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 toTaft, Desig ofCk Airman, dtd 1/18/08- 1 pp. [Also C-**~.** p. 2/2] x NA 

### 3 Ltr FAA to Bjeljevig, Desig ofCk Airman, dtd 9/5/08- 1 pp. [Also C- 9, p. 1/2] 

### x NA 4 Airman Compet EffChk, 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 14C.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, AFllgh!Worl<s Company



### This letter is a response to your letter ofinvestigation ofMountain Aviation Inc., (MA) Operating Certificate number VQMA053W, dated January 31,2011 FileNo. 2011NM030039.
On January 19th, 2011 the FAA was at our office to reviewthe documents we had on file regarding this case. We provided you with documents to support our interpretation ofthe case in question and have attached themhere again for reference.
It

### appears there is confusion about what the seconduyprovision for checking in 135.339 refers to andunfortunately it is left undefinedinPart 1. As communicated to us in the pastwith previous POls, Mountain Aviationwas in compliance. Even nowthere appears to be some confusion and differences ofinterpretation. We believe itis this lack ofclarity in the FARs 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 ofcooperation with the FAA.
To that end, Mountain Aviation takes the letter ofinvestigation extremely seriously. Upon first notification ofthis issue, and before receiving your letter ofinvestigation, 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 againrequests 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 otherMountain Aviation check airman have received an observation from the FAA withinthe.past 24 months. The attached paperwork shows that all other Mountain Aviation did indeed receive such observations. 3. We grounded the pilot thatreceived the check in question until he canbe re-checked by another check airman.

## ~rv 

# r> ExcellenceInAircraft Charter&ManagementServices \ Corporate Headquarters: 9656 Metro AirportAvenue, 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 FARs. Myself, Gary Emmerson, Chip Taft, Mr. Getty and all other Mountain Aviation check airmen will receivethis 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 priorto any check airman needing an observationrequired by FAR 135.339.
I would like to request a meeting atthe Denver FSDO with our POI, PMI, PAl and their supervisorto discuss this and otherissues that we have experienced inthe past so bothparties may arrive at a understanding ofeveryone's obligations, Mountain Aviation's to the FAA and the FAAto MountainAviation. I request this meeting take place priorto this investigation being concluded so we may provide youwith additional historical information regarding this very issue and whatguidance Mountain Aviation has received from previous principals at the DenverFSDO.
Ibelieve the steps above, in additionto any suggestion you may have, would provide apositive solutioninthe future to this issue. We plan on implementingthis comprehensive planto all Mountain Aviation personnelinvolved inpilottraining and checking, notjustthe subjects in question. By doing so, we wish to demonstrate our continued commitmentto FARcompliance and our desire to partner withthe FAAto resolve any issues.
Respectfully, Rich Bjelkevig Director ofOperations

## u.s.Department ofTransportation 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 forthe following checking functions: Checking Function: Effective date: Check Pilot

- All Checks September 27, 2007
Please retain a copy ofthis 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 ofTransportation 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

1-800·847-3808

\

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 ofthis 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. 

### 3AIRMAN COMPETENCY/PROFICIENCY CHECK FAR 135 LOCATION 

# IDATE 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 \{

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## 1ft (I /) _..-t .tL;

## ~ \ 

### .s.OV" \ -D · 

## l'0

- 

## 1"3B 

# R

·-**FL~T** MANEUVERS G\V.DE 

## m- UPILOT

JORI=I"I..IGHT 1. (Oralor 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. tFailure



# ......**~.,"** Air· 

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### IDev.



### .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 

### 3f1 1 i12 months\ (CC.Tl Qe- '\'c**l-2~2·** 

### ::_: ..·**A~rea~. D~e·t-ft~**  ..**~·~,**

.. ,

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.

### .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'~~**  ... ,...

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## 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: Dateof Exam.**O:Z-l(p~ZOlO** .JT CERTIFICATION**i7(0S~8** Date of

### B~ Class F'lR'S"'r INFO

....**"~''"'"'I:** TYPE AIRPLA• ..IE "·**~<:.** . ... . ·"**~ ~"fOC.**  EMPLOYED BY BASED AT (City. State)**V~ ~PtOS** 

# .sw**"SC20~F(6t...0.** c.£) ,Simulato .rrramong**~ice** IM:oluoJMndt.Jl 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-IFI II:M 1 cft

..:ft-aft+ (Oral orwritten) 

# s 1 GrouRd and/orAir Taxi ) 2. Preflight**nspoJ~mon** 

# s 2. u. .u. 

## /
3. Taxiing 

## .s 3. Normal & !_!.Q,_& L:ondlnM / -4. l:>;,..•a•l'oauiCheckl! 

## s 4. High Altitude 1aKHons &**--~·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 INFLIGHT MANEUVERS 111 Settling With Power (Oral ort;.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..,.Jfy1 ( 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 OF

# ~. CHECKAIRMAN'S 0 Satisfactory

HECK PERFORMANCE (FAA Only} 0 Unsatisfactory REGION DISTRICT OFFICE FAA INSPECTOR'sSIGNATURE 

# J?

--

---**~** --**-~** . -- f Mountain Aviation FAA Form 8410-3 (6-81) 

# s '£-[, 

# A-\so ,!::!. 1( '- I FDMS FAA-2012-0875 

# /t\ 

# c -(0



# . Respondent Ex. 5 I '

--**~-~--·-** ---- ··-- 

### - .**~**

### UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION WASHINGTON, D.C

...**~,,** ..**.,.,.~·.t ~-**  ..**,.~·** 

### ) Michael P. Huerta, Acting Administrator, ) Federal AviationAdministration, ·) ) 

### CaseNo. 2011NM,030039 Complainant, ) 

## v. ) ) 

### Judge: Richard C. Goodwin
MOUNTAIN AVIATION, INC. ) ) Respondent. )



### AFFIDAVIT OF GARYEMMERSON IN SUPPORT OF RESPONDENT'S ANSWERTO COMPLAINANT'S MOTION FOR SUMMARY JUDGMENT GaryEmmerson hereby attests as follows:
1. 

### I was employed byMountainAviation asthe ChiefPilot from the spring of2002to Octoberof2011.
2. During his service as ourPOI, on multiple occasions, I contacted Inspector Al Hankinsbyphone attemptingto schedulethe 14 CFR 

### § 135.339(a)(2) observationchecks. Duringthese calls Inspector Al Hankins sometimes saidhe was unable to schedule an observation ofchecking duringthe required 24

### months and asked ifa check airman had administered a check ride to another check airman in the preceding 24 months. After I confirmedthis had occurred, I 

### was thentold to allow check airmento continue checking, and an observation checkwould be conducted as soon as Inspector scheduling permitted. 

### 3. Based on InspectorAl Hankin's statements to me, and lacking any FAR guidanceto the contrary, I believed thatthe "all checks" designationin the Designation ofCheck Airmanletter for Oren Taftwas sufficientto qualify him as an "aircrewdesignated examineremployed bythe operator,"which meant that any 

### 14 CFR 

### §§ 135.293, 135.297 and 135.299 check administered onbehalfofMountain Aviation, inan aircraft inwhichhe held a Designation ofCheck Airman letter, would meetthe 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, OrenTaft gave Rodney Getty the 14 CFR 

### §§ 135.293, 135.297 and 135.299 checks during a 1.0 hour flight inN738R. The 8410 indicates that Rodney Getty satisfactorily completed all required maneuvers during that flight. Subsequently, on March 26, 2010 Rodney Getty gave Oren Taftthe 14 CFR 

### §§ 135.293, 135.297 and 135.299 checks during a 1.0 hour flight inN738R. Duringthis Check, Mr. Getty determined 

## Mr. Taft satisfactorilycompleted all required maneuvers as indicated in the 8410.
5. Based on InspectorAI Hankin's prior statements to me, I believed the March 26, 2010, flights satisfiedthe requirements of 14 CFR 

### § 135.339(a)(2) for Rodney Getty; and lacking any FAR defined process.for documentation ofsuch, the 8410 in fact serves as such documentation providedthe candidates involved are authorized for "all checks."
I declare under penalty ofperjurythatthe foregoing istrue and correctto the best ofmy recollection and belief.
Dated: October 24, 2012



### ----------------**~~** - 

### .. ,

### .... 

# westikw.
14 C.F.R. § 135.337



# c
Effective:ISee Text Amendments]
Code ofFederal Regulations Currentness

Title 14. Aeronautics and Space Chapter I. Federal Aviation Administration, Department ofTransportation 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) Forthe purposes ofthis section and§ 135.339: (1) A check airman (aircraft) is a person who is qualifiedto conductflight checks in an aircraft, in a flight simulator, orin a flight training device for a particular type aircraft. (2) A check airman (simulator) is aperson who is qualified to conduct flight checks, but only in a flight simulator, in a flight training device, or both, for a particulartype 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 trainingprogram establishedunderthis subpartunless, withrespectto the aircrafttype involved, thatperson-- (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 underthis part; (3) Has satisfactorily completed the proficiency orcompetencychecksthat are requiredto serve as a pilot in command in operations underthis 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 re**quir~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 trainingprogram establishedunderthis subpartunless, with respect to the aircraft type involved, that person meets the provisions ofparagraph (b) ofthis 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 recurrenttraining,that are requiredto serve as apilotin 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 underthis 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. 714 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 ofthe requirements in paragraphs (b) (2), (3), and (4) or (c) (2), (3), and (4) ofthis section, as applicable, shall be entered in the individual's trainingrecord maintained bythe 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 underthis 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-monthpreceding the performance ofany check airman duty in a flight simulator; or (2) Satisfactorily complete an approved line-observation program within the period prescribedbythatprogram andthatmustprecedethe performance ofany check airman duty in a flight simulator. (g) The flight segments or line-observation program required in paragraph (f) ofthis section are considered to be completed inthe month required ifcompleted in the calendar month before orthe calendar month after the month in which they are due. [Arndt. 135-64, 61 FR30744, June 17, 1996]
SOURCE: Docket No. 16097, 43 FR 46783, Oct. 10, 1978; 51 FR40709, Nov. 7, 1986; 52 FR9637, 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 FR29754, 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 FR7675, 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 FR68565
© 2012 Thomson Reuters. END OF DOCUMENT

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

# westlaw.
14 C.F.R. § 135.339



# c Effective:[See TextAmendments]
Code ofFederal Regulations Currentness

Title 14. Aeronautics and Space Chapter I. Federal Aviation Administration, Department ofTransportation 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 certificateholdermayuse apersonnormay any person serve as a check airman unless-- (1) That person has satisfactorily completed initial or transition check airman training; and (2) Within the preceding24 calendarmonths, that person satisfactorily conducts a proficiency or competency check under the observation of an FAA inspectororan aircrew designated examiner employed bythe 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 ifcompleted 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 ofFederal Regulations and the certificate holder's policies and procedures. (3) The applicable methods, procedures, and techniques for conductingthe required checks. (4) Proper evaluation ofstudent performance includingthe 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 ofunsatisfactory checks. (6) The approved methods, procedures, and limitations for performing the required normal, abnormal; and emergencyprocedures inthe 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 aircraftto 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 likelyto develop during a check; (2) Thepotentialresults ofimproper, untimely, or nonexecution ofsafety 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 proceduresto ensure competence to conductthe pilot flight checks required bythis 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 ofparagraph (e) ofthis 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 offlight simulators, flight training devices, or both, to ensure competence to conductthe flight checks requiredbythis part. [Arndt. 135-64, 61 FR 30745, June 17, 1996; 62 FR 3739,Jan.24, 1997]
SOURCE: Docket No. 16097, 43 FR46783, 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 FR34515, June 25, 1993; 59 FR 7396, Feb. 15, 1994; 59 FR 32058, June 21, 1994; 60 FR29754, 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 FR2616, Jan. 26, 1996; 62 FR 1205, Jan. 8, 1997; 62 FR7675, 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 FR68565 © 2012 Thomson Reuters. END OF DOCUMENT

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# westlaw. 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. Backpay. 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 ofFederal Aviation Administration (FAA) employees as it did on March 31, 1996, retroactively restored the Board's authority to award to FAA employees all forms ofreliefunder 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, WA, for the agency.
Before Susan Tsui Grundmann, Chairman, Anne M. Wagner, Vice Chairman, Mark A. Robbins, Member.
OPINION AND ORDER**~** 1The appellanthas filed apetition 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 MODIFIEDto orderthe agencyto paythe appellant the correct amount ofback pay, interest on back pay, and other benefits under the Back Pay Act and the Office of Personnel Management's (OPM's) implementingregulations.
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, 20II, the Board ordered the agency to cancel the appellant's removal and to substitute in its place a 30--day suspension. Hankins v. Department ofTransportation, MSPB Docket No. DE-0752-I0-0078-I-1, Final Order at 9 (July I8, 2011). The Boardalso orderedthe 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 withthe Board's final orderbe.cause ithad 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 backpay orrelated benefits to FAA employees. Jd, Tab I5, Compliance Initial Decision (CID) at 2-4. The administrativejudge further found thatthe;J?Pellantwas not entitledto other damages he sought.- 1 CID at 5.
FN1. In her compliance initial decision, the

# ~**~ ~**  administrativejudge did not find the agency**~' ~**  in noncompliance regarding the appellant's

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- Mountain Aviation © 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. FDMS FAA-2012-0875 Respondent Ex. 9Page2
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 administrativejudge's findings.

,-r 4 The appeJiant filed a petition for review, Petition for Review File, Tab 1, and atimely 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. Id. The Board issued a request for briefing, asking the parties to submit argument as to whetherthe statutory change retroactively restored the Board's authority to award backpayto FAA employees and, ifso, which forms of relief under the Back Pay Act are covered by the statutorychange. Id., Tab 10. The appeJlantresponded 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 agreementwith both ofthe appellant'spositions. I d., Tab 15 at 8-14.
ANALYSIS ,-r 5 A briefhistory ofthe Board's statutory authorityto adjudicate appeals ofF AA employees andto award back pay is instructive. Historically, the FAA was subjectto 5U.S.C. chapter 75 in the same manner as any other component ofan executive agency, and, as such, in appeals where the appeJiant prevailed, the Board applied the provisions ofthe 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 ofTransportation and Related Agencies AppropriationsAct, Pub.L. No. 104-50. 109 Stat. 436, 460 (1995) ("the 1996 Act"). The FAA did so, creating a system that exempted itselffrom many key provisions of Title 5, including chapter 75 and the BackPayAct, 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 passedthe 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 ofthe 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 ofTransportation, 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 paybackpayto such employeesbecausethe 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 ofTransportation, 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 bythe following "technical correction":

