu m Certificat e Actio n 30

- t o 90-da y Suspensio n 

### 3 . INDIVIDUAL S AN

D GENERA L AVIATIO N - OWNERS . PILOTS . REPAI RSTATIONS . PILO T SCHOOLS . MAINTENANC E PERSONNEL . Fig . B-3-a . Owner s an dOperator s Othe r Tha n Require d Crewmember s Civ U Penalt y Certificat e Actio n (1 ) Failur e to comply wit

h airworthines s directiv e Moderat e to Maximu

m (2 ) Failur e t o perfor mo r imprope r performanc e o f maintenance , including require dmaintenanc e Moderat e t o Maximu

m (3 ) Failure to mak

e prope r entr y in aircraf

t lo g (4 ) Operatio n o f

aircraf t beyondannual , 100-hour , o r progressiv e inspectio n Minimu mt o Moderate Minimu mto Moderat

e (5 ) Operatio n o f

unairworth

y aircraf t Moderat e t o Maximu

m (6 ) Intentionally fals e o

r fraudulent

entry , reproduction , or alteratio n i

n an y recor do r repor t Maximu m Revocatio n Fig . B-3-b . Repai r

Station s (1 ) Failur e t o provid e require dfacilitie s for prope r servicing . maintenance , repair , o r

inspectio n Civ U Penalt y Moderat e t o Maximu m Certificat e Actio n Indefinit e Suspensio n unti l complianc e t o Revocatio n



### B-2 0

### 10/01/0 7 2150.3 8

Fig . B-3-b . Repai r

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

wor k fo r which the statio n i s rate d
(3 ) Failur e t o maintain recor

do f supervisor

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

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

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

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

k performed (7 ) Failur e o f mechani c t

o mak e lo g entry , record , o

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

wor k performed , o

r approva l fo r retu mt o service , by othe

r tha n aqualifie dinspector (10 ) Failur

e t o have a n adequat e inspectio n systemtha

t produce s satisfactor

y qualit y contro l (11 ) Maintainin g o

r alterin g a n articl e fo

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

l data , equipmen

t o r facilitie s (12 ) Failur

e to perfor mo r properl y perfor

mmaintenance , repair , alteration , o

r require dinspectio n fo

r a n air carrier o r commercia

l operator (13 ) Maintainin g o

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

rate d (14 ) Failur

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

r (15 ) Failur

e to satisf y housin g andfacilit

y requirement (16 ) Chang e o f

location , housin g or

facilitie s without

writte n approva l (17 ) Opjeratin

g a s acertificate drepair

statio n without

arepair statio n certificat

e (18 ) Failur

e t o permit

FA A to inspec t (19 ) Failur

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

e to comply wit

h SFA R3 6 - Secondoffens e (21 ) Failur

e to maintain andcarr

y ou t BTS-require dsecurit

y measure s unde

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

Moderat e to Maximu

m Moderat e to Maximu

m Minimu mto Maximu

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

e Maximu m Moderat e t o Maximu m Maximu m Moderat e to Maximu

m Maximum Moderat e to Maximu

m Moderat e Moderate Maximu m Maximum Moderate Maximu m Certificat e

Actio n Indefinit e Suspension unti l complianc e t o Revocation

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

Indefinit e Suspensio n until 35Jthplianc e Mandator y Suspensio n pendin g BT S finding o f complianc e



### 8-2 1

### 10/01/0 7 2150.3 8

Fig . B-3-b . Repai r

Station s cont . (22 ) Posin g an immediat e securit y risk a s determine db y BT S unde r

4 9 U.S.C . § 44924(c)(2 ) Civ U Penalt y Certificat e Actio n Mandator y Revocatio n Fig . B-3-C . I D Plat e Violation s (1 ) -1^ 4 C.F.R . 45.13(b) , Imprope r removal , changing , o r placin g o f

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

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

Minimu m Maximu m Minimu m Maximu m Certificat e Actio n

Revocatio n

Revocatio n Fig . B-3-d . Par t

14 1 Pilo t

School s (1 ) Knowingl y permittin g schoo l aircraf t t o b e use dfor unlawfu l carriag e o f

controlle dsubstance s (2 ) Refusal t o permi t

inspectio n o f

facilities , equipment , personnel , records , o r

certificat e

(3 ) Fals e advertisin g (4 ) Failur e t o carr y checklis t o r operator' s handboo k (5 ) Imprope r

creditin g to , o r

graduatio n of

, studen t (a ) Inadverten t (b ) Intentiona l (6 ) Reftisal t o permi t

FA A test , check , o r

examinatio n o f studen t

(7 ) Unqualifie do r

unauthorize dinstructio n (8 ) Failur e t o establis h o r maintai n trainin g recor d Civi l Penalt y

Maximu m

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

Moderat e t o Maximu m Moderat e t o Maximu m Certificat e Actio n Revocatio n Indefinit e Suspensio n unti l Complianc e t o Revocatio n

Revocatio n Indefinit e Suspensio n unti l Complianc e t o Revocatio n Fig . B-3-e . Genera l Aviatio n Maintenanc e Personne l (1 ) Failur e t o revis e aircraf t dat aafte r

majo r repai r o r alteratio n (2 ) Failur e t o performo r imprope r

performanc e o f maintenanc e Civ U Penalt y Certificat e Actio n 30

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

- day Suspensio n



### 8-2 2

### 10/01/0 7 2150.3 8

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

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

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

l A holde r

t o accomplis h inspectio n properl y

(6 ) Failur e o f

l A holde r

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

approva l fo

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

fort h adequat e descriptio n o f work performe d (12 ) Intentionall y fals e o r fraudulen t

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

Moderat e to Maximu m Certificat e Actio n 30

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

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

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

- da y Suspensio n 30

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

. Studen t

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

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

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

compensatio n o r

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

- t o 90-da y Suspensio n 60

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

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

Instructor s (1 ) Fals e endorsemen t

o f an y studen t

pilo t recor d (2 ) Exceedin g flight

tim e limitatio n (3 ) Instructio n i

n aircraf t for whic h he/sh e i s no t

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

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

- da y Suspensio n 

### 8-2 3

### 10/01/0 7 2150.3 8

Fig . B-3-h . Othe r

Fligh t Violation s (1 ) Certificatio n an

dqualificatio n (a) Operation whe

n avali dpilot

certificat e ha dnot bee n issued (b ) Operatio n whil e pilot

certificat e i s suspende d (c ) Operation without

pilot o r medica l certificat e i n persona l possessio n (certificate s valid ) (d) Operation without

acurren t medica l certificat e whe n medically qualified (e ) Operation without

avali dmedica

l certificat e whe n not medically qualifiedo

r whe n applicatio n fo r medica l certificat e deferred (f ) Operation wit

h know n medica l deficiency (g ) Operatio n fo

r compensatio n o

r hir e when avali d commercia

l pilo t certificat e ha dnot bee n issued (h ) Operation without

typ e o r clas s ratin g (2 ) Operation whe

n avali dairworthines s certificat e ha dnot bee n issued (3 ) Failur e t o clos e flight

pla n or file arriva l notic e (4 ) Failur e to obtain pre-fligh

t information (5 ) Deviation fromATC instructio n o r clearanc e (6 ) Taxiing , takeoff

, or landing withou

t aclearance , wher

e AT C towe r i s i n operatio n (7 ) Failur e to maintain radi o communication s i n Clas s D airspac e (8 ) Failur e t o comply wit

h airpor t traffic patter

n (9 ) Operation i

n Clas s B airspac e withou

t or contrar y to a clearanc e (10 ) Operation i

n Clas s C airspac e withou

t maintainin g contac t wit h AT C (11 ) Operation contrar

y to aNOTA

M (12 ) Failur

e to maintain altihide (13 ) Exceeding speedlimitatio n Civ U Penalt y Maximum Minimum

