Mountain A via FAA 2012 - 0875 

Respondent's Exhibit List 

# Description 10 IN 

1 Ltr Mtn Avia to FAA, dtd 2/16/11- 2 pp [Also C- 7] x NA 

2 Ltr FAA to Taft, Desig of Ck Airman, dtd 1/18/08- 1 pp. [Also C- ~. p. 2/2] x NA 

3 Ltr FAA to Bjeljevig, Desig of Ck Airman, dtd 9/5/08- 1 pp. [Also C- 9, p. 1/2] x NA 

4 Airman Compet Eff Chk, Getty,.Form 8410-3, dtd 26 Mar 2010- 2 pp. [Also C-10, p. 2/2] x · x 

5 Airman Competency Eff Check, Taft, Form 8410-3, dtd 26 Mar 2010- 2 pp. [Also C-10, p. 1/2] x x 

6 Affid Emmerson, dtd 10/24/12- 2 pp. x x 

7 14 C.F.R. Sec. 135.337- 2 pp x NA 

8 14 C.F.R. Sec. 135.339- 2 pp x NA 

9 MSPB v Hankins, DE-0752-10·0078M dtd 9/11/12 x NA 

10 NO EXHIBIT NA · NA 

11 14 C.F.R. 183.23 Pilot examiners 

12 

13 

14 

15 

16 

17 

18 

19 

20 

X 

r 
. "-··· ~ 

MOUNTAI 

February 16, 2011 

Denver Flight Standards District Office 

2ti805 East 68t"- Ave., Suite 200 

Denver, CO 80249-6339 

Attn: Chris Lang POI 

Dear Mr. Lang, 

A Fllgh!Worl<s Company 

This letter is a response to your letter of investigation of Mountain Aviation Inc., (MA) 

Operating Certificate number VQMA053W, dated January 31,2011 File No. 2011NM030039. 

On January 19th, 2011 the FAA was at our office to review the documents we had on file 

regarding this case. We provided you with documents to support our interpretation of the case in 

question and have attached them here again for reference. 

It appears there is confusion about what the seconduy provision for checking in 135.339 refers 

to and unfortunately it is left undefined in Part 1. As communicated to us in the past with 

previous POls, Mountain Aviation was in compliance. Even now there appears to be some 

confusion and differences of interpretation. We believe it is this lack of clarity in the F ARs that 

has lead to your investigation. 

Mountain's desire is, as we have always done in the past, to operate in total compliance and with 

a spirit of cooperation with the FAA. 

To that end, Mountain Aviation takes the letter of investigation extremely seriously. Upon first 

notification of this issue, and before receiving your letter of investigation, we immediately took 

the following actions: 

1. The check airman that is in question was immediately suspended from any and all 

checking activity until his status could be ascertained. Mountain Aviation again requests 

a 24 month observation from the FAA for this check airman as soon as possible. 

2. We conducted an internal audit to verify that all other Mountain Aviation check airman 

have received an observation from the FAA within the. past 24 months. The attached 

paperwork shows that all other Mountain Aviation did indeed receive such observations. 

3. We grounded the pilot that received the check in question until he can be re-checked by 

another check airman. ~rv r> 

Excellence In Aircraft Charter & Management Services \ 

Corporate Headquarters: 9656 Metro Airport Avenue, Broomfield, CO 80021 303-466·3506 Fax 303-466·3549 Email fly@mountainavlation.com charter@mountainaviation.com \ ~ " Centennial Airport Office: 7375 South Peoria Street, B-14, Englewood, CO 80112 303-649-1404 

-~- ~ 

Mountain Aviation 

FDMS FAA-2012-0875 

Respondent Ex. 1 
4. We have remedial training scheduled for March, 2011. This training will be issued by a 

third-party that is a subject matter expert in the F ARs. Myself, Gary Emmerson, Chip 

Taft, Mr. Getty and all other Mountain Aviation check airmen will receive this voluntary 

training. In addition, we invite you to participate in or observe this training session at 

your discretion. 

5. We will create a system that notifies our POI sixty (60) days prior to any check airman 

needing an observation required by FAR 135.339. 

I would like to request a meeting at the Denver FSDO with our POI, PMI, PAl and their 

supervisor to discuss this and other issues that we have experienced in the past so both parties 

may arrive at a understanding of everyone's obligations, Mountain Aviation's to the FAA and 

the FAA to Mountain Aviation. 

I request this meeting take place prior to this investigation being concluded so we may provide 

you with additional historical information regarding this very issue and what guidance Mountain 

Aviation has received from previous principals at the Denver FSDO. 

I believe the steps above, in addition to any suggestion you may have, would provide a positive 

solution in the future to this issue. We plan on implementing this comprehensive plan to all 

Mountain Aviation personnel involved in pilot training and checking, not just the subjects in 

question. By doing so, we wish to demonstrate our continued commitment to FAR compliance 

and our desire to partner with the FAA to resolve any issues. 

Respectfully, 

Rich Bjelkevig 

Director of Operations 
u.s. Department 

of Transportation 

Federal Aviation 

Administration 

January 18, 2008 

Oren Cargill Taft 

485 Sunnyside Lane 

Boulder, Co. 80302-7940 

Dear Mr. Taft: 

Denver Flight Standards Dislrict Office 

26805 East 68th Avenue, Suite 200 

Denver, Colorado 80249 

303-342-1144, Fax: 303-342-1176 

1-800-847-3808 

SUBJECT: Designation of Check Airman 

This certifies that Oren Cargill Taft, FAA Certificate number 1710568, is approved as check 

airman. This check airman is approved to conduct checks in BE-90 and BE-200 aircraft for 

employees of Mountain Aviation (VQMA). 

This approval is applicable for the following checking functions: 

Checking Function: Effective date: 

Check Pilot - All Checks September 27, 2007 

Please retain a copy of this letter in the airman's individual flight training records. 

Sincerely, . _ ~ j . 

~/~ AI Hankins 

Principal Operations Inspector 

Mountain Aviation· 

FDMS FAA-2012-0875 

Respondent Ex. 2 
U.S. Deportment 

of Transportation 

Federal Aviction 

Administration 

September 5, 2006 

Mr. Richy Bjeljevig 

Mountain Aviation, Inc. 

9646 Jeffco Airport Ave. 

Broomfield, CO. 80021 

Dear Mr. Bjeljevig: 

Denver Flight Standards District Office 

26805 East 68th Avenue, Suite 200 

Denver, Colorado 80249 

. 303-342-1144, Fax: 303-342-1176 

1-800·84 7-3808 

\ 

SUBJECT: Designation of Check Airman 

This certifies that Rodney Getty, FAA Certificate number 1965314, is approved as check 

airman. This check airman is approved to conduct checks in BE-90 BE-200 and CE-500 aircraft 

for employees of Mountain Aviation. 

This approval is applicable for the following checking functions: 

Checking Function: Effective date: 

Check Pilot - All Checks February 12, 2002 

Please retain a copy of this letter in the airman's individual flight training records. 

Sincerely, 

AI Hankins 

Principal Operations Inspector 

II -z..-. ~I 

Mountain Aviation 

FDMS FAA-2012-0875 I 

Respondent Ex. 3 
AIRMAN COMPETENCY/PROFICIENCY CHECK 

FAR 135 

LOCATION I DATE OF CHECK 

DRD o3j'J..bj'~,o 

NAME OF AIRMAN (last, first, middle Initial) -TYPE OF CHECK / 

GeTT'l' ·j)""'""'.... No.,.."~;< FAR135.293 ~ FAR135.297 l!Y" FAR13S.299 ~ 

Pfi..OT ..... ,,.,J Grade ATfY ~-TION: Da~ofExam. 03f_.·OI/L.Ol0 

~~7;~~9J ~~ Number tCfC::,S'3\'-t Dateof c__·..::.cl:.::as::.s---li"u•~.J.SI...,1.::u._<::.-~----1 EMPLOYEDBY BASEDAT(City,State) TYPEOF ~12.- qO G 

\{ ClJ r-1\ p... • OS 3,. w /I \2::.3'(. ~ 1Trammt1 Device " " "" 

NAME: OF CHECK AIRMAN vsn\PF CHECK AJRMA!i._ CL FLIGHT TIME ,~ .. "'•l~ncr~r.:,R..,.,\A_,..u,.:::r REG. 

("')Q.E.u (' L A 1ft (I /) _..-t .tL; ~ \ .s.OV" \ -D · l'0 - 1"3 B R ·- FL~T MANEUVERS G\V.DE m- UPILOT 

JORI=I"I..IGHT 

1. (Oral or Wrttten) 

2hfUght Inspection 

3.Taxllng 

4. "· ··•~~•: Checks 

5. Normal 

7. Crossw~"" 

9. Rejected Takeoff 

INFLIGHT MANEUVI=RS 

10. Steep Turns 

11. "l'l''ua ... ut::l to Stalls. 

-12. SpecifiC Flight wua•aw•~u~uu~ 

13. t Failure 

...... ~.," 

Air· I Simu-1 Tmg. 

craft [later I Dev. 

.S. 

14. Normal S 

17. With ·~'"'a"••"l Failure ~ 

1a:Rejected Landing .S 

19. From Circling Approacl' S 

J;;M!';RGE:NCIIOS 

20. Normal and ~bl"'"mal "' ·~~~u·~"' S 

[1. 

[2. Crew ~dinatlon 

AIRMAN COMPETENCY INFORMATION: 

_s 

. 21. EmergenC)' -c.::- IP"'"'u""'u'""u Cun:ent FAR 135.293{a) "Be-'t:JC. 

INSTRUMENT IIRI=!'l EXPires 3f 1 1 i12 months\ (CC.Tl Qe- '\'c 

l-2~2· ::_: .. · A~rea~. D~e·t-ft~ .. ~·~, .. ,..... ~.,r!._e ________ ~~S~-h-~L-Jl).,e"'m""uo .. n .. s.t, .. ra , .. t.,eud Competency F~ 135.293(b) 

23. Holding S ·" 1 Exoires 3/ i I 112 months\ tOi'Tl f>r;:.. 'i'o 

24. Area Arrival . .S , '-'~'"u"~~~:-'i Checks 

2S.IL.S "'' ··~ ... S IFAR 135.299 '/ i I (12 months\ lC>c.:Ti 

12~6 .. O~the;r~ ... ~ .. ,~ u~"""'"~!·~"A.p~p·<r~o·~"a'u'~~ ,. ...:!_,. .. _____ fS~t--1L-{~:!s'::~~:~~ Demonstrated }FR Proficiency 

r ~...... ;: NDBIADF -- IFAR 135.297 q I l{"l ( 6 months) ( ()ii ) 

CHECK Disapproved PERFORMANCE {FAA Only) 0 Unsatisfactory f 

REGION I DISTRICT OFFICE I FAA INSPECTOR'.SIGNATURS 

FAA Form 8410·3 (6-81) U.S. GOVERNMENT PRINTING OFFICE 1998-788·212/81005 ~ 

Mountain Aviation \ \ · 

c:; U k\<; 0 C-l 0 1 t -z-/ "L- FDMS FAA-2012-0875 

Respondent Ex. 4 
!L.OCA! IUN PRO I DATE OF CHECK AIRMAN COMPETENCY/PRuFICIENCY CHECK. '2.f.:. M~R 2.10(0 FAR 135 

.NAME OF AIRMAN (last. first. middle initial) . TYPE OF CHECK 

!TA-FT; oR~N, c.. FAR 135.293 iB" FAR 135:.297 ~ FAR 135.299 g/ 

Grade AT'-? MEDICAL INFORMATION: Date of Exam. O:Z-l(p~ZOlO .JT 

CERTIFICATION i7(0S~8 Date of B~ Class F'lR'S"'r INFO .... "~''"'"'I: 

EMPLOYED BY BASED AT (City. State) TYPE AIRPLA • ..IE "· ~<:. . ... . ·" ~ ~"fOC. 

V~ ~PtOS .sw "SC20~F(6t...0. c.£) , Simulato .rrramong ~ice IM:oluoJMndt.J l 

NAME OF=CJ:LrC_K, AIRMAN ~~,!1 CHECK AIRMAN FLIGHT TIME l-0 .I N7'3~R. l<.06;>N(;V (}.{ C.E'l"lCV a • .-_ 'y\ .{-7JT I 

FLIGHT Ml'lilfcoo\Jc:ac:; GRAD~ (S- ~ .... II • ,, PILOT Air· ,Simu- Trng. 

:~~~ ~~~':,~-1~:: craft lator Dev. 

PREFLIGHT I-IF I II:M 

1 cft .. :ft-aft+ (Oral or written) s 1 GrouRd and/or Air Taxi ) 

2. Preflight nspoJ~mon s 2. u. .u. / 

3. Taxiing .s 3. Normal & !_!.Q,_ & L:ondlnM / 

-4. l:>;,..•a•l'oaui Checkl! s 4. High Altitude 1 aKHons & --~·d~ v 

TAKEOFFS 5. Sim. Engine F~i~ure / 

5. Normal .s 6 • ~Slopes,& .. / 

6. s 7. Rapid 1 (Quick Stops) ./ 

7, ~rOSSWinO .s 8 • .a..o+ ...... +ations (Single Engine) / 

8. With \'j>nerplan• Failure -S' 9. nuvomny Auto•-•e'"-'"" (Single Engine)/ 

s. Rejected Takeoff s 110. Tail Rotor Failures (Oral}_ L 

IN FLIGHT MANEUVERS 111 Settling With Power (Oral or t;.l4htJ 

10 Steep Turns .s S~AKAN£ OPERATIONS 

11 m~ to Stalls s 1 Taxiing, Saili'ng, Do~ 

'1. Specific Flight .s: 2. Step Taxi & Tu!J)S' 

:Failure .s 3. "'· , •• .,,.,( T.O.J' ..!: 

LANDINGS 4. NormaJY(kacff 8t --· . ..1: ,.,~ 

.14. Normal s 5. --_,., ... I~ ... ,, 

15. From an ILS s / OTHER 

16 _, ............ s fi Ski Plane Ops. (when onnu,_,,,,., 

17. With '"· Failure s GENERAL 

18. Rejected Landing .s 7, "'""Y"'~'" 5 r 

19. From Circling " s 8. Craw .3. '--I 

EMERGENCIES 

20. Normal and '!.. .......... ~: P1 Sl AIRMAN COMPETENCY INFORMATION: 

21. ft. I..:S Demonstrated Currant 135.293(a) 'BE· q"DC... 

INSTRUMENT ...... ., la. .lOA. Expires '03/fl (12 months) I f;.6f l 

22. Area Departure s Demonstrated Competency FAR -,_::u:; ,Q~Ihl 

23~ . H~-tdlng .3 Make/Modal~ ~( 112 months) I J'6- l 

24. Area Arrival .s Satislfactorily Demonstrated Line Checks 

25. ILS ·- s FAR 135.299 Expires D?>/ II . 112 months) I £(;. I 

26. Other s Satisfactorily Demonstrated IFR-..·.-··-·-.. -

A 1es: &•-- '"1F FAR 135.297 Expires .s:!1/.1Q J. 6 months) I fi2& I 

VOR s Use of Autopilo~is not) 'JJ 

«U:r ILS s Expires ~~ i.12. m<mthsl I , 

Other l<:n..,.Jfy 1 ( LPC.. ') s REMARKS AtRM#tN '"~•-:::;~:~~C.-/ S'5J Qu"f(IO;;~ ~ 27. Circling A .s •At~A~ ~...,IN Lnu :~;),.,., J::'A!:>OT:O. 

28. Missed A s ~~152-M.A-..._, Ji'S/W:>st'QaA-TetJ t:;NDWI-Ei{.)66 Of;. ~ 29. ,... ..,'"':;.. "'"'ICaclur&.. ..s O~l:lAI-!a;.. ' t.utTH Ji?:.r::;-qDE-{Z£JO. tJ 

30. U• of Auto. Pilot :::; 

-,ESULT 

HECK 

OF 

~. CHECK 

PERFORMANCE 

AIRMAN'S 

(FAA Only} 0 

0 Satisfactory 

Unsatisfactory ~ REGION DISTRICT OFFICE FAA INSPECTOR's SIGNATURE J? -- --- ~ -- -~ . --

f Mountain Aviation 

FAA Form 8410-3 (6-81) 

s '£-[, A-\ so ,!::!. 1( '-

I FDMS FAA-2012-0875 

c -(0 . Respondent Ex. 5 /t \ I 

' -- ~-~--·- ---- ··-- - . ~ 
UNITED STATES OF AMERICA 

DEPARTMENT OF TRANSPORTATION 

WASHINGTON, D.C ... ~,, .. .,.,.~·.t ~-.. ,.~· 

) 

Michael P. Huerta, Acting Administrator, ) 

Federal Aviation Administration, ·) 

) Case No. 2011NM,030039 

Complainant, ) 

v. ) 

) 

Judge: Richard C. Goodwin 

MOUNTAIN AVIATION, INC. ) 

) 

Respondent. ) 

AFFIDAVIT OF GARY EMMERSON IN SUPPORT OF RESPONDENT'S 

ANSWER TO COMPLAINANT'S MOTION FOR SUMMARY JUDGMENT 

Gary Emmerson hereby attests as follows: 

1. I was employed by Mountain Aviation as the Chief Pilot from the spring 

of 2002 to October of 2011. 

2. During his service as our POI, on multiple occasions, I contacted Inspector 

Al Hankins by phone attempting to schedule the 14 CFR § 135.339(a)(2) 

observation checks. During these calls Inspector Al Hankins sometimes 

said he was unable to schedule an observation of checking during the 

required 24 months and asked if a check airman had administered a check 

ride to another check airman in the preceding 24 months. After I 

confirmed this had occurred, I was then told to allow check airmen to 

continue checking, and an observation check would be conducted as soon 

as Inspector scheduling permitted. 

3. Based on InspectorAl Hankin's statements to me, and lacking any FAR 

guidance to the contrary, I believed that the "all checks" designation in the 

Designation of Check Airman letter for Oren Taft was sufficient to qualify 

him as an "aircrew designated examiner employed by the operator," which 

meant that any 14 CFR §§ 135.293, 135.297 and 135.299 check 

administered on behalf of Mountain Aviation, in an aircraft in which he 

held a Designation of Check Airman letter, would meet the checking 

requirement for 14 CFR § 135.339(a)(2). 

' 

fN 

Mountain Aviation (If 'f.,-} FDMS FAA-2012-0875 \\ 

Respondent Ex. 6 
4. On March 26,2010, Oren Taft gave Rodney Getty the 14 CFR §§ 

135.293, 135.297 and 135.299 checks during a 1.0 hour flight in N738R. 

The 8410 indicates that Rodney Getty satisfactorily completed all required 

maneuvers during that flight. Subsequently, on March 26, 2010 Rodney 

Getty gave Oren Taft the 14 CFR §§ 135.293, 135.297 and 135.299 

checks during a 1.0 hour flight in N738R. During this Check, Mr. Getty 

determined Mr. Taft satisfactorily completed all required maneuvers as 

indicated in the 8410. 

5. Based on Inspector AI Hankin's prior statements to me, I believed the 

March 26, 2010, flights satisfied the requirements of 14 CFR § 

135.339(a)(2) for Rodney Getty; and lacking any FAR defined process. for 

documentation of such, the 841 0 in fact serves as such documentation 

provided the candidates involved are authorized for "all checks." 

I declare under penalty of perjury that the foregoing is true and correct to the best of my 

recollection and belief. 

Dated: October 24, 2012 

----------------
~~ -.. , .... 

westikw. 

14 C.F.R. § 135.337 

c 

Effective:ISee Text Amendments] 

Code of Federal Regulations Currentness 

Title 14. Aeronautics and Space 

Chapter I. Federal Aviation Administration, 

Department of Transportation 

Subchapter G. Air Carriers and Operators for 

Compensation or Hire: Certification and Operations 

"lil Part 135. Operating Requirements: 

Commuter and on Demand Operations and 

Rules Governing Persons on Board Such 

Aircraft (Refs & Annos) 

"lil Subpart H. Training 

-+ § 135.337 Qualifications: Check 

airmen (aircraft) and check airmen 

(simulator). 

(a) For the purposes of this section and§ 135.339: 

(1) A check airman (aircraft) is a person who is 

qualified to conduct flight checks in an aircraft, in 

a flight simulator, or in a flight training device for 

a particular type aircraft. 

(2) A check airman (simulator) is a person who is 

qualified to conduct flight checks, but only in a 

flight simulator, in a flight training device, or 

both, for a particular type aircraft. 

(3) Check airmen (aircraft) and check airmen 

(simulator) are those check airmen who perform 

the functions described in §§ 135.321 (a) and 

135.323(a)(4) and(£}. 

(b) No certificate holder may use a person, nor may 

any person serve as a check airman (aircraft) in a 

training program established under this subpart unless, 

with respect to the aircraft type involved, that person--

(1) Holds the airman certificates and ratings required to serve as a pilot in command in operations under this part; 

t 

t 

Page 1 

(2) Has satisfactorily completed the training 

phases for the aircraft, including recurrent training, that are required to serve as a pilot in command in operations under this part; 

(3) Has satisfactorily completed the proficiency 

or competency checks that are required to serve as 

a pilot in command in operations under this part; 

(4) Has satisfactorily completed the applicable 

training requirements of§ 135.339; 

(5) Holds at least a Class III medical certificate 

unless serving as a required crewmember, in 

which case holds a Class I or Class II medical 

certificate as appropriate. 

(6) Has satisfied the recency of experience requir~ments of§ 135.247; and 

··-· ·· ('?)' Has· been· 'iipproved by the Administrator for 

the check airman duties involved. 

(c) No certificate h~lder may use a person, nor may 

any person serve as a check airman (simulator) in a 

training program established under this subpart unless, 

with respect to the aircraft type involved, that person 

meets the provisions of paragraph (b) of this section, 

or--

(1) Holds the applicable airman certificates and 

ratings, except medical certificate, required to 

serve as a pilot in command in operations under 

this part; 

(2) Has satisfactorily completed the appropriate 

training phases for the aircraft, including recurrent training, that are required to serve as a pilot in 

command in operations under this part; 

(3) Has satisfactorily completed the appropriate 

proficiency or competency checks that· are required to serve as a pilot in command in opera- I )!~ 

tions under this part; pfu \,~~' . 

(4) Has satlsfacto•Hy completed the appHcable ~ 

7 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 

Mountain Aviation 

FDMS FAA-2012-0875 

Respondent Ex. 7 
14 C.F.R. § 135.337 

training requirements of§ 135.339; and 

(5) Has been approved by the Administrator for 

the check airman (simulator) duties involved. 

(d) Completion of the requirements in paragraphs (b) 

(2), (3), and (4) or (c) (2), (3), and (4) of this section, 

as applicable, shall be entered in the individual's 

training record maintained by the certificate holder. 

(e) Check airmen who do not hold an appropriate 

medical certificate may function as check airmen 

(simulator), but may not serve as flightcrew members 

in operations under this part. 

(f) A check airman (simulator) must accomplish the 

following--

(1) Fly at least two flight segments as a required 

crewmember for the type, class, or category aircraft involved within the 12-month preceding the 

performance of any check airman duty in a flight 

simulator; or 

(2) Satisfactorily complete an approved 

line-observation program within the period prescribed by that program and that must precede the 

performance of any check airman duty in a flight 

simulator. 

(g) The flight segments or line-observation program 

required in paragraph (f) of this section are considered 

to be completed in the month required if completed in 

the calendar month before or the calendar month after 

the month in which they are due. 

[Arndt. 135-64, 61 FR 30744, June 17, 1996] 

SOURCE: Docket No. 16097, 43 FR 46783, Oct. 10, 

1978; 51 FR40709, Nov. 7, 1986; 52 FR 9637, March 

25, 1987; 52 FR22743, June 15, 1987; 53 FR 12362, 

April 13, 1988; 53 FR 26151, July 11, 1988; 54 FR 

23865, June 2, 1989; 55 FR 8367, March 7, 1990; 55 

FR 23047, June 5, 1990; 56 FR 25451, June 4, 1991; 

56 FR 43976, Sept. 5, 1991; 56 FR 65663, Dec. 17, 

1991; 58 FR 34515, June 25, 1993; 59 FR 7396, Feb. 

15, 1994; 59 FR 32058, June 21, 1994; 60 FR 29754, 

June 6, 1995; Arndt. 135-57, 60 FR 65949, Dec. 20, 

1995; Arndt. 135-58, 60 FR 65937, Dec. 20, 1995; 

Arndt. 135-59, 60 FR 67256, Dec. 28, 1995; Arndt. 

Page2 

135--60, 61 FR 2616, Jan. 26, 1996; 62 FR 1205, Jan. 

8, 1997; 62 FR 7675, Feb. 20, 1997; Arndt. 135-76,65 

FR 36780, June 9, 2000; Arndt. 135-105, 71 FR 

35765, June 21,2006, unless otherwise noted. 

AUTHORITY: 49 U.S.C. 106(g), 41706, 40113, 

44701--44702, 44705, 44709, 44711--44713, 

44715--44717,44722,45101--45105. 

14 C. F. R. § 135.337, 14 CFR § 135.337 

Current through November, 15, 2012; 77 FR 68565 

© 2012 Thomson Reuters. 

END OF DOCUMENT 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
west law. 

14 C.F.R. § 135.339 

c 

Effective:[See Text Amendments] 

Code of Federal Regulations Currentness 

Title 14. Aeronautics and Space 

Chapter I. Federal Aviation Administration, 

Department of Transportation 

Subchapter G. Air Carriers and Operators for 

Compensation or Hire: Certification and Operations 

"tii Part 135. Operating Requirements: 

Commuter and on Demand Operations and 

Rules Governing Persons on Board Such 

Aircraft (Refs & Annos) 

"lil Subpart H. Training 

-+ § 135.339 Initial and transition 

training and checking: Check airmen 

(aircraft), check airmen (simulator). 

(a) No certificate holder may use a person nor may any 

person serve as a check airman unless--

(1) That person has satisfactorily completed initial or transition check airman training; and 

(2) Within the preceding 24 calendar months, that 

person satisfactorily conducts a proficiency or 

competency check under the observation of an 

FAA inspector or an aircrew designated examiner 

employed by the operator. The observation check 

may be accomplished in part or in full in an aircraft, in a flight simulator, or in a flight training 

device. This paragraph applies after March 19, 

1997. 

(b) The observation check required by paragraph 

(a)(2) ofthis section is considered to have been completed in the month required if completed in the calendar month before or the calendar month after the 

month in which it is due. 

(c) The initial ground training for check airmen must 

include the following: 

(1) Check airman duties, functions, and responPage 1 

sibilities. 

(2) The applicable Code of Federal Regulations 

and the certificate holder's policies and procedures. 

(3) The applicable methods, procedures, and 

techniques for conducting the required checks. 

(4) Proper evaluation of student performance including the detection of--

(i) Improper and insufficient training; and 

(ii) Personal characteristics of an applicant that 

could adversely affect safety. 

(5) The corrective action in the case of unsatisfactory checks. 

(6) The approved methods, procedures, and limitations for performing the required normal, abnormal; and emergency procedures in the aircraft. 

(d) The transition ground training for check airmen 

must include the approved methods, procedures, and 

limitations for performing the required normal, abnormal, and emergency procedures applicable to the 

aircraft to which the check airman is in transition. 

(e) The initial and transition flight training for check 

airmen (aircraft) must include the following--

(1) The safety measures for emergency situations 

that are likely to develop during a check; 

(2) The potential results of improper, untimely, or 

non execution of safety measures during a check; 

(3) Training and practice in conducting flight 

checks from the left and right pilot seats in the 

required normal, abnormal, and emergency procedures to ensure competence to conduct the pilot 

flight checks required by this part; and 

(4) The safety measures to be taken from either 

- Mountain Aviation 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. FDMS FAA-2012-0875 

Respo:dent Ex. 8 \i/ 
14 C.F.R. § 135.339 

pilot seat for emergency situations that are likely 

to develop during checking. 

(f) The requirements of paragraph (e) of this section 

may be accomplished in full or in part in flight, in a 

flight simulator, or in a flight training device, as appropriate. 

(g) The initial and transition flight training for check 

airmen (simulator) must include the following: 

(1) Training and practice in conducting flight 

checks in the required normal, abnormal, and 

emergency procedures to ensure competence to 

conduct the flight checks required by this part. 

This training and practice must be accomplished 

in a flight simulator or in a flight training device. 