Notwithstanding any other provision oflaw, retroactive to April 1, 1996, the Board shaJI have the same remedial authority over such employee appeals that it had as ofMarch 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 backpayto FAA employees. ,-r 8 Our analysis ofthis issue begins with an examination ofthe language ofthe statutory amendment. "Itis axiomaticthat statutoryconstructionbegins with the language ofthe statute itself." Roche. 596 F.3d at 1380 (quoting Van Wersch v. Departmento(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. Hallv. Office o(PersonnelManagement, 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. TheBoardhad authority to awardbackpayto FAA employees onthat date, prior to passage ofthe 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 ofTransportation, 25 M.S.P.R. 404, 407-08 0984); Spezzaferro. 24 M.S.P.R. at26. 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 oflaw" 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 canbeno questionthatit appliestothis case, as it was pending before the Board on the date the amendment was enacted.
The scope ofthe reliefavailable to FAA employees includes allforms of reliefavailable under the Back PayAct.**~** 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 reliefunder the Back Pay Act, i.e., backpay, interest on backpay, and other benefits under OPM's regulations. 5 U.S.C. § 5596; Anderson. 59 M.S.P.R. at 596; 5C.F.R. §550, Subpart H (1996); see Pickard. 25 M.S.P.R. at 407-08; Spezzaferro. 24 M.S.P.R. at26. 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 ofreliefunderthe BackPay Act.
ORDER**~** 12 With regard to the appellant's removal, which we previously orderedthe agencyto cancel and substitute in its place a 30-day suspension, we now ORDER the agency to pay the appellant the correct amount ofback pay, interest on back pay, and other benefits under OPM's regulations, no later than 60 calendar days after the date ofthis decision.FN2 We ORDERthe appellantto cooperate in good faith in the agency's efforts to calculate the amount ofback pay, interest, andbenefits due, and to provide all necessary information the agencyrequests to help it carryoutthe Board'sOrder. Ifthere is adispute 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 ofthis 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 lackedthe authorityto 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 outthe Board's Orderand ofthe actions it took to carry out the Board's Order. The appellant, if notnotified, 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 appealifthe appellantbelievesthatthe 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 includethe dates andresults 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 ofthe Department ofAgriculture (NFC) orthe DefenseFinanceand Accounting Service (DFAS), 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 DFAS orNFC 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-dayperiod set forth above.**~** 16 This is the final decision ofthe Merit Systems Protection Board in this appeal. Title 5 ofthe Code ofFederal 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, youmustmeettherequirements setoutatTitle 5ofthe 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. Ifyou believe you meet these requirements, you must file a motion for attorney fees WITHIN 60 CALENDAR DAYS OF THE DATE OF THIS DECISION. You mustfile yourattorney fees motionwiththe officethat issuedthe initial decision on your appeal.
NOTICE TO THE APPELLANT REGARDING YOUR FURTHER REVIEW RIGHTS You have the right to request the United States Court ofAppeals for the Federal Circuitto reviewthis final decision. You must submit your request to the court at the following address:
United States CourtofAppealsFortheFederal Circuit The courtmustreceiveyourrequest for review no later than 60 calendar days after your receipt ofthis order. Ifyou 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 authorityto waive this statutory deadline and that filings that do not comply

.with the deadline must be dismissed. See Pinalv. Office o(PersonnelManagement, 931 F.2d 1544(Fed.Cir.1991).
Ifyou need further information about your right to appeal this decision to court, you shouldreferto the federal lawthatgivesyouthisright. Itis found in Title 5 ofthe 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.
FORTHE BOARD:
William D. Spencer Clerk ofthe 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 ifUnemployment 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 ifnecessary.
3. Statement concerning entitlement to overtime, night differential, shift premium, Sunday Premium, etc, with number ofhours 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. IfBackPay Settlement was priorto 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 ifinterest is payable with beginning date ofaccrual.
6. CorrectedTime and Attendance ifapplicable.
ATTACHMENTSTO THE LETTER SHOULD BE AS FOLLOWS: I. Copy of Settlement Agreement and/or the MSPB Order.
2. Corrected orcancelled SF 50's.
3. Election forms for Health Benefits and/or TSP ifapplicable. 4. Statement certified to be accurate by the employee which includes:

a. Outside earnings with copies ofW2's orstatement 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. Ifemployee was unable to work during any or part ofthe period involved, certification ofthe type of leave to be charged and number ofhours. 

# USDA UNITED STATES

### DEPAR;~EN~ O'F 

# •iiiiliAGRICULTURE

NATIONALFINANCE CENTERCHECKLIST FORBACKPAY 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 whatto do in accordance with decision.
2. The following information mustbe includedon AD-343 for Restoration:

a. Employee name and social security number.
b. Detailed explanation ofrequest.

c. Valid agency accounting.
d. Authorized signature (Table 63)

e. Ifinterest is to be included. f. Check mailing address.

g. Indicate ifcase is prior to conversion. Computations must be attached.
h. Indicate the amount ofSeverance and Lump Sum Annual Leave Payment to be collected. (ifapplic.able)

Attachments to AD-343
I. Provide pay entitlement to include Overtime, Night Differential, Shift Premium, Sunday Premium, etc. with number ofhours and dates for each entitlement. (ifapplicable)
2. Copies ofSF-50's (Personnel Actions) orlist 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. 499,2012MSPB 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. (ifapplicable)
6. Ifemployee was unable to work during any or partofthe periodinvolved, certification ofthetype of leave to be charged and number ofhours.
7. Ifemployee retires at end ofRestoration Period, provide hours ofLump Sum Annual Leave to be paid.
NOTE: Ifpriorto conversion, agencymust 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. Mustprovide same data as in 2, a-g above.
b. Prior to conversion computation must be provided.

c. Lump Sum amount ofSettlement, and iftaxable ornon-taxable.

Ifyou have any questions orrequire 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

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# we~itiaw. 14 C.F.R. § 183.23



# c
Effective:[See Text Amendments]
Code ofFederal Regulations Currentness

Title 14. Aeronautics and Space Chapter I. Federal Aviation Administration, Department ofTransportation · SubchapterK. Administrative Regulations

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

"Iii Subpart C. Kinds of Designations: Privileges



### -+ § 183.23 Pilot examiners. Any pilot examiner, instrument rating examiner, or airline transport pilot examinermay-- (a) As authorized in his designation, accept applications for flight tests necessary for issuing pilot certificates and ratings underthis chapter; (b) Under the general supervision ofthe 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 FR46724, Nov. 7, 1989; Arndt. 183-10, 60 FR67257, 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

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# - 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 IUsa 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 apre-flight inspection and do hereby accept this aircraft forflight. ·

# Slgnature:;;/tjda~~**13~.** 

### 2u 

### ,JAN I I Cycleo )s'

## q

## J )... CcmpulerEnlered By: Dale
86-401r3 Aircraft Flight Log.doc @Mountain Aviation, Inc. 

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### S 2C1:>S.t Date Clll5S**FtiZ.~I** INFORMATION: EMPLOYED BY BASED AT (City, State} ITYPE .II.IRPI .11.1\JE /AI· ,n. 

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# I N-l438P**.QO.[)A..I.~Lf** 

### N. 

## 6e:rrv Ji........- 

## /.I
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- Exariummon (Oral urwu """' 

# .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 AltitudeTakeoffs & Landings TAKI';W:I'S 

### ·s. Sim. Engine Failure 

### --,/
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# .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) 

### / INFLIGHT MANEUVERS 11. SettlingWith 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"'. rT.'l./1 .f:,

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## .

# ......**~NDINGS** 4. Normal J:alteoff & Landings**14~** Normal 

## --=s 5.**~·u~·** .,.,JT.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..nuoa 

# .s Demonstrated Competency FAR1

# .yr:.**?Q'II~ 12~**  23. Holding 

# 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
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### " 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} ( 

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................. . : .. .;,:
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.. '""'"""" 

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## s AiPfl1f4-N CJ.(Gc.t;:E.D IN Dti=DZGfJAH.c.e. 1.-t.H'f(-(C.G2.....$$o 

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

## .s 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 forflight.

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. MAL106/02/09 1 0:56 TRIP COMMENT:

liME**~** Af..lll AIRPORT CITY &STATE BlQ FBO FREQUENCIES DEPT: 117/11 07:42 KAPF NAPLES AIRPORTAUTHORITY 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. MAL101/06/1117:01 Local <Fuel Vendor Retail Fuel Price: 1+$4.39 01/04/11> No contractfuel deals available (unless on aDonortrip). RETAIL ONLY **"DONOR FLIGHTS

....Tell them you are a Philflps 66 Partner. Theywill fuel at negotiated price ofcost+ $0.65, then bill us. MUNCIEAVIATION 122.95

_



# - <Fuel Vendor Duncan Avionics BJC: > Confirmed arrival with amessage.

liME**~** Af.ID AIRPORT C!JY &STATE BlQ EBOEREQUENCIES DEPT: 1/7/11 11:30 KMIE DELAWARECOUNTY-JOHNSON MUNCIEAVIATION 122.95 16:30Z MUNCIE, IN A 

### k

AA.RV: 1/7/11 14:12 19:12Z

CATERING: KMIE ·Arranged by Client KAPF NAPLES NAPLES, FL

Passengers willbring theirown lunch. Please ensure DietCokes andwater. PAXTRANS: KAPF ·HertzGeneral Aviation 

## 3 fs

Ramp-sidecardeliveryconfirmedwith GHentandAPFHertz. Vehicle: Fullsize Impala CONF#£9824590403 services confirmed with Matt MAL101/06/1117:04 Local AIRPORT**A~THORITY**



# - 128.825 Xj 

### I <Fuel Vendor Retail Fuel Price: 1+$4.39 01/04/11> 128.825

No contractfuel deals available (unless on aDonortrip). RETAIL ONLY *'"'DONOR FLIGHTS**** Tell them you are aPhillips 66 Partner. Theywill fuel at negotiated price ofcost+ $0.65, then bill us.



## a • Page 1of1



# 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:

Thankyou forflying with MountainAviation, Cert.#VQMA053W (ctsnfl_mtn- Rev. 3.8.3) 0 0 0 0 

# \\\

### 10/01/07 2150.38


### Appendix B
Table ofSanctions
All Enforcement Programs ExceptHazardousMaterials
Part One

- Abbreviations and Definitions
1. Applicability. This table ofsanctions applies to violations that occurred on orafter October 1, 2007. Forviolations occurring before October 1, 2007, FAA enforcementpersonnel apply the sanction guidance principles in FAAOrder2150.3A usingup to the statutory maximum sanction amount in effect atthe time ofthe violation.
2. Abbreviations. The following abbreviations are used in this Table:


### AP ISmeans 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 LEmeans law enforcement PC

### meansproduction certificate STC

### means supplemental type certificate TC 

### means type certificate TFR 

### means Temporary FlightRestriction TSA 

### means Transportation Security Administration 3. Definitions:

a. A continuingviolation 

### arises when a specific violation occurs over more than one day orovermore than one flight. It also may involve a violation that is ongoing,Jor example, 

### an ongoing refusal to provide required records to the FAAfor inspection. Punitive sanctions are appropriate for continuingviolations that are not currently ongoing. Sanction guidance for these violations is set forth inparagraphs 6 and 7 (multiple acts ormultiple violations) 

### of chapter 7. A combination ofpunitive andremedial sanctions is appropriate when continuing violations are ongoing.
b. Violation committed by a small business concern. 

### Section 503 ofVision 1 00---Century ofAviation Reauthorization Act (CARA) amended 49 U.S.C. §46301 to change the civil penalty amounts the FAAmay seek for violations that occur on or after December 12, 2003; the law sets different limits onthe civil penalties the FAA may seek for violations by small business concerns, 

### as opposedto 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 smallbusiness concern 

### as an enterprise "which is independently owned and**~** 

### operated andwhich is not dominant in its field ofoperation." The Small Business

## ,~ /V'YAdministration regulations implementthe Small Business Act and define business concern 

### as "))'...; "' 

# /)\)**~~** B-1

### 10/01/07 2150.38

"abusiness entity organized forprofit, with aplace ofbusiness located in the U.S., and which operates primarily within the U.S. orwhichmakes a significant contributionto the U.S. economy through payment oftaxes oruse ofAmericanproducts, materials orlabor." 13 C.F.R. 

### § 121.105. The SBAregulations further define smallbusiness concern in tables, describing each kind ofentity by its economic activity or industry, and listing the limit for smallby annual receipts or, more commonly, number ofemployees. (The size limits generally are established under the North American Industry Classification System (NAICS).) Forthe complete list, see 13 C.F.R. 

### § 121.201 orthe SBA's website at www.sba.gov. Thus, ifa person meets the definition ofbusiness concern andhas annual receipts orthe number ofemployees within the applicable SBA limit, it is a small business concern, andthe FAA will determine the civil penalty using the applicable range. Limits for common aviation entities follow (in numbers ofemployees, unless otherwise noted). Manufacturing Aircraft- 1,500 employees Aircraft engine and part- 1,000 employees Other aircraftpart and equipment- 1,000 employees
Airtransportation Scheduledpassenger- 1,500 employees Scheduled freight- 1,500 employees Nonscheduledpassenger- 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 Othernonscheduled

- $6.5 million annual receipts Support activities

- $6.5 million annual receipts FlightTraining- $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 thatthe following guidance uses large business concern for some civil penaltyranges. Thatis not a statutory orregulatory term for purposes ofF AAenforcement. It

### includes each business concernthat exceeds the maximum limit for small business concern, as well as any other entity that does notmeetthe definition of"small business concern."

c. Civil Penalty Ranges. Forthe purpose ofthis table, when civil penalty action is recommended and described as Minimum, Moderate, orMaximum, the penalty ranges are defined in subparagraphs (1) 

### through (9) ofthis paragraph. Note thatthe middle ofeach recommended sanction range would be for a single violation without aggravating ormitigating factors.

B-2

### 10/01/07 2150.38
(1) 

### VIOLATION COMMITTED BYU.S. AIR CARRIERS ORU.S. COMMERCIAL OPERATOR.
CLASSIFICATION OF AIR CARRIERAND OPERATOR
GROUP I- Each air carrier operating underpart 121 orpart 135, with an annual operating revenue of$100,000,000 ormore. Operatingrevenue is determined by reference to DOT's "Air CarrierIndustry Scheduled Service Traffic Statistics Quarterly." See 

### http://ostpxweb.dot.gov/aviation/index.html, and clickon "Airline Financial Review."
GROUP II- Each air carrier or commercial operator operating underpart 121 with an annual operating revenue oflessthan $100,000,000, or underpart 135 with an annual operating revenue ofless than $100,000,000, ifthe 135 operatorhas 50 ormore pilots and 25 or more aircraft on its operations specifications. Operating revenue is determined by reference to DOT's "Air CarrierIndustry Scheduled Service Traffic Statistics Quarterly."
GROUP III- Each air carrier or commercial operator operatingunderpart 135 with 6 to 49 pilots or 6 to 24 aircraft.
GROUP IV

- Each aircarrier or commercial operatoroperating underpart 135 with no more than 5pilots 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 (forviolations 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 (forviolations covered under 49 U.S.C. 

### §46301(a)(1)(A) or (B) butnotunder49 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 $16,250-$25'000 $8,750-$16,249 $1,850-$8,749 

### 2150.38

GROUP II- small business concern (forviolations covered under49 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 (forviolations covered under49 U.S.C. 

### §46301(a)(l)(A) or (B) butnotunder49 U.S.C. §46301(a)(5)(A)):
Maximum Moderate Minimum $750-$1,100 $450-$ 749 $250 $ 449

GROUP III -forviolations covered under49 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 under49 U.S.C. 

### §46301(a)(l)(A) or (B) butnotunder49 U.S.C. 

### §46301(a)(5)(A):
Maximum $650-$1,100 Moderate $400-$ 649 Minimum $150-$ 399
GROUP IV -forviolations coveredunder49 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 under49 U.S.C. §46301(a)(l)(A) or (B) 

### butnotunder 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 BYPART 129 OPERATOR
Maximum $18,750-$25,000 Moderate $10,000-$18,749 Minimum $2,000-$9,999

(3) VIOLATION COMMITTED BYPART 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 under49 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 notunder49 U.S.C. §46301(a)(5)(A)):
Maximum Moderate Minimum $750-$1,100 $450-$749 $250$449

(4) VIOLATION COMMITTED BYAIRAGENCY (INCLUDINGREPAIR STATION). Large Business Concern:
Maximum Moderate Minimum $16,250-$25,000 $8,750-$16,249 $1,850-$8,749
Small Business Concern (for violations covered under49 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 (forviolations covered under49 U.S.C. §46301(a)(l)(A) or (B) but notunder49 U.S.C. 

### §46301(a)(5)(A)):
Maximum Moderate Minimum . $750-$1,100 $450-$749 $250$449

(5) VIOLATION COMMITTED BYAIRPORT OPERATOR. Large Business Concern:
Maximum Moderate Minimum**$18,750~$25,000 $10,000~$18,749**  

### . $2,000-$9,999
Small Business Concern (for violations 'coveredunder 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 (fqrviolations coveredunder49 U.S.C. 