-

Minimu m Certificat e

Actio n Revocatio n 30-18 0 da y suspensio n Revocatio n 90-da y Suspensio n t o Revocatio n 90-da y Suspensio n t o Revocatio n 60-t o 120

- da y Suspensio n 30

- t o 90-da

y Suspensio n 30

- to 90-day Suspensio n 30

- t o 90-day Suspensio n 30

- t o 90-day Suspensio n 30

- to 60-day Suspensio n 30

- t o 60-day Suspensio n 30

- to 60-da

y Suspensio n 30

- t o 60-day Suspensio n 30

- to 90-day suspensio n 30

- to 60-day Suspensio n 30

- to 60-day Suspensio n



### 8-2 4

### 10/01/0 7 2150.3 8

Fig . B-3-h . Othe r

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

require dinstrumen t

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

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

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

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

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

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

o n airway , ove r

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

f with insufficien t

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

- day Suspensio n 30

- to 90-day Suspensio n 30

- t o 90-da y Suspensio n 30

- to 90-da y Suspensio n 15

- to 90-da y Suspensio n 30

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

- day Suspensio n 30-t o 120

- day Suspensio n 30

- t o 60-da y Suspensio n 30

- t o 60-da y Suspensio n 30

- t o 60-da y Suspensio n 30

- t o 60-da y Suspensio n 30

- t o 90-da y Suspensio n 30

- t o 60-da y Suspensio n 30

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

- day . Suspensio n 30-t o 150

- day Suspensio n 30-t o 150

- day Suspensio n 60-t o 180

- day Suspensio n



### B-2 5

### 10/01/0 7 2150.3 8

Fig . B-3-i . Weathe r

Operafion s (I ) Failur e to comply wit

h visibilit y minimu mi n controlle d airspac e (2 ) Failure to comply wit

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

h distanc e fromcloud s requirement i n controlle dairspac e (4 ) Failur e t o compl y wit h distanc e fro

mcloud s requirement outside o f controlle dairspac e (5 ) Operatin g VF

Runde r 1,00 0 foo t ceilin g within Clas s D airspac e (6 ) Failur e to comply wit

h IF Rlanding minimu

m (7 ) Failur e to comply wit

h instrumen

t approach procedure Civ U Penalty Certificat e

Actio n 60-t o 180

- da y Suspension 30-t o 120

- da y Suspension 60-t o 180

- da y Suspensio n 30-t o 120

- da y Suspensio n 30-t o 120

- da y Suspensio n 45-t o 180

- da y Suspensio n 45-t o 180

- da y Suspensio n Fig . B-3-j . 1 4 C.F.R . 91.13(a) , Careles s o r reckles s operatio n s o a s t o endange r (independen t

violation ) (I ) Wheel s up landing (2 ) Shor t o r lon g landing (3 ) Landin g on , or

takin g of f from, close drunwa

y (4 ) Landin g on , o

r takin g of f from, ram p o r other improper are a (5 ) Taxiin g collisio n (6 ) Leavin g aircraf

t unattende dwit

h engine runnin g (7 ) Taxiin g aircraf

t of f runway , taxiway , or

ram p Civ

U Penalty Certificat e

Actio n 15-t o 30-da

y Suspensio n 30

- to 90-da

y Suspensio n 30

- to 60-da

y Suspensio n 30-t o 120

- da y Suspensio n 30

- to 90-da

y Suspensio n 30

- t o 90-da

y Suspensio n 30

- to 90-da

y Suspensio n Fig . B-3-k . Passenge r

operation s (I ) Carryin g passenge

r wh o i s unde r th e influenc e o f

drug s o r alcoho l Civi l Penalty Certificat e Actio n 30

- to 120

- da y Suspensio n 

### 8-2 6

### 10/01/0 7 2150.3 8

Fig . B-3-k . Passenge r

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

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

withou t require drecen t

flight experienc e (6 ) Operatio n withou t

a n approve dseat

o r berth an dapprove d safety bel t

fo r eac h perso n o n boardth e aircraf t require dt o hav e the mdurin g takeoff , e n rout e flight, an dlandin g Civ U Penalt y Certificat e Actio n 60

- t o 90-da y Suspensio n 30

- t o 60-da y Suspensio n 30

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

- da y Suspensio n 30

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

attemptin g t o ac t

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

drug s o r

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

th e influenc e o f

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

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

part s violatio n unde r

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

unde r 4 9 U.S.C . § 46111(b )

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

alteratio n o n an applicatio n o r

acertificat e o r

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



### 8-2 7

### 10/01/0 7 2150.3 8

Fig . B-3-n . MisceUaneou s (1 ) Allowing unauthorize dmanipulatio n of control s b y uncertificatedindividua

l attemptin g to se

t recor dunde r 4 9 U.S.C . § 44724(a) (2 ) Carriag e o f

illega l drug s (controlle dsubstances ) o n aircraf t (3 ) Conducting operatio n without require doperatin g certificat e (4 ) Misus e o f

a n airport-approve didentificatio n mediu m (5 ) Making a

n incorrect statement o n a n applicatio n fo

r amedica l certificate

(6 ) Refusa

l t o produc e pilo t

certificate , lo g o

r record s Civ

U Penalt y

Moderat e t o Maximu

m Certificat e Actio n Mandator y Revocation Revocation 60-t o 120

- da y Suspension Indefinit e Suspension (pendin g correctio n of applicatio n an d determinatio n of qualification ) o r Revocation o f medica l certificat e 30-da y Suspension , an dunti l produce dt o Revocation Fig . B-3-0 . Operation s a t Airport s Requirin g Slot s (1 ) Operation withou

t areservatio n fromATC (2 ) Operation wit

h areservatio n fromATC , but a t th e wrong tim e Civ U Penalt y Minimumt o Moderat

e Minimu mt o Moderat

e Certificat e Actio n Fig . B-3-p . Unrul y passenger s (1 ) Interferenc e wit

h crewmember(1 4 C.F.R . 91.11 , 121.580 , 125.328 , 135.120) (2 ) Physica

l assaul t o f flight or cabin crewmembe

r unde r 4 9 U.S.C . §4631 8 (3 ) Physica

l assault of individua l othe r tha n acrewmembe

r unde r 4 9 U.S.C . §4631 8 (4 ) Threate

n to physically assaul t

flight o r cabi n crewmembe

r unde r 4 9 U.S.C . §4631 8 (5 ) Threate

n t o physically assaul t

individua l other tha n flight or cabin crewmembe

r unde r 4 9 U.S.C . § 4631 8 Civ U Penalt y Maximum $1,100-$8,00 0 $500-$5,00 0 $1,100-$5,00 0 $50 0 - $5,00 0 Certificat e Actio n



### B-2 8

### 10/01/0 7 2150.3 8

Fig . B-3-p . Unrul y passenger s cont . (6 ) Act s i n amanne r tha t pose s imminen

t threa t to safet y o f aircraf t or other individual s o

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

r violation s afte

r 6/15/2006 ) Certificat e

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

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

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

n aircraf t lavator y (3 ) Tamperin g wit

h smok e detector unde r 4 9 U.S.C . § 46301(b ) (4 ) Failur e to faste n sea t bel t whil e sea t belt sig n i s lighte d (5 ) Failur e t o occupy a

n approvedsea

t or bert h wit h asafet y belt , and , if

installed , shoulde

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

, o r landin g (6 ) Operatin g aportabl e electroni c devic e (7 ) Drinkin g alcoholi c beverag e not serve dby carrier CIv U Penalty Maximu m Maximum $1,80 0 t o $2,20 0 Minimiun t

o Moderat e Minimu mto Moderat

e Maximu m Maximu m Certificat e

Actio n

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

r fraudulent

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

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

n incorrect statemen t o n amedica

l certificate applicatio n regardin g aDU I convictio n or

administrafiv e actio n imde

r 1 4 C.F.R . § 67.403(c)(1 )