(2) Training in the operation of flight simulators, 

flight training devices, or both, to ensure competence to conduct the flight checks required by this 

part. 

[Arndt. 135-64, 61 FR 30745, June 17, 1996; 62 FR 

3739,Jan.24, 1997] 

SOURCE: Docket No. 16097, 43 FR 46783, Oct. 10, 

1978; 51 FR40709, Nov. 7, 1986; 52 FR 9637, March 

25, 1987; 52 FR 22743, June 15, 1987; 53 FR 12362, 

April 13, 1988; 53 FR 26151, July 11, 1988; 54 FR 

23865, June 2, 1989; 55 FR 8367, March 7, 1990; 55 

FR 23047, June 5, 1990; 56 FR 25451, June 4, 1991; 

56 FR 43976, Sept. 5, 1991; 56 FR 65663, Dec. 17, 

1991; 58 FR 34515, June 25, 1993; 59 FR 7396, Feb. 

15, 1994; 59 FR 32058, June 21, 1994; 60 FR 29754, 

June 6, 1995; Arndt. 135-57, 60 FR 65949, Dec. 20, 

· 1995; Arndt. 135-58, 60 FR 65937, Dec. 20, 1995; 

Arndt. 135-59, 60 FR 67256, Dec. 28, 1995; Arndt. 

135-60, 61 FR 2616, Jan. 26, 1996; 62 FR 1205, Jan. 

8, 1997; 62 FR 7675, Feb. 20, 1997; Arndt. 135-76,65 

FR 36780, June 9, 2000; Arndt. 135-105, 71 FR 

35765, June 21, 2006, unless otherwise noted. 

AUTHORITY: 49 U.S.C. 106(g), 41706, 40113, 

44701--44702, 44705, 44709, 44711--44713, 

44715--44717,44722,45101--45105. 

14 C. F. R. § 135.339, 14 CFR § 135.339 

Current through November, 15, 2012; 77 FR 68565 

© 2012 Thomson Reuters. 

END OF DOCUMENT 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 

Page2 
west law. 

Page I 

II8 M.S.P.R. 499, 20I2 MSPB I03 (M.S.P.B.), 20I2 WL 3963384 (M.S.P.B.) 

(Cite as: 118 M.S.P.R. 499 (M.S.P.B.)) 

H 

Merit Systems Protection Board. 

Alvin H. HANKINS, Appellant, 

v. 

DEPARTMENT OF TRANSPORTATION, Agency. 

DE-0752-I0-0078--C-I. 

Sept. II, 20I2. 

Background: Appellant petitioned for review of 

compliance initial decision that found agency to be in 

compliance with final Board order which cancelled 

appellant's removal and substituted in its place a 

30-day suspension. 

Holding: The Merit Systems Protection Board held 

that statutory amendment retroactively restored 

Board's authority to award back pay to FAA employees, including appellant. 

Petition granted; affirmed as modified. 

West Headnotes 

Merit Systems Protection 450 €=>523 

450 Merit Systems Protection 

450VIII Compliance; Enforcement 

450k523 k. Back pay. Most Cited Cases 

Amendment to the Wendell H. Ford Aviation 

Investment and Reform Act providing that the Board 

shall have the same remedial authority over the appeals of Federal Aviation Administration (FAA) employees as it did on March 31, 1996, retroactively 

restored the Board's authority to award to FAA employees all forms of relief under the Back Pay Act. ~ 

U.S.C.A. § 5596; 49 U.S.C.A. § 40122(g)(3). 

Alvin H. Hankins, Elizabeth, CO, prose. 

Parisa Naraghi-Arani, Esquire, Washington, D.C., 

and Joann Putnam, Esquire, and Karen D. Huber, 

Esquire, Renton, W A, for the agency. 

Before Susan Tsui Grundmann, Chairman, Anne M. 

Wagner, Vice Chairman, Mark A. Robbins, Member. 

OPINION AND ORDER 

~ 1 The appellant has filed a petition for review of 

the compliance initial decision that found the agency 

to be in compliance with a final Board order. For the 

reasons set forth below, we GRANT the appellant's 

petition and AFFIRM the compliance initial decision 

as MODIFIED to order the agency to pay the appellant 

the correct amount of back pay, interest on back pay, 

and other benefits under the Back Pay Act and the 

Office of Personnel Management's (OPM's) implementing regulations. 

BACKGROUND 

~ 2 The agency removed the appellant. from his 

position as an Aviation Safety Inspector with the 

Federal Aviation Administration (FAA), effective 

October I6, 2009. MSPB Docket No. 

DE-0752-10-0078-I-I Initial Appeal File, Tab 6, 

Subtab 4c. In a final order dated July I8, 20 II, the 

Board ordered the agency to cancel the appellant's 

removal and to substitute in its place a 30--day suspension. Hankins v. Department of Transportation, 

MSPB Docket No. DE-0752-I0-0078-I-1, Final 

Order at 9 (July I8, 2011 ). The Board also ordered the 

agency to pay the appellant back pay, interest, and 

other benefits in accordance with OPM's regulations. 

!d. 

~ 3 The appellant filed a petition for enforcement 

in which he contended that the agency was not in 

compliance with the Board's final order be.cause it had 

not paid him back pay. Compliance File (CF), Tab 1. 

In her compliance initial decision denying the appellant's petition for enforcement, the administrative 

judge found that, by statute, the Board was not authorized to award back pay or related benefits to FAA 

employees. Jd, Tab I5, Compliance Initial Decision 

(CID) at 2-4. The administrative judge further found 

that the ;J?Pellant was not entitled to other damages he 

sought.-1 CID at 5. 

FN1. In her compliance initial decision, the ~ ~ ~ administrative judge did not find the agency ~' ~ 

in noncompliance regarding the appellant's ~ J?J..r 

claim that he should be reimbursed for the tax . r. 

liability he incurred by withdrawing his p 

/; -

Mountain Aviation 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. FDMS FAA-2012-0875 

Respondent Ex. 9 
Page2 

118 M.S.P.R. 499,2012 MSPB 103 (M.S.P.B.), 2012 WL 3963384 (M.S.P.B.) 

(Cite as: 118 M.S.P.R. 499 (M.S.P.B.)) 

Thrift Savings Plan funds, the expense of 

retaining an accountant, and the amount of 

unemployment compensation the agency 

purportedly prevented him from receiving. 

CID at 5. The appeJiant has not chaJlenged 

those findings on review, and we find no 

error in the administrative judge's findings. 

,-r 4 The appeJiant filed a petition for review, Petition for Review File, Tab 1, and a timely supplement 

thereto. ld., Tab 5. In the latter, he contended that on 

February 14, 2012, the President signed into law a 

provision retroactively authorizing back pay and 

benefits for FAA employees in Board appeals. I d. The 

Board issued a request for briefing, asking the parties 

to submit argument as to whether the statutory change 

retroactively restored the Board's authority to award 

back pay to FAA employees and, if so, which forms of 

relief under the Back Pay Act are covered by the 

statutory change. I d., Tab 10. The appeJlant responded 

that the 2012 statute retroactively restored the Board's 

authority and that the scope of that authority was 

dictated by the Back Pay Act and OPM's regulations. 

ld., Tab 14 at 4-9. The agency responded in agreement with both of the appellant's positions. I d., Tab 15 

at 8-14. 

ANALYSIS 

,-r 5 A brief history of the Board's statutory authority to adjudicate appeals ofF AA employees and to 

award back pay is instructive. Historically, the FAA 

was subject to 5 U.S. C. chapter 75 in the same manner 

as any other component of an executive agency, and, 

as such, in appeals where the appeJiant prevailed, the 

Board applied the provisions of the Back Pay Act, 2_ 

U.S.C. § 5596, to the FAA as it did to other agencies. 

See generally Spezzaterro v. Federal Aviation Administration, 24 M.S.P.R. 25 (] 984). In 1995, Congress authorized the FAA to create its own personnel 

management system to "address[ ] the unique demands on the agency's workforce." Section 347(a) of 

the Department of Transportation and Related Agencies Appropriations Act, Pub.L. No. 104-50. 109 Stat. 

436, 460 (1995) ("the 1996 Act"). The FAA did so, 

creating a system that exempted itself from many key 

provisions of Title 5, including chapter 75 and the 

Back Pay Act, and eliminating Board appeal rights for 

FAA employees, effective April 1, 1996. Allen v. 

Merit Svstems Protection Board, 127 F.3d 1074, 

1075-76 (Fed.Cir.l997), superseded by statute as 

stated in Roche v. Merit Systems Protection Board, 

596 F.3d 1375 (Fed.Cir.2010). 

,-r 6 In 2000, Congress passed the WendeJI H. Ford 

Aviation Investment and Reform Act for the 21st 

Century, Pub.L. No. 106-181, 114 Stat. 61 (2000) 

("the Ford Act"). Section 307 of the Ford Act (codified at 49 U.S.C. § 40122(g)(3)) restored to FAA 

employees the Board appeal rights they had as of 

March 31, 1996. Miller v. Department of Transportation, 86 M.S.P.R. 293. ~~ 9, 11-13 (2000). The Board 

subsequently determined, however, that, while FAA 

employees once again had Board appeal rights, the 

Board did not have jurisdiction to order the FAA to 

pay back pay to such employees because the FAA was 

not subject to the Back Pay Act. Ivery v. Department 

of Transportation. 102 M.S.P.R. 356, ft 12-14 

(2006); accord Gonzalez v. Department of Transportation, 551 F.3d 1372, 1376 (Fed.Cir.2009). 

,-r 7 Effective February 14, 2012, the Ford Act 

provision codified at 49 U.S.C. § 40122(g)(3) was 

amended by the following "technical correction": 

Notwithstanding any other provision of law, retroactive to April 1, 1996, the Board shaJI have the 

same remedial authority over such employee appeals that it had as of March 31, 1996. 

FAA Modernization and Reform Act of 2012, 

Pub.L. No. 112-95, § 611. 126 Stat. 11 (2012). 

The 2012 amendment to 49 U.S.C. § 40122(g)(3) 

retroactively restores the Board's authority to award 

back pay to FAA employees. 

,-r 8 Our analysis of this issue begins with an examination of the language of the statutory amendment. 

"It is axiomatic that statutory construction begins with 

the language ofthe statute itself." Roche. 596 F.3d at 

1380 (quoting Van Wersch v. Department o(Health & 

Human Services, 197 F.3d 1144, 1148 

(Fed.Cir.l999)). Where the language is clear, it must 

control absent clearly expressed legislative intent to 

the contrary. Hall v. Office o(Personnel Management, 

102 M.S.P.R. 682, ~ 9 (2006). 

,-r 9 The language in question is clear and unambiguous in that it provides that the Board shall have 

the same remedial authority over the appeals ofF AA 

employees as it did on March 31, 1996. The Board had 

authority to award back pay to FAA employees on that 

date, prior to passage of the 1996 Act. See, e.g., An-

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
Page3 

118 M.S.P.R. 499, 2012 MSPB 103 (M.S.P.B.), 2012 WL 3963384 (M.S.P.B.) 

(Cite as: 118 M.S.P.R. 499 (M.S.P.B.)) 

derson v. Department o(Transportation. 59 M.S.P.R. 

585. 596 (] 993); Pickard v. Department of Transportation, 25 M.S.P.R. 404, 407-08 0984); Spezzaferro. 24 M.S.P.R. at 26. Congress's use of"shall" in 

the statute indicates that the Board's exercise of its 

remedial authority is mandatory. See Parrish v. Department o( the Interior. 106 M.S.P.R. 185, ,- 12 

(2007). In addition, the phrase "notwithstanding any 

other provision of law" has been interpreted to override conflicting provisions and to supersede other 

laws. Taylorv. Departmento(theArmv. 107 M.S.P.R. 

638, ,- 6, review dismissed, 310 Fed.Appx. 361 

(Fed.Cir.2008). 

~ 10 We find, therefore, that the amendment to .§. 

40122(g)(3) retroactively restores the Board's authority to award back pay to FAA employees. See generally Gallo v. Department o(Transportation. 689 F.3d 

1294. 1302-03 CFed.Cir.2012) (awarding an FAA 

employee compensation under the Back Pay Act, 

citing to the 2012 amendment to § 40122(g)(3)). The 

words of the statute permit no other interpretation. 

Moreover, as Congress expressly prescribed the 

amendment's reach as "retroactive to April I, 1996," 

there can be no question that it applies to this case, as it 

was pending before the Board on the date the 

amendment was enacted. 

The scope of the relief available to FAA employees 

includes all forms of relief available under the Back 

Pay Act. 

~ II As noted, the statutory amendment expressly 

grants the Board the same remedial authority over 

appeals ofF AA employees that the Board had as of 

March 31, 1996. The amendment allows for no exceptions to that authority. The Board's remedial authority at that time included full relief under the Back 

Pay Act, i.e., back pay, interest on back pay, and other 

benefits under OPM's regulations. 5 U.S.C. § 5596; 

Anderson. 59 M.S.P.R. at 596; 5 C.F.R. § 550, Subpart 

H (1996); see Pickard. 25 M.S.P.R. at 407-08; Spezzaferro. 24 M.S.P.R. at 26. We find, therefore, that the 

2012 amendment to 49 U.S.C. § 40122(g)(3) retroactively restores the Board's authority to award to FAA 

employees all forms of relief under the Back Pay Act. 

ORDER 

~ 12 With regard to the appellant's removal, 

which we previously ordered the agency to cancel and 

substitute in its place a 30-day suspension, we now 

ORDER the agency to pay the appellant the correct 

amount of back pay, interest on back pay, and other 

benefits under OPM's regulations, no later than 60 

calendar days after the date of this decision.FN2 We 

ORDER the appellant to cooperate in good faith in the 

agency's efforts to calculate the amount of back pay, 

interest, and benefits due, and to provide all necessary 

information the agency requests to help it carry out the 

Board's Order. If there is a dispute about the amount of 

back pay, interest due, and/or other benefits, we 

ORDER the agency to pay the appellant the undisputed amount no later than 60 calendar days after the 

date of this decision. 

FN2. We note that the administrative judge 

found that when the Board ordered the 

agency to pay the appellant back pay in its 

July 18, 2011 final decision in this case, it 

lacked the authority to do so. CID at 2-4. We 

acknowledge that the relief ordered in our 

2011 decision was erroneous at the time, but 

based on the February 14, 2012 statutory 

amendment discussed above, the order has 

now become a proper statement of the appellant's entitlements. 

~ 13 We further ORDER the agency to tell the 

appellant promptly in writing when it believes it has 

fully carried out the Board's Order and of the actions it 

took to carry out the Board's Order. The appellant, if 

not notified, should ask the agency about its progress. 

See 5 C.F.R. § 1201.181Cb). 

~ 14 No later than 30 days after the agency tells 

the appellant that it has fully carried out the Board's 

Order, the appellant may file a petition for enforcement with the office that issued the initial decision on 

this appeal if the appellant believes that the agency did 

not fully carry out the Board's Order. The petition 

should contain specific reasons why the appellant 

believes that the agency has not fully carried out the 

Board's Order, and should include the dates and results 

of any communications with the agency. 5 C.F.R. § 

1201.182(a). 

~ 15 For agencies whose payroll is administered 

by either the National Finance Center of the Department of Agriculture (NFC) or the Defense Finance and 

Accounting Service (DF AS), two lists of the information and documentation necessary to process 

payments and adjustments resulting from a Board 

decision are attached. The agency is ORDERED to 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
Page4 

118 M.S.P.R. 499,2012 MSPB 103 (M.S.P.B.), 2012 WL 3963384 (M.S.P.B.) 

(Cite as: 118 M.S.P.R 499 (M.S.P.B.)) 

timely provide DF AS or NFC with all documentation 

necessary to process payments and adjustments resulting from the Board's decision in accordance with 

the attached lists so that payment can be made within 

the 60-day period set forth above. 

~ 16 This is the final decision of the Merit Systems Protection Board in this appeal. Title 5 of the 

Code of Federal Regulations. section 1201.113(c) (2 

C.F.R. § 1201.113(c)). 

NOTICE TO THE APPELLANT REGARDING 

YOUR RIGHT TO REQUEST ATTORNEY 

FEES AND COSTS 

You may be entitled to be paid by the agency for 

your reasonable attorney fees and costs. To be paid, 

you must meet the requirements set out at Title 5 of the 

United States Code (5 U.S.C.). sections 770l(g), 

1221 (g), or 1214(g). The regulations may be found at 

5 C.F.R. §§ 1201.201, 1201.202, and 1201.203. If you 

believe you meet these requirements, you must file a 

motion for attorney fees WITHIN 60 CALENDAR 

DAYS OF THE DATE OF THIS DECISION. You 

must file your attorney fees motion with the office that 

issued the initial decision on your appeal. 

NOTICE TO THE APPELLANT REGARDING 

YOUR FURTHER REVIEW RIGHTS 

You have the right to request the United States 

Court of Appeals for the Federal Circuit to review this 

final decision. You must submit your request to the 

court at the following address: 

United States Court of Appeals For the Federal Circuit 

The court must receive your request for review no 

later than 60 calendar days after your receipt of this 

order. If you have a representative in this case, and 

your representative receives this order before you do, 

then you must file with the court no later than 60 

calendar days after receipt by your representative. If 

you choose to file, be very careful to file on time. The 

court has held that normally it does not have the authority to waive this statutory deadline and that filings 

that do not comply . with the deadline must be dismissed. See Pinal v. Office o(Personnel Management, 

931 F.2d 1544(Fed.Cir.1991). 

If you need further information about your right 

to appeal this decision to court, you should refer to the 

federal law that gives you this right. It is found in Title 

5 of the United States Code, section 7703 (5 U.S.C. § 

7703). You may read this law, as well as review the 

Board's regulations and other related material, at our 

website, http:// www. mspb. gov. Additional information is available at the court's website, www. cafe. 

uscourts. gov. Of particular relevance is the court's 

"Guide for ProSe Petitioners and Appellants," which 

is contained within the court's Rules of Practice, and 

Forms 5, 6, and 11. 

FOR THE BOARD: 

William D. Spencer 

Clerk of the Board 

Washington, D.C. 

717 Madison Place, N.W. W · DC 20439 ~~-.---------=o~F~A~S~C~H E~C~K~L~I~S~T~-------. 

INFORMATION REQUIRED BY DFAS IN 

ORDER TO PROCESS PAYMENTS AGREED 

UPON IN SETTLEMENT CASES OR AS 

ORDERED BY THE MERIT SYSTEMS 

PROT N B 

AS CHECKLIST: INFORMATION ~EOUIRED BY IN ORDER TO PROCESS PAYMENTS AoREED UPON IN SETTLEMENT CASES 

CIVILIAN PERSONNEL OFFICE MUST NOTIFY CIVILIAN PAYROLL OFFICE VIA 

COMMAND LETTER WITH THE FOLLOWING: 

1. Statement if Unemployment Benefits are to be 

deducted, with dollar amount, address and POC to 

send. 

2. Statement that employee was counseled concerning Health Benefits and TSP and the election 

forms if necessary. 

3. Statement concerning entitlement to overtime, 

night differential, shift premium, Sunday Premium, 

etc, with number of hours and dates for each entitlement. 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
Page 5 

118 M.S.P.R. 499,2012 MSPB 103 (M.S.P.B.), 2012 WL 3963384 (M.S.P.B.) 

(Cite as: 118 M.S.P.R. 499 (M.S.P.B.)) 

4. If Back Pay Settlement was prior to conversion 

to DCPS (Defense Civilian Pay System), a statement 

certifying any lump sum payment with number of 

hours and amount paid and/or any severance pay that 

was paid with dollar amount. 

5. Statement if interest is payable with beginning 

date of accrual. 

6. Corrected Time and Attendance if applicable. 

ATTACHMENTS TO THE LETTER SHOULD 

BE AS FOLLOWS: 

I. Copy of Settlement Agreement and/or the 

MSPB Order. 

2. Corrected or cancelled SF 50's. 

3. Election forms for Health Benefits and/or TSP 

if applicable. 

4. Statement certified to be accurate by the employee which includes: 

a. Outside earnings with copies ofW2's or statement 

from employer. 

b. Statement that employee was ready, willing and 

able to work during the period. 

c. Statement of erroneous payments employee received such as; lump sum leave, severance pay, 

VERA/VSIP, retirement annuity payments (if applicable) and if employee withdrew Retirement 

Funds. 

5. If employee was unable to work during any or 

part of the period involved, certification of the type of 

leave to be charged and number of hours. 

USDA UNITED STATES DEPAR;~EN~ O'F 

•iiiiliAGRICULTURE 

NATIONAL FINANCE CENTER CHECKLIST 

FOR BACK PAY CASES 

Below is the information/documentation required 

by National Finance Center to process payments/adjustments agreed on in Back Pay Cases (settlements, restorations) or as ordered by the Merit 

Systems Protection Board, EEOC, and courts. 

I. Initiate and submit AD-343 (Payroll/ Action 

Request) with clear and concise information describing what to do in accordance with decision. 

2. The following information must be included on 

AD-343 for Restoration: 

a. Employee name and social security number. 

b. Detailed explanation of request. 

c. Valid agency accounting. 

d. Authorized signature (Table 63) 

e. If interest is to be included. 

f. Check mailing address. 

g. Indicate if case is prior to conversion. Computations must be attached. 

h. Indicate the amount of Severance and Lump Sum 

Annual Leave Payment to be collected. (if applic.able) 

Attachments to AD-343 

I. Provide pay entitlement to include Overtime, 

Night Differential, Shift Premium, Sunday Premium, 

etc. with number of hours and dates for each entitlement. (if applicable) 

2. Copies of SF-50's (Personnel Actions) or list of 

salary adjustments/changes and amounts. 

3. Outside earnings documentation statement 

from agency. 

4. If employee received retirement annuity or 

unemployment, provide amount and address to return 

© 20I2 Thomson Reuters. No Claim to Orig. US Gov. Works. 
I, ' ..,. ·~ 

118 M.S.P.R. 499,2012 MSPB 103 (M.S.P.B.), 2012 WL 3963384 (M.S.P.B.) 

(Cite as: 118 M.S.P.R. 499 (M.S.P.B.)) 

monies. 

5. Provide forms for FEGLI, FEHBA, or TSP 

deductions. (if applicable) 

6. If employee was unable to work during any or 

part of the period involved, certification ofthe type of 

leave to be charged and number of hours. 

7. If employee retires at end of Restoration Period, provide hours of Lump Sum Annual Leave to be 

paid. 

NOTE: If prior to conversion, agency must attach 

Computation Worksheet by Pay Period and required 

data in 1-7 above. 

The following information must be included on 

AD-343 for Settlement Cases: (Lump Sum Payment, 

Correction to Promotion, Wage Grade Increase, 

FLSA, etc.) 

a. Must provide same data as in 2, a-g above. 

b. Prior to conversion computation must be provided. 

c. Lump Sum amount of Settlement, and if taxable 

or non-taxable. 

If you have any questions or require clarification 

on the above, please contact NFC's Payroll/Personnel 

Operations at 504-255-4630. 

MSPB,2012. 

Hankins v. Department ofTransp. 

118 M.S.P.R. 499, 2012 MSPB 103 (M.S.P.B.), 2012 

WL 3963384 (M.S.P.B.) 

END OF DOCUMENT 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 

Page 6 
we~itiaw. 

14 C.F.R. § 183.23 

c 

Effective:[See Text Amendments] 

Code of Federal Regulations Currentness 

Title 14. Aeronautics and Space 

Chapter I. Federal Aviation Administration, 

Department of Transportation · 

Subchapter K. Administrative Regulations 

"'BI Part 183. Representatives of the Administrator (Refs & Annos) 

"Iii Subpart C. Kinds of Designations: 

Privileges 

-+ § 183.23 Pilot examiners. 

Any pilot examiner, instrument rating examiner, or 

airline transport pilot examiner may--

(a) As authorized in his designation, accept applications for flight tests necessary for issuing pilot certificates and ratings under this chapter; 

(b) Under the general supervision of the appropriate 

local Flight Standards Inspector, conduct those tests; 

and 

(c) In the discretion of the appropriate local Flight 

Standards Inspector, issue temporary pilot certificates 

and ratings to qualified applicants. 

SOURCE: Docket No. 1151, 27 FR 4951, May 26, 

1962; 54 FR 46724, Nov. 7, 1989; Arndt. 183-10, 60 

FR 67257, Dec. 28, 1995, unless otherwise noted. 

AUTHORITY: 31 U.S.C. 9701; 49 U.S.C. 106Cg), 

40113,44702, 45303. ' 

14 C. F. R. § 183.23, 14 CFR § 183.23 

Current through November, 15, 2012; 77 FR 68565 

© 2012 Thomson Reuters. 

END OF DOCUMENT 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 

Page I 

Mountain Aviation 

FDMS FAA-2012-0875 

i Respondent Ex. 11 

"--- - - -- ------ ·--- --- -·-----' 

A!RMAN COMPHEi.: . 1Ft 

FAR 

OF AIRMAN (laot, fim_ middle initial} 

M~SS, OAV<bt 6 

I'II.OT 

CERTIFICATION 

INFORMATION: 

EMPLOYED BY 

VQ.MkOS3W 

~IENCV CHECK DATE OF CHECK 

I ~ .A-UC:t zoo~ 

FAA 1~.297 j . FAR 1:!5.299 ri 

Date of Exam. ()~ - 2.. 7 

Use af Autopilot llsl fJS not) AU1ttr>l'lO!ed. 

r-------------------~-----------------------------4~-4---4----~~i~ 

REMARKS Al~lrPJ Cf,f&~D 

ftte.~ CM~-ti LFb=~f&~Wil~ 

CHECK AIRMAN'S 

PERFORMANCE (FAA 0111YJ 
MOUN • AIN AVIATION. INC. 

I have reviewed the previous Flight Logs, Maint, Logs, MEL Logs, and If 

applicable, the AW Release, have completed a pre-flight inspection and do 

hereby accept this aircraft ror night. 

~-

Computer Entered Bv- . Dale 

86-401r3 Aircraft Fllghi Log.doc ©Mountain Avlailon, Inc. AIRCRAFT FLIGh·i LOG 
N 

(.) 
AIRMAN COMPETENC'. WFJCIENCY CFIECK 

FAR 135 

OF AIRMAN (last, fim, middle initial) 

\<.LJZ.NEs~·\, J""c~N. A. 

,I LOT 

CERTIFICATION 

4NFORMATION: 

BASED AT (Ciry, State) 

6gooMFcE.L..O, C...O 

'EGlON DISTRICT OFFICE 

FAA Form 8410-3 (6-81l 

LOCAnON DATE OF CHECK 

{ (p os:c... 2.010 

FAR 135.297 gr" FAR 135.299 rg/ 

CHECK AIRMAN'S 

PERFORMANCE (FAA Only) 

Oats of Exam. (!)4-- 2G.- 20(0 

N~4As 

(12 months) 

(12 months) 

Air· 

craft 

( 6 months) ·b2Ct 

(12 months) 

0 Satisfactory 

0 Unsatisfactory 

FAA INSPECTOR's SIGNATURE 

Trng. 

Dev. 
0 

.W 
AIRMAN COMPETENCY I:- . lFICIENCY CWECK !L.OCATION A~ lDATE OF CHECK 

FAR 1:... z t DG.C.2<DI'D 

NAME OF AIRMAN (last, fim, middle initial) TYPE OF CHECK 

WllU..S . s iiid'HAUi.G I A , FAR 135.293 0 FAR 135.297 0 FAR 135.299 (g"" 

"~I LOT Grade A~ fMEDICAL INFORMATION: of Exam. II -24-'ZOiO 

;ERTIFICATION 

INFORMATION: '2 "2 '2<D 4 ':3.-, Date of Class FH2S.T 

EMPLOYED BY BASED AT (City, State) TYPE AIRPLANE_!!..·-· II ·" _pg.qp VGMP-.053W :.:' 

6~H~L01 CO ·'Trarn1ng Davica IM:o/oo/Mnrl,.JJ 

NAMEOFC~ECKAI~MAN I ~G. OF CHECK AIRMAN FLIGHT TIME I ~. >" f20D~'{ i.' 41/f::..iDC- -fo..l. <.:::»E' -~- I V,n....P • -,-t. G e:n:;::::;-

FLIGHT aiAI\Icr•vERS GRADE fS- SatisfactorY "~, :torvJ 

PILOT 

Air· lsimu- Trng. 

:~~ J~:~-1~~: craft lattir Dev. 