### § 4630l(a)(l)(A) or (B) but notunder49 U.S.C. 

### §46301(a)(5)(A)): · . Maximum Moderate Minimum $850-$1,100 $650-$849 $500$649

(6) LARGEBUSINESS CONCERN-- DOES NOTHOLD CERTIFICATE

' . . . 

### Maximum

. $18;750-$25,000 Moderate $10,000-$18,749 Minimum $2,000-$9,999

(7) SMALL BUSINESS CONCERN- DOES NOTHOLD CERTIFICATE
Forviolations 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 orcorrective action; injunctive relief. Formany kinds ofviolations, 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 holderthat does not allow an FAA inspectorto inspectthe holder's operation or facilities, or an unapproved manufacturer thatproduces aircraftparts in violation of 14 C.F.R. 

### §21.303. Inthat circumstance, suspension ofan entity's certificate or other approval, pending compliance or corrective action, or injunctive reliefagainst an entity that does nothold an FAA approval, would be appropriate. In egregious circumstances revocation ofthe entity's certificate or other approval may be warranted. Such action orreliefmay be considered in additionto the assessment ofa civil penalty as recommended in the following tables. Furthermore, amendment ormodification ofa certificate or approval may be appropriate in the circumstance where a definitive part ofthe offending entity's operation can be safely excluded from the operational approval. An example is an approved aircraftparts manufacturerthat makes multiple kinds ofparts, buthas quality control problems for only one kind ofpart. Such action may be considered in addition to the assessment ofa civilpenalty as recommended in the following tables.


### PartTwo

- Sanction GuidanceTables

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 orAircraft Paperwork Fig. B-1-h. Performance ofMaintenance Fig. B-1-i. SFAR 36 Fig. B-1-j. Records and Reports Fig. B-1-k. Dispatch and FlightRelease 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. Otherprovisions Fig. B-1-p. Operations at airports requiring slots


### 2. PersonnelofAir 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. Otherprovisions applicable to individual certificate holders Fig. B-2-f. OtherAir CarrierPersonnel 2150.38

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

### Fig. B-3-a. Owners and Operators Other ThanRequired 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. OtherViolations Fig. B-3-i. Weather Operations Fig. B-3-j. 14 C.F.R. 91.13(a), Careless orreckless 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 ofdrugs or alcohol; consumption ofalcohol 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. Unrulypassengers Fig. B-3-q. Other Violations by Passengers
4. DUIIDWI Program, Falsification ofDrug 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-employmentdrug 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 othermatters 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 ofthe drug and alcohol prohibitions Fig. B-5-q. Employees located outside the Territory ofthe 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 ofNoise Provisions. 

### Fig. B-7-a. AircraftNoise (14 C.P.R. part 91, subpart I)
8. Violations ofPilot Records ImprovementAct (PRIA). 

### Fig. B-8-a. PRIA
9. Engineering and Manufacturing Violations. 

### Fig. B-9-a. APIS Holders, includingproduction undertype certificate Fig. B-9-b. Production Certificate Holders Fig. B-9-c. Designees 2150.38



### Fig. B-9-d. Technical Standard OrderAuthorization (TSOA), Letter ofDesign Approval, and Letter ofAcceptance 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: Failureto SurrenderCertificate, Authorization, orOther 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 currentmanual Minimum Up to 7-day suspension (2) Failure to provide adequate Moderate to Maximum instructions and procedures in manual (3) Failureto distribute manual to appropriatepersonnel Minimum to Moderate (4) Release ofaircraft withoutrequired equipment Moderate to Maximum Up to 7-day suspension Fig. B-1-b. AIWDirective 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 -likelypotential 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 offacilities 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 providedto 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 maintaintrainingprogram Moderate to Maximum (3) Failure to train personnel adequately Moderateto Maximum Fig. B-1-g. Maintenance or AircraftPaperwork Civil Penalty Certificate Action (1) Incomplete orunsigned release Minimum to Maximum (2) Failure to revise ale data afterrepair Moderate to Maximum Fig. B-1-h. Performance ofMaintenance Civil Penalty Certificate Action (1) By unauthorized person Maximum (2) Failure to perform or improper maintenance Moderate to Maximum Fig. B-1-i. SF AR36 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 orfraudulent 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 ofmajor 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 Minimumto 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 ofsubpartU of 14 CFRpart 121 Moderate to Maximum Fig. B-1-1. Operation ofunairworthy aircraft Civil Penalty Certificate Action (1) Technical non-conformity to TC; no likely effect on safe Minimum operation (2) Non-conformityto TC that may have, or has, adverse Moderate to Maximum effect on safe operation (3) Release ofaircraft withoutrequired 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 briefpassengers Moderate to Maximum (3) Failure to ensure seat and belt for each passenger Maximum (4) Operationw/o operable public address system Maximum _15) Failure to store baggage properly Moderate Fig. B-1-n. Provisions specific to flight deckcrew CivilPenalty Certificate Action 

### _D) Use ofcrewmemberwith 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 deckcrew cont. Civil Penalty Certificate Action (3) Use ofunqualified crewmember Maximum (4) Flight and Duty Time violation Moderate Fig. B-1-o. Other provisions Civil Penalty Certificate Action (1) Improperly Returning Aircraftto service Maximum (2) Illegal carriage ofcontrolled substance with knowledge of Revocation carrier, that is, knowledge of, or involvement in, conduct by top mana_gement J>ersonnel (3) Use ofunqualified personnel otherthan 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 ofinternational slot for domestic flight Moderate (4) Use ofaircraft notmeeting criteria in Moderate 14 C.P.R.§ 93.123(c)(2) in commuter slot
2. PERSONNEL OF AIR CARRIERS, COMMERCIAL OPERATORS, AND PART 125 OPERATORS.
Fig. B-2-a. Maintenance, including inspection Civil Penalty Certificate Action (1) Performingmaintenance 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 ofaircraft 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) Failureto make entry in worksheet 15- to 30-day Suspension (3) Failure to make entry in othermaintenance record 15- to 30-day Suspension (4) Failure to sign-offwork 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 improperuse 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) Failureto 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) Taxiingwith standing passenger 30- to 60-day Suspension (e) Taxiing offrunway, taxiway or ramp 30- to 90-day Suspension (3) Takeoff (a) Contrary to, or without, clearance 60- to 120- day Suspension (b) Belowweatherminimums 60- to 120- day Suspension



### B-16

### 10/01/07 2150.38

Fig. B-2-d. Flight operations cont. Civil Penalty Certificate Action (c) Inexcess ofmaximum gross weight 60- to 120- day Suspension (4) Enroute (a) Deviating from clearance orinstruction 30- to 90-day Suspension (b) Operating VFRin clouds 90-day Suspension to Revocation (c) Operatingunairworthy aircraft 30- to 180- day suspension (d) Unauthorized departure from flight deck 15- to 30-day Suspension (e) Operating withinrestricted orprohibited 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 ofcontrols 30- to 90-day Suspension (5) Approach to landing (a) Deviating from clearance or instruction 30- to 90-day Suspension (b) Approach below weatherminimums 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 riskunder 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 ofcertificates application or a certificate orrating 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 ofmedical certificate (f) Carriage ofillegal 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 ofnoise or sonic boom standard orregulation Suspension under 49 U.S.C. §44709(b)(l)(B) to Revocation (3) Violation ofSection 13(a) ofFish & Wildlife Act of 1956 Suspension under49 U.S.C. §44709(b)(2) to Revocation (4) Flight deck crew o_perations (a) Allowingunauthorized manipulation ofcontrols Revocation by uncertificated individual attemptingto set record under 49 U.S.C. §44724(a) (b) Acting or attemptingto act as a crewmember underthe influence ofdrugs oralcohol; consumption ofalcohol before operating an aircraft (i) Consuming alcohol within 8 hours before Revocation operating aircraft {ii} Underthe influence ofalcohol 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 ofproperrequest from LE officialto Revocation submitto alcohol test (c) Violation ofsterile cockpitrule 30- to 90-day Suspension (d) Unauthorized admissionto 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) Failureto keep manual current 15-day Suspension (5) Flight and Duty Time violation 15- to 90-day Suspension (6) Aircraft certification (a) Operationwithoutvalid 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 oftype rating 180-day Suspension to Revocation (c) Missed proficiency check or line check 30- to 90-day Suspension (d) Lack ofcurrent experience 30- to 90-day Suspension (e) Failure to have current airman ormedical Minimumto Moderate certificate in possession (f) Lack ofinitial orrecurrent training 30- to 90-day Suspension (g) Operation withknown 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 GENERALAVIATION- 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 improperperformance of Moderate to Maximum maintenance, including required maintenance (3) Failure to make proper entry in aircraft log Minimum to Moderate (4) Operation ofaircraft 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 orreport 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 ofsupervisory or inspection Moderate to Maximum personnel (4) Failure to maintain record Moderate to Maximum (5) Failure to ensure that correct calibration ofall inspection Minimum to Maximum and test equipment is accomplished atprescribed intervals (6) Failure to adequately describe work performed Minimum to Moderate (7) Failure ofmechanic to make log entry, record, orreport Moderateto Maximum (8) Failure to sign or complete maintenance release Minimum to Moderate (9) Inspection ofworkperformed, or approval for return to Maximum Up to 30-day service, by otherthan a qualified inspector Suspension (I0) 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 withoutusingrequired technical data, equipment or facilities Suspension (12) Failure to perform orproperly perform maintenance, Moderate to Maximum Up to 30-day repair, alteration, orrequired inspection for an air carrier or Suspension commercial operator (13) Maintaining or altering an airframe, powerplant, Maximum Suspension propeller, instrument, radio, or accessory for whichthe repair or station is not rated Revocation (14) Failure to report defect or unairworthy conditionto 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 permitFAAto inspect Maximum Indefinite Suspension until Compliance (19) Failure to perform inspection properly onpart 125 Moderate aircraft / (20) Failure to comply with SFAR 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 pendingBTS 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), Improperremoval, changing, or placing ofidentification information on a product (a) Inadvertent Minimum (b)_ Intentional misrepresenting identity ofproduct Maximum Revocation (2) 14 CFR45.23(c), Improperremoval or installation of identificationplate (a) Inadvertent Minimum (b) Intentional misrepresenting identity ofproduct 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 ofcontrolled substances (2) Refusal to permit inspection offacilities, 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 orunauthorized instruction Moderate to Maximum _(8) Failure to establish ormaintaintraining record Moderate to Maximum Fig. B-3-e. General Aviation Maintenance Personnel Civil Penalty Certificate Action (1) Failure to revise aircraft data after majorrepair or 30- to 60-day alteration Suspension (2) Failure to perform or improperperformance 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 ofmechanic to accomplish inspection properly 30- to 60-day Suspension (4) Failure ofmechanic to record inspection 15- to 30-day Suspension (5) Failure ofiAholderto accomplish inspectionproperly 60-day Suspension to Revocation ofiA (6) Failure ofiAholderto record inspection 15- to 30-day Suspension ofiA (7) Maintenance performedby person without a certificate Moderate to Maximum (8) Maintenance performed by personwho 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 setforth adequate description ofwork 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 withoutrequired endorsement 45- to 90-day Suspension (3) Operation on international flight 60- to 90-day Suspension (4) Use ofaircraft in business 30- to 120- day Suspension (5) Operation for compensation orhire Revocation Fig. B-3-g. Flight Instructors Civil Penalty Certificate Action (1) False endorsement ofany studentpilot record Revocation (2) Exceeding flight time limitation 30- to 90-day Suspension (3) Instruction in aircraft for whichhe/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 withoutpilot ormedical certificate in Minimum personal possession (certificates valid) (d) Operation without a currentmedical 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 orhire when a valid 90-day commercial pilot certificate had not been issued Suspension to Revocation (h) Operation withouttype orclass 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 ATC 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 contactwithATC Suspension (11) Operation contrary to a NOTAM 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 operationwithin Class A airspace 30- to 90-day Suspension (19) Failure to adhere to right ofway rule 15- to 90-day Suspension (20) Failure to comply with VFR cruising altitude 30- to 90-day Suspension (21) Failure to maintainrequired minimum altitude over 60- to 180- structure, person, orvehicle -congested area day Suspension (22) Failure to maintain required minimum altitudes over 30- to 120- structure, person, orvehicle

- 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 maintainproper altimeter setting 30- to 60-day Suspension (27) Operating within restricted orprohibited area (including 30- to 90-day a TFR) or Class A airspace Suspension (28) Unauthorized dropping ofobject from aircraft 30- to 60-day Suspension (29) Unauthorizedtowing 30- to 60-day Suspension (30) Acrobatic flight on airway, over congested area, below 90- to 180- minimum altitude, etc. day Suspension (31) Taking offwith 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 withvisibility 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 ofcontrolled airspace day Suspension (5) Operating VFRunder 1,000 foot ceiling within Class D 30- to 120- airspace day Suspension (6) Failure to comply with IFRlandingminimum 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 orlong landing 30- to 90-day Suspension (3) Landing on, ortaking 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 offrunway, taxiway, orramp 30- to 90-day Suspension Fig. B-3-k. Passenger operations Civil Penalty Certificate Action (1) Carrying passenger who is underthe influence ofdrugs 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 ofunapproved parachute 30- to 60-day Suspension (4) Permitting unauthorized parachutejumping 30- to 90-day Suspension (5) Carryingpassenger without required recent flight 30- to 120- experience day Suspension (6) Operation without an approved seat orberth and approved 30- to 60-day safety belt for each person on board the aircraftrequired to Suspension have them during takeoff, en route flight, and landing Fig. B-3-1. Acting orattempting to act as a crewmember Civil Penalty Certificate under the influence ofdrugs or alcohol; consumption of Action alcohol before operatine an aircraft (1) Consuming alcohol within 8 hours before operating Revocation aircraft (2) Underthe influence ofalcohol 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 ofproper 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 violationunder49 U.S.C. § Mandatory 44710(b) Revocation (2) Counterfeitparts violation under49 U.S.C. § 44726(b) Mandatory Revocation (3) Security risk under49 U.S.C. § 46111(b) Mandatory Suspension or Revocation, as requested byBTS (4) Intentionally false or fraudulent Revocation entry, reproduction, or alteration on an ofcertificates application ora certificate orrating authorized under applicable part of 14 CFR



### B-27

### 10/01/07 2150.38
Fig. B-3-n. Miscellaneous Civil Penalty Certificate Action (1) Allowingunauthorized manipulation ofcontrols by Mandatory uncertificated individual attemptingto set record under Revocation 49 U.S.C. 