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

h unde r 1 4 C.F.R . §61.15(d ) Civ U Penalt y Certificat e

Actio n Revocatio n of all airma n an dmedica l certificate s Indefinit e Suspension (pendin g correctio n of applicafion an d determinatio n of qualification ) o r Revocatio n of medica l certificat e 15-t o 45-da

y Suspension ofallpart6 1 certificate s 90-t o 120

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

### 8-2 9

### 10/01/0 7 2150.3 8

Fig . B-4-a . Sanction s relate dt o DUI/DW I Progra mcont . (5 ) Thre e MVA s arisin g fromseparat e incident s withi n 3 year s unde r

1 4 CFR . § 61.15(d ) Civ U Penalt y Certificat e Actio n Revocatio n o f al l part 6 1 certificate s Fig . B-4-b . Airma n Medica l Certificat e Violation s (I ) Intentionall y fals e or fraudulent

statemen t

o n an applicatio n fo r

amedica l certificat e o r

o n areques t

fo r an y specia l issuanc e o r

SOD A unde r 1 4 C.F.R . § 67.403(a)(1 ) (2 ) Intentionall y fals e o r fraudulent

entr y in arecor dtha t

i s kept , mad e o r

use dt o sho w complianc e unde r 1 4 C.F.R . § 67.403(a)(2 ) (3 ) Reproductio n o f

amedica l certificat e for fraudulent purpos e unde r

1 4 C.F.R . § 67.403(a)(3 ) (4 ) Alteratio n o f

medica l certificat e unde r 1 4 CFR . § 67.403(a)(4 ) (5 ) Makin g an incorrec t

statemen t

o n amedica l certificat e applicatio n unde r

1 4 C.F.R . § 67.403(c)(1 ) Civi l Penalt y Certificat e Actio n Revocatio n o f al l airma n an dmedica l certificate s Revocatio n o f al l airma n an dmedica l certificate s Revocatio n o f al l airma n an dmedica l certificate s Revocatio n o f al l airma n an dmedica l certificate s Indefinit e Suspensio n (pendin g correctio n o f applicatio n an d determinatio n o f qualification ) o r Revocatio n o f medica l certificat e Fig . B-4-c . Dru g conviction s - n o falsificatio n involved . (1 ) Singl e convictio n for simpl e possession * Civ U Penalt y Certificat e Actio n 45

- t o 120

- da y Suspensio n o f al l par t 61 , 63 , o r 6 5 certificate s



### 8-3 0

### 10/01/0 7 2150.3 8

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

(3 ) Conviction(s ) for

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

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

an ai r carrie r operatin g unde r

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

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

apart 14 5 operato r

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

aSectio n 135.1(c ) o r

non-FA A ai r

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

acontracto r

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

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

Indefinit e Suspensio n pendin g complianc e o r Revocatio n Fig . B-5-b . Coverag e (1 ) Failiu- e t o includ e asafety-sensitiv e employe e i n FA A mandate ddru g an dalcoho l testin g program s (2 ) Permittin g acontracto r employe e t o perfor mafionction liste di n Appendi x I o r

J wh o i s no t

covere dunde r

a n FAA

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



### 8-3 1

### 10/01/0 7 2150.3 8

Fig . B-5-c . Pre-employmen t dru g testin g (1 ) Failur e t o advis e eac

h individua

l applyin g t

o perfor ma safety-sensitiv e functio

n o f the pre-employment

testin g requiremen

t (2 ) Failur e to pre-employmen

t dru g test a n individua

l and/or receiv e anegativ e dru g tes t result prior to hirin g or transferrin g tha

t individua l fo r asafety-sensitiv e function (3 ) Failur e t o pre-employmen

t dru g tes t befor e hirin g o r transferrin g a

n individua

l int o asafety-sensitiv e positio n if mor e tha n 18 0 day s elaps e between apre-employment tes t an dplacin g the individua

l into asafety-sensitiv e function CIv U Penalty Minimu m Maximu m Moderat e Certificat e

Actio n

Fig . B-5-d . Rando mdru g an dalcoho l testin g (1 ) Failur e t o conduc t

randomdru g and/or

alcoho l testin g (2 ) Failur e to mee t the minimu

mannua l percentag e rate fo

r randomdru g and/or

alcoho l testin g (3 ) Failur e t o us e ascientifically vali dmetho do f rando m selectio n (4 ) Failur e t o ensur e tha t randomdru g and/or

alcoho l test s ar e unannounced (5 ) Failur e to ensur e the date s fo

r administerin g rando mtest s ar e sprea dreasonably throughout

th e calenda

r yea r (6 ) Failur e t o ensur e dia t a n employe e who i s notifie dt o repor t fo r rando mdru g and/or

alcoho l testin g proceed s immediately t

o the testin g sit

e (7 ) Failur e to conduct

alcoho l testin g jus t

befor e th e employe e i s to perfor masafety-sensitiv e function , durin g or jus t afte r th e employe e ha s ceasedperforming asafety-sensitiv e function Civ U Penalty Maximu m Moderat e Moderat e Moderat e Minimu m Moderat e Minimu m Certificat e

Actio n

Fig . B-S-e . Post-acciden t

dru g an dalcoho l testin g (1 ) Failur e t o drug and/or

alcoho l tes t

each employe e who perform s asafety-sensitiv e function , i f tha t employee' s performanc e eithe

r contribute dt

o a n accident or canno t b e completely discounte da s acontributin g factor to th e accident . (2 ) Failur e to post-acciden

t dru g tes t a n employe e withi n 3 2 hour s afte r the accident . (3 ) Failur e t o conduc t post-acciden

t alcohol testin g o n a

n employe e withi n 8 hour s afte r th e acciden t (4 ) Failur e t o prepar e an dmaintai n o n file requiredrecord s stating the reason s th

e post-acciden

t alcohol tes t

was not administeredwithi

n 2 hours and/o

r 8 hours . Clv U Penalty Maximu m Maximu m Maximu m Minimu m Certificat e

Actio n

Fig . B-5-f . Reasonabl e caus e dru g an dreasonabl e suspicio n alcoho l testin g (1 ) Failiu- e t

o drug and/or

alcoho l tes t

eac h employe e who perform s asafety-sensitiv e functio n an dwho i s reasonabl y suspecte dof

using aprohibite ddru g and/or misusin g alcoho l Clv

U Penalt y Maximu m Certificat e

Actio n



### 8-3 2

### 10/01/0 7 2150.3 8

Fig . B-5-f

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

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

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

alcoho l misus e ha s no t

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

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

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

Moderat e

Moderat e Maximu m Certificat e Actio n

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

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

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

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

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

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

sensifiv e dutie s Civi l Penalt y Maximu m

Maximu m Maximu m Maximu m Certificat e Actio n

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

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

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

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

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

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

Maximu m Moderat e Maximu m Certificat e Actio n



### 8-3 3

### 10/01/0 7 2150.3 8

Fig . B-5-h . Follow-up dru g an dalcoho l testin g cont . (5 ) Failur e t o ensur e tha t follow-u p alcoho l testin g o

f a coveredemploye e onl

y occur s jus t

befor e the employee i s t

o perfor msafety-sensitiv e fiinctions , during , o r jus t afte r the employe e ha s ceasedcoveredfunction s Civi l Penalt y Minimum Certificat e Actio n

