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From the U.S. Code Online via GPO Access 

[wvfw.gpoaccess .gov] 

tLaws in effect as of January 3, 2007J 

[CITE: 49DSC46301] 

[Page 911-917) 

TITLE 49—TRANSPORTATION 

SUBTITLE VII—AVIATION PROGRAMS 

PART A—AI R COMMERCE AND SAFETY 

subpart iv—enforcement and penalties 

CHAPTER 463—PENALTIES 

Sec. 46301. Civil penalties 

(a) General Penalty.—(1) A person is liable to the United States 

Government for a civil penalty of not more than $25,000 (or $1,100 if 

the person is an individual or small business concern) for violating— 

(A) chapter 401 (except sections 40103(a) and (d) , 40105, 40116, 

and 40117), chapter 411, chapter 413 (except sections 41307 and 

41310(b)-(f)), chapter 415 (except sections 41502, 41505, and 41507-

41509), chapter 417 (except sections 41703, 41704, 41710, 41713, and 

41714), chapter 419, subchapter II or III of chapter 421, chapter 

441 (except section 44109), section 44502(b) or (c), chapter 447 

(except sections 44717 and 44719-44723), chapter 449 (except 

sections 44902, 44903(d), 44904, 44907(a)-(d)(1)(A) and (d)(1)(C)-

(f), and 44908), section 47107(b) (including any assurance made 

under such section), or section 47133 of this title; 

(B) a regulation prescribed or order issued under any provision 

to which clause (A) of this paragraph applies; 

(C) any term of a certificate or permit issued under section 

41102, 41103, or 41302 of this title; or 

(D) a regulation of the United States Postal Service under this 

part. 

(2) A separate violation occurs under this subsection for each day 

the violation (other than a violation of section 41719) continues or, if 

applicable, for each flight involving the violation (other than a 

violation of section 41719). 

(3) Penalty for diversion of aviation revenues.—The amount of a 

civil penalty assessed under this section for a violation of section 

47107(b) of this title (or any assurance made under such section) or 

section 47133 of this title may be increased above the otherwise 

applicable maximum amount under this section to an amount not to exceed 

3 times the amount of revenues that are used in violation of such 

section. 

(4) Aviation security violations.--Notwithstanding paragraph (1) of 

this subsection, the maximum civil penalty for violating chapter 449 or 

another requirement under this title administered by the Under Secretary 

of Transportation for Security shall be $10,000; except that the maximum 

civil penalty shall be $25,000 in the case of a person operating an 

aircraft for the transportation of passengers or property for 

compensation (except an individual serving as an airman). 

(5) Penalties appliccible to individuals and small business 

concerns,--

(A) An individual (except an airman serving as an airman) or 

small business concern is liable to the Government for a civil 

penalty of not more than $10,000 for violating— 

(i) chapter 401 (except sections 40103(a) and (d), 40105, 

40106(b), 40116, and 40117), section 44502 (b) or (c), chapter 

447 (except sections 44717-44723), or chapter 449 (except 

sections 44902, 44903(d), 44904, and 44907-44909) of this title; 

or 

(ii) a regulation prescribed or order issued under any 

provision to which clause (i) applies. 

(B) A civil penalty of not more than $10,000 may be imposed for 

each violation under paragraph (1) committed by an individual or 

small business concern related to--

(i) the transportation of hazardous material; 

(ii) the registration or recordation under chapter 441 of an 

aircraft not used to provide air transportation; 

(iii) a violation of section 44718(d), relating to the 

limitation on construction or establishment of landfills; 

(iv) a violation of section 44725, relating to the safe 

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disposal of life-limited aircraft parts; or 

(v) a violation of section 40127 or section 41705, relating 

to discrimination. 

(C) Notwithstanding paragraph (1), the maximum civil penalty for 

a violation of section 

[[Page 912]] 

41719 committed by an individual or small business concern shall be 

$5,000 instead of $1,000. 

(D) Notwithstanding paragraph (1), the maximum civil penalty for 

a violation of section 41712 (including a regulation prescribed or 

order issued under such section) or any other regulation prescribed 

by the Secretary by an individual or small business concern that is 

intended to afford consumer protection to commercial air 

transportation passengers shall be $2,500 for each violation. 

(b) Smoke Alarm Device Penalty.—(1) A passenger may not tamper 

with, disable, or destroy a smolce alarm device located in a lavatory on 

an aircraft providing air transportation or intrastate air 

transportation. 

(2) An individual violating this subsection is liable to the 

Government for a civil penalty of not more than $2,000. 