### & 44724(a) (2) Carriage ofillegal drugs (controlled substances) on Revocation aircraft (3) Conducting operation without required operating 60- to 120- certificate day Suspension ( 4) Misuse ofan airport-approved identification medium Moderate to Maximum (5) Making anincorrect statement on an Indefmite application for a medical certificate Suspension (pending correction of application and determination of qualification) or Revocation ofmedical certificate (6) Refusal to produce pilot certificate, log orrecords 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 ATC, 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 offlight or cabin crewmember $1,100-$8,000 under 49 U.S.C. § 46318 (3) Physical assault ofindividual otherthan a crewmember $500

- $5,000 under49 U.S.C. § 46318 (4) Threatento physically assault flight or cabin crewmember $1,100-$5,000 under 49 U.S.C._§_46318 (5) Threatento physically assault individual otherthan flight $500- $5,000 or cabin crewmemberunder49 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 mannerthatposes imminentthreatto safety of $5,000- $25,000 aircraft or other individuals on aircraft under49 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) Smokingwhile 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 Minimumto Moderate (5) Failure to occupy an approved seat orberth with a safety Minimum to Moderate belt, and, ifinstalled, 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 OFDRUG CONVICTIONS AND AIRMAN MEDICAL CERTIFICATE VIOLATIONS Fig. B-4-a. Sanctions related to DUI/DWI Program Civil Penalty Certificate Action (1) Intentionally false orfraudulent entry on medical Revocation certificate applicationregarding a DUI conviction or ofall airman administrative actionunder 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 ofmedical certificate (3) Failure to report a motor vehicle action (MVA) under 14 15- to 45-day C.F.R. § 61.15(e) Suspension ofall part 61 certificates (4) Two MV As arising from separate incidents within 3 years, 90- to 120- and reported bothunder day 14 C.F.R. § 61.15(d) Suspension ofall 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 MVAs arising from separate incidents within 3 Revocation years under 14 C.F.R. § 61.15(d) ofall part 61 certificates Fig. B-4-b. Airman Medical Certificate Violations Civil Penalty Certificate Action (1) Intentionally false orfraudulent statement on an Revocation application for a medical certificate or on a request for any ofall airman special issuance or SODA under and medical 14 C.F.R. § 67.403(a)(l) certificates (2) Intentionally false orfraudulent entry in a record that is Revocation kept, made orused to show compliance under ofall airman 14 C.F.R. § 67.403(a)(2) and medical certificates (3) Reproduction ofa medical certificate for fraudulent Revocation purpose under 14 C.F.R. § 67.403(a)(3) ofall airman and medical certificates (4) Alteration ofmedical certificate under Revocation 14 C.F.R. § 67.403(a)(4) ofall 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 ofmedical 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 ofall 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 Suspensionto Revocation ofall part 61, 63, or 65 certificates Revocation ofall part 61, 63, or65 certificates
*It may be appropriate, inthe exercise ofprosecutorial discretion, notto take enforcement action when a conviction is several years old when discovered by the FAA and there is evidence thatthe certificate holderhas been rehabilitated suchthatthe 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 ofan air carrieroperating underpart 121 orpart Moderate 135 operatorto obtain an operations specification (2) Failure ofa part 145 operator (that opts to have its own Moderate drug program and AMPP) to obtain an operations specification (3) Failure ofa Section 91.147 or non-FAA air traffic control Moderate facility to submit a regjstration to the FAA (4) Failure ofa contractor (that opts to have its own drug and Moderate alcohol programs) to submit a registration to the FAA (5) Failure to implement ormaintain continuous coverage in Maximum Indefinite an FAA antidrugprogram and/or AMPP in accordance with Suspension Appendices I and/orJ or 14 CFRpart 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 orJor 14 CFRpart 120 who is not covered under an FAA-mandated antidrug and/or alcohol 

### B-31

### 05/13/11 

# Imisuse prevention program

Fig. B-5-c. Pre-employment drug testing (1) Failure to advise each individual applying to perform a safety-sensitive function ofthe pre-employment testing requirement (2) Failure to pre-employment drug test an individual or receive a negative drugtest result priorto hiring or transferringthat 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 drugtest result priorto hiring or transferringthat individual for a safety-sensitive function that has, or may have, an adverse effect on safety.

. (4) Failureto pre-employment drug test before hiring or transferring an individual into a safety-sensitive position if more than 180 days elapse between a pre-employmenttest and placingthe 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 placingthe individual into a safety-sensitive function that has, ormay 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 meetthe minimum annual percentage rate for random drug and/or alcohol testing (3) Failure to use a scientifically valid method ofrandom 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 calendaryear (6) Failure to ensure that an employee who is notifiedto report for random drug and/or alcohol testingproceeds immediatelyto the testing site (7) Failure to conduct alcohol testingjustbefore the employee is to perform a safety-sensitive function, during orjust 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, ifthat employee's performance either contributedto an accident orcannot be completely discounted as a contributing factor to the accident. (2) Failure to post-accident drugtest an employee within 32 hours afterthe accident. (3) Failure to conductpost-accident alcohol testing on an employee within 8hours afterthe accident (4) Failure to prepare and maintain on file required records stating the reasons the post-accident alcohol test was not administeredwithin 2 hours and/or 8hours. 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 ofusing a prohibited drug and/or misusing alcohol (2) Reasonable cause drugtesting ofindividuals without a reasonable and articulable beliefthatthe employee is using a prohibited drug onthe basis ofspecific, contemporaneous physical, behavioral, orperformance indicators ofprobable drug use (3) Reasonable suspicion alcohol testing ofindividuals when reasonable suspicion ofalcohol misuse has not been determined by a trained supervisor based on specific, contemporaneous, articulable observations concerningthe appearance, behavior, speech orbody odor ofthe employee (4) Failure to prepare and maintain onfile 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 underthe influence ofor 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 returnedto perform a safety-sensitive function afterthe individual refused to submitto a required drug test or received a verified positive drugtestresult (2) Failure to receive a verified negative returnto duty drug testresult for anindividual priorto the individual'sreturn to a safety-sensitive function (3) Failure to administer a return-to-duty alcohol test on an individual who engaged in prohibited conduct priorto 

### 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 d" B

ppen IX returninghim orherto a safety-sensitive function.

Fig. B-5-g. Return to duty drug and alcohol testing cont. Civil Penalty Certificate Action (4) Failure to ensure thatthe employee has received an alcoho Maximum test result with an alcohol concentration ofless than 0.02 on a return-to-duty testpriorto resuming the performance ofsafetysensitive duties Fig. B-5-h. Follow-up drug and alcohol testing Civil Penalty Certificate Action (I) Failure to implement a reasonable program of Maximum unannouncedtesting for eachindividual who has beenhired to perform or who has been returned to the performance ofa safety-sensitive function afterrefusing to submitto 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 inthe first Maximum 12 months following the return to duty ofan employee (3) Failure to discontinue follow-up testing after 60 months Minimum to Moderate from the date the individualreturned to a covered function (4) Failure ofa substance abuse professional to determine the Maximum number and frequency offollow-up tests (5) Failure to ensure that follow-up alcohol testing ofa Minimum covered employee only occursjustbefore the employee is to perform safety-sensitive functions, during, orjustafter 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 ofgreaterthan .02 and less than .04 whenthe employerhas chosen to permitthe employee to perform a safety-sensitive function within 8 hours ofalcohol 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 andtests below .02 Fig. B-5-j. Inappropriate testing Civil Penalty Certificate Action (1) Inappropriate testing usingDOT orFAA Authority Minimum to Moderate



### B-34

### 05/13/11

Fig. B-5-k. Administrative and other matters (1) Failure to permit the Administrator orthe 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 under49 C.F.R. § 40.25 (4) Using an employeeto perform safety-sensitive functions after obtaining informationthatthe employee violated DOT drug and alcohol regulations, without obtaining information thatthe employee complied with return-to-duty requirements (5) Failure to notify the FAA ofa medical certificate holder (issued underpart 67), who tested positive on a DOTdrug test, within two working days ofthe date ofthe verifiedpositive result (6) Failure to notify the FAA ofa medical certificate holder (issued under part 67), who engaged inprohibited alcohol conduct, within two working days ofthe violationdate (7) Failure to notify the FAA oftherefusal to submitto testing by a part 61, part 63, orpart 65 certificate holder withintwo working days ofthe refusal to test

(8) Knowingly using any personto perform any safetysensitive function afterbeing permanently precluded from performing that safety-sensitive function

(9) Failure to submit an annual drug and alcohol (MIS) report in accordance withAppendices I and J or 14 CFRpart 120. (10). Failure to maintain records ofan employee's drug rehabilitation, the drugtest collection process, training, and/or negative drug testresults for the required timeframe (11) Releasing drug or alcohol testing information withoutthe appropriate consent (12) Failure to maintainrecords in a secure locationwith controlled access (13) Failure to maintain records ofemployee alcohol test results of0.02 or greater for the required timeframe (14) Failure to maintainrecords 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 ofrefusals, calibration Moderate documentation, employee evaluations and referrals, and copies ofannual 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 bythe Administrator (18) Failure to submit an annual report (MIS) by March 15th Minimum (19) Releasing alcohol testing information withoutthe 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 ofMROto review, interpret, and verify positive Maximum testresults (4) Failure ofMRO to interview an employee or applicant Maximum who has had a confirmed positive drug test result (5) Failure ofMRO to transmitthe results to employer Maximum (6) Failure ofMROto process employee requests for testing Maximum ofsplit specimens (7) Failure ofMROto ensure all records maintained by the Moderate former MRO are forwarded to the newMRO withinthe appropriate time frame (8) Failure ofMRO to maintain records in confidence and Maximum release only in accordance withthe provisions of 14 C.F.R. part 121, Appendix I or 14 CFRpart 120 and 49 C.F.R. part 40 (9) Failure ofMROto maintainrecords concerning drug tests Maximum confirmed positive by the laboratory for the required timeframe (10) Failure ofMROto inquire whether an individual holds an Maximum airman medical certificate issued under part 67, or would be required to hold such certificate in orderto perform the duties ofthe position for which the applicant is applying (11) Failure ofMROto verify the primary test result pending Maximum the result ofthe split specimen Fig. B-5-m. Substance Abuse Professional (SAP) referral Civil Penalty and evaluation



### B-36 2150.38 Chg 3 A d. B

ppen IX

Certificate Action

Certificate Action

Certificate Action

### 05/13/11 2150.38, Chg 3 A d. B



### ppen IX (1) Failure to use a qualified individual to perform SAP Maximum services (2) Failure to advise an employee ofthe resources available to Minimum him orher in evaluating and resolvingproblems associated with the misuse ofalcohol Fig. B-5-m. Substance Abuse Professional (SAP) referral Civil Penalty Certificate and evaluation cont. Action (3) Failure ofa SAPto conduct a face-to-face evaluation of Moderate the em2_loyee and recommend education and/or treatment (4) Failure ofa SAPto ensure that each employee who has Moderate committed a DOTdrug and/or alcohol regulation violation, has successfully complied with the SAP'srecommendations for education and/or treatment priorto 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 inthe work place (2) Failure to conduct initial employee training Minimum to Moderate (3) Failure to conduct initial andrecurrent 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 ofalcohol Minimum (2) Failure to conduct supervisory training regarding alcohol use Minimum (3) Failure to distribute and/or documentthe distribution of Minimum alcohol informational materials to employees
Fig. B-5-p. Violations ofthe 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 submitto 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 ofanaccidentto perform or continue performing safety sensitive functions (3) Failure to notify the Federal Air Surgeon ofa part 67 Maximum medical certificate holder who received a positive drugtest result and/orreceived an alcohol concentration of.04 or greater on an alcohol test



### B-37

### 05/13/11 2150.38 Chg 3 A d' B

ppen IX (4) Allowing a part 67 medical certificate holderto perform Maximum safety-sensitive duties for an employer following an alcohol violation and/or drugpositive (5) Failure to notify the FAA ofa part 61, 63, and/or 65 Maximum certificate holder who refused to submit to testing

Fig. B-5-q. Employees located outside the Territory ofthe Civil Penalty Certificate 

## u.s. Action (1) Subjecting an employee located outside the territory of Minimum the United States to a DOT drug oralcohol test Fig. B-5-r. Specimen collection Civil Penalty Certificate Action (1) Failure to use urine collection personnel who meetthe Minimumto Moderate requirements of49 C.P.R. part 40, subpart C (2) Failure to use collection sites, forms, equipment and Minimum to Moderate supplies for DOTurine collections that meetthe requirements in 49 C.P.R. part 40, subpart D (3) Failure to conduct specimen collections in accordance Minimum to Moderate with49 C.P.R. part 40, subpart E (4) Failure to process split specimentests 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 meetthe 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 of49 C.P.R. part 40, subpartJ (2) Failure to use sites, forms, and supplies for DOT Minimum to Moderate alcohol testingthat meet the requirements in 49 C.F.R. part 40, subpart K (3) Failure to use equipment for DOT alcohol testingthat Moderate to Maximum meets the requirements in49 C.F.R. part 40, subpart K (4) Failure to conduct alcohol screeningtests in accordance Minimum to Moderate with 49 C.P.R. part 40, subpartL (5) Failure to conduct alcohol confirmationtests in Moderate to Maximum accordance with49 C.F.R. part 40, subpartM



### B-38

### 05/13/11 2150.38, Chg 3 

### A d" B

ppen IX (6) Failure to address problems with alcohol tests in Minimum to Moderate 

# I accordance with 49 C.F.R. part 40, subpartN. Fig. B-5-u. Consequences to the uncertificated Civil Penalty Certificate individual Action (1) Refusal to submitto an alcohol test Maximum (2) Positive drugtest result oralcohol 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 afterreceiving a verified positive test result without complying withthe 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 onduty (6) Performs a safety-sensitive function Maximum for an employerwithin 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 ofan accident involving an Maximum aircraft for which he or she performed a safety sensitive function at ornearthe time ofthe accident, and uses alcohol withinthe 8 hours following the accident
Fig. B-5-v. Consequences to the certificated individual Civil Penalty Certificate Action (1) Refusal by the holder ofa certificate issued underparts Revocation 61, 63, or 65 to submitto a drug or alcohol test (2) Positive drug test result or alcohol test result .04 or Revocation above orotheralcohol violationby the holder ofa certificate issued underparts 61, 63, or 65 on any drug or alcohol test. (3) Failure ofan individual to disclose to the MROthathe Revocation or she holds an airman medical certificate issued under part 67, or would berequired to hold such certificate, in order to perform the duties ofthe position for whichhe or she is applying (4) Performs a safety-sensitive function for an employer Revocation afterreceiving a verified positive test result without complying withthe 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 usingprohibited drugs or alcohol onduty (7) Performs a safety-sensitive function (flight Revocation crewmember, flight attendant, airtraffic 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 ofan accident involving an Revocation aircraft for whichhe or she performed a safety sensitive function at ornearthe time ofthe accident, and uses alcohol withinthe 8 hours following the accident

6. AIRPORT OPERATORS. Fig. B-6-a. Certification Civil Penalty Certificate Action (1) Operation without a part 139 certificate Maximum; Injunctive relief (2) Operation inviolationofa part 139 certificate Moderate to Maximum (3) Failure to permit FAA inspectorto 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 inthe airport Minimum to Moderate certificationmanual (3) Failure to maintaincurrent airport certificationmanual Moderate to Maximum onthe airport (4) Failure to make current airport certificationmanual 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 withrequirements ofthe 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 ofeach Moderate to Maximum runway, taxiway, loadingramp, and parking area onthe airport (3) Failure to maintain and repair each gravel, turf, or other Moderate to Maximum unpaved runway, taxiway, orloading ramp and parking area onthe airport Fig. B-6-c. Operations coot Civil Penalty Certificate Action (4) Failureto provide and maintain an airport safety area Moderate to Maximum (5) Failure to provide and maintainthe required marking Maximum and signing systems for air carrier operations (6) Failure to provide andmaintain lighting systems for air Moderate to Maximum carrier operations whenthe airport is open during hours of darkness or during conditions below VFRminimums (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 ordemonstrate compliance with response requirements (10) Failure to respond withinthe 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) Failureto ensure that sufficientrescue 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 orimpending 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 ofa fueling activity by Moderate to Maximum fueling agent onthe airport (17) Failure to ensure and maintain a record ofthe Minimum to Moderate inspection ofthe physical facilities ofeach 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 agentto take Moderate to Maximum corrective action for noncompliance with a fueling standard (20) Failureto ensure that the airport emergency plan is Minimum to Moderate reviewed with all parties underthe plan andthat all information inthe plan is current