Fig . B-5-i . Retestin g covere demployee s (1 ) Failur e to retes t acoveredemploye e wit

h a n alcohol concentratio n of

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

ma safety-sensitiv e functio

n within 8 hour s o f

alcoho l us e (2 ) Permitting a

n individua

l wit h a n alcoho l concentratio n o f .02 o r abov e t o retumt o dut y performing safety-sensitiv e fiinctions unles s 8 hours ha s elapse do r the individua

l i s reteste dan

dtest s below .02 Civ U Penalt y Maximiun Maximu m Certificat e

Actio n

Fig . B-5-j . Inappropriat e testin g (1 ) Inappropriat

e testin g usin g DOT o

r FA A Authorit

y Clv

U Penalt y Moderat e Certificat e

Actio n Fig . B-5-k . Administrativ e an dothe r matter s (1 ) Failur e t o permit the Administrator

o r the Administrator' s representativ e t

o examine record s (2 ) Failur e t o conduct dru g an dalcoho l record s check

required under 4 9 C.F.R . § 40.2 5 (3 ) Failur e t o provide dmg andalcoho l testin g record s requeste dunde

r 4 9 C.F.R . § 40.2 5 (4 ) Using a

n employee to perfor

msafety-sensitiv e fiinction s afte r obtaining information tha

t the employe e violate dDO T dru g an dalcohol regulations , without obtainin g information tha t the employee complie dwit h retum-to-dut

y requirement s (5 ) Failur e t o notif y the FA A of amedica l certificat e holde r (issue dunde

r par t 67) , who teste dpositiv e on aDOT dmg test , within twelve working day s o f the dat e o f the verifiedpositiv e resul t (6 ) Failur e t o notif y the FA A of amedica l certificat e holde r (issue dunde

r par t 67) , who engage di

n prohibite dalcoho l conduct , withi

n tw o working day s o f

the violatio n dat

e (7 ) Failur e t o notif y di e FA A o f the refusa l to submi t

to testin g b y apar t 61 , par t 63 , o r par t 6 5 certificate holde

r within five working day s o f

the refusa l t o tes t Civ U Penalt y Maximu m

Moderat e Moderat e Moderat e Moderat e Moderat e Moderat e Certificat e

Actio n Indefinit e Suspensio n pendin g complianc e to Revocatio n



### 8-3 4

### 10/01/0 7 2150.3 8

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

sensitiv e functio n after

bein g permanentl y preclude dfrom performin g that

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

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

result s fo

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

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

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

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

an annua l repor t

(MIS ) in th e for

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

a n annua l repor t

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

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

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

MR O t o verif

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

result s (3 ) Failur e o f

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

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

MR O t o transmi t

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

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

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



### 8-3 5

### 10/01/0 7 2150.3 8

Fig . B-5-1 . Medica l Revie w Office r (MRO ) cont . (8 ) Failur e o f

MR O t o maintai n record s in confidenc e an d releas e onl y i n accordanc e with th e provision s o f 1 4 C.F.R . part 121 , Appendi x 1 an d4 9 C.F.R . part 4 0 (9 ) Failur e o f

MR O t o maintai n record s concemin g dm g test s confirme dpositiv e b y th e laboratory fo r th e require d timeframe (10 ) Failur e o f

MR O t o inquir e whethe r a n individua l hold s a n airma n medica l certificat e issue dunde r part 67 , o r woul db e require dt o hol dsuc h certificat e in orde r t o perfor mth e dutie s o f th e positio n fo

r whic h th e applican t

i s applyin g (11 ) Failur e o f

MR O t o verif

y th e primar y tes t

resul t pendin g th e resul t o f th e spli t specime n Civi l Penalt y Maximu m Maximu m Maximu m

Maximu m Certificat e Actio n

Fig . B-5-m . Substanc e Abus e Professiona l (SAP ) referra l an devaluatio n (1 ) Failur e t o us e aqualifie dindividua l t o perfor mSA P service s (2 ) Failur e t o advis e a n employe e o f th e resource s availabl e t o hi mo r he r i n evaluatin g an dresolvin g problem s associate d with th e misus e o f

alcoho l (3 ) Failur e o f

aSA P t o conduc t

aface-to-fac e evaluatio n o f th e employe e an drecommen deducatio n and/o r treatmen t (4 ) Failur e o f

aSA P t o ensur e that

eac h employe e wh o ha s committe daDO T dm g and/o r alcoho l regulatio n violation , ha s successfull y complie dwith th e SAP' s recommendation s for educatio n and/o r

tt-eattnent

prio r t o establishin g afollow-u p testin g pla n Civi l Penalt y Maximu m Minimu m Moderat e Moderat e Certificat e Actio n

Fig . B-S-n . Employe e Assistanc e Progra m (I ) Failur e t o displa y an ddistribut e informationa l materials , a communit y servic e hotlin e telephon e numbe r an dth e employer' s polic y regardin g dm g us e i n th e wor k plac e (2 ) Failur e t o conduc t

initia l employe e trainin g X3 ) Failur e t o conduc t

initia l an drecurren t

supervisor y trainin g (4 ) Failur e t o documen t

initia l employe e an dsupervisor y trainin g o n dm g us e Civi l Penalt y Moderat e Minimu m Maximu m Moderat e Certificat e Actio n

Fig . B-5-0 . Alcoho l misus e information , training , an d referra l (1 ) Failur e t o promulgat e apolic y o n th e misus e o f alcoho l (2 ) Failur e t o conduc t

supervisory trainin g regardin g alcoho l us e (3 ) Failur e t o distribut e and/o r documen t

th e distributio n o f alcoho l informationa l material s t o employee s Civ U Penalt y Moderat e Minimu m Minimu m Certificat e 

### Actio n



## B-3 6

### 10/01/0 7 2150.3 8

Fig . B-5-p . Violation s of

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

n individua

l fromsafety-sensitiv e function s fo

r on-dut y use , pre-dut

y use , us e following a

n accident , reftisa

l to submit

t o atest , and/or

admg posiuv e and/or a n alcohol concentratio n of

.0 4 o r greate r (2 ) Allowing acoveredemploye e wh o usedalcoho l within 8 hour s o f a n acciden t t o perfor mo r continu e performin g safety

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

l Ai r Surgeon o f

apar t 6 7 medica l certificat e holde r who receive dapositiv e dm g tes t result and/or receive da

n alcoho l concentratio n o

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

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

r a n employe r following a

n alcoho l violatio n and/or

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

65 certificat e holde r who refusedt

o submi t to testin g Civ U Penalty Maximu m Maximu m Maximu m Maximu m Maximu m Certificat e

Actio n

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

n employe e locate doutside the territor y o f the UnitedState s to aDO T dmg o r alcoho l tes t Civ U Penalt y Maximu m Certificat e

Actio n Fig . B-5-r . Specime n coUection (1 ) Failur e t o us e urin e collectio n personnel who mee t th e requirement s o

f 4 9 C.F.R . par

t 40 , subpar

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

r DO T urin e collection s tha

t mee t the requirement s i

n 4 9 C.F.R . par

t 40 , subpar

t D (3 ) Failiu" e t

o conduc t specimen collection s i

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

t 40 , subpar

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

specimen test s i

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

t 40 , subpar

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

h dmg test s i

n accordanc e wit

h 4 9 C.F.R . par

t 40 , subpar

t I Civ

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

Actio n

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

n 4 9 C.F.R . par

t 40 , subpar

t F Civ

U Penalt y Maximum Certificat e Actio n



### 8-3 7

### 10/01/0 7 2150.3 8

Fig . B-5-t . Alcoho l testin g (1 ) Failur e t o us e alcoho l testin g personne l tha t mee t th e requirement s o f