P~EFLIGHT HELICOPTER 

1 Equipment Examination (Oral or written) s 1. Ground and/or~ir]'ill(i / 

2. Preflight I s 2. Hovering / 

3. Taxiing .3 3._1'11orm__a! & IT.O.&Ian.-l;,.n, 1/ 

4. :Check~ .s 4. High Alt~de_ T~ & Landings / 

TAKEOJ:.F,S · _ 5. -~im. Engine Failure 17 

5. Normal ..s !-E • Areas, Slopes, & P;nnadR< / 

6. I _7._ Rapid 1 ·(Ouick Stops) L 7,-~ .$ 8, Au•u•w•auuuo~ L 

8, With ....... Failure 9. Hovering 11 ._ .. _,_.(Single Engif}4 

9. Rejected Takaoff 10. Tail Rotor ~aiiiJ__ras (~a!_)_ L 

IN FLIGHT MANEUVERS f11 ~ettli119 With Power (Oral o;-Aight) 

10. Steep T-urns s ~~e~IONs_ 

11 A ; to Stalls $ 1. Taxiing,~ D~ing 

~sP~f'rcFiight::; •a•aw•- ~""" .s 2. Step Taxi &T~ 

13 ......... ,.,,. ... :Failure 1- 3. G \ "WataiT.OJLandings 

I ANniNG~ 4. ~.u .... .f-'1' ., ... ...,ff & Landings 

.4. Normal ~ 5._ ,. I T,O. & L'l.h_dings 

15. FromaniLS .. S. L OTHER 

16 ,. ~= s !,A. Ski Plane O_E~ 

17. With "''ffiUiilltsiJ" lei Failure _GENER~L 

· 18. RejectaiLa~ding 7. Judgm"'lt s ·1 

19. From-Ci;:;;lini ~,..,.,vawu 8. Crew CuoriJona.,ur I..S: 

EMERGENCIES 

20. Normal and Abnor~oral Procedures AIRMAN COMPETENCY INFORMATION: 

21, Eiu"'V'""'~ ";u.,..._.u,.,. - Demonstrated Currant Knowledge FAR i35.2S3(a) 

INSTRUMENT PI:IOCt=llURES ... -'"•·,del Expires (12 months) ( I 

22. Area $ ! ... ,.., ., FAR 1"~" ?Qo:U~ 

23. Holding ...... .•. 

····· E)(J:)ir~ (12 months) ( I •a no ·- 24. ·Area Arrival =i Satmfactorily Demonstrated L!iZecks 

25. ILS 11 • s FAR 135.299~ '.U_ (12 months) ( RE:t I 

26, Other l" ... ~'"'a"+ A"' •a'"'"" s , .. 7 Demonstrated IFR Proficiency 

NnR/Ant= FAR 135.297 Expires_ ( 6 months) ( I 

VOR I Usa of Autopilot (isl (is notl Authorized. 

ILS s !Expires (12 months! I I 

Other, .. ,..""'" REMARKS 

27. Circling • 

28. Miaad • -- ~ 29, (',...,.., !N.u s. '\ .. AJ 

30. Use -of Auto,, Pilot· --- 0 

~ RESULT OF ~Approved CHECK AIRMAN'S tJ Satisfactory 

CHECK 0 Disapproved PERFORMANCE (FAA Only) 0 Unsatisfactory 

'EGlON ~ ... - DISTRICT OFFICE FAA INSPECTOR's SIGNATURE 

I 

FAA Form 8410.3 (6-81 1 U.S. G.P.O.: 1999 5ell-377110007 \\ v 
MOUNTAIN AVIATION. INC. 

I have reviewed the previous Flight Logs, MalnL Logs, MEL logs, and If 

applicable, the AW Release, have completed a pre-flight inspection and do 

hereby accept this aircraft for flight. · 

Slgnature:;;/tjda~~ 

13~. 

2u ,JAN I I 

Cycleo )s' q J )... Ccmpuler Enlered By: Dale 

86-401r3 Aircraft Flight Log.doc @Mountain Aviation, Inc. AIRCRAFT FLIGHT LOG 
I 
AIRMAN COMPETENCY /1 FICIENCY CWECK !L.OCATION I DATE OF CHECK 

FAR 13t. ~· __. 2.£::- ~ 2.£>' D 

NAME OF AIRMAN (last, first, middle initial) !TYPE OF CHECK 

..$UMPleP. 1 ..JfZJ?...{;ZJU.'{J L, FAR 135293 ~ FAR 135297 0 FAR 135.299 [!Y'"' 

.JT Grade A-TT-' iMEDICAL INFORMATION: Data of ·exam • 02 -0'1- 2.010 

"'d'ITIFICATION 

INFORMATION: 31 S 2C1:>S.t Date Clll5S FtiZ.~I 

EMPLOYED BY BASED AT (City, State} ITYPE .II.IRPI .11.1\JE /AI· ,n. ·" C.G.-SSo B 

VQ.MAeJ£;3 W ~Mr=ieiJ); c.o I~ 1 1 ram1ny Device (1• ,JU, '" NAMEOF.~~~CK AIRMAN ~~~~ CHEC;:t.6~ FLIGHT TIME I .QO.[)A..I.~Lf N. 6e:rrv N-l438P Ji........- /.I 

FLIGHT MANEUVERS GR~DE (S- I. 

PILOT Air· lsimu- Trng. 

Air-1~:7~- Trng. craft lator Dev. 

craft I Ia tor Dev. 

PREFLIGHT HELICOPT_ER 

1. - Exariummon (Oral ur wu """' .s t Ground and/or Air Taxi / 

2. Preflight -;g 2. Hovering ••- 1/ 

3. Taxiing .-'.) 3. Normal & - ; T.O. & I 2n1Hnn• ./ 

4:- •1

., •• ,: Che;;k~- .s 4, High Altitude Takeoffs & Landings 

TAKI';W:I'S ·s. Sim. Engine Failure --,/ 

5. Normal .s 6. Confined Areas, Slop&s, & / 

6. fi,~., um•nn .s 1. Rapid Decelaration (Quick Stops) / -j~ .s 8. Auouou .... uun~ (Single Engine) / 

a With i>lmUiiiUIU :Failure --S 9. Hovering A •w•Y ....... (Single Engine)/ 

9. Rej~ted Tak;;if s , 10: Tail Rotor Failures (Oral) / 

IN FLIGHT MANEUVERS 11. Settling With Powar (Oral or FfldhtJ 

10 Steep Turns 3 O::I'.II.P.J''A..NE_OP_E~ATIONS 

1t ;to Stalls OS 1. TaKiing, Slriling, Oock)ri9 

12. Specific Flight "'~ ' .. ucs .s 2. Step TaKi & Tur,./ 

-:;-~: "Failure \S 3. Gl~/fi .... ,.'}.MJ"'. r T.'l./1 .f:, . . ...... ~NDINGS 4. Normal J:alteoff & Landings 

14~ Normal --=s 5. ~·u~· .,.,J T .0. & Landings 

"'15.' From an ILS -s / OTHER 

"'16 -- ·-· "'S .f/. Ski Plane Cps. (when 

17. With Simulated- ·Failure s GENERAL 

18. Rejected Landing 7, .lndg,..an• s 

19.- From Ci-rcling- "--rno~h 8. Craw~ ......... IS 

EMERGENCIES 

20· NofTilal and .ll.bnorr.1al P,u._ ...... ,.., .g AIRMAN COMPETENCY INFORMATION: 

21, - ·.s Damonstrated Currant Kntiwladg~~~AR 135.293(a) (.a ---$5:7\i:i '"'"'""' 

INSTRUMENT P~OCI=OURES Make/Modal EKpires I 1 'J.I 112 months) I {.U:;.. l 

22. Area ..., .. 11 .. nuo a .s Demonstrated Competency FAR1

.yr:. ?Q'II~ 

23. Holding 12~ It,, Make/Model EKpires / (12 months) ( l 

24. Area Arrival s Satidactorily Damonstratad Linec irets 

25. ILS A s FAR 135.299 Expires lC ( ( (12 months) ( R.b I 

26. Other " ·-ru .... ,·,..., Satisfactorily Demonstrated IFR Proficiency 

" NnR/.AJ)F FAR 135.297 Expi.r:_as · ( 6 months) ( I 

VCR Usa of ~is not) ~ .. ii7t-· 

ILS .s Expires t' r, f (12 months} ( Qk I 

Other (Sp<><:ifyl REMARKS.tlci<MITH CH~IJ r{Ptcfus;jDuiti:IS. 

27 Circling!!.. ................. . : .. .;,: . Ai{q/vtAH Ci-/i:?Cf;::GD lH f..LJWER7"1-f4N STIH-fDA~ 

28, Missed'!. .. '""'"""" 1/e!>. . 

• 29. -,."'Yim.Jrliav~ ...... ~ ....... s AiPfl1f4-N CJ.(Gc.t;:E.D IN Dti=DZGfJAH.c.e. 1.-t.H'f(-(C.G2.....$$o 

30. U.s of Auto. Pilot .s cf/.. <!...e-SW. 

RESULT OF !9"Approvad CHECK AIRMAN'S 0 Satisfactory 

CHECK 0 Disapproved PERFORMANCE (FAA Only) 0 Unsatisfactory 

:GJON ........ . . .. ~ .. DisTRICT OFFICE FAA INSPECTOR'sSIGNATURE 

I 

FAA Form 8410·3. (6-B1l . U.S. G.P.O.: 1999 568-377/10007 
MOUNTAIN AVIATION, INC. 

I have reviewed the previous Flight Logs, Main!. Logs, MEL Logs, and If 

applicable, the AW Release, have completed a pre-night Inspection and do 

hereby accept this aircraft for flight. 

Computer Entered By: Date 

86-401r3 Aircraft Flight Log.doc ©Mountain Aviation, Inc. AIRCRAFT FLIGHT LOG 

·-· 
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Mountain Aviation Inc. 

TRIP SCHEDULE 

TRIP REQUESTER: Hannah, Doug 

TRJP TYPE: Retail Charter 

TRIP LAST CHANGED: 1/18/2011 21:37 

PLANNER Han~ 

PLANNER PHONE NUMBER:...-..... 

TAIL NUMBER N56GA 

TRIP: 29820 

NO FLY LIST CHECKED 

NUMBER: n1591-1/s1560 DATE: 1/12/2011 BY: PETA 

ANNOUNCEMENTS: Confirm Fuel Vendor & Pricing with Ops at every location to determine best pricing and 

payment method. MAL 1 06/02/09 1 0:56 

TRIP COMMENT: 

liME ~ Af..lll AIRPORT CITY & STATE BlQ FBO FREQUENCIES 

DEPT: 117/11 07:42 KAPF NAPLES AIRPORT AUTHORITY 128.825 128.825 

12:42 Z NAPLES, FL 239-643-1791 

AA.RV: 1/7/11 10:30 

15:30Z 

KMIE DELAWARE COUNTY-JOHNSON 

MUNCIE, IN 

Call Dispatch with fuel info. MAL 1 01/06/1117:01 Local 

<Fuel Vendor Retail Fuel Price: 1+$4.39 01/04/11> 

No contract fuel deals available (unless on a Donor trip). RETAIL 

ONLY 

**"DONOR FLIGHTS .... Tell them you are a Philflps 66 Partner. 

They will fuel at negotiated price of cost+ $0.65, then bill us. 

MUNCIEAVIATION 122.95 _ 

- <Fuel Vendor Duncan Avionics BJC: > 

Confirmed arrival with a message. 

liME ~ Af.ID AIRPORT C!JY &STATE BlQ EBOEREQUENCIES 

DEPT: 1/7/11 11:30 KMIE DELAWARECOUNTY-JOHNSON MUNCIEAVIATION 122.95 

16:30 Z MUNCIE, IN A k 

AA.RV: 1/7/11 14:12 

19:12Z 

CATERING: KMIE ·Arranged by Client 

KAPF NAPLES 

NAPLES, FL 

Passengers will bring their own lunch. Please ensure Diet Cokes and water. 

PAX TRANS: KAPF ·Hertz General Aviation 3 fs 

Ramp-side car delivery confirmed with GHent and APF Hertz. 

Vehicle: Fullsize Impala 

CONF# £9824590403 

services confirmed with Matt MAL 1 01/06/1117:04 Local 

AIRPORT A~THORITY 

- 128.825 

Xj I 

<Fuel Vendor Retail Fuel Price: 1+$4.39 01/04/11> 

128.825 

No contract fuel deals available (unless on a Donor trip). RETAIL 

ONLY 

*'"'DONOR FLIGHTS**** Tell them you are a Phillips 66 Partner. 

They will fuel at negotiated price of cost+ $0.65, then bill us. 

a • 

Page 1 of1 

j< 

~ ,.j 

Hannah, Ann C. . J' 

o o o o o v~ LEAD Hannah, Doug 

PRINTED: 1/191201111:04:18AM I r TOTAL PAX PER LEG: 

Thank you for flying with Mountain Aviation, Cert.#VQMA053W (ctsnfl_mtn- Rev. 3.8.3) 

0 0 0 0 

\\\ 
10/01/07 2150.38 

Appendix B 

Table of Sanctions 

All Enforcement Programs 

Except Hazardous Materials 

Part One - Abbreviations and Definitions 

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

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

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

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

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

AP IS means approved production inspection system 

A/W means airworthiness 

AWC means airworthiness certificate 

BTS means Under Secretary for Border and Transportation Security 

fA means inspection authorization 

LE means law enforcement 

PC means production certificate 

STC means supplemental type certificate 

TC means type certificate 

TFR means Temporary Flight Restriction 

TSA means Transportation Security Administration 

3. Definitions: 

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

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

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

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

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

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

violations are ongoing. 

b. Violation committed by a small business concern. Section 503 of Vision 1 00---Century 

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

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

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

business concerns, as opposed to violations by other entities. Vision 100 CARA gives small ,~...1/ business concern the same meaning as in the Small Business Act (15 U.S.C. § 632). Section \... \o' 

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

operated and which is not dominant in its field of operation." The Small Business ,~ /V'YAdministration regulations implement the Small Business Act and define business concern as "))'...; "' /)\) ~~ B-1 
10/01/07 2150.38 

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

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

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

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

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

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

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

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

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

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

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

numbers of employees, unless otherwise noted). 

Manufacturing 

Aircraft- 1,500 employees 

Aircraft engine and part- 1,000 employees 

Other aircraft part and equipment- 1,000 employees 

Air transportation 

Scheduled passenger- 1,500 employees 

Scheduled freight- 1,500 employees 

Nonscheduled passenger- 1,500 employees 

Nonscheduled offshore marine passenger- $25.5 million annual receipts 

Nonscheduled freight- 1,500 employees 

Nonscheduled offshore marine freight- $25.5 million annual receipts 

Other nonscheduled - $6.5 million annual receipts 

Support activities - $6.5 million annual receipts 

Flight Training- $23.5 million annual receipts 

Airport operations 

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

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

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

That is not a statutory or regulatory term for purposes ofF AA enforcement. It includes each 

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

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

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

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

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

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

factors. 

B-2 
10/01/07 2150.38 

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

OPERATOR. 

CLASSIFICATION OF AIR CARRIER AND OPERA TOR 

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

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

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

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

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

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

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

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

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

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

pilots or 6 to 24 aircraft. 

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

than 5 pilots and no more than 5 aircraft. 

GROUP I - large business concern 

Maximum 

Moderate 

Minimum 

$18,750-$25,000 

$10,000-$18,749 

$2,000-$9,999 

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

§ 46301(a)(5)(A)): 

Maximum 

Moderate 

Minimum 

$8,250-$11,000 

$4,400-$8,249 

$1,100-$4,399 

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

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

Maximum 

Moderate 

Minimum 

$850-$1,100 

$650-$849 

$500$649 

GROUP II -large business concern: 

B-3 
10/01/07 

Maximum 

Moderate 

Minimum 

$16,25 0-$25 '000 

$8,750-$16,249 

$1,850-$8,749 

2150.38 

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

Maximum 

Moderate 

Minimum 

$8,250-$11,000 

$3,850-$8,249 

$935-$3,849 

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

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

Maximum 

Moderate 

Minimum 

$750-$1,100 

$450-$ 749 

$250 $ 449 

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

Maximum 

Moderate 

Minimum 

$7' 150-$11,000 

$3,300-$7,149 

$825-$3,299 

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

U.S.C. § 46301(a)(5)(A): 

Maximum $650-$1,100 

Moderate $400-$ 649 

Minimum $150-$ 399 

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

Maximum 

Moderate 

Minimum 

$4,400-$11,000 

$2,200-$4,399 

$550-$2,199 

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

U.S.C. § 46301(a)(5)(A): 

Maximum 

Moderate 

$500-$1,100 

$300-$499 

B-4 
10/01/07 

Minimum $100-$299 

(2) VIOLATION COMMITTED BY PART 129 OPERATOR 

Maximum $18,750-$25,000 

Moderate $10,000-$18,749 

Minimum $2,000-$9,999 

(3) VIOLATION COMMITTED BY PART 125 OPERATOR. 

Large Business Concern: 

Maximum 

Moderate 

Minimum 

$16,250-$25,000 

$8,750-$16,249 

$1,850-$8,749 

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

Maximum 

Moderate 

Minimum 

$8,250-$11,000 

$3,850-$8,249 

$935-$3,849 

2150.38 

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

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

Maximum 

Moderate 

Minimum 

$750-$1,100 

$450-$749 

$250$449 

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

Large Business Concern: 

Maximum 

Moderate 

Minimum 

$16,250-$25,000 

$8,750-$16,249 

$1,850-$8,7 49 

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

Maximum 

Moderate 

Minimum 

$7,150-$11,000 

$3,850-$7,149 

$935-$3,849 

B-5 
r. 

10/01/07 2150.38 

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

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

Maximum 

Moderate 

Minimum 

. $750-$1,100 

$450-$749 

$250$449 

(5) VIOLATION COMMITTED BY AIRPORT OPERATOR. 

Large Business Concern: 

Maximum 

Moderate 

Minimum 

$18,750~$25,000 

$10,000~$18,749 . 

$2,000-$9,999 

Small Business Concern (for violations 'covered under 49 U.S.C. § 463(H(a)(5)(A)): 

Maximum 

Moderate 

Minimum 

$8,250'7$11,000 

$4,400-$8,249 

$1,100-$4,399 

Small Business Concern (fqr violations covered under 49 U.S.C. § 4630l(a)(l)(A) or (B) but 

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

Maximum 

Moderate 

Minimum 

$850-$1,100 

$650-$849 

$500$649 

(6) LARGE BUSINESS CONCERN-- DOES NOT HOLD CERTIFICATE 

' . . . 

Maximum . $18;750-$25,000 

Moderate $10,000-$18,7 49 

Minimum $2,000-$9,999 

(7) SMALL BUSINESS CONCERN- DOES NOT HOLD CERTIFICATE 

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

Maximum 

Moderate 

Minimum 

$4,40o-$ n ,ooo . $2,200-$4;399 

$550-$2,199 

B-6 
10/01/07 2150.38 

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

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

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

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

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

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

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

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

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

penalty as recommended in the following tables. 

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

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

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

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

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

the following tables. 

Part Two - Sanction Guidance Tables 

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

Operators. 

Fig. B-1-a. Maintenance Manual 

Fig. B-1-b. AIW Directive 

Fig. B-1-c. Operations Specifications 

Fig. B-1-d: Facilities and Equipment 

Fig. B-1-e. Maintenance and Inspection Organization 

Fig. B-1-f. Training Program 

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

Fig. B-1-h. Performance of Maintenance 

Fig. B-1-i. SFAR 36 

Fig. B-1-j. Records and Reports 

Fig. B-1-k. Dispatch and Flight Release Rules 

Fig. B-1-1. Operation ofunairworthy aircraft 

Fig. B-1-m. Provisions specific to passenger-carrying 

Fig. B-1-n. Provisions specific to flight deck crew 

Fig. B-1-o. Other provisions 

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

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

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

Fig. B-2-b. Inspection 

B-9 
10/01/07 

Fig. B-2-c. Records and Reports 

Fig. B-2-d. Flight operations 

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

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

2150.38 

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

Maintenance Personnel. 

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

Fig. B-3-b. Repair Stations 

Fig. B-3-c. ID Plate Violations 

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

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

Fig. B-3-f. Student Operations 

Fig. B-3-g. Flight Instructors 

Fig. B-3-h. Other Violations 

Fig. B-3-i. Weather Operations 

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

violation) 

Fig. B-3-k. Passenger operations 

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

alcohol; consumption of alcohol before operating an aircraft 

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

Fig. B-3-n. Miscellaneous 

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

Fig. B-3-p. Unruly passengers 

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

4. DUIIDWI Program, Falsification of Drug Convictions and Airman Medical 

Certificate Violations. 

Fig. B-4-a. Sanctions related to DUIIDWI Program 

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

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

5. Drug and Alcohol Testing Violations. 

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

·Fig. B-5-b. Coverage 

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

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

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

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

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

B-10 
10/01/07 

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

Fig. B-5-i. Retesting covered employees 

Fig. B-5-j. Inappropriate testing 

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

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

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

Fig. B-5-n. Employee Assistance Program 

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

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

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

Fig. B-5-r. Specimen collection 

Fig. B-5-s. Laboratory issues 

Fig. B-5-t. Alcohol testing 

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

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

6. Airport Operators. 

Fig. B-6-a. Certification 

Fig. B-6-b. Certification Manual 

Fig. B-6-c. Operations 

7. Violations of Noise Provisions. 

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

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

Fig. B-8-a. PRIA 

9. Engineering and Manufacturing Violations. 

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

Fig. B-9-b. Production Certificate Holders 

Fig. B-9-c. Designees 

2150.38 

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

Letter of Acceptance Manufacturers 

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

Fig. B-9-f. All Production Approval Holders 

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

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

10. Aircraft Owner/Operator Registration Violations. 

Fig. B-1 0. Registration 

B-11 
10/01/07 2150.38 

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

Approval. 

Fig. B-11. 

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

PART 129 OPERA TORS. 

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

Action 

(1) Failure to maintain current manual Minimum Up to 7-day 

suspension 

(2) Failure to provide adequate Moderate to Maximum 

instructions and procedures in 

manual 

(3) Failure to distribute manual to appropriatepersonnel Minimum to Moderate 

( 4) Release of aircraft without required equipment Moderate to Maximum Up to 7-day 

suspension 

Fig. B-1-b. AIW Directive Civil Penalty Certificate 

Action 

(1) Failure to comply Moderate to Maximum 

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

Action 

(1) Exceed inspection or overhaul time limitation Moderate Up to 7-day 

suspension 

(2) Operation contrary to ops specs - technical Minimum 

noncompliance 

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

adverse effect on safe operation 

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

Action 

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

maintenance, repair, or inspection of facilities and equipment Suspension 

until proper 

servicing, 

maintenance, 

repair and 

inspection of 

facilities and 

equipment is 

provided to 

Revocation 

B-12 
10/01/07 2150.38 

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

Action 

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

inspection organization Suspension 

until an 

appropriate 

maintenance 

and 

inspection 

organization 

is provided to 

Revocation 

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

Action 

(1) Failure to have training program Maximum Indefinite 

Suspension 

until 

compliance 

to 

Revocation 

(2) Failure to maintain training program Moderate to Maximum 

(3) Failure to train personnel adequately Moderate to Maximum 

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

Action 

(1) Incomplete or unsigned release Minimum to Maximum 

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

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

Action 

(1) By unauthorized person Maximum 

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

Fig. B-1-i. SF AR 36 Civil Penalty Certificate 

Action 

(1) Failure to comply- second offense Maximum 

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

Action 

(1) Deliberate violation 

(a) Intentionally false or fraudulent entry, Revocation 

reproduction, or alteration in record or 

report 

(b) Other 180-day 

Suspension 

to 

Revocation 

B-13 
10/01/07 2150.38 

Fig. B-1-j. Records & Reports cont. Civil Penalty Certificate 

Action 

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

report 

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

repair Suspension 

to 

Revocation 

(4) Failure to make accurate mechanical reliability report Moderate to Maximum 

(5) Failure to make required entry in aircraft log Minimum to Maximum 

(6) Failure to make available pilot record Moderate to Maximum Indefinite 

Suspension 

to 

Revocation 

(7) Failure to make available load manifest Moderate to Maximum Indefinite 

Suspension 

to 

Revocation 

(8) Failure to monitor and record enroute radio communication Moderate to Maximum 

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

Action 

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

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

Action 

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

operation 

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

effect on safe operation 

(3) Release of aircraft without required equipment Moderate to Maximum Up to 7-day 

suspension 

Fig. B-1-m. Provisions specific to passenger-carrying Civil Penalty Certificate 

Action 

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

appears to be intoxicated 

(2) Failure to brief passengers Moderate to Maximum 

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

(4) Operation w/o operable public address system Maximum 

_15) Failure to store baggage properly Moderate 

Fig. B-1-n. Provisions specific to flight deck crew Civil Penalty Certificate 

Action 

_D) Use of crewmember with expired medical certificate Minimum to Moderate 

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

enroute inspector 

B-14 
10/01/07 2150.38 

Fig. B-1-n. Provisions specific to flight deck crew cont. Civil Penalty Certificate 

Action 

(3) Use of unqualified crewmember Maximum 

(4) Flight and Duty Time violation Moderate 

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

Action 

(1) Improperly Returning Aircraft to service Maximum 

(2) Illegal carriage of controlled substance with knowledge of Revocation 

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

top mana_gement J>ersonnel 

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

crewmember 

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

Action 

(1) Operation without a reservation from ATC Moderate 

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

(3) Use of international slot for domestic flight Moderate 

( 4) Use of aircraft not meeting criteria in Moderate 

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

2. PERSONNEL OF AIR CARRIERS, COMMERCIAL OPERA TORS, AND PART 125 

OPERATORS. 