### B-41

### 05/13/11 2150.38 Chg 3 

### A d" B**~ppen** IX (21) Failure to establish and maintainprocedures for the Moderate to Maximum protection ofpersons and property onthe airport during the handling and storing ofhazardous 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 ofthe airport as Maximum required (25) Failure to provide equipment and procedures for Moderate to Maximum carrying out an inspectionprogram for a reporting system to ensure correction ofconditions noted during the inspections (26) Failure to prepare, keep, and make available a record Moderate to Maximum ofself-inspections (27) Failure to limit access by ground vehicles to Moderate movement areas and safety areas (28) Failure to establish and implementprocedures 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 Minimumto Moderate vehicle with access to the movement area is familiar with airportprocedures for operation ofground vehicles (31) Failure to ensure that obstructions are removed, Moderate to Maximum marked, orlighted (32) Failure to preventthe construction offacilities onthe Moderate to Maximum airport that would derogate the operation ofan electronic or visual navaid and airtraffic control facilities onthe airport (33) Failure to take immediate measures to alleviate Moderate to Maximum wildlife hazards (34) Failure to preventthe inadvertent entry to the Moderate movement areaby unauthorized persons orvehicles (35) Failure to provide for the collection and dissemination Moderate to Maximum ofairport condition information to air carriers (36) Failure to mark and, ifappropriate, 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 d" B

1ppen IX (37) Failure to provide procedures for avoiding damage to Minimum to Moderate existing utilities, cables, wires, conduits, pipelines, orother underground facilities (38) Failure to restrict air carrier operations to safe portions Maximum ofthe airport (39) Failure to take action to conduct a wildlife assessment Moderate to Maximum (40) Failure to implement wildlife assessment orthe 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 Moderateto Maximum 3 noise levels under49 U.S.C. § 47528 (2) Nonaddition Rule under49 U.S.C. §47529 Moderate to Maximum (3) Imported aircraft operated to provide airtransportation Moderateto Maximum inthe 48 contiguous states without complyingwith 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 personto begin service as a pilot priorto Maximum requesting, receiving, and evaluating records pursuant to the provisions ofPRIA (2) Failingto obtain from the subject ofa PRIA request a written consent for release ofrecords requested underPRIA (a) Inadvertent error Moderate (b) Egregious/no consent given Maximum (3) Furnishing records, pursuant to request underPRIA, Moderate thathave been maintained for more than 5years before the date ofrequest when record does not relate to revocation or suspension ofairman certificate or motor vehicle license that was in effect attime ofrequest (4) Failingto maintainrecords described in49 U.S.C. §§ Moderate to Maximum 44703(h)(l)(A) and (B) for five years (5) Furnishing records pursuantto a request under PRIA before receiving a copy ofthe written consent ofthe individual who is the subject ofthe 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) Failingto provide a copy ofall records pursuant to a request under PRIA within 30 days ofthe date the request is received (a) Inadvertent error Moderate (b) Egregious/intentional Maximum

Fig. B-8-a. PRIA cont. Civil Penalty Certificate Action

(7) Failingto provide to the individual who is the subject Maximum ofrequest underPRIA, on orbefore the 20th day following the date ofthe receipt ofsuch a request, written notice of the request and ofthe individual's rightto receive a copy of suchrecords (8) Failing, upon a request from an individual who is the Maximum subject ofrequest underPRIA, to provide a copy ofrecords to the individual (9) Failingto permitthe subject ofa 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 writtenrequest from a pilot who is or has been employedby 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) pertainingto the employment of that pilot (a) Making records available butuntimely Minimum to Moderate (b) Not makingthe records available Maximum (11) Use ofrecords received pursuant to PRIA for reasons Maximum otherthan assessingthe qualifications ofindividual in deciding whetherto hire the individual as pilot (12) Failingto protectthe privacy ofa pilot and the Maximum confidentiality ofrecords received (13) Divulging contents ofrecords received pursuant to PRIA to individual not directly involved in hiring process (a) Minor Minimum (b) Intentto cause harm Maximum (14) For air carriers that operate aircraft with a maximum load capacity of7,500 pounds orless, or a helicopter, on a flight that is not a scheduled operation

-



### B-44

### 05/13/11 2150.38, Chg 3 

### A d" B

.ppen 1x (a) Permitting a pilotto continue in service longerthan Maximum 90 days without requesting, receiving and evaluating records identified in49 U.S.C. §44703(±)(1) (b) Failing to provide contractual notification to the Moderate individual that continuation ofemployment afterthe 90-day period is subjectto a satisfactory evaluation ofrecords 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. WheneverFAA enforcement action personnel determine that the holder ofa designation, orthe holder ofa design orproduction 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 holderrefuses to allow inspection, or otherwise continues to fail to comply with an applicable requirement. Suspensions and terminations ofdesignations are handled in accordance with FAA Orders No. 8100.8B, DesigneeManagementHandbook, Chapter 11; No. 8100.9, DAS, DOA, and SFAR 36AuthorizationProcedures, Chapter 8; and No. 8110.37C, DesignatedEngineering Representative (DER) GuidanceHandbook, 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 ofa/w (APIS) to ensure product conformity 21.128, 21.129, certificates

- andto ensure product is in condition 21.130 pending for safe operation compliance (2) Failure to maintaintechnical 21.123(b) Moderate to Discontinue data ordrawing atthe place of Maximum issuance ofa/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 productionpropeller 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 d. B**~ppen** IX regulations compliance to Revocation (2) Failure to make information 21.143(b) Moderate to regarding a delegation ofauthority Maximum to subsidiary manufacturer or supplier (3) Failure to immediately notify 21.147 Moderate to FAA, in writing, ofquality control Maximum system changes that affectthe inspection, conformity, or airworthiness ofthe 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 cancellationupon transfer of 21.159 ownership orupon change in location ofthe manufacturing facility (5) Failureto maintainthe 21.165(a) Moderate to approvedquality control system Maximum (6) Failureto 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 inspectthe 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 ofanAD TCorAWCs, pending compliance to Revocation (c) Failure to place the required Minimum to technical data andtype inspection Moderate report inthe technical datafile required by 21.293(a)(l)(i) (d) Failure to determine thatthe 21.267(b) Moderate to 

### B-46

### 05/13/11 2150.38, Chg 3 

### A d" B

1ppen IX PC requirements ofsubpart G are Maximum met priorto certifyingthat the determination has been made (e) Failure to place the 21.267(d) Moderate to manufacturing and quality control Maximum datarequired by 21.143 withthe datarequired by 21.293(a)(1)(ii) priorto certifyingthat 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 within48 hours ofany change that Maximum could affect the ability ofthe DOA to meetthe requirements in Subpart J (g) Failureto obtainFAA 21.261 Minimum to Indefinite concurrence onthe application of Moderate Suspension of any equivalent safety provision TC orAWC, applied under 21.21 pending compliance to Revocation (h) DOA issues new or amended 21.251 Revocation of TC, or STC, AWC, orA/W certificate approval beyond the scope ofits 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 affectedby change in Maximum facilities or staffnecessary to meet the requirements of§ 21.439, or affectedby 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 ofany changethat Maximum could affectthe ability ofthe DAS to meet subpartM (d) Failure, uponreasonable 21.449 Maximum


### B-47

### 05/13/11 2150.38 Chg 3 

### A d" B

1ppen rx request, to let the FAA inspectthe DAS facility, product, orrecord (e) DAS issues STC or AWC 21.451 Maximum Revocation of beyond the scope ofits STCorAWC authorization (f) Issuing an STC involving 21.451(d) Maximum Indefinite exhaust emissions change Suspension of requirements ofpart 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) Foreach STC issued under 21.463(a) Moderate to Indefinite subpartM, failure to follow the (1) Maximum Suspension of procedures manual approved under STC pending § 21.441 orfailure 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 ofproduct, 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 submitthe copies ofthe STC orthe other required data (k) Foreach amendmentto an 21.473 Moderate to airworthiness certificate under Maximum subpart M, failure to follow the procedures manual approved under § 21.441 orfailure to follow § 21.473(a)-(c) (1) Issuing an experimental 21.475 Minimum to AWC without obtaining from the Moderate FAA a necessary limitation or condition (m) Failure to conduct an 21.477(a) Moderate to investigation orreport the results of Maximum the investigation ortaken or proposed action



### B-48

### 05/13/11 2150.38, Chg 3 

### A d" B

\ppen IX

(n) Failure to submitthe 21.477(b) Moderate to Indefmite information necessary for the issue Maximum Suspension of ofan 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 whenDAS no longer operates under subpart M

Fig. B-9-d. Technical Standard 14 C.F.R. 49

## u.s.c. Civil Penalty Certificate OrderAuthorization (TSOA), Action Letter ofDesign Approval, and Letter ofAcceptance Manufacturers (1) Unauthorized display ofTSO 21.603(a) Maximum marking (2) Failure ofholder ofLetter 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 maintainthe Q/C 21.607(b) Moderate to systemto ensure each article meets Maximum 21.607(a) and is in a condition for safe operation (6) Failureto prepare and maintain 21.607(c) Moderateto a current file ofcomplete technical Maximum data and inspectionrecords (7) Failure to permanently and 21.607(d) Minimum to legibly mark each article produced Moderate under the TSOA or Letter ofDesign 

### 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 OrderAuthorization (TSOA), Action Letter ofDesign Approval, and Letter ofAcceptance 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 authorizationunder 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 FAArepresentative to Maximum inspect an article, Q/C inspection or test, orthe manufacturing facilities ortechnical data file Fig. B-9-e. Replacement or 14 C.F.R. 49U.S.C. Civil Penalty Certificate or Modification Parts OtherAction Manufacturers (1) Production without PMA or 21.303(a) Maximum Injunctive other authority relief (2) Failure to maintainthe 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 inthe 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 theirphysical 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 thatmaterials 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 ofthe 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 inproduction where accurate determinations canbemade

Fig. B-9-e. Replacement or 14 C.F.R. 49U.S.C. CivilPenalty 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 orto use such a drawing whennecessary (9) Failure to adequately control a 21.303 Moderate to major design change orto obtain (h)(7) Maximum FAA approval ofa 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 theiruse in a fmished product (11) Failure to maintain and identify 21.303 Moderate to an inspectionrecord with a completed (h)(9) Maximum part, orto retainthe 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 completedpart 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. CivilPenalty Certificate ApprovalHolders Action (1) Failure to report each malfunction Moderate to ordefect specified in section 21.3(c) Maximum within the time specified in21.3(e)



### B-51

### 05/13/11 2150.38 Chg 3 A d. B**~ppen** IX Fig. B-9-g. TC or STC Holder; 14 C.F.R. 49U.S.C. CivilPenalty Certificate or Manufacturers and Alteration OtherAction Entities (1) Failure to submit the data 21.99 Maximum Indefmite necessary for the issuance ofAIW Suspension of directive containing the appropriate TC orAWCs, 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 OtherAction (1) Falsification ofapplication, 21.2(a)(l), (2), Maximum Revocation of report, orrecord (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 ofpermission to use an (a)(2) STC (3) Failure to provide written 44704 Minimum evidence ofpermissionto use a TC (a)(3) (4) Changing a product based on an 44704 Maximum STC withoutbeingthe holder or (a)(2) havingthe permission ofthe STC holder**·----~--~·** (5) Manufacturing a product based 44704 Maximum on a TC withoutbeingthe holder or (a)(3) havingpermission ofthe TCholder
10. AIRCRAFT OWNER/OPERATOR REGISTRATION VIOLATIONS Fig. B-10. Registration. 14 C.F.R. 49U.S.C. Civil Penalty Certificate Action (1) Operation ofan unregistered 91.203 44101 Maximum* 30-90 day aircraft (a)(2) .Suspension of _l)_ilot certificate (2) Operation ofan aircraft without 91.203 Minimum 30-90 day an effective (14 C.F.R. 47.41), valid (a)(2) to Suspension of (14 C.F.R. § 47.43) certificate on Maximum* pilot certificate board (3) Operation outside U.S. onpink 91.203 44101 Minimum 30-90 day copy (a)(2) to Suspension of Maximum* pilot certificate (4) Operation inU.S. onpink 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 aircraftregistration 47.43(b) registration certificate certificate


### B-52

### 05/13/11 2150.38, Chg 3 

### A d" B

.ppen IX (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 submitrequired 47.71 Minimum dealer information to Moderate

Fig. B-10. Registration cont. 14 C.F.R. 49 

## u.s.c. Civil Penalty Certificate Action (10) Use ofregistered aircraft to 44106 Mandatory carry out or facilitate unlawful drug (b), revocation of activities 44710 aircraft registration certificate and ofall other certificates of aircraft

-· - .· .. registration issued to its owner, and revocation of all airman certificates * Civil penalty action applies only ifowner/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. perday, with the total calculated under the Multiple Act policy



### B-53)

.U.S.Department ofTransportation 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 forthe following checking functions: Checking Function: Effective date: Check Pilot

- All Checks February 12, 2002
Please retain a copy ofthis letter in the airman's individual flight training records. Sincerely,

AI Hankins Principal Operations InspectorU.S. Department ofTransportation FederalAviation 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 1-800-847-3808

SUBJECT: Designation ofCheck 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 aircraftfor 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
Pleaseretain a copy ofthis letter in the airman's individual flight training records.

AI Hankins Principal Operations InspectorAIRMAN 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_/'" Oatsof Exam. 

### ::z -l(p -20l0

(12 months)
(12 months) 

### R6-

(12 months) 

### fZb

( 6 months)

CHECKAIRMAN'S 0 Satisfactory PERFORMANCE (FAA Only} 0 Unsatisfactory FAA INSPECTOR'sSIGNATURE Trng. Dev.

U.S. G.P.O.: 1999 568-377110007 \ 

# J

. 

# ""'LOCATION 

# IDATE OF CHECK AIRMAN COMPETENCY/PROFICIENCY CHECK 

## DRD 

# o3/?...f.:/**~10** FAR 135 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 CHECKAIRMAN 

# 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 Iat or ev. craft lator Dev. PRJ:FLIGHT GENERAL 1. Equipment·Exarnination (Oralor 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 1a. 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. Otherlnstrume,nt Approaches 

# s Satistactonly DemonstrateiJIFR Profic:lenc:y

. Approaches: NDBIADF ....,- FAR 135.297 

### q Jtl _16 months) _1Ou J 

### Be-qo VOR. 

## s Use_of**Autopil~t§>::is** not

## IAuthorized. 

## s 

# - ILS 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 ofAuto Pilot**~** . U.j**~**

# s. JA.Y 1......_5
RESULT OF**-~~ppr.oved** CHECKAIRMAN'S 0 Satifactory CHECK D Disapproved PERFORMANCE (FAA Only) 

### 0 Unsatisfactory REGION 

# J DISTRICT OFFICE 

# IFAA INSPECTOR's SIGNATURE

FAA Form 841 D-3 (6-81) U.S. GOVERNMENTPRINTING OFFICE 1998-766-212181005'I"" 'I"" (J

### 9/30/2008 8900.1 CHG 35



### VOLUME 13 FLIGHT STANDARDS DESIGNEES CHAPTER 2 AIRCREWDESIGNATED EXAMINERPROGRAM Section 1 General 

# I 13-54 PROGRAMTRACKING 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 byprincipal operations inspectors (POI) and Fed'eral Aviation Administration (FAA) managers when evaluatingthe prospect ofimplementing an ADE program. 

### A. RiskManagement. An ADE program requires a risk management approach thatuses oversight based on differences in the potential impact on safety and the likelihood oferror. Sufficient resources mustbe allocated to ensure effective management and efficient oversight of designees. The program must be periodically evaluatedto ensure it is producing the desired results.

### B. Contents. Volume 13, Chapter 5, Section 1contains a general description oftheADE program, in which airman certifications are accomplished on behalfofthe Administratorby an air carrier's own specially authorized check airman. Section 2 contains guidance for the FAA's management ofan ADE program. Section 3 contains guidance on the selection, training, and supervision ofan air carrier'sparticipants in the program. NOTE: This chapter does notpertain to Training Center Evaluators (TCE) or DesignatedAircraftDispatcherExaminers (DADE). 

### 13-56 GENERAL. Theprimary objective ofan 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 accomplishingthe most effective surveillance possible. 