4 9 C.F.R . part

40 , subpar t

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

r DO T alcoho l testin g tha t mee t th e requirement s i n 4 9 C.F.R . part

40 , subpar t

K (3 ) Failur e t o conduc t

alcoho l screenin g test s i n accordanc e wit h 4 9 C.F.R . part

40 , subpar t

L (4 ) Failur e t o conduc t

alcoho l confirmatio n test s i n accordanc e wit

h 4 9 C.F.R . par t

40 , subpar t

M (5 ) Failur e t o addres s problem s with dm g test s in accordanc e wit

h 4 9 C.F.R . par t

40 , subpar t

N . Civ U Penalt y

Moderat e Moderat e Moderat e Moderat e Moderat e Certificat e Actio n

Fig . B-5-U . Consequence s t o th e uncertificate dindividua l (1 ) Refusal t o submi t

t o adm g o r

alcoho l tes t (2 ) Positiv e dm g tes t

resul t o r alcoho l tes t

resul t .0 4 o r abov e o n an y dm g o r

alcoho l test . (3 ) Perform s asafety-sensitiv e functio n for an employe r afte r receivin g averifie dpositiv e tes t resul t withou t followin g appropriat e retu mt o dut y procedure s (4 ) Perform s asafety-sensitiv e functio n for a n employe r whil e havin g an alcoho l concentratio n o f 0.0 4 o r greate r (5 ) Perform s asafety-sensitiv e functio n for a n employe r whil e usin g prohibite ddmg s o r alcoho l o n dut y (6 ) Perform s asafety-sensitiv e fimctio n for a n employe r

withi n 8 hour s afte r

consumin g an y alcoholi c beverag e (7 ) Perform s asafety-sensitiv e fimction fo r an employe r withi n 4 hour s after

consumin g an y alcoholi c beverag e (8 ) Ha s actua l knowledg e o f a n acciden t

involvin g a n aircraf t fo r whic h h e o r

sh e performe dasafet y sensitiv e functio n at

or near th e tim e o f

th e accident , an duse s alcoho l withi n th e 8 hour s followin g th e acciden t Civ U Penalt y Maximu m Maximu m Maximu m Maximu m Maximu m Maximu m Maximu m Maximu m Certificat e Actio n

Fig . B-5-V . Consequence s t o th e certificate dindividua l (1 ) Refusal b y th e holde r o f acertificat e issue dunde r part s 61 , 63 , o r 6 5 t o submi t

t o adm g o r

alcoho l tes t (2 ) Positiv e dm g tes t

resul t o r alcoho l tes t

resul t .0 4 o r abov e b y th e holde r

o f acertificat e issue dunde r part s 61 , 63 , o r 6 5 o n an y dm g o r

alcoho l test . Civ U Penalt y Certificat e Actio n Revocatio n Revocatio n



### 8-3 8

### 10/01/0 7 2150.3 8

Fig . B-5-V . Consequence s t o th e certificate dindividua l cont . (3 ) Failur e o f

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

th e positio n fo

r whic h h e o r

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

attendant , ai r

tt-aflic control ) fo

r an employe r withi n 8 hour s after

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

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

involvin g a

n aircraf t fo r whic h h e o r

sh e performe dasafety sensitiv e functio n a t

o r nea r th e tim e o f

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

Revocatio n Revocatio n Revocatio n Revocatio n

Revocatio n

Revocatio n



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

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

FA A inspecto r

t o conduc t

inspectio n Civi l Penalt y

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

Indefinit e Suspensio n unti l Complianc e t o Revocatio n Fig . B-6-b . Certificatio n Manua l (1 ) Failur e t o compl y with a n approve dairpor t certificatio n manua l (2 ) Failur e t o includ e al l require dinformatio n i n th e airpor t certificatio n manua l Civi l Penalt y Moderat e t o Maximu m Minimu mt o Moderat e Certificat e Actio n



### 8-3 9

### 10/01/0 7 2150.3 8

Fig . B-6-b . Certificatio n Manua l cont . (3 ) Failur e to maintain curren

t airpor t certificatio n manua

l o n the airpor

t (4 ) Failur e t o mak e curren t airpor t certificatio n manua

l availabl e t o the FA A fo r inspection Clv U Penalt y Moderat e to Maximu

m Moderat e t o Maximu m Certificat e

Actio n Indefinit e Suspension until Complianc e to Revocation Fig . B-6-C . Operation s (1 ) Failur e t o maintain sufficien

t qualifiedpersonnel t

o comply wit

h requirement s o

f the airpor t certificatio n manua l an dFA A regulation s (2 ) Failiu- e to maintain an

drepair the pavemen

t of eac h mnway , taxiway , loading ramp , andparkin g are ao n the airpor t (3 ) Failur e t o maintain an

drepair eac h gravel , turf

, o r othe r unpave dnmway , taxiway , o r loading ram

p andparking are aon th e airpor

t (4 ) Failur e to provide andmaintain a n airpor t safet y are a (5 ) Failur e t o provide an

dmaintain the require dmarking andsignin g system s fo

r air carrier operation s (6 ) Failur e to provide andmaintain lightin g system s fo r ai r carrier operation s whe

n th e airpor

t i s ope n durin g hour s of darknes s o r durin g condition s belo w VF Rminimum s (7 ) Failur e to provide an

dmaintain require drescu e an d firefighting capabilit

y andequipmen

t durin g air

carrie r operation s (8 ) Failur e to maintain rescu e andfirefighting vehicle s (9 ) Failur e to respon dto a

n emergenc y durin g air

carrier operation s o

r demonstrat

e complianc e wit

h respons e requirement s (10 ) Failur

e to respondwithin th e require dperformanc e respons e time s (11 ) Failur

e to ensur e tha t rescu e an dfirefighting persorme l ar e equippe di

n a n acceptabl e manne

r (12 ) Failur

e t o ensur e tha t rescu e an dfirefighting personnel ar

e properly frained (13 ) Failur

e to ensur e tha t sufficien t rescu e andfirefighting personne l ar

e availabl e durin g all air

carrier operation s (14 ) Failur

e to ensur e tha t procedure s ar

e establishe dand equipmen t i s maintaine dfo

r alertin g rescu e andfirefighting personnel to an

y existin g o

r impending emergenc y (15 ) Failur

e t o establis h andmaintain standard s fo r protectin g agains t

fire an dexplosion s i

n storing , dispensing , an

dotherwis e handlin g fuel , lubricants , and oxygen on the airpor

t Clv U Penalt y Moderat e t o Maximu m Moderat e to Maximu

m Moderat e to Maximu

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

m Maximu m Maximu m Maximu m Maximu m Moderat e to Maximu

m Moderat e t o Maximu

m Moderat e Moderat e to Maximu

m Moderat e t o Maximum Certificat e

Actio n



### B-40

### 10/01/0 7 2150.3 8

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

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

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

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

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

t o tak e correctiv e actio n fo r

noncomplianc e wit h afuelin g standar d (20 ) Failur e t o ensur e that th e airpor t

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

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

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

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

self

- inspection s o f

th e airpor t

a s require d (25 ) Failur e t o provid e equipmen t an dprocedure s fo

r carryin g ou t

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

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

acces s b y groun dvehicle s t o movemen t

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

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

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

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

with airpor t procedure s fo r

operatio n o f

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

lighte d (32 ) Failur e t o preven t

th e constmctio n o f

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

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

th e inadverten t

entr y t o th e movemen t

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

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

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



### 8-4 1

### 10/01/0 7 2150.3 8

Fig . B-6-C . Operation s cont . (35 ) Failur e t o provid e fo r th e collectio n an ddisseminatio n o f airpor t conditio n informatio n t o ai r carrier s (36 ) Failur e t o mark

and , i f appropriate , ligh t

constmctio n area s an dunserviceabl e areas , constmctio n equipment , an d eac h constmctio n roadwa y (37 ) Failur e t o provid e procedure s fo r avoidin g damag e t o existin g utilities , cables , wires , conduits , pipelines , o r othe r undergroun dfacilitie s (38 ) Failur e t o restric t

ai r carrie r operation s t o saf

e portion s o f th e airpor t (39 ) Failur e t o tak e actio n t o conduc t awildlif e assessmen t (40 ) Failur e t o implemen t wildlif e assessmen t

o r th e FAA

approve dwildlif

e Hazar dManagemen t

Plan CivU Penalt y

Moderat e t o Maximu m Moderat e t o Maximu m Minimu mto Moderat e Maximu m Moderat e to Maximu m Moderat e t o Maximu m Certificat e Actio n



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

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

91 , subpar t

I ) (1 ) Prohibitio n o n operatin g withou t complyin g wit h Stag e 3 nois e level s unde r