Fig. B-2-a. Maintenance, including inspection Civil Penalty Certificate 

Action 

(1) Performing maintenance without certificate, rating, or Maximum 

authorization 

(2) Performing maintenance that exceeds limitations 30- to 45-day 

Suspension 

(3) Failure to perform maintenance properly 30- to 120-

day 

Suspension 

Fig. B-2-b. Inspection Civil Penalty Certificate 

Action 

(1) Failure to make required inspection 30- to 60-day 

Suspension 

(2) Making improper inspection 30- to 120-

day 

Suspension 

(3) Improper release of aircraft to service 30 to 60-day 

Suspension 

(4) Releasing aircraft for service without required equipment 30 to 60-day 

Suspension 

B-15 
10/01/07 2150.38 

Fig. B-2-c. Records and Reports Civil Penalty Certificate 

Action 

(1) Failure to make entry in aircraft log 15- to 60-day 

Suspension 

(2) Failure to make entry in worksheet 15- to 30-day 

Suspension 

(3) Failure to make entry in other maintenance record 15- to 30-day 

Suspension 

(4) Failure to sign-off work or inspection performed 15- to 30-day 

Suspension 

(5) Failure to complete and sign maintenance release 15- to 30-day 

Suspension 

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

alteration 

Fig. B-2-d. Flight operations Civil Penalty Certificate 

Action 

(1) Preflight 

(a) Failure to use, or improper use of, checklist 30- to 60-day 

Suspension 

(b) Failure to check aircraft Jog, flight manifest, 30-to 90-day 

weather, etc. Suspension 

(c) Failure to make required inspection 30- to 60-day 

Suspension 

(d) Failure to inspect, or improper inspection of, 15- to 30-day 

aircraft Suspension 

(e) Failure to ensure seat and belt available for each 30- to 60-day 

passenger Suspension 

(2) Taxiing 

(a) Failure to adhere to clearance to instruction 30- to 60-day 

Suspension 

(b) Collision 30- to 180-

day 

Suspension 

(c) Jet blast 30- to 120-

day 

Suspension 

(d) Taxiing with standing passenger 30- to 60-day 

Suspension 

(e) Taxiing off runway, taxiway or ramp 30- to 90-day 

Suspension 

(3) Takeoff 

(a) Contrary to, or without, clearance 60- to 120-

day 

Suspension 

(b) Below weather minimums 60- to 120-

day 

Suspension 

B-16 
10/01/07 2150.38 

Fig. B-2-d. Flight operations cont. Civil Penalty Certificate 

Action 

(c) In excess of maximum gross weight 60- to 120-

day 

Suspension 

(4) Enroute 

(a) Deviating from clearance or instruction 30- to 90-day 

Suspension 

(b) Operating VFR in clouds 90-day 

Suspension 

to 

Revocation 

(c) Operating unairworthy aircraft 30- to 180-

day 

suspension 

(d) Unauthorized departure from flight deck 15- to 30-day 

Suspension 

(e) Operating within restricted or prohibited area 30- to 90-day 

(including a TFR) or Class A airspace Suspension 

(f) Operating contrary to a NOT AM 30- to 90-day 

suspension 

(g) Operating without required equipment 15- to 120-

day 

Suspension 

(h) Fuel mismanagement or exhaustion 30- to 150-

day 

Suspension 

(i) Unauthorized manipulation of controls 30- to 90-day 

Suspension 

(5) Approach to landing 

(a) Deviating from clearance or instruction 30- to 90-day 

Suspension 

(b) Approach below weather minimums 60- to 120-

day 

Suspension 

(c) Exceeding speed limit in Class D airspace 30- to 60-day 

Suspension 

(6) Landing 

(a) At or approaching wrong airport 90- to 180-

day 

Suspension 

(b) Deviating from instrument approach procedure 30- to 90-day 

Suspension 

(c) Overweight aircraft 30- to 90-day 

Suspension 

(d) Hard 15- to 60-day 

Suspension 

B-17 
10/01/07 2150.38 

Fig. B-2-d. Flight operations cont. Civil Penalty Certificate 

Action 

(e) Short or long 30- to 180-

day 

Suspension 

(f) Wheels-up 15- to 90-day 

Suspension 

(g) Failure to comply with preferential runway 15-day 

system Suspension 

(h) Deviating from clearance or instruction 30- to 90-day 

Suspension 

Fig. B-2-e. Other provisions applicable to individual Civil Penalty Certificate 

certificate holders Action 

(1) Crime; security risk; falsification 

(a) Controlled substance violation under Mandatory 

49 u.s.c. § 44710(b) Revocation 

(b) Counterfeit parts violation under Mandatory 

49 u.s.c. § 44726(b) Revocation 

(c) Security risk under Mandatory 

49 U.S.C. § 46111(a) Suspension 

or 

Revocation, 

as requested 

byBTS 

(d) Intentionally false or fraudulent Revocation 

entry, reproduction, or alteration on an of certificates 

application or a certificate or rating authorized 

under 

applicable 

part of 14 

CFR 

(e) Making and incorrect statement on an Indefinite 

application for a medical certificate Suspension 

(pending 

correction of 

application 

and 

determination 

of 

qualification) 

or 

Revocation 

of medical 

certificate 

(f) Carriage of illegal drugs (controlled Revocation 

substances) on aircraft 

B-18 
10/01/07 2150.38 

Fig. B-2-e. Other provisions applicable to individual Civil Penalty Certificate 

certificate holders cont. Action 

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

under 49 U.S.C. § 44709(b)(l)(B) to 

Revocation 

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

under 49 U.S.C. § 44709(b)(2) to 

Revocation 

(4) Flight deck crew o_perations 

(a) Allowing unauthorized manipulation of controls Revocation 

by uncertificated individual attempting to set record 

under 49 U.S.C. § 44724(a) 

(b) Acting or attempting to act as a crewmember 

under the influence of drugs or alcohol; 

consumption of alcohol before operating an aircraft 

(i) Consuming alcohol within 8 hours before Revocation 

operating aircraft 

{ii} Under the influence of alcohol Revocation 

(iii) While using any drug that affects the Revocation 

crewmembers faculties in any way contrary to 

safety 

(iv) Alcohol concentration .04 percent or above Revocation 

(v) Refusal of proper request from LE official to Revocation 

submit to alcohol test 

(c) Violation of sterile cockpit rule 30- to 90-day 

Suspension 

(d) Unauthorized admission to flight deck 30- to 90-day 

Suspension 

(e) Failure to close and lock flight deck door 30-day 

Suspension 

(f) Failure to make flight deck seat available to 30- to 60-day 

authorized enroute inspector Suspension 

(g) Failure to keep manual current 15-day 

Suspension 

(5) Flight and Duty Time violation 15- to 90-day 

Suspension 

(6) Aircraft certification 

(a) Operation without valid airworthiness certificate 15- to 30-day 

in aircraft Suspension 

(b) Operation when no airworthiness certificate 30- to 90-day 

issued for aircraft Suspension 

(7) Crew certification and qualification 30- to 90-day 

Suspension 

(a) Operating when a valid medical certificate had 30- to 90-day 

not been issued Suspension 

B-19 
10/01/07 2150.38 

Fig. B-2-e. Other provisions applicable to individual Civil Penalty Certificate 

certificate holders cont. Action 

(b) Lack of type rating 180-day 

Suspension 

to 

Revocation 

(c) Missed proficiency check or line check 30- to 90-day 

Suspension 

(d) Lack of current experience 30- to 90-day 

Suspension 

(e) Failure to have current airman or medical Minimum to Moderate 

certificate in possession 

(f) Lack of initial or recurrent training 30- to 90-day 

Suspension 

(g) Operation with known disqualifying disability Revocation 

(i) Operating without valid medical certificate when not Revocation 

medically qualified or application for medical certificate 

deferred 

Fig. B-2-f. Other Air Carrier Personnel Civil Penalty Certificate 

Action 

(1) Failure to keep manual current Minimum 30- to 90-day 

Suspension 

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

PILOT SCHOOLS, MAINTENANCE PERSONNEL. 

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

Crewmembers Action 

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

(2) Failure to perform or improper performance of Moderate to Maximum 

maintenance, including required maintenance 

(3) Failure to make proper entry in aircraft log Minimum to Moderate 

( 4) Operation of aircraft beyond annual, 1 00-hour, or Minimum to Moderate 

progressive inspection 

(5) Operation ofunairworthy aircraft Moderate to Maximum 

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

alteration in any record or report 

Fig. B-3-b. Repair Stations Civil Penalty Certificate 

Action 

(1) Failure to provide required facilities for proper servicing, Moderate to Maximum Indefinite 

maintenance, repair, or inspection Suspension 

until 

compliance 

to 

Revocation 

B-20 
10/01/07 2150.38 

Fig. B-3-b. Repair Stations cont. Civil Penalty Certificate 

Action 

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

supervise, and inspect work for which the station is rated Suspension 

until 

compliance 

to 

Revocation 

(3) Failure to maintain record of supervisory or inspection Moderate to Maximum 

personnel 

(4) Failure to maintain record Moderate to Maximum 

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

and test equipment is accomplished at prescribed intervals 

(6) Failure to adequately describe work performed Minimum to Moderate 

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

(8) Failure to sign or complete maintenance release Minimum to Moderate 

(9) Inspection of work performed, or approval for return to Maximum Up to 30-day 

service, by other than a qualified inspector Suspension 

(I 0) Failure to have an adequate inspection system that Moderate to Maximum Up to 30-day 

produces satisfactory quality control Suspension 

(11) Maintaining or altering an article for which it is rated, Maximum Up to 30-day 

without using required technical data, equipment or facilities Suspension 

(12) Failure to perform or properly perform maintenance, Moderate to Maximum Up to 30-day 

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

commercial operator 

(13) Maintaining or altering an airframe, powerplant, Maximum Suspension 

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

station is not rated Revocation 

(14) Failure to report defect or unairworthy condition to Moderate to Maximum 

FAA in a timely manner 

(15) Failure to satisfy housing and facility requirement Moderate 

(16) Change oflocation, housing or facilities without written Moderate 

approval 

(17) Operating as a certificated repair station without a repair Maximum 

station certificate 

(18) Failure to permit FAA to inspect Maximum Indefinite 

Suspension 

until 

Compliance 

(19) Failure to perform inspection properly on part 125 Moderate 

aircraft / 

(20) Failure to comply with SF AR 36 - Second offense Maximum 

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

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

pending BTS 

finding of 

compliance 

B-21 
10/01/07 2150.38 

Fig. B-3-b. Repair Stations cont. Civil Penalty Certificate 

Action 

(22) Posing an immediate security risk as determined by Mandatory 

BTS under 49 U.S.C. § 44924(c)(2) Revocation 

Fig. B-3-c. ID Plate Violations Civil Penalty Certificate 

Action 

(1) 14 C.F.R. 45.13(b), Improper removal, changing, or 

placing of identification information on a product 

(a) Inadvertent Minimum 

(b)_ Intentional misrepresenting identity of product Maximum Revocation 

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

identification plate 

(a) Inadvertent Minimum 

(b) Intentional misrepresenting identity of product Maximum Revocation 

Fig. B-3-d. Part 141 Pilot Schools Civil Penalty Certificate 

Action 

(1) Knowingly permitting school aircraft to be used for Revocation 

unlawful carriage of controlled substances 

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

personnel, records, or certificate Suspension 

until 

Compliance 

to 

- ReYocation 

(3) False advertising Maximum 

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

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

(a) Inadvertent Moderate to Maximum 

(b) Intentional Revocation 

(6) Refusal to permit FAA test, check, or examination of Maximum Indefinite 

student Suspension 

until 

Compliance 

to 

Revocation 

(7) Unqualified or unauthorized instruction Moderate to Maximum 

_(8) Failure to establish or maintain training record Moderate to Maximum 

Fig. B-3-e. General Aviation Maintenance Personnel Civil Penalty Certificate 

Action 

(1) Failure to revise aircraft data after major repair or 30- to 60-day 

alteration Suspension 

(2) Failure to perform or improper performance of 30- to 120-

maintenance day 

Suspension 

B-22 
10/01/07 2150.38 

Fig. B-3-e. General Aviation Maintenance Personnel Civil Penalty Certificate 

cont. Action 

(3) Failure of mechanic to accomplish inspection properly 30- to 60-day 

Suspension 

(4) Failure of mechanic to record inspection 15- to 30-day 

Suspension 

(5) Failure ofiA holder to accomplish inspectionproperly 60-day 

Suspension 

to 

Revocation 

ofiA 

(6) Failure ofiA holder to record inspection 15- to 30-day 

Suspension 

ofiA 

(7) Maintenance performed by person without a certificate Moderate to Maximum 

(8) Maintenance performed by person who exceeded 15- to 60-day 

certificate limitations Suspension 

(9) Improper approval for return to service 30- to 120-

day 

Suspension 

(10) Failure to make maintenance record entry 30- to 60-day 

Suspension 

(11) Failure to set forth adequate description of work 15- to 30-day 

performed Suspension 

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

alteration in maintenance record 

Fig. B-3-f. Student Operations Civil Penalty Certificate 

Action 

( 1) Cal"J)'ing passen_g_er Revocation 

(2) Solo flight without required endorsement 45- to 90-day 

Suspension 

(3) Operation on international flight 60- to 90-day 

Suspension 

(4) Use of aircraft in business 30- to 120-

day 

Suspension 

(5) Operation for compensation or hire Revocation 

Fig. B-3-g. Flight Instructors Civil Penalty Certificate 

Action 

(1) False endorsement of any student pilot record Revocation 

(2) Exceeding flight time limitation 30- to 90-day 

Suspension 

(3) Instruction in aircraft for which he/she is not rated 60- to 180-

day 

Suspension 

B-23 
10/01/07 2150.38 

Fig. B-3-h. Other Flight Violations Civil Penalty Certificate 

Action 

( 1) Certification and qualification 

(a) Operation when a valid pilot certificate had not Maximum 

been issued 

(b) Operation while pilot certificate is suspended Revocation 

(c) Operation without pilot or medical certificate in Minimum 

personal possession (certificates valid) 

(d) Operation without a current medical certificate 30-180 day 

when medically qualified suspension 

(e) Operation without a valid medical certificate Revocation 

when not medically qualifiedor when application 

for medical certificate deferred 

(f) Operation with known medical deficiency 90-day 

Suspension 

to 

Revocation 

(g) Operation for compensation or hire when a valid 90-day 

commercial pilot certificate had not been issued Suspension 

to 

Revocation 

(h) Operation without type or class rating 60- to 120-

day 

Suspension 

(2) Operation when a valid aif\Y'orthiness certificate had not 30- to 90-day. 

been issued Suspension 

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

(4) Failure to obtain pre-flight information 30- to 90-day 

Suspension 

(5) Deviation from ATC instruction or clearance 30- to 90-day 

Suspension 

(6) Taxiing, takeoff, or landing without a clearance, where 30- to 90-day 

A TC tower is in operation Suspension 

(7) Failure to maintain radio communications in Class D 30- to 60-day 

airspace Suspension 

(8) Failure to comply with airport traffic pattern 30- to 60-day 

Suspension 

(9) Operation in Class B airspace without or contrary to a 30- to 60-day 

clearance Suspension 

(10) Operation in Class C airspace without maintaining 30- to 60-day 

contact with A TC Suspension 

(11) Operation contrary to a NOT AM 30- to 90-day 

suspension 

(12) Failure to maintain altitude 30- to 60-day 

Suspension 

(13) Exceeding speed limitation 30- to 60-day 

Suspension 

B-24 
10/01/07 2150.38 

Fig. B-3-h. Other Flight Violations cont. Civil Penalty Certificate 

Action 

(15) Failure to comply with Airworthiness Directive 30- to 180-

day 

Suspension 

(16) Operation without required instrument and/or equipment 30- to 90-day 

Suspension 

(17) Failure to comply with operating limitation 30- to 90-day 

Suspension 

(18) Unauthorized operation within Class A airspace 30- to 90-day 

Suspension 

(19) Failure to adhere to right of way rule 15- to 90-day 

Suspension 

(20) Failure to comply with VFR cruising altitude 30- to 90-day 

Suspension 

(21) Failure to maintain required minimum altitude over 60- to 180-

structure, person, or vehicle -congested area day 

Suspension 

(22) Failure to maintain required minimum altitudes over 30- to 120-

structure, person, or vehicle - sparsely populated area day 

Suspension 

(23) Failure to maintain radio watch while under IFR 30- to 60-day 

Suspension 

(24) Failure to report compulsory reporting point under IFR 30- to 60-day 

Suspension 

(25) Failure to display position light 30- to 60-day 

Suspension 

(26) Failure to maintain proper altimeter setting 30- to 60-day 

Suspension 

(27) Operating within restricted or prohibited area (including 30- to 90-day 

a TFR) or Class A airspace Suspension 

(28) Unauthorized dropping of object from aircraft 30- to 60-day 

Suspension 

(29) Unauthorized towing 30- to 60-day 

Suspension 

(30) Acrobatic flight on airway, over congested area, below 90- to 180-

minimum altitude, etc. day 

Suspension 

(31) Taking off with insufficient fuel 30- to 150-

day 

Suspension 

(32) Fuel mismanagement or exhaustion 30- to 150-

day 

Suspension 

(33) Operating so as to cause a collision hazard 60- to 180-

day 

Suspension 

B-25 
10/01/07 2150.38 

Fig. B-3-i. Weather Operations Civil Penalty Certificate 

Action 

(1) Failure to comply with visibility minimum in controlled 60- to 180-

airspace day 

Suspension 

(2) Failure to comply with visibility minimum outside 30- to 120-

controlled airspace day 

Suspension 

(3) Failure to comply with distance from clouds requirement 60- to 180-

in controlled airspace day 

Suspension 

(4) Failure to comply with distance from clouds requirement 30- to 120-

outside of controlled airspace day 

Suspension 

(5) Operating VFR under 1,000 foot ceiling within Class D 30- to 120-

airspace day 

Suspension 

(6) Failure to comply with IFR landing minimum 45- to 180-

day 

Suspension 

(7) Failure to comply with instrument approach procedure 45- to 180-

day 

Suspension 

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

operation so as to endanger (independent violation) Action 

(1) Wheels up landing 15- to 30-day 

Suspension 

(2) Short or long landing 30- to 90-day 

Suspension 

(3) Landing on, or taking offfrom, closed runway 30- to 60-day 

Suspension 

(4) Landing on, or taking offfrom, ramp or other improper 30- to 120-

area day 

Suspension 

(5) Taxiing collision 30- to 90-day 

Suspension 

(6) Leaving aircraft unattended with engine running 30- to 90-day 

Suspension 

(7) Taxiing aircraft off runway, taxiway, or ramp 30- to 90-day 

Suspension 

Fig. B-3-k. Passenger operations Civil Penalty Certificate 

Action 

(1) Carrying passenger who is under the influence of drugs or 30- to 120-

alcohol day 

Suspension 

B-26 
10/01/07 2150.38 

Fig. B-3-k. Passenger operations cont. Civil Penalty Certificate 

Action 

(2) Performing acrobatics when not all passengers are 60- to 90-day 

equipped with approved parachutes Suspension 

(3) Use of unapproved parachute 30- to 60-day 

Suspension 

(4) Permitting unauthorized parachute jumping 30- to 90-day 

Suspension 

(5) Carrying passenger without required recent flight 30- to 120-

experience day 

Suspension 

(6) Operation without an approved seat or berth and approved 30- to 60-day 

safety belt for each person on board the aircraft required to Suspension 

have them during takeoff, en route flight, and landing 

Fig. B-3-1. Acting or attempting to act as a crewmember Civil Penalty Certificate 

under the influence of drugs or alcohol; consumption of Action 

alcohol before operatine an aircraft 

(1) Consuming alcohol within 8 hours before operating Revocation 

aircraft 

(2) Under the influence of alcohol Revocation 

(3) While using any drug that affects the crewmembers Revocation 

faculties in any way contrary to safety 

(4) Alcohol concentration .04 percent or above Revocation 

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

alcohol test 

Fig. B-3-m. Crime; security risk; falsification Civil Penalty Certificate 

Action 

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

44710(b) Revocation 

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

Revocation 

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

Suspension 

or 

Revocation, 

as requested 

byBTS 

(4) Intentionally false or fraudulent Revocation 

entry, reproduction, or alteration on an of certificates 

application or a certificate or rating authorized 

under 

applicable 

part of 14 

CFR 

B-27 
10/01/07 2150.38 

Fig. B-3-n. Miscellaneous Civil Penalty Certificate 

Action 

(1) Allowing unauthorized manipulation of controls by Mandatory 

uncertificated individual attempting to set record under Revocation 

49 U.S.C. & 44724(a) 

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

aircraft 

(3) Conducting operation without required operating 60- to 120-

certificate day 

Suspension 

( 4) Misuse of an airport -approved identification medium Moderate to Maximum 

(5) Making an incorrect statement on an Indefmite 

application for a medical certificate Suspension 

(pending 

correction of 

application 

and 

determination 

of 

qualification) 

or 

Revocation 

of medical 

certificate 

(6) Refusal to produce pilot certificate, log or records 30-day 

Suspension, 

and until 

produced to 

Revocation 

Fig. B-3-o. Operations at Airports Requiring Slots Civil Penalty Certificate 

Action 

(1) Operation without a reservation from ATC Minimum to Moderate 

(2) Operation with a reservation from A TC, but at the wrong Minimum to Moderate 

time 

Fig. B-3-p. Unruly passengers Civil Penalty Certificate 

Action 

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

125.328, 135.120) 

(2) Physical assault of flight or cabin crewmember $1,100-$8,000 

under 49 U.S.C. § 46318 

(3) Physical assault of individual other than a crewmember $500 - $5,000 

under 49 U .S.C. § 46318 

( 4) Threaten to physically assault flight or cabin crewmember $1,100-$5,000 

under 49 U.S.C._§_ 46318 

(5) Threaten to physically assault individual other than flight $500- $5,000 

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

B-28 
10/01/07 2150.38 

Fig. B-3-p. Unruly passengers cont. Civil Penalty Certificate 

Action 

(6) Acts in a manner that poses imminent threat to safety of $5,000- $25,000 

aircraft or other individuals on aircraft under 49 U.S.C. § ($5,000- $27,500 for 

46318 violations after 6115/2006) 

Fig. B-3-q. Other Violations by Passengers Civil Penalty Certificate 

Action 

(1) Smoking while No Smoking sign is lighted Maximum 

(2) Smoking in aircraft lavatory Maximum 

(3) Tampering with smoke detector $1,800 to 

under 49 U.S.C. § 46301(b) $2,200 

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

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

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

movement on the surface, takeoff, or landing 

(6) Operating a portable electronic device Maximum 

(7) Drinking alcoholic beverage not served by carrier Maximum 

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

MEDICAL CERTIFICATE VIOLATIONS 

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

Action 

(1) Intentionally false or fraudulent entry on medical Revocation 

certificate application regarding a DUI conviction or of all airman 

administrative action under 14 C.P.R.§ 67.403(a)(l) and medical 

certificates 

(2) Making an incorrect statement on a medical certificate Indefinite 

application regarding a DUI conviction or administrative Suspension 

action under (pending 

14 C.P.R.§ 67.403(c)(l) correction of 

application 

and 

determination 

of 

qualification) 

or 

Revocation 

of medical 

certificate 

(3) Failure to report a motor vehicle action (MVA) under 14 15- to 45-day 

C.F.R. § 61.15(e) Suspension 

of all part 61 

certificates 

( 4) Two MV As arising from separate incidents within 3 years, 90- to 120-

and reported both under day 

14 C.F.R. § 61.15(d) Suspension 

of all part 61 

certificates 

B-29 
10/01/07 2150.38 

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

Action 

(5) Three MV As arising from separate incidents within 3 Revocation 

years under 14 C.F.R. § 61.15(d) of all part 61 

certificates 

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

Action 

(1) Intentionally false or fraudulent statement on an Revocation 

application for a medical certificate or on a request for any of all airman 

special issuance or SODA under and medical 

14 C.F.R. § 67.403(a)(l) certificates 

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

kept, made or used to show compliance under of all airman 

14 C.F.R. § 67.403(a)(2) and medical 

certificates 

(3) Reproduction of a medical certificate for fraudulent Revocation 

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

and medical 

certificates 

(4) Alteration of medical certificate under Revocation 

14 C.F.R. § 67.403(a)(4) of all airman 

and medical 

certificates 

(5) Making an incorrect statement on a medical certificate Indefinite 

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

(pending 

correction of 

application 

and 

determination 

of 

qualification) 

or 

Revocation 

of medical 

certificate 

Fig. B-4-c. Drug convictions - no falsification involved. Civil Penalty Certificate 

Action 

(1) Single conviction for simple possession* 45- to 120-

day 

Suspension 

of all part 61, 

63, or 65 

certificates 

B-30 
05/13/11 

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

cont. 

(2) Multiple convictions for simple possession* 

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

2150.38, Chg 3 

Appendix B 

Certificate 

Action 

120-day 

Suspension to 

Revocation 

of all part 61, 

63, or 65 

certificates 

Revocation 

of all part 61, 

63, or 65 

certificates 

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

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

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

safety requirements. 

5. DRUG AND ALCOHOL TESTING VIOLATIONS. 

Fig. B-5-a. Drug and Alcohol Testing Violations Civil Penalty Certificate 

Action 

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

135 operator to obtain an operations specification 

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

drug program and AMPP) to obtain an operations 

specification 

(3) Failure of a Section 91.147 or non-FAA air traffic control Moderate 

facility to submit a regjstration to the FAA 

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

alcohol programs) to submit a registration to the FAA 

(5) Failure to implement or maintain continuous coverage in Maximum Indefinite 

an FAA antidrug program and/or AMPP in accordance with Suspension 

Appendices I and/or J or 14 CFR part 120 pending 

compliance 

or 

Revocation 

Fig. B-5-b. Coverage Civil Penalty Certificate 

Action 

(1) Failure to include a safety-sensitive employee in FAA Moderate to Maximum 

mandated drug and alcohol testing programs 

(2) Permitting a contractor employee to perform a function Moderate to Maximum 

listed in Appendix I or J or 14 CFR part 120 who is not 

covered under an FAA-mandated antidrug and/or alcohol 

B-31 
05/13/11 

I misuse prevention program 

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

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

safety-sensitive function of the pre-employment testing 

requirement 

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

receive a negative drug test result prior to hiring or 

transferring that individual for a safety-sensitive function that 

has a negligible impact on safety. 

(3) Failure to pre-employment drug test an individual or 

receive a negative drug test result prior to hiring or 

transferring that individual for a safety-sensitive function that 

has, or may have, an adverse effect on safety. . 

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

transferring an individual into a safety-sensitive position if 

more than 180 days elapse between a pre-employment test 

and placing the individual into a safety-sensitive function that 

has a negligible impact on safety. 

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

transferring an individual into a safety-sensitive position if 

more than 180 days elapse between a pre-employment test 

and placing the individual into a safety-sensitive function that 

has, or may have, an adverse effect on safety. 

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

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

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

random drug and/or alcohol testing 

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

selection 

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

are unannounced 

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

are spread reasonably throughout the calendar year 

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

report for random drug and/or alcohol testing proceeds 

immediately to the testing site 

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

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

employee has ceased performing a safety-sensitive function 

B-32 

Civil Penalty 

Minimum 

Minimum to Moderate 

Moderate to Maximum 

Minimum to Moderate 

Moderate to Maximum 

Civil Penalty 

Maximum 

Minimum to Moderate 

Moderate 

Moderate 

Minimum to Moderate 

Moderate to Maximum 

Minimum 

2150.38 Chg 3 

Appendix 8 

Certificate 

Action 

Certificate 

Action 

-
05/13/11 

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

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

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

performance either contributed to an accident or cannot be 

completely discounted as a contributing factor to the accident. 

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

hours after the accident. 

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

employee within 8 hours after the accident 

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

stating the reasons the post-accident alcohol test was not 

administered within 2 hours and/or 8 hours. 

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

suspicion alcohol testin2 

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

performs a safety-sensitive function and who is reasonably 

suspected of using a prohibited drug and/or misusing alcohol 

(2) Reasonable cause drug testing of individuals without a 

reasonable and articulable belief that the employee is using a 

prohibited drug on the basis of specific, contemporaneous 

physical, behavioral, or performance indicators of probable 

drug use 

(3) Reasonable suspicion alcohol testing of individuals when 

reasonable suspicion of alcohol misuse has not been 

determined by a trained supervisor based on specific, 

contemporaneous, articulable observations concerning the 

appearance, behavior, speech or body odor of the employee 

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

reasons the reasonable suspicion alcohol test was not 

administered within 2 hours and/or 8 hours 

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

under the influence of or impaired by alcohol 

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

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

individual is returned to perform a safety-sensitive function 

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

received a verified positive drug test result 

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

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

safety-sensitive function 

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

individual who engaged in prohibited conduct prior to 

B-33 

Civil Penalty 

Maximum 

Maximum 

Maximum 

Minimum 

Civil Penalty 

Maximum 

Moderate 

Moderate 

Minimum to Moderate 

Maximum 

Civil Penalty 

Maximum 

Maximum 

Maximum 

2150.38, Chg 3 

Appendix B 

Certificate 

Action 

Certificate 

Action 

Certificate 

Action 
05/13/11 2150.38 Chg 3 

A ppen d" IX B 

returning him or her to a safety-sensitive function. 

Fig. B-5-g. Return to duty drug and alcohol testing cont. Civil Penalty Certificate 

Action 

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

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

return-to-duty test prior to resuming the performance of safetysensitive duties 

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

Action 

(I) Failure to implement a reasonable program of Maximum 

unannounced testing for each individual who has been hired to 

perform or who has been returned to the performance of a 

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

receiving a verified positive drug test result, or engaging in 

prohibited alcohol conduct 

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

12 months following the return to duty of an employee 

(3) Failure to discontinue follow-up testing after 60 months Minimum to Moderate 

from the date the individual returned to a covered function 

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

number and frequency of follow-up tests 

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

covered employee only occurs just before the employee is to 

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

employee has ceased covered functions 

Fig. B-5-i. Retesting covered employees Civil Penalty Certificate 

Action 

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

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

employer has chosen to permit the employee to perform a 

safety-sensitive function within 8 hours of alcohol use 

(2) Permitting an individual with an alcohol concentration of Maximum 

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

functions unless 8 hours has elapsed or the individual is 

retested and tests below .02 

Fig. B-5-j. Inappropriate testing Civil Penalty Certificate 

Action 

(1) Inappropriate testing using DOT or FAA Authority Minimum to Moderate 

B-34 
05/13/11 

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

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

representative to examine records 

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

under 49 C.F.R. § 40.25 

(3) Failure to provide drug and alcohol testing records 

requested under 49 C.F.R. § 40.25 

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

after obtaining information that the employee violated DOT 

drug and alcohol regulations, without obtaining information 

that the employee complied with return-to-duty requirements 

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

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

within two working days of the date of the verified positive 

result 

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

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

conduct, within two working days of the violation date 

(7) Failure to notify the FAA ofthe refusal to submit to testing 

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

working days of the refusal to test 

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

performing that safety-sensitive function 

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

in accordance with Appendices I and J or 14 CFR part 120. 