### 13-57 PROGRAM DESCRIPTION. The ADE program was establishedunderthe provisions ofTitle 14 ofthe Code ofFederal Regulations (14 CFR) part 183 for the purpose ofdelegating certification authority and activity to select employees of 14 CFRpart 121 and 135 operators.

# ~ Cl 

### A. History. The program was originally intended for large operators with sophisticated /...' training capabilities and programsthat include the extensive use offlight simulators and flight 

### .,.s..OAI 

### training devices (FTD), highly trained personnel, and a large volume ofcertification activity. 

## 1,,..._ Eligibility requirements have since been relaxed to permit smaller air carriers to take advantage ,.) ofthe benefits ofan ADEprogram. The ADE program was and still is based on the premisethat 

### ,':!- 

## tJ
a candid relationship mustbe maintained betweenthe operator and theFAA. 

# I B. 

### Personnel. Theprogram comprises (1) one ormore ofan operator's check airmen, further authorized bythe FAA as Aircrew Program Designee(s) (APD) (which includes Designated FlightEngineerExaminers (DFEE) where appropriate) to conduct airman 1 

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# b.::! 

# J' 

# !/; 

# ;p**~\J**

### 9/30/2008 8900.1 CHG 35

certifications on behalfofthe Administrator; and (2) an FAA inspectorknown 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 ofmaintaininghigh 

# I

performance standards on the part ofthe operator and the regulator. 

### C. Candidate Selection. An APD candidate is nominated by an operator from the ranks ofits proficiency check airmen and is giventraining in FAApolicies and certification procedures before being authorized by theFAA as an APD (see Section 3 ofthis chapter). An APM candidate is selected for knowledge and experience related to airman certification and air carrier training programs. Beforebeing assigned APM duties an APM is trainedbythe operatorto qualify as a pilot-in-command (PIC) and as a fully qualified checkairman in one ofthe operator's airplane types. Ifthat airplane requires a FlightEngineer (FE), and FEcertification is included in the ADE program, then the APM is trained by the operatorto qualify additionally as an FEto oversee DFEEs. 

### 13-58 PREREQUISITES AND COORDINATION REQUIREMENTS. A. Prerequisites. This taskrequires knowledge of 14 CFRpart 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 taskmay require coordination betweenthe managing FAA office, the regional Flight Standards division (RFSD), and/or the AirTransportation Division (AFS-200). 

### 13-59 REFERENCES, FORMS, AND JOB AIDS. A. References (current editions):

• 14 CFRparts 1, 61, 63, 91,121, 135, and 183. • Title 49 oftheUnited States Code (49 U.S.C.). • PTRS Procedures Manual. 

### B. Forms: None. 

### 13-60 GUIDELINES FORESTABLISHING AN ADE PROGRAM. A well-run ADE program pays offin 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 operatorto operator, and each situation must be considered separately to determine ifestablishing an ADEprogram is 

# Idesirable and feasible. Many factors should beconsidered such as the experience level ofan operator's pilotpopulation, travel time to and from training sites, and the complexity ofthe operator's airplanes and operations.

2 

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### 9/30/2008 8900.1 CHG 35



### B. New or Added Airplane Type. An ADE program may be particularly effective when a new airplane or a new derivative ofexisting airplane is introduced. APMtraining provided bythe operator affords timely, appropriate training for the FAA inspectorhaving oversight responsibility. This training, in turn, enables the FAAto provide good serviceto the operator in reviewing, approving, and overseeing the operator's training program. Also, it empowers the APMto establish a highly effective surveillance program. 

### C. Future Requirements. When inspectors evaluatethe 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 benefitby 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 considertiming the selection ofan APM for at least two purposes: a) Newly certificated airplane, andthe 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 FORAN ADE PROGRAM. A. Qualifications. In orderto 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 ofexperience in conducting an approved part 121, appendix H advanced simulatortraining program or in conducting a training program under a single-visitexemption as part ofthe enrollmentprocess for the Advanced Qualification Program (AQP). An 

### ADE/APD program should be in place prior to initial operation ofan AQP pilottraining curriculum. The operatormust have an acceptable history ofsafe operating performance and ofcompliance with regulations, and must have sustained a good working relationship with the FAA. 

### B. Program Requirements. Operators considering participation in an ADE program must committo: 1) Entering into a Memorandum ofUnderstanding (MOU). An 

### MOU is a written agreement between the operator andthe FAAwhich describes how the ADE program is to be conducted. In particular, an MOU must specify: a) Thatthe operator will have the benefit ofone ormoreAPDs, and in return:

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### 9/30/2008 8900.1 CHG 35
b) Thatthe operator will provide initial and recurrent training at the operator's expense to the following FAA inspectors:

• AnAPM,
• One ormore Partial Program Managers (PPM), when workloadrequires, and
• A planned replacement for an APM orPPMbefore either ofthose positions is vacated, to ensure the continuity ofthe ADE program. 2) Extendingprivileges and courtesies to the APM (and PPM, when applicable) beyond those extendedto other ASis. These privileges include all those thatthe operator grants to its own checkairmen, exceptthat ofacting as PIC ofan airplane in flight. For example, an APM must be granted the same authority to operate the controls offlight simulators and FTDs thatthe operator grants to its own check airmen. 

# I RESERVED. Paragraphs 13-62 through 13-75.

4 

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VOLUME 13 FLIGHT STANDARDS DESIGNEES CHAPTER2 AIRCREWDESIGNATED EXAMINERPROGRAM 

# I Section 2 FAA'sManagement ofan AircrewDesignated ExaminerProgram 13-76 PROGRAMTRACKINGAND 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 ofthe ADE program and the functions ofthe Federal Aviation Administration (FAA) participants in the program. 13-78 GENERAL. A Flight Standards District Office (FSDO)/certificate management office (CMO) holding a certificate ofan air carrierparticipating in an ADE program may be organized in any one ofa variety ofways. Regional Flight Standards division (RFSD) managers structure the management ofan ADE program to accommodate local conditions. The following individuals have primary roles in an ADE program: A. CertificateManager. The person in a certificate-holding district office (CHDO) with 

# I primary responsibility for oversight ofan operator is the certificate manager. The certificate manager is responsible for the administration ofthe operator's certificate. Designation ofa certificate manager varies with the structure ofthe respective office. The CHDO maybe a CMO or it may be a FSDOwhich has a certificate management unit (CMU). The certificatemanager 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 ofoperations below the level ofPOI is in the discretion ofthePOI, subject to the concurrence ofthe certificate manager and the RFSD manager. Other operations inspectors assigned to an ADE program supportthe POI, butmay 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 chiefpilot, the director oftraining, the respective fleet manager, and others. C. AircrewProgram Managers. An APM is an appropriately trained operations inspector, who is also specificallytrained by an operator, to oversee the certification activity and to manage the surveillance ofthat operator'straining program in a specific airplane type. An APM reports to the POI.

1 

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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 ofa 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 ofAPMs. This includes the following: a) Preparation ofAPM employeeperformance 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 ofAPMs. The APM position requires a high degree of independence, specialization, expertise, and flexibility. An APMusually 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) ResourceManagement. Certificate managers are responsible for promoting the implementation ofan ADE program, when appropriate, and for recommending its implementationto the RFSD. A certificate manager is responsible for identifying APMresource 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 thatthe APM workload will fully occupy the assigned inspector's time. A certificate manager is responsible for monitoring APM workload and for recommending the deletion oftheAPM position ifworkload 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 ofadditional duties to the APM. For example, an APMmightbe assigned duty as a PPM on another type ofaircraft, 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 considerthe 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 supportrequirements are identified and for coordinating with the POI, the CHDO manager, and the RFSD to meetthose requirements. ADEprogram work and training requirements, as described inthis handbook, must take priority over other inspector functions. When ADEprogram requirements have notbeen 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 orto other inspectors.
NOTE: This provision does notrelieve an APM from normal violation and enforcement functions when the APM observes noncompliance in the course of ADE program activities. Likewise, it does notrelieve 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 obtainthe services ofqualified inspectorsto support APM programs, when necessary. Certificate managers coordinate with CHDO and local automation networkmanagers to ensure that APMs are provided with adequate dataprocessing support and I are supplied with or can access computer generatedreports. d) Overseeing APM training requirements. The certificate manager ensures that 

# I

an APM is scheduled for the training providedby the operator, as specified in the Memorandum

_**ofUnderSs~an~ in** **g** 

### (MhOU)**~sfitablishing** 

### an ADEproghram, 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 bythe 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 budgetrequirements, 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 ofan 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 ofa POI. A POI is responsible for all operational matters concerning the administration ofthe operator's certificate, including management ofan ADE 

# I program whenthe operatorparticipates in one. This responsibility includes the following: 1) Achieving Program Objectives. The POI monitors performanceto ensure thatthe ADEprogram meets its objectives. Objectives are identified nationally under the National Work 

# I Program or in accordance with the AirTransportation Oversight System (ATOS) risk management process and locally by FAAmanagers 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 ofan APM. An APM supports the POI in technical matters and in surveillance ofADEprogram activities associated with a specific airplane type. AnAPM's functions include the following: 

### 1) Airman Certification. AnAPMis responsible for ensuringthat airman certification standards prescribed byTitle 14 ofthe Code ofFederal Regulations (14 CFR), by 

# I the practical test standards (PTS), and by this order are maintained in the ADEprogram as applicable. a) The operator nominates one ormoreAircrew Program Designee (APD) candidates for FAA consideration. An APMrecommends a candidateto the POI for selection, and is responsible for qualifying each APD in the conduct ofairman certification. An APM maintains certification standards through an active program ofmeetings and surveillance. b) To ensure continued, firsthand knowledge ofan operator's program and certification activities, an APM will personally conduct a minimum offour certification activities (oral, simulator or flight evaluations) annually, providedthere is sufficient certification activity. Ifnot, anAPM will conduct a minimum offour proficiency checks, preferably with no advance notice. 2) Standardization ofCheckAirmen. An APM ensures that high standards are maintained in the operator's proficiency checks and line checks by developing andmaintaining active surveillance ofthe 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 performingthe observation. 

# I NOTE: Another inspectormustreceive approval from the appropriate POI or APMbefore conducting an initial check airman observation requestedby an operator. 

# I b) Performing observation. AnAPM will ensure that each check airman is

observed at least biennially (once every 2 years), in accordance with 14 CFRpart 121, § 121.413 or 14 CFRpart 135, 

### § 135.339, as applicable (PTRS Activity Code 1631), or, for a check airman authorized as anAPD, at least once peryear, 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 

### APMwill personally conduct a number ofinspections annually. These inspections should include the following:

• At least four inspections (preferably no notice) ofthe operator's check airmen conducting proficiency checks, and
• At least four inspections ofcheck 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 notprogress 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 ofthe training program at leastonce each calendaryear (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 

# Ichanges as appropriate. Forpart 121 air carriers, inspectors use the ATOS process for review of training programs. 4) Maintaining Airplane Qualification and Currency. AnAPMwill maintain airplane qualification and currency, as specified in paragraph 13-82. Completion ofthe required training or check in the-calendar-month before or after the due-month is consideredto meetrequirements, but does not change the due-month. 5) Providing Technical Assistance. An APM develops expertknowledge ofthe 

# I

assigned airplane type. An 

### APM may providetechnical 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 performancethrough en route surveillance ofoperations in the assigned airplane type. En route surveillance includes the following activities: a) Determining geographic unitresponsibility. 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 ofobservations 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 1ofeach year so that the supervisormay construct a workplan for the next fiscal year.



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b) Conducting enroute surveillance. 

### An APM personally conducts an en route 

# I inspection each quarter to maintain first hand knowledge ofthe 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 ofthe en route inspectionsperformed in the assigned airplane type. For example, an APM may find that an inadequate number ofen route inspections are being conducted in a particular area ofoperation. 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 ofany trends or deficiencies identified and, if appropriate, recommends thatthe POI establish special-emphasis remedial action. d) Preparing annual en route inspection trend analysis. The POI, togetherwith eachAPM, prepares an annual enroute inspection trend analysis report. ThePOI provides a copy ofthe reportto the operator. This report shouldrefer 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. Thereport is often a departure point for deliberations bythe POI andthe operator on the correctivemeasures to be taken by the operator. 7) Training Geographic Inspectors and Others. An APMparticipates in a process to provide training for geographic inspectors and other inspectors, as necessary, who are responsible for oversight ofan 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 atthe 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) Flighttraining.
1. 

### For a geographic inspector, flight training in an appropriate airplane is normally accomplished in accordance with existing FAA procedures, namely:

• Bythe certificate manager's identifyingthe need in the annual call for training conducted by AFS-500 in February and March, and • By the inspector's attending training provided underthe existing FAA contract for the respective airplane type. 2. 

### Unlike other inspectors, those under ATOS are notrequired by current contracts to attend flight training provided bythe respective contracttraining 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 bythe contracttraining provider-anotherair 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 supplementto the flight training described above. A geographic inspector should undergo operator-specific groundtraining like that ofone ofthe 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, AirTransportation Oversight System, for more detail. 8) Exchanging ofInformation. AnAPM is encouraged to share information and ideas with otherAPMs and inspectors. An APM identifies inspectors in otherFAA 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 ofthe annual en route inspection program trend analysis reportto those district offices. 9) Serving onBoards (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. AnAPM is uniquely qualified and is a valuableresource for these boards. 

### 13-80 PREREQUISITES AND COORDINATION REQUIREMENTS. A. Prerequisites. This taskrequires knowledge of 14 CFRpart 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 AirTransportationDivision (AFS-200). 

### 13-81 REFERENCES, FORMS, AND JOB AIDS. A. References (current editions):

• 14 CFRparts 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 mustmeetthe 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 ofthe same group, for assignment to a part 121 aircraft;
• Hold a type rating in an aircraft ofthe same category, for assignment to a part 135 aircraft requiring a type rating;
• Hold a class rating in an aircraft ofthe same category, for assignmentto a part 135 aircraft notrequiring 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 ofthree years as an ASI performing airman certifications; and
• Must poses interpersonal skills including soundjudgment, integrity, and professionalism in their oversight function. They mustbe 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 assignmentto a part 135 airplane, this experience musthave been acquired in airplanes ofthe same category. The office manager, with the concurrence ofthe 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 evaluateAPM candidates to determine thatthey 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 sametraining 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 APMtraining. 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 ofthe POI and the operator, at least the following curriculum segments ofthe operator's approved training program: 1) Basic indoctrinationtraining. 8 UNCONTROLLED COPY WHEN DOWNLOADED Checkwith FSIMS to verify currentversion before using

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2) Pilot-in-command (PIC) initial equipmenttraining, includingtype certification, when appropriate. Ifthe operator does nothave 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 ofreceiving operating experience (OE), as the operator's flight crewmembers do, the APM candidate will observe at leastthree online flight segments that are representative ofthe operator'suse ofthat 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. Duringthe period in which an APM candidate is 

# 1 in training with an assigned operator, the candidate should notbe assigned or perform unrelated inspector duties. 

### D. APM Qualification in aNew 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 notbe assigned as an APM for more than one operator. 2) An APM assigned to an operator'sprogram that involves a turbojet or other airplane requiring a type rating is normally current only in that airplane. An APM maybe 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 otherthan the transport and commuter category family ofaircraft, may be assigned totwo families ofaircraft, as defined in Volume 3, Chapter 19, Section 1. In the multiengine, general-purpose airplane family otherthan transport and commuter category, an assigned APMmay maintain qualification in two equivalent series of aircraft, such as the Cessna and Piper series. 4) Should itbecome necessary to qualify an APMin a new aircraft or in a second type ofaircraft, the APMwill complete all ofthe training requirements ofthis section for the second aircraft, except for the following:

• Basic indoctrinationtraining, and
• Thatportion ofcheck airman training not specificto the second airplane type. 

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### E. Costs ofTraining. The operator is responsible for providing all required training and bearing its costs. TheFAA will bearthe cost ofany lodging and perdiem incurred by the APM. 