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

t operate dt o provid e ai r

transportatio n in th e 4 8 contiguou s state s withou t complyin g with Stag e 3 nois e level s unde r

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

notificatio n violatio n CivU Penalt y Moderat e t o Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Minimu m Certificat e Actio n



### 8 . VIOLATION S O FPILO T RECORD S IMPROVEMEN T AC T tPRIA) . Fig . B-8-a . PRI A (1 ) Permittin g aperso n t o begi n servic e a s apilo t prio r t o requesting , receiving , an devaluatin g record s pursuan t t o th e provision s o f

PRI A (2 ) Failin g t o obtai n fromth e subjec t o f aPRI A reques t

a writte n consen t

fo r releas e o f

record s requeste dimde r PRI A (a ) Inadverten t

erro r (b ) Egregious/n o consen t give n (3 ) Furnishin g records , pursuan t t o reques t

unde r PRIA , tha t hav e bee n maintaine dfo r mor e than 5 year s befor e th e dat e o f reques t whe n recor ddoe s no t

relat e t o revocatio n o r suspensio n o f

airma n certificat e o r

moto r vehicl e licens e tha t wa s i n effec t

a t tim e o f reques t (4 ) Failin g t o maintai n record s describe di n 4 9 U.S.C . § § 44703(h)(lXA ) an d(B ) fo r five year s Civi l Penalt y Maximu m

Moderat e Maximu m Moderat e

Moderat e t o Maximu m Certificat e Actio n



### B-42

### 10/01/0 7 2150.3 8

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

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

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

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

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

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

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

th e receip t

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

an do f th e individual' s right

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

th e subjec t

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

writte n comment s t o correc t an y inaccuracie s i n thos e record s befor e makin g afinal hirin g decisio n (10 ) Failing , upo n awritte n reques t fromapilo t

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

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

record s receive dpursuan t t o PRI A for

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

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

th e privac y o f

apilo t an dth e confidentialit y o f

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

directl y involve di n hirin g proces s (a ) Mino r (b ) Inten t

t o caus e harm (14 ) Fo r ai r carrier s tha t

operat e aircraf

t wit h amaximu m loa dcapacit y o f

7,50 0 pound s o r

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

t o confinu e i n servic e longe r tha n 9 0 day s withou t

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

Moderat e Maximu m

Moderat e Maximu m Maximu m

Maximu m Maximu m

Minimu mt o Moderat e Maximu m Maximu m Maximu m

Minimu m Maximu m

Maximu m Certificat e Actio n



### 8-4 3

### 10/01/0 7 2150.3 8

Fig . B-8-a . PRI A cont . (b ) Failin g t o provid e contracttia l notificatio n t o th e individua l tha t

continuatio n o f

employmen t

after th e 90-da y perio di s subjec t

t o asatisfactor y evaluatio n o f record s identifie di n 4 9 U.S.C . § 44703(0(1 ) Civ U Penalt y Moderat e Certificat e Actio n



### 9 . ENGINEERIN G AN

D MANUFACTURIN G VIOLATIONS . Not e tha t the following action s taken i n case s of violation s b

y FA A designee s onl

y include lega

l enforcemen

t action s unde

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

r FA A enforcemen

t actio n personnel determine tha t the holde r o f adesignation , o

r the holde r o f adesign o

r productio n approva

l tha t i s no t acertificate , i s no longe

r qualifie dt

o holdtha t designatio n o

r approval , remedia

l actio n shouldbe initiated . I n addition , remedia

l actio n shouldb e considere dwheneve

r the holde r refuse s t o allo w inspection , o

r otherwis e continue s to fai

l to compl y wit h a n applicabl e requirement . Suspension s an dtermination s of

designation s ar

e handle di

n accordanc e wit

h FA A Ord . er s No . 8100.8B , Designe e Managemen t Handbook , Chapter

11 ; No . 8100.9 , DAS , DOA

, an dSFA R3 6 Authorizatio n Procedures , Chapte r 8 ; an dNo . 8110.37C , Designate d Engineerin g Representativ e (DER ) Guidanc e Handbook , Chapte r 7 Fig . B-9-a . API S Holders , includin g productio n unde r typ e certificat e (1 ) Failur e t o maintai n th e approve d productio n inspectio n syste m (APIS ) t o ensur e produc t conformit y an dt o ensur e produc t

i s in conditio n for saf e operatio n (2 ) Failur e t o maintai n technica l dat ao r drawin g at

th e plac e o f manufactur e (3 ) Failur e t o maintai n inspectio n recor d (4 ) Failur e t o properl y flight tes t aircraf t (5 ) Failur e t o properl y conduc t require dtes t

ru n o n aproductio n engin e (6 ) Failur e t o properl y conduc t require dfionction tes t

o n a productio n propelle r 1 4 C.F.R . 21.123(c) , 21.125 , 21.127 , 21.128 , 21.129 , 21.13 0 21.123(b )

21.123(c) , 21.12 5 (b)(10 ) 21.12 7 21.12 8 21.12 9 4 9 U.S.C . Civi l Penalt y Moderat e t o Maximu m

Moderat e t o Maximu m

Moderat e t o Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Certificat e

Actio n Discontinu e issuanc e o f

a/ w certificate s pendin g complianc e Discontinu e issuanc e o f

a/ w certificate s pendin g complianc e

..

_



### 8-4 4

### 10/01/0 7 2150.3 8

Fig . B-9-b . Productio n Certificat e Holder s (1 ) Refusal t o allo w FAA t o make an y inspection s an dtest s necessar y to determin e complianc e wit h regulation s (2 ) Failur e t o mak e informatio n regardin g adelegatio n o f authorit y t o subsidiar y manufacture r o r supplie r (3 ) Failur e t o immediatel y notif y FAA , i n writing , o f

qualit y contro l syste mchange s that

affec t th e inspection , conformity , o r airworthines s o f

th e produc t (4 ) Failur e t o surrende r

aP C for cancellatio n upo n d-ansfe r o f ownershi p o r

upo n chang e i n locatio n o f

th e manufacttirin g facilit y (5 ) Failur e t o maintai n th e approve dqualit y contro l syste m (6 ) Failur e t o determin e tha t eac h complete dproduc t

submitte dfor a/ w certificatio n o r

approva l i s i n conformit y wit h th e typ e desig n an d i n conditio n for

saf e operatio n 1 4 C.F.R .

21.15 7

21.143(b )

21.14 7

21.155 , 21.15 9 21.165(a ) 21.165(b ) 4 9 U.S.C . Clv U Penalt y Moderat e to Maximu m
Moderat e t o Maximu m Moderat e t o Maximu m

Moderat e

Moderat e t o Maximu m Moderat e t o Maximu m Certificat e

Actio n Indefinit e Suspensio n pendin g complianc e t o Revocatio n

Revocatio n

Fig . B-9-c . Designee s (1 ) Delegatio n Optio n Authorizatio n (DOA ) (a ) Refiisa l t o permi t

authorize d FA A employe e t o inspec t th e manufachirer' s organization , facilities , product , record , technica l dat afile, o r

servic e difficulty file (b ) Failur e t o submi t

arepor t o r informatio n necessar y for th e issuanc e o f

a n A D (c ) Failur e t o plac e th e require d technica l dat aan dtyp e inspectio n repor t i n th e technica l dat afile require db y 21.293(aXl)(i ) 1 4 C.F.R . 21.24 9