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

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

negative drug test results for the required timeframe 

(11) Releasing drug or alcohol testing information without the 

appropriate consent 

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

controlled access 

(13) Failure to maintain records of employee alcohol test 

results of 0.02 or greater for the required timeframe 

(14) Failure to maintain records related to violations of 

B-35 

2150.38, Chg 3 

Appendix B 

Civil Penalty Certificate 

Action 

Maximum Indefinite 

Suspension 

pending 

compliance 

to 

Revocation 

Moderate to Maximum 

Moderate to Maximum 

Moderate to Maximum 

Moderate to Maximum 

Moderate to Maximum 

Moderate to Maximum 

Maximum Indefinite 

Suspension 

pending 

compliance 

to 

Revocation 

Minimum 

Moderate 

Maximum 

Maximum 

Moderate 

Moderate 
05/13/11 

sections 65.46a, 120.19, or 120.37 or 121.458 or 135.253 for 

the required timeframe 

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

(15) Failure to maintain documentation of refusals, calibration Moderate 

documentation, employee evaluations and referrals, and copies 

of annual reports (MIS) for the required timeframe 

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

below 0.02 for the required timeframe 

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

manner prescribed by the Administrator 

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

(19) Releasing alcohol testing information without the Maximum 

appropriate consent 

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

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

services 

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

negative test results 

(3) Failure ofMRO to review, interpret, and verify positive Maximum 

test results 

(4) Failure ofMRO to interview an employee or applicant Maximum 

who has had a confirmed positive drug test result 

(5) Failure ofMRO to transmit the results to employer Maximum 

(6) Failure ofMRO to process employee requests for testing Maximum 

of split specimens 

(7) Failure ofMRO to ensure all records maintained by the Moderate 

former MRO are forwarded to the new MRO within the 

appropriate time frame 

(8) Failure ofMRO to maintain records in confidence and Maximum 

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

part 121, Appendix I or 14 CFR part 120 and 49 C.F.R. part 40 

(9) Failure ofMRO to maintain records concerning drug tests Maximum 

confirmed positive by the laboratory for the required 

time frame 

(10) Failure ofMRO to inquire whether an individual holds an Maximum 

airman medical certificate issued under part 67, or would be 

required to hold such certificate in order to perform the duties 

of the position for which the applicant is applying 

(11) Failure ofMRO to verify the primary test result pending Maximum 

the result of the split specimen 

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

and evaluation 

B-36 

2150.38 Chg 3 

A ppen d. B IX 

Certificate 

Action 

Certificate 

Action 

Certificate 

Action 
05/13/11 2150.38, Chg 3 

A ppen d. B IX 

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

services 

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

him or her in evaluating and resolving problems associated 

with the misuse of alcohol 

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

and evaluation cont. Action 

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

the em2_loyee and recommend education and/or treatment 

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

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

successfully complied with the SAP's recommendations for 

education and/or treatment prior to establishing a follow-up 

testing plan 

Fig. B-5-n. Employee Assistance Program Civil Penalty Certificate 

Action 

(1) Failure to display and distribute informational materials, a Minimum 

community service hotline telephone number and the 

employer's policy regarding drug use in the work place 

(2) Failure to conduct initial employee training Minimum to Moderate 

(3) Failure to conduct initial and recurrent supervisory trainin_g Moderate 

(4) Failure to document initial employee and supervisory Minimum 

training on drug use 

Fig. B-5-o. Alcohol misuse information, training, and Civil Penalty Certificate 

referral Action 

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

(2) Failure to conduct supervisory training regarding alcohol use Minimum 

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

alcohol informational materials to employees 

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

Action 

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

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

accident, refusal to submit to a test, and/or a drug positive 

and/or an alcohol concentration of .04 or greater 

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

hours of an accident to perform or continue performing safety 

sensitive functions 

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

medical certificate holder who received a positive drug test 

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

greater on an alcohol test 

B-37 
05/13/11 2150.38 Chg 3 

A ppen d' IX B 

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

safety-sensitive duties for an employer following an alcohol 

violation and/or drug positive 

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

certificate holder who refused to submit to testing 

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

u.s. Action 

(1) Subjecting an employee located outside the territory of Minimum 

the United States to a DOT drug or alcohol test 

Fig. B-5-r. Specimen collection Civil Penalty Certificate 

Action 

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

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

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

supplies for DOT urine collections that meet the 

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

(3) Failure to conduct specimen collections in accordance Minimum to Moderate 

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

(4) Failure to process split specimen tests in accordance Moderate 

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

(5) Failure to address problems with drug tests in Minimum to Moderate 

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

Fig. B-5-s. Laboratory issues Civil Penalty Certificate 

Action 

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

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

Fig. B-5-t. Alcohol testing Civil Penalty Certificate 

Action 

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

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

(2) Failure to use sites, forms, and supplies for DOT Minimum to Moderate 

alcohol testing that meet the requirements in 49 C.F .R. part 

40, subpart K 

(3) Failure to use equipment for DOT alcohol testing that Moderate to Maximum 

meets the requirements in 49 C.F .R. part 40, subpart K 

(4) Failure to conduct alcohol screening tests in accordance Minimum to Moderate 

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

(5) Failure to conduct alcohol confirmation tests in Moderate to Maximum 

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

B-38 
05/13/11 2150.38, Chg 3 

A ppen d" IX B 

(6) Failure to address problems with alcohol tests in Minimum to Moderate I accordance with 49 C.F .R. part 40, subpart N. 

Fig. B-5-u. Consequences to the uncertificated Civil Penalty Certificate 

individual Action 

(1) Refusal to submit to an alcohol test Maximum 

(2) Positive drug test result or alcohol test result .04 or Maximum 

above on any drug or alcohol test. 

Fig. B-5-u. Consequences to the uncertificated Civil Penalty Certificate 

individual Action 

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

after receiving a verified positive test result without 

complying with the return to duty procedures 

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

while having an alcohol concentration of0.04 or greater 

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

while using prohibited drugs or alcohol on duty 

(6) Performs a safety-sensitive function Maximum 

for an employer within 8 hours after consuming any 

alcoholic beverage 

(7) Performs a safety-sensitive function for an employer Maximum 

within 4 hours after consuming any alcoholic beverage 

(8) Has actual knowledge of an accident involving an Maximum 

aircraft for which he or she performed a safety sensitive 

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

within the 8 hours following the accident 

Fig. B-5-v. Consequences to the certificated individual Civil Penalty Certificate 

Action 

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

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

(2) Positive drug test result or alcohol test result .04 or Revocation 

above or other alcohol violation by the holder of a certificate 

issued under parts 61, 63, or 65 on any drug or alcohol test. 

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

or she holds an airman medical certificate issued under part 

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

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

applying 

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

after receiving a verified positive test result without 

complying with the return to duty procedures 

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

while having an alcohol concentration of0.04 or greater 

B-39 
05/13/11 2150.38 Chg 3 

A ~ppendix B 

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

while using prohibited drugs or alcohol on duty 

(7) Performs a safety-sensitive function (flight Revocation 

crewmember, flight attendant, air traffic control) for an 

employer within the prohibited time period after consuming 

any alcoholic beverage 

Fig. B-5-v. Consequences to the certificated individual Civil Penalty Certificate 

cont. Action 

(8) Has actual knowledge of an accident involving an Revocation 

aircraft for which he or she performed a safety sensitive 

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

within the 8 hours following the accident 

6. AIRPORT OPERA TORS. 

Fig. B-6-a. Certification Civil Penalty Certificate 

Action 

(1) Operation without a part 139 certificate Maximum; 

Injunctive relief 

(2) Operation in violation of a part 139 certificate Moderate to Maximum 

(3) Failure to permit FAA inspector to conduct inspection Maximum Indefinite 

- Suspension 

until 

Compliance 

to Revocation 

Fig. B-6-b. Certification Manual Civil Penalty Certificate 

Action 

(1) Failure to comply with an approved airport certification Moderate to Maximum 

manual 

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

certification manual 

(3) Failure to maintain current airport certification manual Moderate to Maximum 

on the airport 

(4) Failure to make current airport certification manual Moderate to Maximum Indefinite 

available to the FAA for inspection Suspension 

until 

Compliance 

to Revocation 

Fig. B-6-c. Operations Civil Penalty Certificate 

Action 

(1) Failure to maintain sufficient qualified personnel to Moderate to Maximum 

comply with requirements of the airport certification 

B-40 
05/13/11 2150.38, Chg 3 

A d. B \ppen IX 

manual and FAA regulations 

(2) Failure to maintain and repair the pavement of each Moderate to Maximum 

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

airport 

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

unpaved runway, taxiway, or loading ramp and parking 

area on the airport 

Fig. B-6-c. Operations coot Civil Penalty Certificate 

Action 

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

(5) Failure to provide and maintain the required marking Maximum 

and signing systems for air carrier operations 

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

carrier operations when the airport is open during hours of 

darkness or during conditions below VFR minimums 

(7) Failure to provide and maintain required rescue and Maximum 

firefighting capability and equipment during air carrier 

operations 

(8) Failure to maintain rescue and firefighting vehicles Maximum 

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

operations or demonstrate compliance with response 

requirements 

(10) Failure to respond within the required performance Maximum 

response times 

(11) Failure to ensure that rescue and firefighting Moderate to Maximum 

personnel are equipped in an acceptable manner 

(12) Failure to ensure that rescue and firefighting Moderate to Maximum 

personnel are properly trained 

(13) Failure to ensure that sufficient rescue and firefighting Moderate 

personnel are available during all air carrier operations 

(14) Failure to ensure that procedures are established and Moderate to Maximum 

equipment is maintained for alerting rescue and firefighting 

personnel to any existing or impending emergency 

(15) Failure to establish and maintain standards for Moderate to Maximum 

protecting against fire and explosions in storing, 

dispensing, and otherwise handling fuel, lubricants, and 

oxygen on the airport 

(16) Failure to perform surveillance of a fueling activity by Moderate to Maximum 

fueling agent on the airport 

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

inspection of the physical facilities of each airport tenant 

fueling agent 

(18) Failure to ensure that a fueling agent and its Moderate to Maximum 

employees are properly trained 

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

corrective action for noncompliance with a fueling standard 

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

reviewed with all parties under the plan and that all 

information in the plan is current 

B-41 
05/13/11 2150.38 Chg 3 

A ~ppen d" IX B 

(21) Failure to establish and maintain procedures for the Moderate to Maximum 

protection of persons and property on the airport during the 

handling and storing of hazardous materials 

(22) Failure to provide traffic and wind direction indicators Moderate 

Fig. B-6-c. Operations cont. Civil Penalty Certificate 

Action 

(23) Failure to develop and maintain airport emergency Maximum 

plan 

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

required 

(25) Failure to provide equipment and procedures for Moderate to Maximum 

carrying out an inspection program for a reporting system 

to ensure correction of conditions noted during the 

inspections 

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

of self-inspections 

(27) Failure to limit access by ground vehicles to Moderate 

movement areas and safety areas 

(28) Failure to establish and implement procedures for Moderate 

access to and operation on, the m_ovement area and safety 

areas by ground vehicles 

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

movement area are controlled by two-way radio 

communication or other acceptable means 

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

vehicle with access to the movement area is familiar with 

airport procedures for operation of ground vehicles 

(31) Failure to ensure that obstructions are removed, Moderate to Maximum 

marked, or lighted 

(32) Failure to prevent the construction offacilities on the Moderate to Maximum 

airport that would derogate the operation of an electronic or 

visual navaid and air traffic control facilities on the airport 

(33) Failure to take immediate measures to alleviate Moderate to Maximum 

wildlife hazards 

(34) Failure to prevent the inadvertent entry to the Moderate 

movement area by unauthorized persons or vehicles 

(35) Failure to provide for the collection and dissemination Moderate to Maximum 

of airport condition information to air carriers 

(36) Failure to mark and, if appropriate, light construction Moderate to Maximum 

areas and unserviceable areas, construction equipment, and 

each construction roadway 

B-42 
05/13/11 2150.38, Chg 3 

A 1ppen d" IX B 

(37) Failure to provide procedures for avoiding damage to Minimum to Moderate 

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

underground facilities 

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

of the airport 

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

( 40) Failure to implement wildlife assessment or the FAA- Moderate to Maximum 

approved wildlife Hazard Management Plan 

7. VIOLATIONS OF NOISE PROVISIONS. 

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

Action 

(1) Prohibition on operating without complying with Stage Moderate to Maximum 

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

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

(3) Imported aircraft operated to provide air transportation Moderate to Maximum 

in the 48 contiguous states without complying with Stage 3 

noise levels under 49 U.S.C. § 47530 

(4) Recordkeeping or notification violation Minimum 

8. VIOLATIONS OF PILOT RECORDS IMPROVEMENT ACT (PRIA). 

Fig. B-8-a. PRIA Civil Penalty Certificate 

Action 

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

requesting, receiving, and evaluating records pursuant to 

the provisions ofPRIA 

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

written consent for release of records requested under PRIA 

(a) Inadvertent error Moderate 

(b) Egregious/no consent given Maximum 

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

that have been maintained for more than 5 years before the 

date of request when record does not relate to revocation or 

suspension of airman certificate or motor vehicle license 

that was in effect at time of request 

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

44703(h)(l)(A) and (B) for five years 

(5) Furnishing records pursuant to a request under PRIA 

before receiving a copy of the written consent of the 

individual who is the subject of the request 

(a) Inadvertent error Moderate 

B-43 
05/13/11 2150.38 Chg 3 

A d. B '.ppen IX 

(b) Egregious/no consent given Maximum 

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

request under PRIA within 30 days of the date the request 

is received 

(a) Inadvertent error Moderate 

(b) Egregious/intentional Maximum 

Fig. B-8-a. PRIA cont. Civil Penalty Certificate 

Action 

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

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

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

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

such records 

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

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

to the individual 

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

under PRIA to submit written comments to correct aJ?Y 

inaccuracies in those records before making a fmal hiring 

decision 

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

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

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

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

that pilot 

(a) Making records available but untimely Minimum to Moderate 

(b) Not making the records available Maximum 

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

other than assessing the qualifications of individual in 

deciding whether to hire the individual as pilot 

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

confidentiality of records received 

(13) Divulging contents of records received pursuant to 

PRIA to individual not directly involved in hiring process 

(a) Minor Minimum 

(b) Intent to cause harm Maximum 

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

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

flight that is not a scheduled operation -

B-44 
05/13/11 2150.38, Chg 3 

A .ppen d" 1x B 

(a) Permitting a pilot to continue in service longer than Maximum 

90 days without requesting, receiving and evaluating 

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

(b) Failing to provide contractual notification to the Moderate 

individual that continuation of employment after the 90-day 

period is subject to a satisfactory evaluation of records 

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

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

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

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

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

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

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

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

FAA Orders No. 8100.8B, Designee Management Handbook, Chapter 11; No. 8100.9, DAS, DOA, and 

SFAR 36 Authorization Procedures, Chapter 8; and No. 8110.37C, Designated Engineering 

Representative (DER) Guidance Handbook, Chapter 7 

Fig. B-9-a. APIS Holders, 14 C.F.R. 49U.S.C. Civil Penalty Certificate 

including production under type Action 

certificate 

(1) Failure to maintain the approved 21.123(c), Moderate to Discontinue 

production inspection system 21.125, 21.127, Maximum issuance of a/w 

(APIS) to ensure product conformity 21.128, 21.129, certificates -

and to ensure product is in condition 21.130 pending 

for safe operation compliance 

(2) Failure to maintain technical 21.123(b) Moderate to Discontinue 

data or drawing at the place of Maximum issuance of a/w 

manufacture certificates 

pending 

compliance 

(3) Failure to maintain inspection 21.123(c), Moderate to 

record 21.125 Maximum 

(b)(lO) 

(4) Failure to properly flight test 21.127 Moderate to 

aircraft Maximum 

(5) Failure to properly conduct 21.128 Moderate to 

required test run on a production Maximum 

engine 

(6) Failure to properly conduct 21.129 Moderate to 

required function test on a Maximum 

production propeller 

Fig. B-9-b. Production Certificate 14 C.F.R. 49 u.s.c. Civil Penalty Certificate 

Holders Action 

(1) Refusal to allow FAA to make 21.157 Moderate to Indefmite 

any inspections and tests necessary to Maximum Suspension 

determine compliance with pending 

B-45 
05/13/11 2150.38 Chg 3 

A ~ppen d. B IX 

regulations compliance to 

Revocation 

(2) Failure to make information 21.143(b) Moderate to 

regarding a delegation of authority Maximum 

to subsidiary manufacturer or 

supplier 

(3) Failure to immediately notify 21.147 Moderate to 

FAA, in writing, of quality control Maximum 

system changes that affect the 

inspection, conformity, or 

airworthiness of the product 

Fig. B-9-b. Production Certificate 14 C.F.R. 49U.S.C. Civil Penalty Certificate 

Holders cont. Action 

(4) Failure to surrender a PC for 21.155, Moderate Revocation 

cancellation upon transfer of 21.159 

ownership or upon change in 

location of the manufacturing 

facility 

(5) Failure to maintain the 21.165(a) Moderate to 

approved quality control system Maximum 

(6) Failure to determine that each 21.165(b) Moderate to 

completed product submitted for Maximum 

a/w certification or approval is in 

conformity with the type design and 

in condition for safe operation 

Fig. B-9-c. Designees 14 C.F.R. 49U.S.C. Civil Penalty Certificate 

Action 

(I) Delegation Option 

Authorization (DOA) 

(a) Refusal to permit authorized 21.249 Maximum 

FAA employee to inspect the 

manufacturer's organization, 

facilities, product, record, technical 

data file, or service difficulty file 

(b) Failure to submit a report or 21.277 Moderate to Indefinite 

information necessary for the Maximum Suspension of 

issuance of an AD TCorAWCs, 

pending 

compliance to 

Revocation 

(c) Failure to place the required Minimum to 

technical data and type inspection Moderate 

report in the technical data file 

required by 21.293(a)(l)(i) 

(d) Failure to determine that the 21.267(b) Moderate to 

B-46 
05/13/11 2150.38, Chg 3 

A 1ppen d" IX B 

PC requirements of subpart G are Maximum 

met prior to certifying that the 

determination has been made 

(e) Failure to place the 21.267(d) Moderate to 

manufacturing and quality control Maximum 

data required by 21.143 with the 

data required by 21.293(a)(1)(ii) 

prior to certifying that this has been 

done 

Fig. B-9-c. Designees cont. 14 C.F.R. 49U.S.C. Civil Penalty Certificate 

Action 

(f) Failure to notify the FAA 21.245 Moderate to 

within 48 hours of any change that Maximum 

could affect the ability of the DOA 

to meet the requirements in 

Subpart J 

(g) Failure to obtain FAA 21.261 Minimum to Indefinite 

concurrence on the application of Moderate Suspension of 

any equivalent safety provision TC or AWC, 

applied under 21.21 pending 

compliance to 

Revocation 

(h) DOA issues new or amended 21.251 Revocation of 

TC, or STC, A WC, or A/W certificate 

approval beyond the scope of its 

authorization 

(2) Designated Alteration Station 

(DAS) 

(a) Exercising any authority 21.441(a) Maximum 

under subpart M without submitting 

and obtaining approval of 

procedures manual 

(b) Performing any DAS 21.441(b) Moderate to 

function affected by change in Maximum 

facilities or staff necessary to meet 

the requirements of§ 21.439, or 

affected by any change in the 

procedures approved under 

§ 21.441(a) without obtaining 

approval from the FAA for those 

changes 

(c) Failure to notify the FAA 21.445 Moderate to 

within 48 hours of any change that Maximum 

could affect the ability of the DAS 

to meet subpart M 

(d) Failure, upon reasonable 21.449 Maximum 

B-47 
05/13/11 2150.38 Chg 3 

A 1ppen d" rx B 

request, to let the FAA inspect the 

DAS facility, product, or record 

(e) DAS issues STC or AWC 21.451 Maximum Revocation of 

beyond the scope of its STCorAWC 

authorization 

(f) Issuing an STC involving 21.451(d) Maximum Indefinite 

exhaust emissions change Suspension of 

requirements of part 34 or STC pending 

acoustical change requirements of compliance to 

part 36 before the FAA fmds those Revocation 

requirements are met 

Fig. B-9-c. Designees cont. 14 C.F.R. 49U.S.C. Civil Penalty Certificate 

Action 

(g) For each STC issued under 21.463(a) Moderate to Indefinite 

subpart M, failure to follow the (1) Maximum Suspension of 

procedures manual approved under STC pending 

§ 21.441 or failure to submit compliance to 

statement describing the Revocation 

requirements in§ 21.463(a)(l) 

(h) Issuing an STC without 21.463(a) Moderate to Indefinite 

finding that each applicable (2) Maximum Suspension of 

airworthiness requirement is met STC pending 

compliance to 

Revocation 

(i) Issuing an STC without 21.463(a) Moderate to Indefinite 

finding that the type of product, as (3) Maximum Suspension of 

modified by the STC data, is of STC pending 

proper design for safe operation compliance to 

Revocation 

G) For each STC issued under 21.463(b) Moderate 

subpart M, failure to submit the 

copies of the STC or the other 

required data 

(k) For each amendment to an 21.473 Moderate to 

airworthiness certificate under Maximum 

subpart M, failure to follow the 

procedures manual approved under 

§ 21.441 or failure to follow 

§ 21.473(a)-(c) 

(1) Issuing an experimental 21.475 Minimum to 

A WC without obtaining from the Moderate 

FAA a necessary limitation or 

condition 

(m) Failure to conduct an 21.477(a) Moderate to 

investigation or report the results of Maximum 

the investigation or taken or 

proposed action 

B-48 
05/13/11 2150.38, Chg 3 

A \ppen d" IX B 

(n) Failure to submit the 21.477(b) Moderate to Indefmite 

information necessary for the issue Maximum Suspension of 

of an airworthiness directive STCorAWC, 

pending 

compliance to 

Revocation 

Fig. B-9-c. Designees cont. 14 C.F.R. 49U.S.C. Civil Penalty Certificate 

Action 

( o) Failure to maintain, at the 21.493(a) Moderate to 

DAS facility, the required current Maximum 

records 

(p) Failure to provide requested 21.493(b) Moderate to 

records to the FAA; failure to send Maximum 

data file when DAS no longer 

operates under subpart M 

Fig. B-9-d. Technical Standard 14 C.F.R. 49 u.s.c. Civil Penalty Certificate 

Order Authorization (TSOA), Action 

Letter of Design Approval, and 

Letter of Acceptance 

Manufacturers 

(1) Unauthorized display ofTSO 21.603(a) Maximum 

marking 

(2) Failure of holder of Letter of 21.603(b) Maximum 

Acceptance to comply with 

21.603(b) 

(3) Failure to manufacture article in 21.607(a) Moderate to 

accordance with the approved Maximum 

technical and quality control data 

and the TSO 

(4) Failure to properly conduct a 21.607(b) Moderate to 

required test or inspection Maximum 

(5) Failure to maintain the Q/C 21.607(b) Moderate to 

system to ensure each article meets Maximum 

21.607(a) and is in a condition for 

safe operation 

(6) Failure to prepare and maintain 21.607(c) Moderate to 

a current file of complete technical Maximum 

data and inspection records 

(7) Failure to permanently and 21.607(d) Minimum to 

legibly mark each article produced Moderate 

under the TSOA or Letter of Design 

B-49 
05/13/11 2150.38 Chg 3 

A d. B \ppen IX 

Approval 

(8) Failure to forward information 21.611(a) Minimum to 

on a minor design change to the Moderate 

appropriate Aircraft Certification 

Office 

Fig. B-9-d. Technical Standard 14 C.F.R. 49 u.s.c. Civil Penalty Certificate 

Order Authorization (TSOA), Action 

Letter of Design Approval, and 

Letter of Acceptance 

Manufacturers cont. 

(9) Before making a major change, 21.611(b) Moderate to 

failure to assign a new type or Maximum 

model designation to the article and 

apply for an authorization under 14 

CFR § 21.605 

(10) Failure to retain technical data 21.613 Moderate to 

Maximum 

(11) Refusal to permit an 21.615 Moderate to 

authorized FAA representative to Maximum 

inspect an article, Q/C inspection or 

test, or the manufacturing facilities 

or technical data file 

Fig. B-9-e. Replacement or 14 C.F.R. 49U.S.C. Civil Penalty Certificate or 

Modification Parts Other Action 

Manufacturers 

(1) Production without PMA or 21.303(a) Maximum Injunctive 

other authority relief 

(2) Failure to maintain the 21.303(h) Moderate to 

fabrication inspection system to Maximum 

ensure each completed part 

conforms with its approved design 

and is safe for installation on 

applicable TC product 

(3) Failure to ensure that incoming 21.303 Moderate to 

materials used in the finished part (h)(l) Maximum 

are as specified in the design data 

(4) Failure to ensure that incoming 21.303 Moderate to 

materials are properly identified if (h)(2) Maximum 

their physical and chemical 

properties cannot otherwise be 

B-50 
05/13/11 2150.38, Chg 3 

A d. 8 \ppen IX 

readily and accurately determined 

(5) Failure to ensure that materials 21.303 Moderate to 

are suitably stored and adequately (h)(3) Maximum 

protected 

(6) Failure to accomplish all 21.303 Moderate to 

processing affecting quality and (h)(4) Maximum 

safety of the part in accordance with 

acceptable specifications 

(7) Failure to inspect parts process 21.303 Moderate to 

for conformity with the design data at (h)(5) Maximum 

points in production where accurate 

determinations can be made 

Fig. B-9-e. Replacement or 14 C.F.R. 49U.S.C. Civil Penalty Certificate or 

Modification Parts Other Action 

Manufacturers cont. 

(8) Failure to make a current design 21.303 Moderate to 

drawing readily available to (h)(6) Maximum 

manufacturing and inspection 

personnel or to use such a drawing 

when necessary 

(9) Failure to adequately control a 21.303 Moderate to 

major design change or to obtain (h)(7) Maximum 

FAA approval of a major design 

change before it is incorporated into 

the fmished part 

(10) Failure to segregate and identify 21.303 Moderate to 

rejected materials and components in (h)(8) Maximum 

such a manner as to preclude their use 

in a fmished product 

(11) Failure to maintain and identify 21.303 Moderate to 

an inspection record with a completed (h)(9) Maximum 

part, or to retain the record for at least 

2 years 

(12) Failure to notify the FAA, in 21.3030) Moderate to 

writing, within 1 0 days after Maximum 

relocating or expansion of 

manufacturing facilities 

(13) Failure to determine that each 21.303(k) Moderate to 

completed part conforms to the Maximum 

design data and is safe for installation 

on TC product 

Fig. B-9-f. All Production 14 C.F.R. 49U.S.C. Civil Penalty Certificate 

Approval Holders Action 

(1) Failure to report each malfunction Moderate to 

or defect specified in section 21.3(c) Maximum 

within the time specified in 21.3( e) 

B-51 
05/13/11 2150.38 Chg 3 

A ~ppen d. B IX 

Fig. B-9-g. TC or STC Holder; 14 C.F.R. 49U.S.C. Civil Penalty Certificate or 

Manufacturers and Alteration Other Action 

Entities 

(1) Failure to submit the data 21.99 Maximum Indefmite 

necessary for the issuance of AIW Suspension of 

directive containing the appropriate TC or AWCs, 

corrective action pending 

corrective action 

to Revocation 

Fig. B-9-h. All persons, including 14 C.F.R. 49U.S.C. Civil Penalty Certificate or 

designees Other Action 

(1) Falsification of application, 21.2(a)(l), (2), Maximum Revocation of 

report, or record (3), or (4) certificate( s) 

Fig. B-9-h. All persons, including 14 C.F.R. 49U.S.C. Civil Penalty Certificate or 

designees cont. Other Action 

(2) Failure to provide written 44704 Minimum 

evidence of permission to use an (a)(2) 

STC 

(3) Failure to provide written 44704 Minimum 

evidence of permission to use a TC (a)(3) 

(4) Changing a product based on an 44704 Maximum 

STC without being the holder or (a)(2) 

having the permission of the STC 

holder ·----~--~· 

(5) Manufacturing a product based 44704 Maximum 

on a TC without being the holder or (a)(3) 

having permission of the TC holder 

10. AIRCRAFT OWNER/OPERATOR REGISTRATION VIOLATIONS 

Fig. B-10. Registration. 14 C.F.R. 49U.S.C. Civil Penalty Certificate 

Action 

(1) Operation of an unregistered 91.203 44101 Maximum* 30-90 day 

aircraft (a)(2) .Suspension of 

_l)_ilot certificate 

(2) Operation of an aircraft without 91.203 Minimum 30-90 day 

an effective (14 C.F .R. 4 7.41 ), valid (a)(2) to Suspension of 

(14 C.F.R. § 47.43) certificate on Maximum* pilot certificate 

board 

(3) Operation outside U.S. on pink 91.203 44101 Minimum 30-90 day 

copy (a)(2) to Suspension of 

Maximum* pilot certificate 

(4) Operation in U.S. on pink copy 91.203 Moderate 30-90 days 

without compliance with 14 C.P.R. (a)(2) to suspension of 

47.31(b) Maximum* pjlot certificate 

(5) Failure to return an ineffective 47.41(b) Minimum Revoke aircraft 

or invalid aircraft registration 47.43(b) registration 

certificate certificate 

B-52 
05/13/11 2150.38, Chg 3 

A .ppen d" IX B 

(6) Failure to submit triennial 46.5l(d) 44105 Suspension or 

report revocation of 

registration 

certificate 

(7) Failure to submit required flight 47.9(f) Minimum 

information to 

Moderate* 

(8) Failure to submit change of 47.45 44105 Minimum 

address 

(9) Failure to submit required 47.71 Minimum 

dealer information to 

Moderate 

Fig. B-10. Registration cont. 14 C.F.R. 49 u.s.c. Civil Penalty Certificate 

Action 

(1 0) Use of registered aircraft to 44106 Mandatory 

carry out or facilitate unlawful drug (b), revocation of 

activities 44710 aircraft 

registration 

certificate and 

of all other 

certificates of 

aircraft 

-· - .· .. registration 

issued to its 

owner, and 

revocation of 

all airman 

certificates 

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

11. ALL INDIVIDUALS AND ENTITIES. Failure to surrender suspended or revoked certificate, 

authorization, or other approval 

Fig. B-11. Civil Penalty 

(1) Individual Moderate c.p. per day, with the total c.p. generally $5,000 to $11,000 

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

B-53 
) . 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

September 5, 2006 

Mr. Richy Bjeljevig 

Mountain Aviation, Inc. 