### 13-84 MAINTAINING APM QUALIFICATION. An APM must completethe same proficiency, currency, and recurrent training requirements as the operator's check airmen, with the exception ofline 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 ofthe same ground and flight training curriculum segments that the operator provides for its PICs, includingthe proficiency check requirements for a PIC and FE, when applicable. An APM should also completethe FAA air carrier operations inspectorjob function recurrent training, at least once in every 24 calendarmonths (course number 21621). A proficiency check ofan APM is conducted by an inspector chosenbythe POI orby an APD observed by another inspector. A company-qualified check 

# I airman will occupythe second in command (SIC) position as a safety pilot during any APM proficiency checkconducted in an airplane. 2) When the operator'straining program features single visit training (under an exemption to part 1-21), orAdvanced Qualification Program (AQP), an APMwill participate in , that training program in the same manner as the operator's PICs. NOTE: Title 14 CFR 

### § 121.453 specifiesthe currency requirements for an FE. The POI and the operator should include a provision in the MOUto allow the APM to maintain currency as an FE. One method would beto provide simulator periods every 6 months for training and for checking. 

### B. CheckAirman Qualification. 1) Training and Standardization Meetings. An APMwill attend the recurrent check airmantraining and standardization meetings that the operatorprovides for its checkairmen. 2) Single VisitTraining and AQP. When the operator's training program features single visit training (under an exemption to part 121) orAQP, the APM will participate inthe 

# I instructor and evaluatortraining required by those programs. 

### C. Landing Currency. The MOUbetweenthe FAA and the operatorprovides for the APMto 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 ofsimulator time each quarter. Ifthe operator is unable to make available the required simulator time, the operatormust provide an aircraft, at the operator's expense, to 10 UNCONTROLLED COPY WHEN DOWNLOADED Checkwith FSIMS to verify current version before using

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accomplish the required landing currency. For airplanes notrequiring a typerating, an APM maintains currency for the assigned category, class, and equivalent grouping ofairplanes. 

### D. Maintaining Dual Qualification. An APM assigned to two airplane types mustbe 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 notperform APM functions until all qualification requirements are met. 1) Training completed in the month before orthe month afterthe due-month is consideredto have been accomplished in the due-month. 2) A POI will not designate an APD whenthe operator has not provided the APM with the opportunity to remain qualified and current. Likewise, thePOI and CHDO managers musttake positive action to ensure thatFAAresponsibilities are fulfilled for keeping an APM qualified and current. 

### 13-85 TRANSITION WHEN AN APM POSITION IS VACATED. A. Continuity ofStaffing. The POI, the office manager, and the RFSD are responsible for assuring the continuity ofFAA staffing ofan ADEprogram. 1) When an APM (or PPM) makes known a plan thatwoulci cause a position vacancy, such as a plannedtransfer or a retirement date, the respective POI should immediately arrange for a replacementto be located, selected, and entered into training underthe MOU with the affected operator. 2) When an APM (or PPM) vacates a position withouttime to prepare a replacement, the POI, the office manager, and the RFSD will collaborateto obtainthe services of a qualified inspector(s) to act as a temporary replacementuntil thevacantposition can be filled. 

### B. Position Vacancies. An outgoing APM completes the renewal requirements for those APDs whose designations will expire within 

### 90 days ofthe date that the APMposition will be vacated. Ifadequate FAA oversight ofthe ADEprogram cannot be maintained, the POI cancels one or more APD designations, and may consider cancelingthe ADE program. Ifan APM position is vacant for an extendedtime, the office manager, the POI, and the RFSD detail a qualified inspectorto oversee the program. Ifthe APMposition remains unfilled for 6 months or more, the office manager will consider canceling the ADEprogram for the affected airplane fleet. 

### 13-86 REMOTE TRAINING FACILITIES. A. Facilities Outside the CHDO's Region. An operator with an ADEprogram may have training facilities located outsidethe CHDO's area ofgeographic responsibility. An APM working in such a program is assigned to the certificate-holding office. This APMwill regularly travel to the training facility to accomplish APM functions. 11 UNCONTROLLED COPY WHEN DOWNLOADED Checkwith FSIMS'to verify currentversion before using

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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 otherthanthe certificate-holding office. The POI and certificateholding office manager evaluatethe specific circumstances, particularly the time and means of commuting to theremote site. Ifthe travel timebetween the certificate-holding office and the training facility is too great for an APMto travel andto perform APM functions in the same day, locatingthe APM in a district office closer tothe training facility should be considered. 2) Another consideration is whetherthe APM can perform enroute 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 coordinatedthrough 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 ADEprogram is based on the assumption that an open relationship between the operator and the FAAwill be maintained. At any time that an operatorparticipating in an ADE program is unwilling to maintainthis vital, openrelationship, the POIwill cancel the program. 2) An operatormustbe willing to give an APM complete access to facilities, working level personnel, and managers. An operatormust be willing to accept input from its POI and APM concerning procedures, manuals, andtraining programs and to seekmutually acceptable solutions for deficiencies at the working level. The operatormustbe willing to cooperate fully with incident, accident, and violation investigations. In this relationship compliance generally comes naturally. However, normal FAA enforcement procedures apply in respectto violations. 

### B. APM Support. An operator commits to providetraining andto bear costs of qualifying the APM(s), PPM(s) when required, and replacements for APM orPPM vacancies before the vacancy occurs. The operatormustbewillingto cooperate in scheduling so that participating FAA inspectors meet qualification and currency requirements in a timely manner. 

### C. Information. The operatormust agree to makethe following information available to the POI andAPM:

• Projected andrevisedtraining schedules,
• Projected and revised APD schedules, • Notification ofany failures and withdrawals from training, • Actions taken on students who fail orwho are withdrawn from training, 12 UNCONTROLLED COPY WHEN DOWNLOADED Checkwith FSIMS to verify current version before using

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• A report ofadditional training provided to airmen in excess ofapproved training hours, and
• A report offailed proficiency and line checks. 

# 1 13-88 CHDO MANAGER'S RESPONSIBILITIES. (See also Volume I3, Chapter I, Section I, paragraph 13-11.) A manager ofa 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 ofcertification paperwork. As much ofthe processing as possible shouldbe accomplished by trained administrative personnel not by an inspector, APM, or POI. An APM is not relieved ofthe responsibility to ensurethat an APD punctually and accurately completes certification paperwork. A Flight Standards office is not required to maintain hard copies ofcertification 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 thePTRS. Atthe close ofeach quarter, the POI and the office managers will have three reports prepared for use by the APM in managing his/her workprogram. 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, showingthe surveillance accomplished on each APD during the past four quarters, should be formatted as follows:

• Operator; • Aircrafttype and name ofeach APD assigned to that aircraft; • Name ofeach APM; • Type ofsurveillance (oral/simulator/aircraft), and date ofsurveillance; • Starting date ofreport; and • Ending date ofreport. 2) CheckAirman Surveillance Report. Check airman surveillance report, showing the surveillance accomplished on check airmen during the past four quarters, should be formatted as follows:

• Operator; • Aircrafttype and number ofapproved check airmenby specialty (proficiency check or line check); • Names ofcheck airmen observed, type ofsurveillance (proficiency check or line check), and date ofsurveillance; • Starting date ofreport; and • Ending date ofreport.

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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

ConductedBy: APM

ASI

APD
Totals: ORAL ATP/TR 1510/1514 SIMULATOR ATP/TP 151111515 

### 8900.1 CHG 35

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

CHECKAIRMAN SURVEILLANCE- PTRS ACTIVITY CODE 1631

No. Conducted By APM No. ConductedbyASI Total:

APD SURVEILLANCE- PTRS ACTIVITY CODE 1672

No. ConductedBy APM No. Conducted by ASI

____ _ Total:

DESIGNATED FLIGHTENGINEEREXAMINER SURVEILLANCE- PTRS ACTIVITY CODE 1668
No. ConductedByAPM No. Conducted byASI

____ _


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13-89 RFSD'S RESPONSIBILITIES.
A. Program Review and Approval. An RFSD manager is responsible for the review and approval ofa proposed ADE program involving any operator located within the respective region. TheRFSD should give written notification ofany such action to AFS-200 and the Flight Standards Training Division (AFS-500). TheRFSD forwards a copy ofthe signed MOU to AFS-200 for review and tracking. In any case in which theMOU does not conform strictlyto the guidance contained in this order, AFS-200 is partyto the review and is the fmal signature authority. Besides the signatures ofthe POI, the certificate manager, and theRFSD manager, an AFS-200 signature will be shown on any approved, non-conforming MOU.
B. Resources. TheRFSD 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 ofAPMs, in accordance with the requirements ofthis order. 2) Staffing. An adequate number ofAPMs, PPMs, assistant POls, ASis, and clerical staffmust be providedto 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-yearperiod will be prepared and revised annually bythe certificate manager, and will bereviewed in each cycle by the RFSD manager. The RFSD manager will provide for turnover caused bypromotions and retirement and for projected additional positions caused by growth in operators' ADEprogramactivity.
C. Components ofADE Program Assessment. An RFSD conducts periodic reviews of each ADEprogram authorized within its region. The purpose ofthese reviews is to ensure that the ADE program is effectively managed in accordance with current FAApoliciesand procedures andthatthe program meets its objectives. These reviews are conducted using a risk

. management approach as often as necessary, but not less oftenthan once each 36 months. A checklist for this purpose is provided in Figure 13-7. 1) AssessmentTeam Members. The program assessmentteam should consist of five members:

• A team leader from within the region, designatedbythe regional division manager; • A POI ofanother operator having an ADE program, preferably from outside the region; • Two APMs from other programs, preferably from outside theregion; and • OneASI without supervisory responsibility from within the region.

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2) FourPartProgram Assessment Report. The program assessmentreport consists of at least four parts:

• An 

### assessment ofthe operator's training programto determine ifpilots (and FEs, ifapplicable) are being adequately trained;
• An assessment ofthe APDs and check airmen to determine ifrequired performance standards are being maintained;
• An assessment ofthe certificate holder's operating practicesto determine if there are any undetected trends which might affect safety (particular attention shouldbe given to manuals, checklists, and operating procedures); and • An 

### assessment as to whether ornotthe operations portion ofthe 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 ofthe following items:

• Operator deficiencies which could adversely affect safety and which have gone undetected, unreported, or uncorrected; and • Management deficiencies which, in the opinion ofthe assessment team, have a major impact on the effectiveness ofthe program. 4) Minor Findings. Minor findings contained in the assessmentreport are those deficiencies which APMs or POls have

### r~cognized. Those deficiencies are being corrected or are correctable. Minor findings should be broughtto the attention ofthe appropriate individual(s) and may be resolved during the assessment period. 5) Oral OutBriefing. An 

### oral outbriefing is givento the certificatemanager, the POI, and the APM(s). A written report ofthe assessment is prepared, containing the identification ofeach major finding andthe recommended corrective action. A review ofthe extent and nature ofminor findings is presented, butthe identification ofeach minor finding and recommended action is unnecessary. A copy ofthe report is furnished to the certificate manager, the Regional Division Manager, and AFS-200. A separate out briefing is conducted for the operator. This outbriefing should cover items ofconcern to the operator. 13-90 HEADQUARTERS RESPONSIBILITIES. A. ADE Program Oversight. The ADE program is one ofthemost effective designee processes in which the FAAparticipates. Forthat reason, any allegation orperception ofabuse in the ADEprogram threatens the program. AFS-200 is the FAA's headquarters office with primary responsibility for the ADE program nationwide. Thatdivision's chiefobjective is standardizingthe 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 TrackMOUs. AFS-200 will compare and track MOUs submittedby all regions. By that process, inconsistencies among regions, omissions, or misunderstandings ofthe ADE program are usually identified and corrected at an early stage. 2) Review and Approve AnyNon-Conforming MOU. a) TheADE program is founded on a quid pro quo agreementbetween 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 ofthe MOU stipulate that an operator will provide training to inspectors who are charged with oversight responsibilities for appointed APDs. b) The collegial nature ofan effective ADE program has caused critics to allege abuse in some cases. Forthatreason, any ADE program proposing an MOUthat does not conform strictlyto the guidance in this order (including the sampleMOU in Figure 13-8) will be reviewed, approved, and signed byAFS-200 in addition to the POI, certificate manager, and RFSD manager who routinely sign, signifying approval ofthe program. 

### Figure 13-7, Program Assessment Checklist
AREA I. OPERATOR'S TRAINING PROGRAM. An assessment ofthe operator's training program shall be conducted. A. Are the airmen trained and certified in theprogram qualified for and proficient in the operations conducted? B. Does the operatorhave a consistent cockpit management philosophy which is applied to all aircraft operated? C. Does the operator's trainingprogram incorporate CRMtraining? AREA II. APD AND CHECKAIRMAN PERFORMANCE. An assessment ofthe APD's/DFEE's and the check airman's performance shall be conductedto determine iftherequired standards are being maintained. A. Is the level ofcompetence required for the check airman and APD designation adequate? B. Arethe APDs complying with the airman certification regulations and the guidance ofthis handbook? C. Arethe check airmen complying with the regulations and guidance ofthis handbook? AREA III. OPERATING PRACTICES. An assessment ofthe certificate holder's operating practices shall be made to determine ifundetected 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 guidanceprovided by the operator, the regulations, and safe operating practices? C. Are problems or trends presentthat have not previously been recognized and documented? D. Are corrective actions being taken to solve previously identified problems? E. Ifthere are previously identified problems, does the teamjudgethe corrective actions as likely to be effective and sufficient? AREA IV. ADE PROGRAM MANAGEMENT. An assessment ofthe operations portion ofthe certificate unit will be made to determine ifthe APM is performing effectively in managingthe 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 ofAPDs and check airmen, or are they required to concentrate on certification activities and enforcement duties? B. HaveAPMs gained an expertknowledge ofthe operator's aircraft, manuals, procedures, management personnel, and training programs? C. Are APMs personally conducting a minimum offour certification actions (oral tests or flight tests) each year? D. Are APMs personally conducting the required number ofinspections that follow?

• At least four inspections ofthe operator's check airmen conducting proficiency checks?

• At least four inspections ofcheck airmen conducting line checks?

• Conducting surveillance ofthe operator's training program related activities for their assigned aircraft, to

include initial, upgrade, differences, recurring, and specialized training?

• Conducting surveillance ofthe flight simulators and flight training devices used in the operator'straining

program to determine ifthey are being properly used with respect to program requirements and ifthey are being maintained so thattraining 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 establishingprograms to ensure that each check airman is observed at least once a year? (1) Are geographic units being notified ofcheck airman designations? (2) Are the results ofcheck 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 notprogress as scheduled or fail proficiency tests? · - G. Are APMs monitoring and analyzing the effectiveness ofthe en route inspection program on both the operator and the assigned aircraft on a continuing basis? (1) Are APMs determining the geographicunits which have surveillance responsibility for aircrew domiciles ofthe assigned aircraft and providing geographic unit supervisors with information to establish "P" items by August 1 ofeach 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 thePOI in conjunction with each APM? (4) Are copies ofthereport providedto and discussed with the operator? (5) Are APMs identifying and training geographic unit inspectors who have specific surveillance responsibilities for segments ofthe programthe APM manages? (6) Are APMs exchanging information and ideas with other AMPs and inspectors? H Applyingthe guidance ofVolume 5, Chapter 5, Section 2 (40 airman certification actions peryear), how many APMs should be assigned to the program? (1) Is this numbertoo many ortoo little for the conditions found? Are there other factors such as the need for experttraining 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 ofthe 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 concerningprocedures, manuals, and training programs and to seek mutually acceptable solutions for deficiencies at the working level? (5) Is the operatorwilling 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 providingthe required information to the POI and APMs? J Is there a memorandum ofagreement between the operator and the CHDO? (1) In the team's opinion, does the memorandum effectively define the responsibilities ofbothparties? (2) Are these responsibilities being faithfully discharged? (3) Has the memorandum ofunderstanding 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 ofthe certificate and to the ADE program vested in one senior operations inspector, who reports to and is directly responsible to the certificatemanager? (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 inrelation to the operator? In the opinion ofthe team, are these policies and procedures effective? (6) Does the office organizational structure ensure that supervisory and reporting relationships betweenthe POI and the APMs are_effecti\'e'?