21.27 7 4 9 U.S.C . Civ U Penalt y

Maximu m

Moderat e t o Maximu m

Minimu mt o Moderat e Certificat e

Actio n

Indefinit e Suspensio n o f T C o r AWCs , pendin g complianc e t o Revocatio n



### B-4 5

### 10/01/0 7 2150.3 8

Fig . B-9-C . Designee s cont . (d ) Failur e t o determin e that th e P C requirement s o f

subpart G ar e me t prio r t o certifyin g that

th e determinatio n ha s bee n mad e (e ) Failur e t o plac e th e manufacttirin g an dqualit y conft-ol dat arequire db y 21.14 3 with th e dat arequire db y 21.293(a)(l)(ii ) prio r t o certifyin g that

thi s ha s bee n don e ( 0 Failur e t o notif

y th e FA A withi n 4 8 hour s o f

an y chang e tha t coul daffec t

th e abilit y o f

th e DO A t o mee t th e requirement s i

n Subpar t J (g ) Failur e t o obtai n FA A concurrenc e o n th e applicatio n o f an y equivalen t

safety provisio n applie dunde r

21.2 1 (h ) DO A issue s ne w o r

amende d TC , o r STC , AWC , o r

AA V approva l beyon dth e scop e o f it s authorizatio n (2 ) Designate dAlteratio n Statio n (DAS ) (a ) Exercisin g an y authorit y unde r subpar t M withou t

submittin g an dobtainin g approva l o f procedure s manua l (b ) Performin g an y DA S functio n affecte db y chang e i n facilitie s o r

staf f necessar y t o mee t th e requirement s o f

§ 21.439 , o r

^ affecte db y an y chang e i n th e procedure s approve dunde r § 21.441(a ) withou t

obtainin g approva l fromth e FA A fo r thos e change s (c ) Failur e t o notif

y th e FA A withi n 4 8 hour s o f

an y chang e tha t coul daffec t

th e abilit y o f

th e DA S t o mee t subpar t M (d ) Failure , upo n reasonabl e request , t o le t

th e FA A inspec t

th e DA S facility , product , o r recor d 1 4 C.F.R .

21.267(b ) 21.267(d )

21.24 5

21.26 1

21.25 1

21.441(a ) 21.441(b )

21.44 5

21.44 9 4 9 U.S.C . Clv U Penalt y Moderat e t o Maximu m Moderat e t o Maximu m

Moderat e t o Maximu m

Minimu mt o Moderat e

Maximu m

Moderat e t o Maximu m

Moderat e t o Maximu m Maximu m Certificat e

Actio n

Indefinit e Suspensio n o f T C o r AWC , pendin g complianc e t o Revocatio n Revocatio n o f certificat e



### 8-4 6

### 10/01/0 7 2150.3 8

Fig . B-9-C . Designee s cont . (e ) DA S issue s ST C o r

AW C beyon dth e scop e o f

it s authorizatio n ( 0 Issuin g a n ST C involvin g exhaus t emission s chang e requirement s o f

part 3 4 o r acoustica l chang e requirement s o f part 3 6 befor e th e FA A finds thos e requirement s ar e me t (g ) Fo r eac h ST C issue dunde r subpar t M , failur e t o follo w th e procedure s manua l approve dunde r § 21.44 1 o r

failur e t o submi t statemen t describin g th e requirement s i n § 21.463(a) ( 1 ) (h ) Issuin g an ST C withou t finding tha t

eac h applicabl e airworthines s requiremen t i s me t (i ) Issuin g an ST C withou t finding tha t

th e typ e o f

product , a s modifie db y th e ST C data , i s o f prope r desig n for

saf e operatio n (j ) Fo r eac h ST C issue dunde r subpar t M , failur e t o submi t

th e copie s o f th e ST C o r

th e othe r require ddat a (k ) Fo r eac h amendmen t

t o a n airworthines s certificat e unde r subpar t M , failur e t o follo w th e procedure s manua l approve dunde r § 21.44 1 o r

failur e t o follo w §2l.473(a)-(c ) (1 ) Issuin g an experimenta l AW C withou t

obtainin g fromth e FA A anecessar y limitatio n o r conditio n (m ) Failur e t o conduc t

a n investigatio n o r

repor t th e result s o f th e investigatio n o r

take n o r propose dactio n 1 4 C.F.R . 21.45 1 21.451(d )

21.463(a ) (1 )

21.463(a ) (2 ) 21.463(a ) (3 ) 21.463(b )

21.47 3

21.47 5 21.477(a ) 4 9 U.S.C . Civ U Penalt y Maximu m Maximu m

Moderat e t o Maximu m

Moderat e t o Maximu m

Moderat e t o Maximu m

Moderat e

Moderat e t o Maximu m

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

Actio n Revocatio n o f ST C o r AW C Indefinit e Suspensio n o f ST C pendin g complianc e t o Revocatio n Indefinit e Suspensio n o f ST C pendin g complianc e to Revocatio n Indefinit e Suspensio n o f ST C pendin g complianc e t o Revocatio n Indefinit e Suspensio n o f ST C pendin g complianc e t o Revocatio n



### 8-4 7

### 10/01/0 7 2150.3 8

Fig . B-9-C . Designee s cont . (n ) Failur e t o submi t the information necessar

y fo r the issue o f a n airworthines s directiv e (o ) Failur e to maintain , a

t the DA S facility , the requiredcurren t record s (p ) Failur e t o provide requeste d record s t o th e FAA ; failur

e t o sen d dat afile when DAS n

o longe r operate s under

subpar t M 1 4 C.F.R .

21.477(b )

21.493(a) 21.493(b ) 4 9 U.S.C . Clv U Penalty Moderat e to Maximu m

Moderat e t o Maximu m Moderat e to Maximu m Certificat e

Actio n Indefinit e Suspensio n o

f ST C or AWC , pendin g complianc e to Revocatio n

Fig . B-9-d . Technica l Standar d Orde r Authorizatio n (TSOA) , Lette r o f Desig n Approval , an d Lette r o f Acceptanc e Manufacturer s (1 ) Unauthorize ddispla

y of TS O markin g (2 ) Failur e o f holde r of Lette r of Acceptanc e t

o compl y wit h 21.603(b ) (3 ) Failur e t o manufactur

e articl e i n accordanc e wit

h th e approved technica l andqualit

y contro l dat

a an dthe TS O (4 ) Failur e t o properly conduc t

a require dtes t

o r inspection (5 ) Failur e to maintain the Q/

C systemt o ensur e each articl e meet s 21.607(a ) andi s in aconditio n fo r saf e operatio n (6 ) Failur e to prepar

e an dmaintai n acurrent file o f complet e technica l dat aan dinspectio n record s (7 ) Failur e t o permanently and legibly mar

k each articl e produce d under the TSOA or

Lette r o f Design Approva l (8 ) Failur e to forwar

dinformation o n amino r desig n chang e to th e appropriate Aircraf

t Certificatio n Offic e 1 4 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) 4 9 U.S.C . Clv U Penalt y

Maximu m Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Moderat e to Maximu m Minimu mt o Moderat e Minimu mto Moderat e Certificat e

Actio n



### 8-4 8

### 10/01/0 7 2150.3 8

Fig . B-9-d . Technica l Standar d Orde r Authorizatio n (TSOA) , Lette r o f Desig n Approval , an d Lette r o f Acceptanc e Manufacturer s cont . (9 ) Befor e makin g amajo r change , failur e t o t o assig n ane w typ e o r mode l designatio n t o th e articl e an d appl y for an authorizatio n unde r

1 4 CF R§21.60 5 (10 ) Failur e t o retai n technica l dat a (11 ) Reftisal t o permi t

a n authorize dFA A representativ e t o inspec t an article , Q/C inspectio n o r test , o r th e manufacturin g facilitie s o r technica l dat afile 1 4 C.F. R

21.611(b )

21.61 3 21.61 5 4 9 U.S.C . Civi l Penalt y

Moderat e t o Maximu m

Moderat e t o Maximu m Moderat e t o Maximu m Certificat e

Actio n

Fig . B-9-e . Replacemen t o r Modificatio n Part s Manufacturer s (1 ) Productio n withou t

PM A o r othe r authorit y (2 ) Failur e t o maintai n th e fabricatio n inspectio n syste mt o ensur e eac h complete dpart conform s with it s approve ddesig n an di s saf e fo r installatio n o n applicabl e T C produc t (3 ) Failur e t o ensur e tha t incomin g material s use di n th e finishedpar t ar e a s specifie di n th e desig n dat a (4 ) Failur e t o ensur e tha t incomin g material s ar e properl y identifie di f thei r physica l an dchemica l propertie s canno t

otherwis e b e readil y an daccuratel y determine d (5 ) Failur e t o ensur e tha t material s ar e suitabl y store dan dadequatel y protecte d (6 ) Failur e t o accomplis h al l processin g affecfin g qualit y an d safet y o f th e par t i n accordanc e wit h acceptabl e specification s (7 ) Failur e t o inspec t

part s proces s fo r conformit

y wit h th e desig n dat aat point s i n productio n wher e accurat e determination s ca

n b e mad e 1 4 C.F.R .