9646 Jeffco Airport Ave. 

Broomfield, CO. 80021 

Dear Mr. Bjeljevig: 

Denver Right Standards District Office 

26805 East 68th Avenue, Suite 200 

Denver, Colorado 80249 

. 303-342-1144, Fax: 303-342-1176 

1-800-847-3808 

SUBJECT: Designation of Check Airman 

This certifies that Rodney Getty, FAA Certificate number 1965314, is approved as check 

airman. This check airman is approved to conduct checks in BE-90 BE-200 and CE-500 aircraft 

for employees of Mountain Aviation. 

This approval is applicable for the following checking functions: 

Checking Function: Effective date: 

Check Pilot - All Checks February 12, 2002 

Please retain a copy of this letter in the airman's individual flight training records. 

Sincerely, 

AI Hankins 

Principal Operations Inspector 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

January 18, 2008 

·oren Cargill Taft 

48'5 Sunnyside Lane 

Boulder, Co. 80302-7940 

Dear Mr. Taft: 

Denver Flight Standards District Office 

26805 East 68th Avenue, Suite 200 

Denver, Colorado 80249 

303-342-1144, Fax: 303-342-1176 

1-800-84 7-3808 

SUBJECT: Designation of Check Airman 

This certifies that Oren Cargill Taft, FAA Certificate number 1710568, is approved as check 

airman. This check airman is approved to conduct checks in BE-90 and BE-200 aircraft for 

employees of Mountain Aviation (VQMA). 

This approval is applicable for the following checking functions: 

Checking Function: Effective date: 

Check Pilot - All Checks September 27, 2007 

Please retain a copy of this letter in the airman's individual flight training records. 

AI Hankins 

Principal Operations Inspector 
AIRMAN COMPETENCY/PRuFICIENCY CJiECK. 

F 

E OF AIRMAN (last, first, middle initial) . 

\EGlON 

FAA Form 8410-3 !6-B1l 

DATE OF CHECK 

'Z.b Mf\R 2.0(0 

FAR 135297 ~ FAR 135.299 g_/'" 

Oats of Exam. ::z -l(p -20l0 

(12 months) 

(12 months) R6-

(12 months) fZb 

( 6 months) 

CHECK AIRMAN'S 0 Satisfactory 

PERFORMANCE (FAA Only} 0 Unsatisfactory 

FAA INSPECTOR's SIGNATURE 

Trng. 

Dev. 

U.S. G.P.O.: 1999 568-377110007 \ J 

. ""' 
LOCATION I DATE OF CHECK AIRMAN COMPETENCY/PROFICIENCY CHECK 

FAR 135 DRD o3/?...f.:/ ~10 NAME OF AiRMAN (last first middle initial} TYPE OF CHECK I 

GeTTy ~c:b\..>a,.- N.c'"'-"-~5. FAR 135.293 ~- FAR 135.297 ~ FAR 135.299 ~ 

P!LOT J J Grade A,ff MEDICAL INFORMATION: Oat~ oO:xam. 0 ~- 01201_0 

CERTIFICATION .. INFORMATION: I Number lq(:.53l'-t Date of Birth Class i"' LR.s-1 

EMPLOYED BY: aASED AT (City, State) TYPE OF AIRPLANE (Make/Model} l3,e_ - qo G 

VSJLrJI.~- os~'""" /1 11.-:sc Simulator!TraininQ Device (Make/ModeD 

NAME OF CHECK AIRMAN L::{F CHECKAIRM~ FUGHTTIME I AiRCRAFT REG. 

~e.w t TAFT ( / ./U_ L. ~" \.(:) . t0 -139 R ·- FLIGHT MANEWERS_~E (S- Satisfactory U- Unsatisfactory) 

PILOT Air- Simu- mg. 

Air- Simu- Tmg. craft I at or ev. craft lator Dev. 

PRJ:FLIGHT GENERAL 

1. Equipment·Exarnination (Oral or Written) "' ::::> 1. Jwdgement <; 

2. Preflight Inspection s 2. Crew Coordination .5 

3. Taxiing s 

4. Powerplant Checks s 

TAKEOFFS 

5. Normal s 

6. Instrument · s 

7. Crosswind IS 

8. With Simulated Powerplant Failure s 

9. Rejected Takeoff 2:> ... INFLIGHT MANEUVERS 

10. Steep Turns s 

11. Approaches to Stalls. s. 

12. Specific Flight Characteristics .s 

13. Powerplant Failure .s 

LANDINGS 

14. Normal s 

15. From an ILS s 

1S. Crosswind s 

17. With Simulated Powerplant(s) Failure s 

1 a. Rejected Landing .s 

19. From Circling Approach s. 

EMERGENCIES 

AIRMAN COMPETENCY INFORMATION: 20. Normal and Abnormal Procedures s 

21. Emerg_ency Procedures ' s pemonstrated Cun:ent Knowledge FAR 135.293(a){3e-t:t;~c. 

INSTRUMENT PROCEDURES Make/ModeLE){J)Jres 3f 1 1 · f12 months) (GCtJ (36:·-'i"c .22. Area Departure s Demonstrated Competency FAR 135.293(b) 

23. Holding s Make/Mode~res 3 / I I 112 months) _ _1 OGi ·) DG-·96 

24. Area Arrival .s Satisfactonly Demonsttrat.~~ Line Checks 

25. JI.S Approaches s FAR 135.299 3 II . 112 month§) _(Gc..l) £>~-ftC> 26. Other lnstrume,nt Approaches s Satistactonly DemonstrateiJIFR Profic:lenc:y . 

Approaches: NDBIADF ....,- FAR 135.297 q Jtl _16 months) _1 Ou J Be-qo VOR. s Use_ of Autopil~t§>::is not I Authorized. 

ILS s IExoires . '3f 0 - 112 months) _iCx./ ) ~E£-~o Other (Specify) C:-?s s ~EMARKS "A.G3 ~ '7..C\"{ \A-IL~ IIV i>'-'-'"i. Vv-otST\-

27. Circling Approaches s.. ~cc~ n..y:-e.D" ?t<.OG~os.Tr-A-"k.t? u,A"-e..f-~~s 

28. Missed Approaches _5, 1.4-:ow'.-~11--) ~E·t\oE. ~ oiZ.-?...c>c ~'~~>-ud€) 

29. Comm./ Nav. F'rocedures -? 1.-o~~ 'l>:~\:>Jt.r"o~ \1':-LL(...c-f{.- <{'tjo, C'-"-c..~-ut~ 

30. Use of Auto Pilot ~ 

. U.j ~ s. JA.Y 1......_5 

RESULT OF -~~ppr.oved CHECK AIRMAN'S 0 Satifactory CHECK D Disapproved PERFORMANCE (FAA Only) 0 Unsatisfactory 

REGION J DISTRICT OFFICE I FAA INSPECTOR's SIGNATURE 

FAA Form 841 D-3 (6-81) U.S. GOVERNMENT PRINTING OFFICE 1998-766-212181005 
'I"" 

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VOLUME 13 FLIGHT STANDARDS DESIGNEES 

CHAPTER 2 AIRCREW DESIGNATED EXAMINER PROGRAM 

Section 1 General 

I 13-54 PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY 

CODES. None. 

13-55 OBJECTIVE. This section contains information concerning Aircrew Designated 

Examiner (ADE) programs and guidance to be used by principal operations inspectors (POI) and 

Fed'eral Aviation Administration (FAA) managers when evaluating the prospect of implementing 

an ADE program. 

A. Risk Management. An ADE program requires a risk management approach that uses 

oversight based on differences in the potential impact on safety and the likelihood of error. 

Sufficient resources must be allocated to ensure effective management and efficient oversight of 

designees. The program must be periodically evaluated to ensure it is producing the desired 

results. 

B. Contents. Volume 13, Chapter 5, Section 1 contains a general description of the ADE 

program, in which airman certifications are accomplished on behalf of the Administrator by an 

air carrier's own specially authorized check airman. Section 2 contains guidance for the FAA's 

management of an ADE program. Section 3 contains guidance on the selection, training, and 

supervision of an air carrier's participants in the program. 

NOTE: This chapter does not pertain to Training Center Evaluators (TCE) or 

Designated Aircraft Dispatcher Examiners (DADE). 

13-56 GENERAL. The primary objective of an ADE program is maximum safety for the 

public. A participating air carrier's objectives include scheduling advantages and business 

economies. The FAA's objectives include leveraging oflimited inspector resources and 

accomplishing the most effective surveillance possible. 

13-57 PROGRAM DESCRIPTION. The ADE program was established under the provisions 

of Title 14 of the Code of Federal Regulations (14 CFR) part 183 for the purpose of delegating 

certification authority and activity to select employees of 14 CFR part 121 and 135 operators. ~ Cl 

A. History. The program was originally intended for large operators with sophisticated /...' 

training capabilities and programs that include the extensive use of flight simulators and flight .,.s..O AI 

training devices (FTD), highly trained personnel, and a large volume of certification activity. 1 , ,..._ Eligibility requirements have since been relaxed to permit smaller air carriers to take advantage ,.) 

of the benefits of an ADE program. The ADE program was and still is based on the premise that ,':!- tJ 

a candid relationship must be maintained between the operator and the FAA. 

I B. Personnel. The program comprises (1) one or more of an operator's check airmen, 

further authorized by the FAA as Aircrew Program Designee(s) (APD) (which includes 

Designated Flight Engineer Examiners (DFEE) where appropriate) to conduct airman 

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certifications on behalf of the Administrator; and (2) an FAA inspector known as an Aircrew 

Program Manager (APM) who oversees the APDs' activities. APDs and APMs are selected for 

their experience, knowledge, and professional standing, in the interest of maintaining high 

I 

performance standards on the part of the operator and the regulator. 

C. Candidate Selection. An APD candidate is nominated by an operator from the ranks 

of its proficiency check airmen and is given training in FAA policies and certification procedures 

before being authorized by the FAA as an APD (see Section 3 of this chapter). An APM 

candidate is selected for knowledge and experience related to airman certification and air carrier 

training programs. Before being assigned APM duties an APM is trained by the operator to 

qualify as a pilot-in-command (PIC) and as a fully qualified check airman in one of the 

operator's airplane types. Ifthat airplane requires a Flight Engineer (FE), and FE certification is 

included in the ADE program, then the APM is trained by the operator to qualify additionally as 

an FE to oversee DFEEs. 

13-58 PREREQUISITES AND COORDINATION REQUIREMENTS. 

A. Prerequisites. This task requires knowledge of 14 CFR part 61, 63, 121, and/or 135, 

and 183 regulations and FAA policies, and qualification as an aviation safety inspector (ASI) 

(Operations) with designee oversight responsibilities. 

B. Coordination. This task may require coordination between the managing FAA 

office, the regional Flight Standards division (RFSD), and/or the Air Transportation Division 

(AFS-200). 

13-59 REFERENCES, FORMS, AND JOB AIDS. 

A. References (current editions): 

• 14 CFR parts 1, 61, 63, 91,121, 135, and 183. 

• Title 49 ofthe United States Code (49 U.S.C.). 

• PTRS Procedures Manual. 

B. Forms: None. 

13-60 GUIDELINES FOR ESTABLISHING AN ADE PROGRAM. A well-run ADE 

program pays off in heightened public safety. A POI, a certificate-holding district office (CHDO) 

manager, and the RFSD manager should consider establishing an ADE program whenever doing 

so would be desirable and feasible for an operator and for the FAA. 

A. Certification Activity. Circumstances vary widely from operator to operator, and 

each situation must be considered separately to determine if establishing an ADE program is 

I desirable and feasible. Many factors should be considered such as the experience level of an 

operator's pilot population, travel time to and from training sites, and the complexity of the 

operator's airplanes and operations. 

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B. New or Added Airplane Type. An ADE program may be particularly effective 

when a new airplane or a new derivative of existing airplane is introduced. APM training 

provided by the operator affords timely, appropriate training for the FAA inspector having 

oversight responsibility. This training, in turn, enables the FAA to provide good service to the 

operator in reviewing, approving, and overseeing the operator's training program. Also, it 

empowers the APM to establish a highly effective surveillance program. 

C. Future Requirements. When inspectors evaluate the need for an ADE program, 

future requirements must be considered. 

1) For example, when an operator introduces a new airplane type into service, the 

FAA often experiences an exceptionally high demand for airman certification work. That 

additional workload comes together with a need for expert FAA surveillance during the 

familiarization period, the first few years when the new airplane is worked into the operator's 

system. In such cases the operator may benefit by the FAA's anticipating those unusual 

demands, and being ready to implement an ADE program as the airplane is entered into service. 

2) CHDO and RFSD managers should consider timing the selection of an APM for 

at least two purposes: 

a) Newly certificated airplane, and the Flight Standardization Board (FSB). It is 

highly desirable that a selectee participate in the FSB activities to determine type rating and 

training program requirements. 

b) The initial cadre. It is particularly important that an APM selectee attend 

initial cadre training together with the operator's own employees. 

13-61 OPERATOR QUALIFICATION FOR AN ADE PROGRAM. 

A. Qualifications. In order to qualify for participation in an ADE program, a certificate 

holder must be a part 121 or 135 operator, and should have at least one year of experience in 

conducting an approved part 121, appendix H advanced simulator training program or in 

conducting a training program under a single-visit exemption as part of the enrollment process 

for the Advanced Qualification Program (AQP). An ADE/APD program should be in place prior 

to initial operation of an AQP pilot training curriculum. The operator must have an acceptable 

history of safe operating performance and of compliance with regulations, and must have 

sustained a good working relationship with the FAA. 

B. Program Requirements. Operators considering participation in an ADE program 

must commit to: 

1) Entering into a Memorandum ofUnderstanding (MOU). An MOU is a written 

agreement between the operator and the FAA which describes how the ADE program is to be 

conducted. In particular, an MOU must specify: 

a) That the operator will have the benefit of one or more APDs, and in return: 

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b) That the operator will provide initial and recurrent training at the operator's 

expense to the following FAA inspectors: 

• AnAPM, 

• One or more Partial Program Managers (PPM), when workload requires, 

and 

• A planned replacement for an APM or PPM before either of those 

positions is vacated, to ensure the continuity of the ADE program. 

2) Extending privileges and courtesies to the APM (and PPM, when applicable) 

beyond those extended to other ASis. These privileges include all those that the operator grants 

to its own check airmen, except that of acting as PIC of an airplane in flight. For example, an 

APM must be granted the same authority to operate the controls of flight simulators and FTDs 

that the operator grants to its own check airmen. 

I RESERVED. Paragraphs 13-62 through 13-75. 

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VOLUME 13 FLIGHT STANDARDS DESIGNEES 

CHAPTER 2 AIRCREW DESIGNATED EXAMINER PROGRAM 

I Section 2 FAA's Management of an Aircrew Designated Examiner Program 

13-76 PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY 

CODES. Operations: 1590, 1621, 1626, 1642, 1644, 1645. 

13-77 OBJECTIVE. This section contains guidance for principal operations inspectors (POI) 

and Aircrew Program Managers (APM) when managing an Aircrew Designated Examiner 

(ADE) program. It describes the general structure of the ADE program and the functions of the 

Federal Aviation Administration (FAA) participants in the program. 

13-78 GENERAL. A Flight Standards District Office (FSDO)/certificate management office 

(CMO) holding a certificate of an air carrier participating in an ADE program may be organized 

in any one of a variety of ways. Regional Flight Standards division (RFSD) managers structure 

the management of an ADE program to accommodate local conditions. The following 

individuals have primary roles in an ADE program: 

A. Certificate Manager. The person in a certificate-holding district office (CHDO) with 

I primary responsibility for oversight of an operator is the certificate manager. The certificate 

manager is responsible for the administration of the operator's certificate. Designation of a 

certificate manager varies with the structure of the respective office. The CHDO may be a CMO 

or it may be a FSDO which has a certificate management unit (CMU). The certificate manager 

may be: 

• An office manager, 

• A unit supervisor, 

• A supervisory principal inspector (PI), 

• APOI, 

• A principal maintenance inspector (PMI), or 

• A principal avionics inspector (PAl). 

B. Principal Operations Inspector. The POI is responsible for operations within an 

ADE program. The POI reports to the certificate manager. The organization of operations below 

the level ofPOI is in the discretion ofthe POI, subject to the concurrence of the certificate 

manager and the RFSD manager. Other operations inspectors assigned to an ADE program 

support the POI, but may have unrelated activities as well. Similarly, the operator's employees 

I involved in the ADE program also support the POI. Such employees may include the director of 

operations, the chief pilot, the director of training, the respective fleet manager, and others. 

C. Aircrew Program Managers. An APM is an appropriately trained operations 

inspector, who is also specifically trained by an operator, to oversee the certification activity and 

to manage the surveillance of that operator's training program in a specific airplane type. An 

APM reports to the POI. 

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D. Partial Program Manager (PPM). One or more PPMs may be assigned to 

complement the APM in oversight and management activities related to an ADE program. A I PPM is specifically trained in the same manner as the APM, and reports to the APM. 

13-79 ADE PROGRAM: FAA RESPONSIDILITIES. 

A. Responsibilities of a Certificate Manager. A certificate manager is responsible for 

establishing policies and procedures for operations inspectors in relation to the operator. This 

responsibility includes coordinating administrative policies and functions, such as scheduling, 

and maintaining effective working relations between operations inspectors and the operator's 

employees. Specific functions include the following. 

1) Administrative Supervision of APMs. This includes the following: 

a) Preparation of APM employee performance reports. District office managers 

and the RFSD manager organize the district offices so that effective supervisory and reporting 

relationships are established between a certificate manager and an APM. 

b) Standardization of APMs. The APM position requires a high degree of 

independence, specialization, expertise, and flexibility. An APM usually requires only broad 

guidance from the certificate manager. On occasion, a certificate manager may be required to 

provide detailed and specific guidance to standardize APM activities and to implement national 

policy. 

I 2) Resource Management. Certificate managers are responsible for promoting the 

implementation of an ADE program, when appropriate, and for recommending its 

implementation to the RFSD. A certificate manager is responsible for identifying APM resource 

requirements and for coordinating with the POI, the CHDO manager, and the RFSD to meet 

these requirements. Resource management functions include the following: 

a) Monitoring APM workloads and assignments. An APM position may be 

initially established on the assumption that the APM workload will fully occupy the assigned 

inspector's time. A certificate manager is responsible for monitoring APM workload and for 

recommending the deletion ofthe APM position if workload decreases. On the other hand, a 

certificate manager may recommend that an APM position be augmented by one or more PPM 

positions. 

1. When an APM's duties, as defined in this order, require less than 

100 percent ofthe APM's available time, the certificate manager and the POI should consider the 

assignment of additional duties to the APM. For example, an APM might be assigned duty as a 

PPM on another type of aircraft, or duty as an assistant POI. 

2. When an APM's duties, as defined by this order, exceed 100 percent of 

the APM's available time, the certificate manager and the POI should consider the assignment of 

a PPM for the particular airplane type. 

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b) Identifying and meeting staffing requirements to support an APM. The 

certificate manager is responsible for ensuring that APM support requirements are identified and 

for coordinating with the POI, the CHDO manager, and the RFSD to meet those requirements. 

ADE program work and training requirements, as described in this handbook, must take priority 

over other inspector functions. When ADE program requirements have not been met, an APM 

should not be assigned other work. APMs should not normally be assigned administrative tasks 

or other duties such as answering complaints or conducting incident investigations and 

enforcement activities that are unrelated to an assigned ADE program. Such duties are more 

appropriately assigned to assistant POls or to other inspectors. 

NOTE: This provision does not relieve an APM from normal violation and 

enforcement functions when the APM observes noncompliance in the course of 

ADE program activities. Likewise, it does not relieve an APM from normal 

administrative functions directly related to the ADE program. 

c) Obtaining manpower and infrastructure to support an APM. A certificate 

manager establishes channels to obtain the services of qualified inspectors to support APM 

programs, when necessary. Certificate managers coordinate with CHDO and local automation 

network managers to ensure that APMs are provided with adequate data processing support and 

I are supplied with or can access computer generated reports. 

d) Overseeing APM training requirements. The certificate manager ensures that 

I an APM is scheduled for the training provided by the operator, as specified in the Memorandum 

_ ofUnderSs~an~ing (MhOU) ~sfitablishing an ADE proghram, aAndPrMeceive.s that trainin~ i? tim~l~ 

manner. Imi ar y, t e certi Icate manager ensures t at an receives any-reqUisite trammg 

provided by the FAA. The certificate manager identifies and coordinates any requirements with 

district and regional office management. A certificate manager is responsible for projecting 

I 

needed training, together with attendant manpower and budget requirements, at least three years 

ahead. 

3) Coordinating with Geographic Surveillance Units. Certificate managers are 

responsible for establishing procedures for communicating with: 

• Units having responsibility for geographic surveillance of an operator, and 

• Training Center Program Managers (TCPM) when an operator contracts for 

training at a training center or conducts its training at a training center using 

its own instructors and check airmen. 

B. Responsibilities of a POI. A POI is responsible for all operational matters 

concerning the administration of the operator's certificate, including management of an ADE I program when the operator participates in one. This responsibility includes the following: 

1) Achieving Program Objectives. The POI monitors performance to ensure that the 

ADE program meets its objectives. Objectives are identified nationally under the National Work 

I Program or in accordance with the Air Transportation Oversight System (ATOS) risk 

management process and locally by FAA managers as special or local emphasis items. 

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I 2) FAA/Operator Relations. A POI implements policies and procedures established 

by the certificate manager. 

I C. Responsibilities of an APM. An APM supports the POI in technical matters and in 

surveillance of ADE program activities associated with a specific airplane type. An APM's 

functions include the following: 

1) Airman Certification. An APM is responsible for ensuring that airman 

certification standards prescribed by Title 14 of the Code of Federal Regulations (14 CFR), by 

I the practical test standards (PTS), and by this order are maintained in the ADE program as 

applicable. 

a) The operator nominates one or more Aircrew Program Designee (APD) 

candidates for FAA consideration. An APM recommends a candidate to the POI for selection, 

and is responsible for qualifying each APD in the conduct of airman certification. An APM 

maintains certification standards through an active program of meetings and surveillance. 

b) To ensure continued, firsthand knowledge of an operator's program and 

certification activities, an APM will personally conduct a minimum of four certification activities 

(oral, simulator or flight evaluations) annually, provided there is sufficient certification activity. 

If not, an APM will conduct a minimum of four proficiency checks, preferably with no advance 

notice. 

2) Standardization of Check Airmen. An APM ensures that high standards are 

maintained in the operator's proficiency checks and line checks by developing and maintaining 

active surveillance of the operator's check airmen. 

a) Observing check airmen, initially and biennially. An APM or PPM should 

observe each check airman performing a representative check airman function during the initial 

approval process. The initial check airman observation may be conducted by another qualified 

inspector when workload prevents an APM or PPM from performing the observation. 

I NOTE: Another inspector must receive approval from the appropriate POI or 

APM before conducting an initial check airman observation requested by an 

operator. 

I b) Performing observation. An APM will ensure that each check airman is 

observed at least biennially (once every 2 years), in accordance with 14 CFR part 121, § 121.413 

or 14 CFR part 135, § 135.339, as applicable (PTRS Activity Code 1631), or, for a check airman 

authorized as an APD, at least once per year, in accordance with procedures in Volume 13, 

Chapter 2, Section 3. Before a check airman candidate is approved, the APM determines the 

geographic unit that will have surveillance responsibility for that airman. This information is 

entered into the air operator's Vital Information Subsystem (VIS) check airman file as a 

I Geographic District Office (GDO). This information is downloaded to the respective GDO. The 

National Work Program process determines surveillance requirements for non-ATOS operators. 

The geographic unit is notified ofthe check airman approval so that an annual check airman 

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observation may be made an "R" or "P" item in the PTRS system. This requirement applies to 

proficiency check airman and to line check airmen. 

c) Conducting inspections personally. An APM will personally conduct a 

number of inspections annually. These inspections should include the following: 

• At least four inspections (preferably no notice) of the operator's check 

airmen conducting proficiency checks, and 

• At least four inspections of check airmen conducting line checks 

(preferably no notice). 

3) Training Programs, Initial Review and Surveillance. An APM is responsible for 

reviewing a proposed training program for an assigned airplane type and, when appropriate, for 

recommending initial and final approval to the POL An APM (and PPMs) will monitor an 

operator's actions when a trainee does not progress as scheduled or fails a proficiency test. An 

APM is responsible to the POI and the certificate manager for conducting surveillance and for 

reevaluating the adequacy of the training program at least once each calendar year (PTRS 

activity code 1626). This surveillance is entered as a "P" item in PTRS for that APM's annual 

work program. In this reevaluation, the APM should identify any deficiencies and recommend 

I changes as appropriate. For part 121 air carriers, inspectors use the ATOS process for review of 

training programs. 

4) Maintaining Airplane Qualification and Currency. An APM will maintain airplane 

qualification and currency, as specified in paragraph 13-82. Completion of the required training 

or check in the-calendar-month before or after the due-month is considered to meet requirements, 

but does not change the due-month. 

5) Providing Technical Assistance. An APM develops expert knowledge of the 

I assigned airplane type. An APM may provide technical assistance to other FAA inspectors and 

offices in incident, accident, and violation investigations related to that airplane type. An APM 

reviews the operator's procedures, policy and airplane operating manuals, minimum equipment 

list (MEL), and operations specifications (OpSpecs) as an integral part ofthe surveillance 

program (PTRS activity code 1621). An APM advises the POI in approving manuals and 

consults with the appropriate Aircraft Evaluation Group (AEG) for assistance in doing so. 

6) En Route Surveillance. An APM is responsible for ensuring a high level of 

aircrew performance through en route surveillance of operations in the assigned airplane type. En 

route surveillance includes the following activities: 

a) Determining geographic unit responsibility. An APM determines which 

geographic unit has surveillance responsibility for each aircrew domicile. From the tables 

presented in Volume 6, the APM determines the desired number of observations and the 

proportion required for each aircrew domicile. The APM ensures that this information is made 

available to each geographic unit supervisor through the POI by August 1 of each year so that the 

supervisor may construct a work plan for the next fiscal year. 