_______________ _**-------------~-~-----** (7) Have APMs' resource requirements been analyzed annually and projectedthree 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 beenforwarded to the certificate manager and to the regional Flight Standards District Office (FSDO)? (9) HaveAPMs' administrative supportrequirements been identified and coordinated withthe certificate managerto obtain the necessary support? (IO)Are APMs scheduled for required training from both the operator and from the FAA? AreAPMs actually receiving the required training from both the operator and from the FAA? (11)Were channels established to obtain the services ofqualified inspectors in support ofAPM programs when necessary? (12)Are adequate data processing support facilities supplied? L. Are APMs completingthe 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 equipmenttraining? (3) Specialtraining, such as CATII, 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 thepilot duty position for the FlightEngineer (FE) duty position, when applicable? (5) Observing at leastthree crews on line flights before designation? M During the period in which APM candidates are training with assigned operator, are they relieved ofnormal inspector duties? N Is the operator satisfied with the qualifications and competency ofthe individuals assigned as APMs? 0. Are office managers and POls coordinating with the RFSD to assure continuity ofthe ADE program when an APM is reassigned? P. Ifan operatorhas training facilities located outside the area ofgeographic responsibility ofthe CHDO, has an analysis been made ofthe benefits oflocating the APMs within the CHDO? 

### 13-91 ESTABLISHING ANADE PROGRAM. An operator or the FAAmay initiate discussions about the establishment ofan 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 specificterms ofthe MOU establishingthe 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 ofthe MOU, any appropriate attachments, and the certificate manager's recommendations to the RFSD manger for review. 3) Ifthe 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 managerreturns the original copy oftheMOUto the certificate holding office for retention in its ADE program files, and forwards a copy to AFS-200. 

### B. MOUNotApproved 

### by the RFSD. Ifthe 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 ofthe reasons for withholding approval.

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C. Non-Conforming MOU, Subject to FAAHeadquarters 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 ofthe POI, the certificate manager, andthe RFSD manager, an AFS-200 signature will be shown on any approved, non-conforming MOU. 13-92 PROGRAMREVISIONS. Revisions to an approved ADE programmay be required for a variety ofreasons, such as mergers and equipment changes. The POI will consider the 

# 1 effects ofsuch 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 ofADEprograms and for responding to feedback on a timely basis. This evaluation is integral to ongoing continuous improvement. Figure 13-8, Sample Memorandum ofUnderstanding MEMORANDUM OF UNDERSTANDING BETWEEN [NAME OF AIR CARRIER] AND THE FEDERAL AVIATION ADMINISTRATION This Memorandum ofUnderstanding (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 AIRCARRIER], and the Federal Aviation Administration (FAA) Flight Standards District Office (FSDO) ((or certificate management office (CMO)).
1. 

### TheAircrew Designated Examiner (ADE) program has been establishedpursuantto the --·------provisions ofTitle 

## 14ofthe-Cocte-ofFecteralRegulations

## (I4c.FR:ypart**T83~wlilcii** 

### peniilis, among otherthings, the delegation ofcertification 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 certificationtests under the supervision ofFAA 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 ofthe 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 orderto function effectively in an ADE program, the APM and assigned inspectors require an expertknowledge ofthe 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, exceptthe privilege ofacting as pilot in command (PIC) ofan aircraft in actual flight 22 UNCONTROLLED COPY WHEN DOWNLOADED Check with FSIMS to verify currentversion before using

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operations and those personnel functions that are afforded employees ofas a condition of employment. For example, the APM or assigned inspectors must be granted the same authority to operatethe controls offlight simulators and flight training devices (FTD) as the operator grants to its own flight instructors and check airmen.
4. APDs will benominated by [NAME OF AIR CARRIER] in accordance with thepolicies and procedures outlined in FAA Order 8900.1 and appropriate FAA guidance. APD nominees must complete both [NAME OF AIRCARRIER] and FAArequired training priorto appointment and will conduct all authorized duties and responsibilities under the supervision ofthe assigned APM. It

### is understood thatAPDs with FAA certification authority will be required to completethe training associated with the issuance ofF AA certificates. Required FAA training will normally be provided bythe APM in accordance with existing FAA guidelines; however, from timeto time otherFAA 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'sprincipal or satellite center. TheFAA agrees to provide APD training at no cost to [NAME OF AIR CARRIER] however, associated travel and logging expenses will be theresponsibility of[NAME OF AIR CARRIER]. Once designated, APDs may be removed by either party, at any time, ifthat individual becomes unacceptable to the FAA or [NAME OF AIR CARRIER]. Notification ofsuch removal will be made in writing to the other party on orbefore the effective date ofsuch 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,{NAMEOF-AIR GARRI-RR] shall providethe-same remediaLtraining-thaLiL--

- provides to its own crewmembers. Should the inspector continueto fail to reach or maintain a mutually satisfactory level ofcompetency, 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 equipmenttraining, including type rating(s) and Flight Engineer (FE) class rating, ifrequired); 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 ofcentertraining devices, FTDs, and simulators; e. Flight (simulator)/ground instructor and check airman training and FE training (if required); £ [NAME OF AIRCARRIER] training policy and procedures;

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g. Any other centerprograms 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. SufficientPIC training in each aircraft authorized, each calendar quarter to ensure currency in accordance with FAA Order 4040.9 (current edition).
Note: 

### Thetraining referenced in subparagraphs 5athrough 5g above may be used to the extent practical to satisfy the requirements ofthe 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 subjecttraining will be scheduled in coordination with the APM. b. Training and checking events will be scheduled between the hours of0600 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 simulatorperiod 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 AIRCARRIER] 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 AIRCARRIER] will provide a qualified instructorto fill required crew positions as appropriate. [NAME OF AIR CARRIER] will also provide a qualified simulator or FTD operator ifrequired. e. The APD and other crewmember services referenced in this paragraph will be provided at no costto 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 offour revenue segments. This observation process requires that assigned inspectors remain with the flightcrew throughoutthe assigned trip pattern to become familiar with a cross section oflineoperations. 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 casesthe 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 ofprofessional qualifications on FAA Form 8710-6, Examiner Designation and Qualification Record. TheAPM 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 ofgraduates of[NAME OF AIR CARRIER] FAA-approvedtraining program who are employed as flight crewmembersby [NAME OF AIR CARRIER]. 

### 11. All airman certification activities conducted by the APD/DFEE shall be limited to the privileges ofthe APD's/DFEE's own airman certificate, certificate ofauthority (COA), and letter ofauthority (LOA), and shall be effective only in the aircraft type named in those documents. The APD may conductpilot oral tests and flight tests for air transport pilot (ATP) certificates, and for category, class and type ratings to be addedto ATP certificates. DFEEs may conduct oral tests and flight tests for FE certificates and for the addition ofclass ratings to FE certificates.

a. An.APD/DFEE may notconduct an evaluation ofany applicant, which the APD/DFEE has instructed for the certificate orrating to be issued, unless specifically authorized by thePOI orthe APM. Further, an APD/DFEE may not conductFAA written tests, special medical evaluations, tests for waivers, or any test for competency under applicable provisions ofTitle49 oftheUnited 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 ADEprogram, do not apply within the ADE program. b. TheAPM 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 ofthe ATP certificate, and for type ratings added to the ATP 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 ofdesignated examiners under------- regulations and under FAA Orders 8900.1 and VS 1100.2; 4) The use ofFAA forms andjob aids associated with the particularjob function; 5) The administrativeprocedures 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 relevantwhen certifying airmen; and 7) 

### After formal training, observation oftheAPM conducting a complete oral test, a complete flight test, and all the necessary briefings; also, the completion ofall certification paperwork. 

### 12. The APM shall ensure that essential FAA materials such as FAA forms are available to authorized APDs. TheAPM shall conductregular meetings with the APDs for the purpose of maintaining an effective working relationship and resolving problems. TheAPM shall attend crewmember safety meetings held by [NAME OF AIR CARRIER].

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The following signatures signify agreementto this MOU and its contents:

FORAND ONBEHALF OF [NAME OF AIR CARRIER].
(mml

### dd/yyyy) (Position) Effective Date FORAND 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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### 8/31109 8900.1 CHG 0



### VOLUME 13 FLIGHT STANDARDS DESIGNEES CHAPTER 2 AIRCREWDESIGNATED EXAMINERPROGRAM Section 3 Aircrew Program Designees and Designated Flight Engineers in an Aircrew Designated Examiner Program 13-106GENERAL. This section contains information and guidance to be used by managers, principal operations inspectors (POI) and inspectors concerning aircrew designees (APD) and National Designated FlightEngineer Examiner (NDFEER) andthe selection, training, supervision, and administrative control of TrH·.,...,r·n 

### AircrewDesignated Examiner (ADE) program. 

### 13-107PRIVILEGES OF ADEs/NDFEERs. All certification shall be limited to the privileges ofthe APD's airman authority (COA), the APD's letter ofauthority, 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 havebeentrained operator'sFederal Aviation Administration (FAA)-approvedtraining program. in an ADE program is authorized to perform airman certification for an ·dates who have beentrained underthe operator's FAA-approvedtraining 

### B. Limitations. 1) 

### Evaluation of instructed that student during recommendedthe applicant, is case-by-case basis. candidate's training, or when the examinerhas and mustbe approved by the POI on a phase oftraining will not disqualifythe

ari'iipplican_t.

____·-·----------.·-··-------- -·-·- --- ------------ -
FAA written tests, special medical evaluations, tests for ,,.T,.nr-" 

### under Title 49 ofthe United States Code (49 U.S.C.), oftheFederal Aviation Act of 1958). Applicants for suchtests program manager (APM) orthe local district office, Flight Management Office (FSDO/CMO)

.

.......**~**

### ...**~**

### .. as 

### an Examiner Outside ofan 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 ofthe ADEprogram mustbe specified on the COA and letter ofauthority. The privileges and limitations listed on the COA issued outside an ADE program do notapply to the ADE program.

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13-108 SELECTION OFANAPDINDFEER. 

### A. Eligibility Requirements. The following apply to the selection ofAPD and NDFEER candidates: 1) Must be employedby 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 (orFE, 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 ofaircraft and in service · ""'"'·'""+'"""" 

### may be credited. Crediting ofpast experience, including length of · check airman, is at the discretion ofthe POI and APM.) 5) Mustpossess an 6) Must have a good Regulations (14 CFR) (isolated
B. 

### Evaluation ofQ 

### statement ofprofessional ability, and experience. with Title 14 ofthe Code ofFederal

·olations or incidents are not disqualifying).
APDINDFEER candidate shall submit a complete AA Form 8710-6, 

### Examiner Designation and reviewthe·qualificationsto-determirre-whetherthe standards for an APD/NDFEER designation. Ifthe recommend to the POI that the candidate be designated as an selection mustbe 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 thatthe APD/NDFEERis trained and evaluated following areas:

• The knowledge, ability, and skill requirements for the original issuance ofthe 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 certificationtests.
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• The responsibilities, authority, and limitations ofan examinerunder 

### 14 CFR. • The use ofFAA forms andjob aids associated with the particularAPD function. • The administrative procedures and supervisory relationships thatexist 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 ofthe Administrator and responsible to the Administrator. Prospective must understand that company politics, economics, union loyalties, and issues are not relevantwhen certificating airmen.
B. 

### Evaluation. After formal training, an APD/NDFEERcandidate 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, ifapplicable), including certification paperwork for the certificate or added rating
TheAPM 13-llOSUPERVISIONAND ADMINISTRATIVE 

### assigned to a particular aircraft type is responsible who conduct airman certification activities for that supervisory and administrative process, taking ofAPDs and NDFEERs Inspectors should evaluate the

Bowing: 

### A. Working Relationships. and counsels APDs and NDFEERs. An

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### methods for handling applicants; and processing certification and paperwork. An APM should endeavorto andNDFEERwhich promotesthe 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

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....... .,.,,**ith.the-pr.ogram_:_s-APDs_andJ~DEEERs**

### for_the

___________ _ working relationships. During the APD meetings, a close fication ofproblem areas should be developed. Special is any change to FAA airman certification requirements, gthe particular APD/NDFEER orthe program in general. An

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### safety and standardization meetings held by the operator. 

### Supplies and Materials. AnAPM shall ensure thatAPDs and

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### access to the following materials, including current amendments and as needed:
Volumes 5and 13. • All appropriatejob 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. 3 

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### 8/31/09 8900.1 CHG 0

• FAA Form 8060-5, Notice ofDisapproval ofApplication. • FAAForm 8000-36, Program Tracking and Reporting Subsystem (PTRS) Data Sheet, which may be overprintedto facilitate standardization ofdata 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 eachAPD:

• FAA Form 8710-6, Examiner Designation and Qualification Record for issuance and each renewal. • FAAForm 8430-9, Certificate ofAuthority for original issuance • Letter ofAuthority for original issuance and each limitations. • FAAForm 8000-5, Certificate ofDesignation. • Documentation ofthe candidate's airman incidents or enforcement action contained in the Flight (FSIS). • A summary ofannual activity from the Form 8000-5, Airman Certification Log). renewal (replaces FAA

• Periodic surveillance reports (in • Any pertinent correspondence. 13-112PROCESSING INITIAL



### an initial APD /NDFEER designation, the
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### have been met. The APM shall then ""'x,·r.rv. 

### The APM shall completethe 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 ofAuthority Issued" in the space titled, the last day ofthe month that is one year from the date of Serve Under" space should be left blank bythe APM. The APM should in the blocktitled, "Regional Office Action" and substitute the word "Regional". 

### Approval. The POI shall indicate approval by completing the first line ofthe District Regional Office Action on FAA Form 8710-6, Examiner Designation and Record and then sign in the appropriate space. POls shall also signthe FAA Form 8000-5, Certificate ofDesignation, FAAForm 8430-9, Certificate ofAuthority and the letter ofauthority. The originals ofthese forms shall be issuedto the APD and copies shall be retained in the APD's file in the CHDO.



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### 8/31/09 8900.1 CHG 0



### C. APD Designation Numbers. ExaminerDesignation Numbers. ForAPDs 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 ExaminerDesignationNumber may be called for. (Example: 123456789DALA for an APD/NDFEER at DeltaAirlines) The four-character suffix will allow for differentiation betweenprograms when there is more than oneADE 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 orderto 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 oftheFAA Form 843 calendar-months, at least one APM, (such as a notation on APM). 

### C. Annual Observation. At examinermustbe 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. Beforerenewing an APD designation, theAPM and whether the APD's services have been satisfactory, whether the APD's level a redesignation, and whetherthe APD's services continueto be needed. The ofactivity 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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### 8/31109 8900.1 CHG 0

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 whetherthe designee has accumulated sufficient experience on the new aircraft to accumulate an above-average level ofknowledge ofits 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

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### the certificate or type rating involved, on the new aircrafttype. 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-llSPROCESSINGAPD CER 

### airman certification paperworkto 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 certificationpaperwork 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. rortlle accurate, fulfillment ofthis B. 

### An APM is responsible for training each APD in correct in remedial training, when required.
'sDECISION. 

### Ifan airman is dissatisfied with an APD's decision, eal to an APM for a reevaluation. The airman must submitthe appeal in the reasons for protesting the APD's decision. The APM shall review the ifreevaluation is warranted. Ifa reevaluation is granted, a new application

and the entire evaluation must bereaccomplishedby an FAA inspector. 13-117TERMINATION OF APD DESIGNATIONS. 

### An APD designation may be terminated orcanceled 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.
6 

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