21.303(a ) 21.303(h )

21.30 3 (h)(1 ) 21.30 3 (h)(2 )

21.30 3 (h)(3 ) 21.30 3 (h)(4 ) 21.30 3 (h)(5 ) 4 9 U.S.C . Civi l Penalt y Maximu m Moderat e t o Maximu m

Moderat e t o Maximu m Moderat e t o Maximu m

Moderat e t o Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Certificat e o r

Othe r Actio n Injunctiv e relie f



## 8^ 9

!:« _

### I

10/01/0 7 2150.3 8 Fig . B-9-e . Replacemen t o r Modificatio n Part s Manufacturer s cont . (8 ) Failur e t o make acurren t desig n drawin g readil y availabl e to manufacturin g an dinspectio n personne l o r

t o us e suc h adrawin g whe n necessary (9 ) Failur e t o adequatel y contro l a majo r desig n chang e o r

t o obtai n FAA approval o f

amajor desig n chang e before i

t i s incorporate dinto th e finishedpar

t (10 ) Failur e t o segregat e an didentif y rejecte dmaterial s an dcomponent s i n suc h amanne r

a s to preclud e thei r

us e i n afinishedproduc t (11 ) Failur e t o maintai n andidentif y a n inspectio n recordwit

h acomplete d part , o r t o retai n th e recordfo

r a t leas t 2 year s (12 ) Failur e t o notif

y th e FAA , in writing , withi n 1 0 day s afte r relocatin g o r

expansio n o f manufacturin g facilitie s (13 ) Failur e t o determin e tha t eac h complete dpart

conform s to th e desig n dat aan di s saf

e fo r installatio n on T C produc t 1 4 C.F.R . 21.30 3 (h)(6 )

21.30 3 (h)(7 )

21.30 3 (h)(8 ) 21.30 3 (h)(9 ) 2l.303(j ) 21.303(k ) 4 9 U.S.C . Civ U Penalt y Moderat e t o Maximu m
Moderat e t o Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Moderat e t o Maximu m Certificat e o r

Othe r Actio n

Fig . B-9-f

. Al l Productio n Approva l Holder s (1 ) Failur e t o report

eac h malfunctio n o r

defec t specifie din sectio n 21.3(c ) withi n th e tim e specifie di n 21.3(e ) 1 4 C.F.R . 4 9 U.S.C . Civi l Penalt y Moderat e t o Maximu m Certificat e

Actio n

Fig . B-9-g . T C o r

ST C Holder ; Manufacturer s an dAlteratio n Entitie s (1 ) Failur e t o submi t

th e dat a necessary fo

r th e issuanc e o f

A/ W directiv e containin g th e appropriat e correctiv e actio n 1 4 C.F.R . 21.9 9 4 9 U.S.C . Civi l Penalt y Maximu m Certificat e o r

Othe r Actio n Indefinite Suspensio n o f T C o r AWCs , pendin g correctiv e actio n t o Revocatio n Fig . B-9-h . A

U persons , includin g designee s (1 ) Falsificafio n o f

application , report , o r recor d 1 4 C.F.R . 21.2(a)(1) , (2) , (3) , o r (4 ) 4 9 U.S.C . Civ U Penalt y Maximu m Certificat e o r

Othe r Actio n Revocatio n o f certificate(s ) 

### 8-5 0

### 10/01/0 7 2150.3 8

Fig . B-9-h . Al l persons , includin g designee s cont . (2 ) Failur e t o provid e writte n evidenc e o f

permissio n t o us e an ST C (3 ) Failur e t o provid e writte n evidenc e o f

permissio n t o us e aT C (4 ) Changin g aproduc t

basedo n an ST C withou t

bein g th e holde r

o r havin g th e permissio n o f th e ST C holde r (5 ) Manufacturin g aproduc t base d o n aT C withou t

bein g th e holde r

o r havin g permissio n o f

th e T C holde r 1 4 C.F.R . 4 9 U.S.C . 4470 4 (a)(2 ) 4470 4 (a)(3 ) 4470 4 (a)(2 ) 4470 4 (a)(3 ) Civ U Penalt y

Minimu m Minimu m Maximu m

Maximu m Certificat e o r

Othe r Actio n



### 10 . AIRCRAF T OWNER/OPERATO RREGISTRATIO N VIOLATION S Fig . B-10 . Registration . (1 ) Operatio n o f

a n unregistere d aircraf t (2 ) Operatio n o f

a n aircraf t withou t a n effectiv e (1 4 C.F. R47.41) , vali d (1 4 C.F.R . § 47.43 ) certificat e o n boar d (3 ) Operatio n outsid e U.S . o n pin k cop y (4 ) Operatio n in U.S . o n pin k cop y withou t complianc e with 1 4 C.F.R . 47.31(b ) (5 ) Failur e t o rem man ineffectiv e o r invali daircraf

t registratio n certificat e (6 ) Failur e t o submi t

triennia l repor t (7 ) Failur e t o submi t

require dflight informatio n (8 ) Failur e t o submi t

chang e o f addres s (9 ) Failur e t o submi t

require d deale r informatio n 1 4 C.F.R . 91.20 3 (a)(2 ) 91.20 3 (a)(2 ) 91.20 3 (a)(2 ) 91.20 3 (a)(2 ) 47.41(b ) 47.43(b ) 46.51(d ) 47.9( 0 47.4 5 47.7 1 4 9 U.S.C .

4410 1

4410 1

4410 5

4410 5 Civ U Penalt y

Maximum * Minimu m t o Maximum * Minimu m t o Maximum * Moderat e t o Maximum * Minimu m

Minimu m t o Moderate * Minimu m Minimu m t o Moderat e Certificat e

Actio n 30-9 0 day Suspensio n o f pilo t certificat e 30-9 0 day Suspensio n o f pilo t certificat e 30-9 0 day Suspensio n o f pilo t certificat e 30-9 0 day s suspensio n o f pilo t certificat e Revok e aircraf

t registratio n certificat e Suspensio n o r revocatio n o f registratio n certificat e



### 8-5 1

### 10/01/0 7 2150.3 8

Fig . B-10 . Registratio n cont . (10 ) Us e ofregistere daircraf t to carr y ou t o r facilitat e unlawfii l dm g activitie s 1 4 C.F.R . 4 9 U.S.C . 4410 6 (b) , 4471 0 Civ

U Penalt y Certificat e

Actio n Mandator y revocatio n of aircraf t registratio n certificat e an d o f all othe r certificate s o f aircraf t registratio n issuedt o it s owner , an d revocatio n of al l airma n certificate s * Civi l penalt

y actio n applie s only i f

owner/operator

i s differen

t fro mpilot . 11 . AL L INDIVIDUAL S AN D ENTITIES . FaUure t o surrende r suspende do r

revoke d certificate , authorizafion , o r othe r approva l Fig . B-11 . Civi l Penalt y (I ) Individua

l Moderat

e c.p . pe r day , wit h the tota l c.p . generally S5,00 0 to $11,00 0 (2 ) Entit y Moderat

e c.p . pe r day , wit h the tota l calculate dunde

r the Multipl e Ac

t polic y



### 8-5 2