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b) Conducting en route surveillance. An APM personally conducts an en route I inspection each quarter to maintain first hand knowledge of the operator's line operations. These 

observations are entered as "P" items on the APM's work program or conducted in accordance 

with the ATOS risk management process for part 121 air carriers. 

I c) Monitoring en route inspections. An APM continuously monitors the 

effectiveness of the en route inspections performed in the assigned airplane type. For example, 

an APM may find that an inadequate number of en route inspections are being conducted in a 

particular area of operation. The APM may recommend increased en route inspections to the 

POI. The POI, in tum may refer the APM's recommendation to the appropriate geographic unit 

supervisor(s). An APM should analyze inspection results for trends that indicate a need for 

corrective action. The APM informs the POI of any trends or deficiencies identified and, if 

appropriate, recommends that the POI establish special-emphasis remedial action. 

d) Preparing annual en route inspection trend analysis. The POI, together with 

each APM, prepares an annual en route inspection trend analysis report. The POI provides a 

copy of the report to the operator. This report should refer to the comments and observations 

made by inspectors through the PTRS system. The report is not normally useful as a statistical 

tool alone, but it does act as an effective early warning and quality control tool for the FAA and 

for the operator's managers. The report is often a departure point for deliberations by the POI 

and the operator on the corrective measures to be taken by the operator. 

7) Training Geographic Inspectors and Others. An APM participates in a process to 

provide training for geographic inspectors and other inspectors, as necessary, who are 

responsible for oversight of an air carrier participating in an ADE program. Such other inspectors 

might include an operator's POI or certificate manager. Training includes a flight training 

component and a ground training component comprising the operator's manuals, checklists, and 

procedures. Training is conducted annually with a 60-day prior notification to the appropriate 

geographic unit supervisor, so that the inspector may be scheduled in timely manner to attend. 

This training is accomplished at the FAA's expense, and is apart from the training provided by 

an operator at the operator's expense, as provided in the applicable MOU. (See later in this 

section.) 

a) Flight training. 

1. For a geographic inspector, flight training in an appropriate airplane is 

normally accomplished in accordance with existing FAA procedures, namely: 

• By the certificate manager's identifying the need in the annual call for 

training conducted by AFS-500 in February and March, and 

• By the inspector's attending training provided under the existing FAA 

contract for the respective airplane type. 

2. Unlike other inspectors, those under ATOS are not required by current 

contracts to attend flight training provided by the respective contract training provider. Ideally, 

flight training is conducted by the operator upon which a geographic inspector conducts 

surveillance. However, as a practical matter, flight training provided by the pertinent operator is 

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not always desirable and feasible. In such cases flight training provided by the contract training 

provider-another air carrier certificate holder or a part 142 (training center) certificate holderis an acceptable alternative. 

b) Ground training. Ground training conducted by the appropriate air carrier is 

the ideal supplement to the flight training described above. A geographic inspector should 

undergo operator-specific ground training like that of one of the operator's line pilots whenever 

possible. (Basic indoctrination training may be omitted.) An inspector's attendance in ground 

training generally does not generate extra costs to an operator, and should be planned and tracked 

as surveillance. See Volume 10, Air Transportation Oversight System, for more detail. 

8) Exchanging of Information. An APM is encouraged to share information and 

ideas with other APMs and inspectors. An APM identifies inspectors in other FAA offices who 

are qualified in the APM's assigned airplane and who conduct surveillance on the APM's 

operator. When appropriate, an APM communicates directly with these inspectors and their 

supervisors. To provide feedback to district offices with geographic surveillance responsibility 

for the operator, an APM sends copies of the annual en route inspection program trend analysis 

report to those district offices. 

9) Serving on Boards (Flight Standardization Board (FSB) and Flight Operations 

Evaluation Board (FOEB)). When selected, an APM should commit to serve on the FSB and/or 

the FOEB for the appropriate aircraft. An APM is uniquely qualified and is a valuable resource 

for these boards. 

13-80 PREREQUISITES AND COORDINATION REQUIREMENTS. 

A. Prerequisites. This task requires knowledge of 14 CFR part 61, 63, 121, and/or 135 

regulations as appropriate and FAA policies, and qualification as an aviation safety inspector 

(ASI) (Operations or Airworthiness) with designee oversight responsibilities. 

B. Coordination. This task may require coordination between the managing FAA 

office, the RFSD, and/or the Air Transportation Division (AFS-200). 

13-81 REFERENCES, FORMS, AND JOB AIDS. 

A. References (current editions): 

• 14 CFR parts 1, 61, 63, 91,121, 135, 142, and 183. 

• Title 49 ofthe United States Code (49 U.S.C.). 

• PTRS Procedures Manual. 

B. Forms. None. 

C. Job Aids. Program Assessment Checklist. 

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13-82 APM ELIGffiiLITY REQUIREMENTS. 

I A. Eligibility Requirements. Before being assigned as an APM in an ADE program an 

inspector must meet the following eligibility requirements: 

I 

• Be fully qualified as an ASI, General Schedule (GS) 1825; 

• Hold an airline transport pilot (ATP) certificate; 

• Hold a type rating in an aircraft of the same group, for assignment to a part 121 

aircraft; 

• Hold a type rating in an aircraft of the same category, for assignment to a part 135 

aircraft requiring a type rating; 

• Hold a class rating in an aircraft of the same category, for assignment to a 

part 135 aircraft not requiring a type rating; 

• Must pass the Flight Engineer (FE) written exam before beginning training with 

the operator, when the aircraft requires an FE; 

• Recommended that the candidate have served a minimum of three years as an ASI 

performing airman certifications; and 

• Must poses interpersonal skills including sound judgment, integrity, and 

professionalism in their oversight function. They must be able to communicate 

expectations, provide constructive feedback, and deal with conflict in a proactive 

manner. 

NOTE: For a candidate for assignment to a part 121 airplane, the 3 years of 

.experience must have been acquired in part 121 airplanes. For a candi<:}ate_for 

assignment to a part 135 airplane, this experience must have been acquired in 

airplanes ofthe same category. The office manager, with the concurrence of the 

RFSD, may give credit for equivalent experience gained in industry as a check 

airman or as a Designated Pilot Examiner (DPE). Credit may also be given for 

experience in military service as an instructor or flight examiner in equivalent 

aircraft. 

B. Evaluating APM Candidates. Additionally, CHDO managers will evaluate APM 

candidates to determine that they communicate appropriate expectations, provide constructive 

feedback, and deal with conflict in a proactive manner. 

13-83 APM TRAINING BEFORE DESIGNATION. Before APM designation, an inspector 

must satisfactorily complete the same training and qualify to the same standards as flight 

crewmembers and as check airmen employed by the operator. 

I A. FAA Training. An APM candidate must complete applicable APM training. See 

Volume 13, Chapter 1, Section 1 for initial training requirements. 

B. Minimum Required Training for an APM. An APM candidate must complete, to 

the satisfaction of the POI and the operator, at least the following curriculum segments ofthe 

operator's approved training program: 

1) Basic indoctrination training. 

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2) Pilot-in-command (PIC) initial equipment training, including type certification, 

when appropriate. If the operator does not have a PIC initial equipment training curriculum 

segment for the aircraft, APMs must complete the PIC transition curriculum for the aircraft. 

APMs will complete the FE initial equipment curriculum segment or transition curriculum, when 

applicable. 

3) Any special training, such as Category II, Category III, or long-range navigation 

J that is required by OpSpecs or otherwise for qualification as a PIC for the operator. 

4) The operator's check airman training for the pilot duty position and for the FE 

duty position, when applicable. 

5) Line observation experience. Instead of receiving operating experience (OE), as 

the operator's flight crewmembers do, the APM candidate will observe at least three online flight 

segments that are representative ofthe operator's use of that aircraft in line operations. 

NOTE: An APM candidate is eligible for the advanced simulation provisions of 

part 121, appendix H, and may receive the certification flight tests in a level Cor 

higher simulator. 

C. Inspector Duties During Training. During the period in which an APM candidate is 1 in training with an assigned operator, the candidate should not be assigned or perform unrelated 

inspector duties. 

D. APM Qualification in a New or Additional Airplane Type. Under limited 

conditions, an inspector may be assigned as an APM on more than one airplane type. The 

following guidance applies: 

1) An inspector will not be assigned as an APM for more than one operator. 

2) An APM assigned to an operator's program that involves a turbojet or other 

airplane requiring a type rating is normally current only in that airplane. An APM may be 

assigned responsibility for more than one airplane for an operator only with the specific approval 

ofthe RFSD manager. 

3) An APM assigned to part 135 aircraft other than the transport and commuter 

category family of aircraft, may be assigned to two families of aircraft, as defined in Volume 3, 

Chapter 19, Section 1. In the multiengine, general-purpose airplane family other than transport 

and commuter category, an assigned APM may maintain qualification in two equivalent series of 

aircraft, such as the Cessna and Piper series. 

4) Should it become necessary to qualify an APM in a new aircraft or in a second 

type of aircraft, the APM will complete all of the training requirements of this section for the 

second aircraft, except for the following: 

• Basic indoctrination training, and 

• That portion of check airman training not specific to the second airplane type. 

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E. Costs of Training. The operator is responsible for providing all required training and 

bearing its costs. The FAA will bear the cost of any lodging and per diem incurred by the APM. 

13-84 MAINTAINING APM QUALIFICATION. An APM must complete the same 

proficiency, currency, and recurrent training requirements as the operator's check airmen, with 

the exception of line checks. 

NOTE: When an APM completes training in an aircraft, the APM completes the 

FAA PTRS Data Sheet form for these flights, showing in the comments section: 

"Participating in Aircrew Program Manager (or PPM) training with [air carrier 

name] Airlines in the [aircraft type] (specified) aircraft." 

A. Recurrent Training. 

1) Recurrent training for an APM consists of the same ground and flight training 

curriculum segments that the operator provides for its PICs, including the proficiency check 

requirements for a PIC and FE, when applicable. An APM should also complete the FAA air 

carrier operations inspector job function recurrent training, at least once in every 24 calendarmonths (course number 21621 ). A proficiency check of an APM is conducted by an inspector 

chosen by the POI or by an APD observed by another inspector. A company-qualified check I airman will occupy the second in command (SIC) position as a safety pilot during any APM 

proficiency check conducted in an airplane. 

2) When the operator's training program features single visit training (under an 

exemption to part 1-21), or Advanced Qualification Program (AQP), an APM will participate in , 

that training program in the same manner as the operator's PICs. 

NOTE: Title 14 CFR § 121.453 specifies the currency requirements for an FE. 

The POI and the operator should include a provision in the MOU to allow the 

APM to maintain currency as an FE. One method would be to provide simulator 

periods every 6 months for training and for checking. 

B. Check Airman Qualification. 

1) Training and Standardization Meetings. An APM will attend the recurrent check 

airman training and standardization meetings that the operator provides for its check airmen. 

2) Single Visit Training and AQP. When the operator's training program features 

single visit training (under an exemption to part 121) or AQP, the APM will participate in the I instructor and evaluator training required by those programs. 

C. Landing Currency. The MOU between the FAA and the operator provides for the 

APM to maintain currency in the assigned airplane. An APM maintains landing currency 

(3 landings every 90 days) for each assigned airplane for which a type rating is required. Each 

operator offers its APM(s) the opportunity to accomplish landing currency by making available a 

minimum of2 hours of simulator time each quarter. Ifthe operator is unable to make available 

the required simulator time, the operator must provide an aircraft, at the operator's expense, to 

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accomplish the required landing currency. For airplanes not requiring a type rating, an APM 

maintains currency for the assigned category, class, and equivalent grouping of airplanes. 

D. Maintaining Dual Qualification. An APM assigned to two airplane types must be 

trained and qualified in both airplane types in accordance with this order and the operator's 

approved training program. 

E. Failure to Maintain Qualification and Currency. An APM failing to maintain I qualification in accordance with this paragraph will not perform APM functions until all 

qualification requirements are met. 

1) Training completed in the month before or the month after the due-month is 

considered to have been accomplished in the due-month. 

2) A POI will not designate an APD when the operator has not provided the APM 

with the opportunity to remain qualified and current. Likewise, the POI and CHDO managers 

must take positive action to ensure that FAA responsibilities are fulfilled for keeping an APM 

qualified and current. 

13-85 TRANSITION WHEN AN APM POSITION IS VACATED. 

A. Continuity of Staffing. The POI, the office manager, and the RFSD are responsible 

for assuring the continuity ofFAA staffing of an ADE program. 

1) When an APM (or PPM) makes known a plan that woulci cause a position 

vacancy, such as a planned transfer or a retirement date, the respective POI should immediately 

arrange for a replacement to be located, selected, and entered into training under the MOU with 

the affected operator. 

2) When an APM (or PPM) vacates a position without time to prepare a 

replacement, the POI, the office manager, and the RFSD will collaborate to obtain the services of 

a qualified inspector(s) to act as a temporary replacement until the vacant position can be filled. 

B. Position Vacancies. An outgoing APM completes the renewal requirements for those 

APDs whose designations will expire within 90 days of the date that the APM position will be 

vacated. If adequate FAA oversight of the ADE program cannot be maintained, the POI cancels 

one or more APD designations, and may consider canceling the ADE program. If an APM 

position is vacant for an extended time, the office manager, the POI, and the RFSD detail a 

qualified inspector to oversee the program. If the APM position remains unfilled for 6 months or 

more, the office manager will consider canceling the ADE program for the affected airplane 

fleet. 

13-86 REMOTE TRAINING FACILITIES. 

A. Facilities Outside the CHDO's Region. An operator with an ADE program may 

have training facilities located outside the CHDO's area of geographic responsibility. An APM 

working in such a program is assigned to the certificate-holding office. This APM will regularly 

travel to the training facility to accomplish APM functions. 

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1) In some cases, this arrangement may be inefficient, and it may be beneficial to 

locate the APM in a facility other than the certificate-holding office. The POI and certificateholding office manager evaluate the specific circumstances, particularly the time and means of 

commuting to the remote site. If the travel time between the certificate-holding office and the 

training facility is too great for an APM to travel and to perform APM functions in the same day, 

locating the APM in a district office closer to the training facility should be considered. 

2) Another consideration is whether the APM can perform en route surveillance on 

the appropriate airplane type during travel to and from the training location. 

B. Facilities in the Same Region. When the certificate-holding office and training 

facility are in the same region, the recommendation for an APM's remote placement is 

forwarded to the RFSD. When the certificate-holding office and training facility are in different 

regions, the recommendation is coordinated through the affected RFSDs and forwarded to 

AFS-200 for approval. The RFSD for the office in which the remote APM is located ensures that 

the necessary support is provided by that office. 

13-87 AN OPERATOR'S RESPONSIBILITIES. Under an ADE program the operator 

makes the following special commitments: 

A. FAA-Operator Relations. 

1) The ADE program is based on the assumption that an open relationship between 

the operator and the FAA will be maintained. At any time that an operator participating in an 

ADE program is unwilling to maintain this vital, open relationship, the POI will cancel the 

program. 

2) An operator must be willing to give an APM complete access to facilities, 

working level personnel, and managers. An operator must be willing to accept input from its POI 

and APM concerning procedures, manuals, and training programs and to seek mutually 

acceptable solutions for deficiencies at the working level. The operator must be willing to 

cooperate fully with incident, accident, and violation investigations. In this relationship 

compliance generally comes naturally. However, normal FAA enforcement procedures apply in 

respect to violations. 

B. APM Support. An operator commits to provide training and to bear costs of 

qualifying the APM(s), PPM(s) when required, and replacements for APM or PPM vacancies 

before the vacancy occurs. The operator must be willing to cooperate in scheduling so that 

participating FAA inspectors meet qualification and currency requirements in a timely manner. 

C. Information. The operator must agree to make the following information available to 

the POI and APM: 

• Projected and revised training schedules, 

• Projected and revised APD schedules, 

• Notification of any failures and withdrawals from training, 

• Actions taken on students who fail or who are withdrawn from training, 

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• A report of additional training provided to airmen in excess of approved training 

hours, and 

• A report of failed proficiency and line checks. 

1

13-88 CHDO MANAGER'S RESPONSIBILITIES. (See also Volume I3, Chapter I, 

Section I, paragraph 13-11.) A manager of a certificate-holding office is responsible for 

establishing effective administrative systems to support an ADE program. This support includes 

the following: 

A. Certification Paperwork. An office manager establishes and maintains 

administrative procedures for the efficient processing of certification paperwork. As much of the 

processing as possible should be accomplished by trained administrative personnel not by an 

inspector, APM, or POI. An APM is not relieved of the responsibility to ensure that an APD 

punctually and accurately completes certification paperwork. A Flight Standards office is not 

required to maintain hard copies of certification paperwork since the PTRS serves as a record of 

certification activity. 

B. Data Processing Support and Standards Reports. The office manager establishes 

and maintains administrative procedures for entering APM and APD data into the PTRS. At the 

close of each quarter, the POI and the office managers will have three reports prepared for use by 

the APM in managing his/her work program. These reports are generated through ad-hoc 

procedures from the PTRS data base. In the future, these reports will be available as standard 

reports. The three reports are as follows: 

1) APD Surveillance Report. An APD surveillance report, showing the surveillance 

accomplished on each APD during the past four quarters, should be formatted as follows: 

• Operator; 

• Aircraft type and name of each APD assigned to that aircraft; 

• Name of each APM; 

• Type of surveillance (oral/simulator/aircraft), and date of surveillance; 

• Starting date of report; and 

• Ending date of report. 

2) Check Airman Surveillance Report. Check airman surveillance report, showing 

the surveillance accomplished on check airmen during the past four quarters, should be formatted 

as follows: 

• Operator; 

• Aircraft type and number of approved check airmen by specialty (proficiency 

check or line check); 

• Names of check airmen observed, type of surveillance (proficiency check or 

line check), and date of surveillance; 

• Starting date of report; and 

• Ending date of report. 

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3) Aircraft Activity Report. A quarterly activity report should be prepared for each I aircraft in the operator's ADE program. (See Figure 13-6 for format.) 

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I Figure 13-6, ADE Program Quarterly Activity Report 

Aircraft Type:---------------

Operator Name: ______________ _ 

Dates: ------------------

PILOT CERTIFICATION 

Conducted By: APM 

ASI 

APD 

Totals: 

ORAL 

ATP/TR 

1510/1514 

SIMULATOR 

ATP/TP 

151111515 

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AIRCRAFT 

ATP/TP 

1512/1516 

ORAL SIMULATOR AIRCRAFT 

FIE CERTIFICATION ORIGINAL/ ADDED ORIGINAL/ ADDED ORIGINAL/ ADDED 

1510/1518 151111519 1512/1520 

Conducted By: APM 

ASI 

APD 

Totals 

CHECK AIRMAN SURVEILLANCE- PTRS ACTIVITY CODE 1631 

No. Conducted By APM No. Conducted by ASI Total: 

APD SURVEILLANCE- PTRS ACTIVITY CODE 1672 

No. Conducted By APM No. Conducted by ASI ____ _ Total: 

DESIGNATED FLIGHT ENGINEER EXAMINER SURVEILLANCE- PTRS ACTIVITY CODE 1668 

No. Conducted By APM No. Conducted by ASI ____ _ 

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13-89 RFSD'S RESPONSIBILITIES. 

A. Program Review and Approval. An RFSD manager is responsible for the review 

and approval of a proposed ADE program involving any operator located within the respective 

region. The RFSD should give written notification of any such action to AFS-200 and the Flight 

Standards Training Division (AFS-500). The RFSD forwards a copy of the signed MOU to 

AFS-200 for review and tracking. In any case in which the MOU does not conform strictly to the 

guidance contained in this order, AFS-200 is party to the review and is the fmal signature 

authority. Besides the signatures of the POI, the certificate manager, and the RFSD manager, an 

AFS-200 signature will be shown on any approved, non-conforming MOU. 

B. Resources. The RFSD manager ensures that an ADE program is allocated adequate 

staffing and funding to function effectively. 

1) APM Training. Sufficient resources must be allocated to provide for the training 

of APMs, in accordance with the requirements of this order. 

2) Staffing. An adequate number of APMs, PPMs, assistant POls, ASis, and clerical 

staff must be provided to accomplish the certificate management and APM functions described 

in this order in an effective and timely manner. 

3) Planning. Personnel and budget forecasts for a three-year period will be prepared 

and revised annually by the certificate manager, and will be reviewed in each cycle by the RFSD 

manager. The RFSD manager will provide for turnover caused by promotions and retirement and 

for projected additional positions caused by growth in operators' ADE program activity. 

C. Components of ADE Program Assessment. An RFSD conducts periodic reviews of 

each ADE program authorized within its region. The purpose of these reviews is to ensure that 

the ADE program is effectively managed in accordance with current FAA policies and 

procedures and that the program meets its objectives. These reviews are conducted using a risk . 

management approach as often as necessary, but not less often than once each 36 months. A 

checklist for this purpose is provided in Figure 13-7. 

1) Assessment Team Members. The program assessment team should consist of 

five members: 

• A team leader from within the region, designated by the regional division 

manager; 

• A POI of another operator having an ADE program, preferably from outside 

the region; 

• Two APMs from other programs, preferably from outside the region; and 

• One ASI without supervisory responsibility from within the region. 

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2) Four Part Program Assessment Report. The program assessment report consists of 

at least four parts: 

• An assessment of the operator's training program to determine if pilots (and 

FEs, if applicable) are being adequately trained; 

• An assessment of the APDs and check airmen to determine if required 

performance standards are being maintained; 

• An assessment of the certificate holder's operating practices to determine if 

there are any undetected trends which might affect safety (particular attention 

should be given to manuals, checklists, and operating procedures); and 

• An assessment as to whether or not the operations portion of the certificate 

unit is performing effectively and a determination as to whether the division, 

certificate manager, POI, assistant POls , and APMs have followed the 

guidance ofthis chapter. 

3) Major Findings. The assessment contained in the program assessment report is 

divided into major and minor findings. Major findings consist of the following items: 

• Operator deficiencies which could adversely affect safety and which have 

gone undetected, unreported, or uncorrected; and 

• Management deficiencies which, in the opinion of the assessment team, have 

a major impact on the effectiveness of the program. 

4) Minor Findings. Minor findings contained in the assessment report are those 

deficiencies which APMs or POls have r~cognized. Those deficiencies are being corrected or are 

correctable. Minor findings should be brought to the attention of the appropriate individual(s) 

and may be resolved during the assessment period. 

5) Oral Out Briefing. An oral out briefing is given to the certificate manager, the 

POI, and the APM(s). A written report of the assessment is prepared, containing the 

identification of each major finding and the recommended corrective action. A review of the 

extent and nature of minor findings is presented, but the identification of each minor finding and 

recommended action is unnecessary. A copy of the report is furnished to the certificate manager, 

the Regional Division Manager, and AFS-200. A separate out briefing is conducted for the 

operator. This out briefing should cover items of concern to the operator. 

13-90 HEADQUARTERS RESPONSIBILITIES. 

A. ADE Program Oversight. The ADE program is one ofthe most effective designee 

processes in which the FAA participates. For that reason, any allegation or perception of abuse in 

the ADE program threatens the program. AFS-200 is the FAA's headquarters office with 

primary responsibility for the ADE program nationwide. That division's chief objective is 

standardizing the program among the FAA regions, and, as a consequence, promoting its 

integrity, its effectiveness, and the program itself. 

B. Responsibilities. Headquarters has the following responsibilities: 

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1) Collect, Compare, and Track MOUs. AFS-200 will compare and track MOUs 

submitted by all regions. By that process, inconsistencies among regions, omissions, or 

misunderstandings of the ADE program are usually identified and corrected at an early stage. 

2) Review and Approve Any Non-Conforming MOU. 

a) The ADE program is founded on a quid pro quo agreement between an 

operator and the FAA, in which both parties benefit in operational effectiveness. (The public 

benefits from the safety gains coming from the diligence and expertise that both parties gain 

under a well-run ADE program.) MOUs are agreed to and signed by both parties. The specific 

terms of the MOU stipulate that an operator will provide training to inspectors who are charged 

with oversight responsibilities for appointed APDs. 

b) The collegial nature of an effective ADE program has caused critics to allege 

abuse in some cases. For that reason, any ADE program proposing an MOU that does not 

conform strictly to the guidance in this order (including the sample MOU in Figure 13-8) will be 

reviewed, approved, and signed by AFS-200 in addition to the POI, certificate manager, and 

RFSD manager who routinely sign, signifying approval of the program. 

Figure 13-7, Program Assessment Checklist 

AREA I. OPERATOR'S TRAINING PROGRAM. An assessment of the operator's training program shall be 

conducted. 

A. Are the airmen trained and certified in the program qualified for and proficient in the operations conducted? 

B. Does the operator have a consistent cockpit management philosophy which is applied to all aircraft operated? 

C. Does the operator's training program incorporate CRM training? 

AREA II. APD AND CHECK AIRMAN PERFORMANCE. An assessment of the APD's/DFEE's and the check 

airman's performance shall be conducted to determine ifthe required standards are being maintained. 

A. Is the level of competence required for the check airman and APD designation adequate? 

B. Are the APDs complying with the airman certification regulations and the guidance of this handbook? 

C. Are the check airmen complying with the regulations and guidance of this handbook? 

AREA III. OPERATING PRACTICES. An assessment of the certificate holder's operating practices shall be 

made to determine if undetected trends are present which might affect safety. 

A. Is the policy and direction provided by the operator clear and adequate? 

B. Do crews adhere to the policy and guidance provided by the operator, the regulations, and safe operating 

practices? 

C. Are problems or trends present that have not previously been recognized and documented? 

D. Are corrective actions being taken to solve previously identified problems? 

E. If there are previously identified problems, does the team judge the corrective actions as likely to be effective 

and sufficient? 

AREA IV. ADE PROGRAM MANAGEMENT. An assessment of the operations portion ofthe certificate unit 

will be made to determine if the APM is performing effectively in managing the ADE program. 

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Figure 13-7, Program Assessment Checklist (Continued) 

A. Are APMs able to concentrate on technical questions, APD training, and the surveillance of APDs and check 

airmen, or are they required to concentrate on certification activities and enforcement duties? 

B. Have APMs gained an expert knowledge of the operator's aircraft, manuals, procedures, management 

personnel, and training programs? 

C. Are APMs personally conducting a minimum of four certification actions (oral tests or flight tests) each 

year? 

D. Are APMs personally conducting the required number of inspections that follow? 

• At least four inspections of the operator's check airmen conducting proficiency checks? 

• At least four inspections of check airmen conducting line checks? 

• Conducting surveillance of the operator's training program related activities for their assigned aircraft, to 

include initial, upgrade, differences, recurring, and specialized training? 

• Conducting surveillance of the flight simulators and flight training devices used in the operator's training 

program to determine if they are being properly used with respect to program requirements and ifthey are 

being maintained so that training program effectiveness is not adversely affected? 

• Are the operator's instructors and examiners documenting malfunctions in the simulators and flight training 

devices, and is the equipment being repaired promptly when discrepancies are noted? 

E. Are APMs establishing programs to ensure that each check airman is observed at least once a year? 

( 1) Are geographic units being notified of check airman designations? 

(2) Are the results of check airman observations being monitored and analyzed for trends? 

F. Are APMs reviewing training programs for their assigned aircraft and monitoring operator's actions when 

students do not progress as scheduled or fail proficiency tests? · -

G. Are APMs monitoring and analyzing the effectiveness of the en route inspection program on both the 

operator and the assigned aircraft on a continuing basis? 

(1) Are APMs determining the geographic units which have surveillance responsibility for aircrew 

domiciles of the assigned aircraft and providing geographic unit supervisors with information to 

establish "P" items by August 1 of each year? 

(2) Are APMs analyzing inspection results for trends and other areas that indicate a need for corrective 

action? 

(3) Are en route inspection trend analysis reports prepared by the POI in conjunction with each APM? 

(4) Are copies of the report provided to and discussed with the operator? 

(5) Are APMs identifying and training geographic unit inspectors who have specific surveillance 

responsibilities for segments of the program the APM manages? 

( 6) Are APMs exchanging information and ideas with other AMPs and inspectors? 

H Applying the guidance of Volume 5, Chapter 5, Section 2 ( 40 airman certification actions per year), how 

many APMs should be assigned to the program? 

( 1) Is this number too many or too little for the conditions found? Are there other factors such as the need 

for expert training present? 

(2) Have future factors been identified and planned for? 

I. Is the operator willing to participate in the program? 

(1) Is the operator providing the APMs with the training previously agreed to? 

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Figure 13-7, Program Assessment Checklist (Continued) 

(2) Is the operator extending privileges and courtesies to APMs required as a condition of the program? 

(3) Is the operator giving APMs unrestricted access to facilities, working-level personnel, and managers? 

( 4) Is the operator willing to accept input from the POls and APMs concerning procedures, manuals, and 

training programs and to seek mutually acceptable solutions for deficiencies at the working level? 

(5) Is the operator willing to cooperate fully with incident, accident, and violation investigations? 

( 6) Is the operator cooperating in scheduling so that APM qualification and currency requirements are 

accomplished in a timely manner? 

(7) Is the operator providing the required information to the POI and APMs? 

J Is there a memorandum of agreement between the operator and the CHDO? 

(1) In the team's opinion, does the memorandum effectively define the responsibilities of both parties? 

(2) Are these responsibilities being faithfully discharged? 

(3) Has the memorandum of understanding been kept up to date? 

K. Is the operations unit effectively managed? 

(1) Is the certificate manager informed about issues, problems, and corrective actions within the ADE 

program? 

(2) Are both the authority and responsibility for accomplishing the administrative functions related to 

management of the certificate and to the ADE program vested in one senior operations inspector, who 

reports to and is directly responsible to the certificate manager? 

(3) In the team's opinion, is the organizational structure effective? 

( 4) How is the operations unit measuring, analyzing, and ensuring that the ADE program meets its 

objectives? 

(5) Have policies and procedures been established for operations inspectors in relation to the operator? In 

the opinion of the team, are these policies and procedures effective? 

(6) Does the office organizational structure ensure that supervisory and reporting relationships between the 

POI and the APMs are_effecti\'e'? _______________ _ -------------~-~-----

(7) Have APMs' resource requirements been analyzed annually and projected three years ahead? Has 

coordination been conducted with the certificate manager, office manager, and the RFSD to ensure that 

these requirements have been satisfied? 

(8) Has a budget forecast for three years ahead been forwarded to the certificate manager and to the regional 

Flight Standards District Office (FSDO)? 

(9) Have APMs' administrative support requirements been identified and coordinated with the certificate 

manager to obtain the necessary support? 

(IO)Are APMs scheduled for required training from both the operator and from the FAA? Are APMs 

actually receiving the required training from both the operator and from the FAA? 

( 11) Were channels established to obtain the services of qualified inspectors in support of APM programs 

when necessary? 

(12)Are adequate data processing support facilities supplied? 

L. Are APMs completing the same training and qualified to the same standards as flight crewmembers and 

check airmen employed by the operator in the assigned aircraft? Are APMs completing the following training? 

(1) Basic indoctrination training? 

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Figure 13-7, Program Assessment Checklist (Continued) 

(2) PIC initial equipment training? 

(3) Special training, such as CAT II, CAT III, or long-range navigation, that is required for qualification as 

a PIC for the operator? 

(4) The operator's check airman training for the pilot duty position for the Flight Engineer (FE) duty 

position, when applicable? 

(5) Observing at least three crews on line flights before designation? 

M During the period in which APM candidates are training with assigned operator, are they relieved of normal 

inspector duties? 

N Is the operator satisfied with the qualifications and competency of the individuals assigned as APMs? 

0. Are office managers and POls coordinating with the RFSD to assure continuity of the ADE program when 

an APM is reassigned? 

P. If an operator has training facilities located outside the area of geographic responsibility of the CHDO, has 

an analysis been made of the benefits of locating the APMs within the CHDO? 

13-91 ESTABLISHING AN ADE PROGRAM. An operator or the FAA may initiate 

discussions about the establishment of an ADE program. A POI should discuss the contents of 

this chapter in detail with the assigned operator interested in an ADE program. An operator 

should completely understand the program's objectives and the specific terms of the MOU 

establishing the program. A sample MOU is included as Figure 13-8. 

A. MOU Approved by the RFSD. 

1) The MOU must be signed by: 

• An appropriate official for the operator, 

• The POI, 

__ ·---- _______________ ! ___ The c~rtifi_cat_e manag~r:_,_<:tnd 

• The RFSD manager. 

2) The certificate manager forwards a copy of the MOU, any appropriate 

attachments, and the certificate manager's recommendations to the RFSD manger for review. 

3) If the RFSD manager determines that the ADE program should be established, the 

RFSD manager signs and dates the MOU in the space provided, signifying approval. 

4) The RFSD manager returns the original copy ofthe MOU to the certificate 

holding office for retention in its ADE program files, and forwards a copy to AFS-200. 

B. MOU Not Approved by the RFSD. If the RFSD manager determines the ADE 

program should not be established, the manager forwards a letter to the appropriate office 

manager and returns the proposed MOU. The letter must contain an explanation of the reasons 

for withholding approval. 

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C. Non-Conforming MOU, Subject to FAA Headquarters Approval. In any case in 

which the MOU does not conform strictly to the guidance contained in this order, including the 

sample MOU (Figure 13-8), AFS-200 is party to the review and is the final signature authority. 

The RFSD manager forwards the proposed MOU to AFS-200. Besides the signatures of the POI, 

the certificate manager, and the RFSD manager, an AFS-200 signature will be shown on any 

approved, non-conforming MOU. 

13-92 PROGRAM REVISIONS. Revisions to an approved ADE program may be required 

for a variety of reasons, such as mergers and equipment changes. The POI will consider the 

1 effects of such changes and take appropriate action. Typically, the MOU is revised. Some 

changes, such as mergers, may affect more than one operator. Recommendations for changes 

affecting more than one operator in the same region will be forwarded to the RFSD for action. 

Office managers are responsible for continually evaluating the effectiveness of ADE programs 

and for responding to feedback on a timely basis. This evaluation is integral to ongoing 

continuous improvement. 

Figure 13-8, Sample Memorandum of Understanding 

MEMORANDUM OF UNDERSTANDING 

BETWEEN 

[NAME OF AIR CARRIER] 

AND THE 

FEDERAL AVIATION ADMINISTRATION 

This Memorandum of Understanding (MOU) is based upon guidance in FAA Order 8900.1, 

Flight Standards Information Management System (FSIMS), Volume 13, Chapter 2. The parties 

to this MOU are [NAME OF AIR CARRIER], and the Federal Aviation Administration (FAA) 

Flight Standards District Office (FSDO) ((or certificate management office (CMO)). 

1. The Aircrew Designated Examiner (ADE) program has been established pursuant to the 

--·------provisions of Title 14 ofthe-Cocte-ofFecteralRegulations (I4c.FR:y part T83~wlilcii peniilis, 

among other things, the delegation of certification authority and responsibility to selected and 

mutually agreed-upon [NAME OF AIR CARRIER] check airmen to be known as Aircrew 

Program Designees (APD). These APDs may conduct airman certification tests under the 

supervision ofF AA inspector(s), known as Aircrew Program Managers (APM). APMs report 

directly to [NAME OF AIR CARRIER] principal operations inspector (POI) in all matters 

pertaining to the ADE program. 

2. POls are responsible for management of the ADE program. The POI's functions include 

establishing policies and procedures, and coordinating and standardizing the activities of 

FAA inspectors assigned to support [NAME OF AIR CARRIER] ADE program. 

3. In order to function effectively in an ADE program, the APM and assigned inspectors require 

an expert knowledge of the training program and operational procedures being conducted by 

the operator. [NAME OF AIR CARRIER] agrees to extend to the APM and assigned 

inspectors all privileges that the operator grants to its own flight instructors and check 

airmen, except the privilege of acting as pilot in command (PIC) of an aircraft in actual flight 

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operations and those personnel functions that are afforded employees of as a condition of 

employment. For example, the APM or assigned inspectors must be granted the same 

authority to operate the controls of flight simulators and flight training devices (FTD) as the 

operator grants to its own flight instructors and check airmen. 

4. APDs will be nominated by [NAME OF AIR CARRIER] in accordance with the policies and 

procedures outlined in FAA Order 8900.1 and appropriate FAA guidance. APD nominees 

must complete both [NAME OF AIR CARRIER] and FAA required training prior to 

appointment and will conduct all authorized duties and responsibilities under the supervision 

of the assigned APM. It is understood that APDs with FAA certification authority will be 

required to complete the training associated with the issuance ofF AA certificates. Required 

FAA training will normally be provided by the APM in accordance with existing FAA 

guidelines; however, from time to time other FAA authorized instructors may be assigned to 

accomplish required training. This training may require the nominee to travel to FAA 

training facilities not associated with the APD's principal or satellite center. The FAA agrees 

to provide APD training at no cost to [NAME OF AIR CARRIER] however, associated 

travel and logging expenses will be the responsibility of [NAME OF AIR CARRIER]. Once 

designated, APDs may be removed by either party, at any time, if that individual becomes 

unacceptable to the FAA or [NAME OF AIR CARRIER]. Notification of such removal will 

be made in writing to the other party on or before the effective date of such removal. The 

policies and procedures contained in FAA Order VS 1100.2 will be followed whenever 

removal action is contemplated or conducted. 

5. [NAME OF AIR CARRIER] shall provide the following training at its own expense for the 

APM and assigned FAA inspectors participating in the ADE program. The training provided- . 

shall be the same training that [NAME OF AIR CARRIER] provides to its own flight 

instructors, and check airmen for initial qualification and recurrent training. Assigned 

inspectors shall complete the appropriate training to the mutual satisfaction of [NAME OF 

AIR CARRIER] and the POL Should an assigned inspector fail to progress through training 

satisfactorily, {NAME OF-AIR GARRI-RR] shall provide the-same remediaLtraining-thaLiL-- -

provides to its own crewmembers. Should the inspector continue to fail to reach or maintain a 

mutually satisfactory level of competency, the POI shall meet with an appropriate airline 

official to resolve the matter. The minimum required training shall consist of (but not 

necessarily be limited to): 

a. Basic indoctrination training; 

b. Initial and recurrent aircraft equipment training, including type rating(s) and Flight 

Engineer (FE) class rating, if required); 

c. Training in any appropriate specialty curriculums associated with an aircraft training 

program (e.g., CAT II or III procedures or special instrument approach procedures); 

d. Training on the proper operation of center training devices, FTDs, and simulators; 

e. Flight (simulator)/ground instructor and check airman training and FE training (if 

required); 

£ [NAME OF AIR CARRIER] training policy and procedures; 

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g. Any other center programs and or procedures that [NAME OF AIR CARRIER] believes 

appropriate to maintain the APM and assigned inspectors currency in the operators 

polices and procedures; and 

h. Sufficient PIC training in each aircraft authorized, each calendar quarter to ensure 

currency in accordance with FAA Order 4040.9 (current edition). 

Note: The training referenced in subparagraphs 5a through 5g above may be used to the 

extent practical to satisfy the requirements of the PIC training required by paragraph 5h. 

Training considered duplicative in nature is not required. 

6. The training referenced in paragraph 5 above will be administered and scheduled in 

accordance with the following guidelines and shall be provided by [TRAINING CENTER 

NAME] at its expense: · 

a. All subject training will be scheduled in coordination with the APM. 

b. Training and checking events will be scheduled between the hours of 0600 and 2200, 

unless an exception has been coordinated with the APM. 

c. The APM and assigned inspectors may be scheduled for training in regularly scheduled 

classes with [NAME OF AIR CARRIER] crewmembers. 

d. A 2-hour simulator period will be made available for administering the APM's and 

assigned inspector's required proficiency checks unless a greater period is required due to 

aircraft complexity and standard [NAME OF AIR CARRIER] policies for evaluations 

relating to that specific aircraft(s). The FAA agrees to use reasonable efforts to provide a 

complete crew compliment for these evaluations. However, in situations where this is not 

practicable, or at [NAME OF AIR CARRIER] request, [NAME OF AIR CARRIER] will 

provide a qualified instructor to fill required crew positions as appropriate. [NAME OF 

AIR CARRIER] will also provide a qualified simulator or FTD operator if required. 

e. The APD and other crewmember services referenced in this paragraph will be provided at 

no cost to the FAA. 

--- -7. -i;!ieu of op~rating experience (OE), assigned insp-ectors shalib-e authorized to observefrom·--- --------

the cockpit observer's seat, a minimum of four revenue segments. This observation process 

requires that assigned inspectors remain with the flightcrew throughout the assigned trip 

pattern to become familiar with a cross section ofline operations. 

8. The APM and assigned inspectors are eligible for the advanced simulation provisions of 

14 CFR part 121, appendix H, and may receive the certification check in a level Cor level D 

simulator. The ADE program may exist apart from an appendix H training program. In such 

cases the inspectors training may be conducted in whole or in part in an aircraft, provided at 

the operator's expense. 

9. The APD/DFEE candidate shall submit a complete statement of professional qualifications 

on FAA Form 8710-6, Examiner Designation and Qualification Record. The APM shall 

review the qualifications and shall recommend to the POI that the candidate be designated as 

an APD/DFEE, when appropriate. 

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10. APD/DFEE designees shall be authorized to perform airman certification in only one type of 

aircraft. This authority is limited to the certification of graduates of [NAME OF AIR 

CARRIER] FAA-approved training program who are employed as flight crewmembers by 

[NAME OF AIR CARRIER]. 

11. All airman certification activities conducted by the APD/DFEE shall be limited to the 

privileges of the APD's/DFEE's own airman certificate, certificate of authority (COA), and 

letter of authority (LOA), and shall be effective only in the aircraft type named in those 

documents. The APD may conduct pilot oral tests and flight tests for air transport pilot (A TP) 

certificates, and for category, class and type ratings to be added to ATP certificates. DFEEs 

may conduct oral tests and flight tests for FE certificates and for the addition of class ratings 

to FE certificates. 

a. An.APD/DFEE may not conduct an evaluation of any applicant, which the APD/DFEE 

has instructed for the certificate or rating to be issued, unless specifically authorized by 

the POI or the APM. Further, an APD/DFEE may not conduct FAA written tests, special 

medical evaluations, tests for waivers, or any test for competency under applicable 

provisions ofTitle 49 ofthe United States Code (49 U.S.C.), (formerly section 609(a) of 

the Federal Aviation Act). Any privileges and limitations shown on an examiner's COA 

issued outside an ADE program, do not apply within the ADE program. 

b. The APM shall train and evaluate the prospective APD/DFEE in applicable duties and 

responsibilities. The APD/DFEE shall be trained and evaluated in at least the following 

areas: 

1) The knowledge, skill, and ability requirements for the initial issuance of the ATP 

certificate, and for type ratings added to the A TP certificate (or for the issuance of 

the initial FE certificate and added class ratings, as applicable); 

2) The procedures, methods and techniques associated with administering the 

~~- ----------~UiLe4_<;Yrtific~Jion~e_g~_; __ ~-·------~----~-~-------:-----::--------=- 3) The responsibilities, authority, and limitations of designated examiners under-------

regulations and under FAA Orders 8900.1 and VS 11 00.2; 

4) The use ofFAA forms andjob aids associated with the particular job function; 

5) The administrative procedures and supervisory relationships that exist in the ADE 

program; 

6) The understanding that [NAME OF AIR CARRIER] policies and economics, 

union loyalties and seniority issues are not relevant when certifying airmen; and 

7) After formal training, observation ofthe APM conducting a complete oral test, a 

complete flight test, and all the necessary briefings; also, the completion of all 

certification paperwork. 

12. The APM shall ensure that essential FAA materials such as FAA forms are available to 

authorized APDs. The APM shall conduct regular meetings with the APDs for the purpose of 

maintaining an effective working relationship and resolving problems. The APM shall attend 

crewmember safety meetings held by [NAME OF AIR CARRIER]. 

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The following signatures signify agreement to this MOU and its contents: 

FOR AND ON BEHALF OF [NAME OF AIR CARRIER]. 

(mml dd/yyyy) 

(Position) Effective Date 

FOR AND ON BEHALF OF FEDERAL AVIATION ADMINISTRATION 

(FAA POI or Office Mgr) 

(FSDO/CHDO address) 

(Other FAA signatures as deemed appropriate) 

(Position and office) 

RESERVED. Paragraphs 13-93 through 13-105. 

26 

(mm/dd/yyyy) 

Effective Date 

(mm/dd/yyyy) 

Effective Date 

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VOLUME 13 FLIGHT STANDARDS DESIGNEES 

CHAPTER 2 AIRCREW DESIGNATED EXAMINER PROGRAM 

Section 3 Aircrew Program Designees and Designated Flight Engineers in an Aircrew 

Designated Examiner Program 

13-106 GENERAL. This section contains information and guidance to be used by 

managers, principal operations inspectors (POI) and inspectors concerning aircrew 

designees (APD) and National Designated Flight Engineer Examiner (NDFEER) 

and the selection, training, supervision, and administrative control of TrH·.,...,r·n 

Aircrew Designated Examiner (ADE) program. 

13-107PRIVILEGES OF ADEs/NDFEERs. All certification 

shall be limited to the privileges of the APD's airman 

authority (COA), the APD's letter of authority, one certificate 

· (FE)), and one aircraft type. 

A. Privileges. An APD is authorized to perform airman in one type of 

aircraft for an operator's pilots who have been trained operator's Federal Aviation 

Administration (F AA)-approved training program. in an ADE program is 

authorized to perform airman certification for an ·dates who have been trained 

under the operator's FAA-approved training 

B. Limitations. 

1) Evaluation of 

instructed that student during 

recommended the applicant, is 

case-by-case basis. 

candidate's training, or when the examiner has 

and must be approved by the POI on a 

phase of training will not disqualify the 

ari'iipplican_t. ____ ·-·----------. ·-··-------- -·-·- --- ------------ -

FAA written tests, special medical evaluations, tests for 

,,.T,.nr-" under Title 49 of the United States Code (49 U.S.C.), 

of the Federal Aviation Act of 1958). Applicants for such tests 

program manager (APM) or the local district office, Flight 

Management Office (FSDO/CMO) . 

....... ~ ... ~ .. as an Examiner Outside of an ADE Program. An individual's 

an APD does not prevent the individual from obtaining a designation as an 

another program or capacity. When an APD holds a designation, the privileges and 

lim1 that may be exercised outside of the ADE program must be specified on the COA and 

letter ofauthority. The privileges and limitations listed on the COA issued outside an ADE 

program do not apply to the ADE program. 

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13-108 SELECTION OF AN APDINDFEER. 

A. Eligibility Requirements. The following apply to the selection of APD and 

NDFEER candidates: 

1) Must be employed by the operator either full time, part time, or under contract to 

the operator. 

2) Must possess the appropriate airman certificate, class rating, and type 

applicable. 

3) Must be an FAA-approved pilot (or FE, as applicable)~ .......... . 

, proficiency check airman for the operator in the aircraft in which the 

to perform examiner duties. Must also be an FAA-approved line 

proficiency check airman-airplane for the operator in the 

to perform examiner duties in an aircraft. 

4) Should have served as a check airman for a (preferably 

6 months as a proficiency check airman) before designation as an (Check airman 

experience in other types of aircraft and in service · ""'"'·'""+'"""" may be credited. 

Crediting of past experience, including length of · check airman, is at the 

discretion of the POI and APM.) 

5) Must possess an 

6) Must have a good 

Regulations (14 CFR) (isolated 

B. Evaluation of Q 

statement of professional 

ability, and experience. 

with Title 14 of the Code ofFederal 

· olations or incidents are not disqualifying). 

APDINDFEER candidate shall submit a complete 

AA Form 8710-6, Examiner Designation and 

review the· qualifications to-determirre-whetherthe 

standards for an APD/NDFEER designation. If the 

recommend to the POI that the candidate be designated as an 

selection must be agreed upon by the APM, the POI, and the 

AND EVALUATION. The APM shall train and evaluate the 

on APD duties and responsibilities as follows. 

g. Inspectors should ensure that the APD/NDFEER is trained and evaluated 

following areas: 

• The knowledge, ability, and skill requirements for the original issuance of the 

airline transport pilot (ATP) certificate and added ratings, as applicable (FE 

certificate and added rating for NDFEER candidates). 

• The procedures, methods, and techniques associated with administering the 

required certification tests. 

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• The responsibilities, authority, and limitations of an examiner under 14 CFR. 

• The use ofFAA forms and job aids associated with the particular APD function. 

• The administrative procedures and supervisory relationships that exist in an ADE 

program. 

NOTE: The POI and the APMs shall stress to examiner candidates that in 

performing their duties as an APD/NDFEER, they are representatives of the 

Administrator and responsible to the Administrator. Prospective 

must understand that company politics, economics, union loyalties, and 

issues are not relevant when certificating airmen. 

B. Evaluation. After formal training, an APD/NDFEER candidate 

APM or, at the POI's discretion, another inspector or examiner, in 

test, flight test, the necessary briefings, and the completion of 

APM shall then observe and evaluate the candidate in '-'V'-'"u''-''..11 

and flight test (simulator and airplane, if applicable), including 

certification paperwork for the certificate or added rating 

13-llOSUPERVISION AND ADMINISTRATIVE TheAPM 

assigned to a particular aircraft type is responsible 

who conduct airman certification activities for that 

supervisory and administrative process, taking 

of APDs and NDFEERs 

Inspectors should evaluate the 

Bowing: 

A. Working Relationships. and counsels APDs and NDFEERs. An 

.......... ,.,+, methods for handling applicants; 

and processing certification and 

paperwork. An APM should endeavor to 

and NDFEER which promotes the examiners' 

s and in their interactions with their assigned APM. 

APM should emphasize to APDs 

for maintaining desired test 

Program Tracking and 

maintain a working 

confidence in the .... ,,"+rv ....... .,.,, 

ith.the-pr.ogram_:_s-APDs_andJ~DEEERs for_ the ___________ _ 

working relationships. During the APD meetings, a close 

fication of problem areas should be developed. Special 

is any change to FAA airman certification requirements, 

g the particular APD/NDFEER or the program in general. An 

cJJvJLJJU'-'' safety and standardization meetings held by the operator. 

Supplies and Materials. An APM shall ensure that APDs and 

.. .., ....... ~=> access to the following materials, including current amendments and 

as needed: 

Volumes 5 and 13. 

• All appropriate job aids. 

• FAA Form 8710-1, Airman Certification and/or Rating Application (Pilot). 

• FAA Form 8400-3, Application for an Airman Certificate and/or Rating (Flight 

Engineer and Aircraft Dispatcher). 

• FAA Form 8060-4, Temporary Airman Certificate. 

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• FAA Form 8060-5, Notice ofDisapproval of Application. 

• FAA Form 8000-36, Program Tracking and Reporting Subsystem (PTRS) Data 

Sheet, which may be overprinted to facilitate standardization of data entered into 

the system. 

13-111 CERTIFICATE-HOLDING DISTRICT OFFICE (CHDO) APD 

ADlVIINISTRATIVE FILES. The CHDO will maintain a file on each APD. Inspectors shall 

ensure that the CHDO file contains the following documents for each APD: 

• FAA Form 8710-6, Examiner Designation and Qualification Record for 

issuance and each renewal. 

• FAA Form 8430-9, Certificate of Authority for original issuance 

• Letter of Authority for original issuance and each 

limitations. 

• FAA Form 8000-5, Certificate of Designation. 

• Documentation ofthe candidate's airman 

incidents or enforcement action contained in the Flight 

(FSIS). 

• A summary of annual activity from the 

Form 8000-5, Airman Certification Log). 

renewal (replaces FAA 

• Periodic surveillance reports (in 

• Any pertinent correspondence. 

13-112 PROCESSING INITIAL 

an initial APD /NDFEER designation, the 

.J".U<"-"'"'u have been met. The APM shall then 

""'x,·r.rv. The APM shall complete the back ofF AA 

~~ ....... ~ ... ~ .. Record, and sign the space labeled, 

l entef thewords-;-"A:ircrew~Program -Designee"-or ________ _ 

and the airplane type in the space labeled, "Type of 

Office Action" block. The APM shall record the APD 

space labeled, "Certificate of Authority Issued" in the space titled, 

the last day of the month that is one year from the date of 

Serve Under" space should be left blank by the APM. The APM should 

in the block titled, "Regional Office Action" and substitute the 

word "Regional". 

Approval. The POI shall indicate approval by completing the first line of the 

District Regional Office Action on FAA Form 8710-6, Examiner Designation and 

Record and then sign in the appropriate space. POls shall also sign the FAA 

Form 8000-5, Certificate ofDesignation, FAA Form 8430-9, Certificate of Authority and the 

letter of authority. The originals of these forms shall be issued to the APD and copies shall be 

retained in the APD's file in the CHDO. 

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C. APD Designation Numbers. Examiner Designation Numbers. For APDs and 

NDFEERs, the airman's certificate number coupled with the applicable four-character designator 

for the operator, and may be used in all instances when an Examiner Designation Number may 

be called for. (Example: 123456789DALA for an APD/NDFEER at Delta Airlines) The 

four-character suffix will allow for differentiation between programs when there is more than 

one ADE program within a CHDO. 

13-113RENEWAL OF APD DESIGNATIONS. APD designations must be renewed 

12 calendar-months as follows. 

A. Renewal Date. The renewal date is one month prior to the f>Yrllr~1t•nn 

APD/NDFEER may not conduct certification tests after the expiration date. 

B. Renewal Application. Refer to Volume 13, Chapter 1 

for renewal procedures. In order to renew a designation, an 

documentation to the APM: 

• The expiring FAA Form 8430-9, 

• A newly-completed FAA Form 8710-6, 

• Evidence ofhaving attended, during 

APD safety meeting or a briefing 

the back ofthe FAA Form 843 

calendar-months, at least one 

APM, (such as a notation on 

APM). 

C. Annual Observation. At 

examinermust be observed conduc 

APM or by another <>n,"rl"'1ot'\r;<>tP 

this observation should take 

expires (PTRS code 1672). To 

examination and one s 

designation_is_r_enewe_d, _ 

be changed. 

man operator's approved training program for the 

accomplished in a simulator, then the APM is not_ 

APD in the aircraft for a renewal. 

will 

Responsibility. Before renewing an APD designation, the APM and 

whether the APD's services have been satisfactory, whether the APD's level 

a redesignation, and whether the APD's services continue to be needed. The 

of activity may be determined from the PTRS. 

Processing a Renewal. The administrative steps for renewal are the same as those I outlined for original designation (see paragraph 13-112). 

13-114AMENDMENT OF APD DESIGNATIONS. An APD may be issued only one FAA 

Form 8430-9. An APD's examining authority shall normally be cancelled when the APD enters 

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transition training on a new aircraft type. The POI may designate a former APD, provided the 

following actions have been completed: 

A. The APD must have completed the operator's approved pilot in command (PIC) or 

FE ground and flight training for the new aircraft. The APM must determine whether the 

designee has accumulated sufficient experience on the new aircraft to accumulate an 

above-average level of knowledge of its systems and operations. 

B. The APD must have completed the operator's check airman training and 

as a proficiency check airman for the new aircraft. 

C. The APM for the new aircraft must hold an interview with the 

appropriate working relationship and review the administrative 

(paperwork/documentation) procedures for certification activities 

D. The APM for the new aircraft must observe the 

complete oral examination and simulator (and aircraft, if ... ...,.,U"'"C 

the certificate or type rating involved, on the new aircraft type. 

least one 

as appropriate to 

E. The administrative steps for the issuance I those outlined for initial designation (see paragraph 

designation shall be the same as 

13-llSPROCESSING APD CER 

airman certification paperwork to the 

Airmen Certification Branch, AF 

An APD shall forward the 

ew, processing, and transmittal to the 

shall be accepted and processed only by 

the CHDO and not by any other 

A. APD Responsibili complete the airman certification paperwork in 

accordance with the · , Chapters 1, 4, and 5, as applicable. An APD will 

complete the PTRS data function conducted. An APD is responsible 

submission-of-certification·paperwork--:-Satisfactoryr---------

condition for continued designation as an APD. 

ror tlle accurate, 

fulfillment ofthis 

B. An APM is responsible for training each APD in correct 

in remedial training, when required. 

's DECISION. If an airman is dissatisfied with an APD's decision, 

eal to an APM for a reevaluation. The airman must submit the appeal in 

the reasons for protesting the APD's decision. The APM shall review the 

if reevaluation is warranted. If a reevaluation is granted, a new application 

and the entire evaluation must be reaccomplished by an FAA inspector. 

13-117TERMINATION OF APD DESIGNATIONS. An APD designation may be terminated 

or canceled for cause by the POI at any time. Refer to Volume 13, Chapter 1, Section 2 for 

applicable procedures. 

RESERVED. Paragraphs 13-118 through 13-135. 

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