(c) Procedural Requirements.—(1) The Secretary of Transportation 

may impose a civil penalty for the following violations only after 

notice and an opportunity for a hearing: 

(A) a violation of subsection (b) of this section or chapter 

411, chapter 413 (except sections 41307 and 41310(b)-(f)), chapter 

415 (except sections 41502, 41505, and 41507-41509), chapter 417 

(except sections 41703, 41704, 41710, 41713, and 41714), chapter 

419, subchapter II of chapter 421, or section 44909 of this title. 

(B) a violation of a regulation prescribed or order issued under 

any provision to which clause (A) of this paragraph applies. 

(C) a violation of any term of a certificate or permit issued 

under section 41102, 41103, or 41302 of this title. 

(D) a violation under subsection (a)(1) of this section related 

to the transportation of hazardous material. 

(2) The Secretary shall give written notice of the finding of a 

violation and the civil penalty under paragraph (1) of this subsection. 

(d) Administrative Imposition of Penalties.--(1) In this 

subsection— 

(A) "flight engineer'' means an individual who holds a flight 

engineer certificate issued under part 63 of title 14, Code of 

Federal Regulations. 

(B) "mechanic'' means an individual who holds a mechanic 

certificate issued under part 65 of title 14, Code of Federal 

Regulations. 

(C) ""pilot'' means an individual who holds a pilot certificate 

issued under part 61 of title 14, Code of Federal Regulations. 

(D) ""repairman'' means an individual who holds a repairman 

certificate issued under part 65 of title 14, Code of Federal 

Regulations. 

(2) The Administrator of the Federal Aviation Administration may 

impose a civil penalty for a violation of chapter 401 (except sections 

40103(a) and (d) , 40105, 40106(b), 40116, and 40117), chapter 441 

(except section 44109), section 44502(b) or (c) , chapter 447 (except 

sections 44717 and 44719-44723) or section 46301(b), 46302 (for a 

violation relating to section 46504), 46318, or 47107(b) (as further 

defined by the Secretary under section 47107(1) and including any 

assurance made under section 47107(b)) of this title or a regulation 

prescribed or order issued under any of those provisions. The Secretary 

of Homeland Security may impose a civil penalty for a violation of 

chapter 449 (except sections 44902, 44903(d), 44907(a)-(d) (1) (A) , 

44907(d)(1)(C)-(f), 44908, and 44909), 46302 \1\ (except for a violation 

relating to section 46504), 46303, \1 \ or a regulation prescribed or 

order issued under such chapter 449. The Secretary of Homeland Security 

or Administrator shall give written notice of the finding of a violation 

and the penalty. 

\ 1 \ So in original. Probably should be preceded by ""section''. 

(3) In a civil action to collect a civil penalty imposed by the 

Secretary of Homeland Security or Administrator under this subsection, 

the issues of liability and the amount of the penalty may not be 

reexamined. 

(4) Notwithstanding paragraph (2) of this subsection, the district 

courts of the United States have exclusive jurisdiction of a civil 

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action involving a penalty the Secretary of Homeland Security or 

Administrator initiates if — 

(A) the amount in controversy is more than — 

(i) $50,000 if the violation was committed by any person 

before the date of enactment of the Vision 100—Century of 

Aviation Reauthorization Act; 

(ii) $400,000 if the violation was committed by a person 

other than an individual or small business concern on or after 

that date; or 

(iii) $50,000 if the violation was committed by an 

individual or small business concern on or after that date; 

(B) the action is in rem or another action in rem based on the 

same violation has been brought; 

(C) the action involves an aircraft subject to a lien that has 

been seized by the Government; or 

(D) another action has been brought for an injunction based on 

the same violation. 

(5)(A) The Administrator may issue an order imposing a penalty under 

this subsection against an individual acting as a pilot, flight 

engineer, mechanic, or repairman only after advising the individual of 

the charges or any reason the Administrator relied on for the proposed 

penalty and providing the individual an opportunity to answer the 

charges and be heard about why the order shall not be issued. 

(B) An individual acting as a pilot, flight engineer, mechanic, or 

repairman may appeal an order imposing a penalty under this subsection 

to the National Transportation Safety Board. After notice and an 

opportunity for a hearing on the record, the Board shall affirm, modify, 

or reverse the order. The Board may modify a civil penalty imposed to a 

suspension or revocation of a certificate. 

(C) when conducting a hearing under this paragraph, the Board is not 

bound by findings of fact of the Administrator but is bound by all 

validly adopted interpretations of laws and regulations the 

Administrator carries out and of written agency policy guidance 

available to the public related to sanctions to be imposed under this 

section unless the Board finds an interpretation is arbitrary, 

capricious, or otherwise not according to law. 

[[Page 913]] 

(D) When an individual files an appeal with the Board under this 

paragraph, the order of the Administrator is stayed. 

(6) An individual substantially affected by an order of the Board 

under paragraph (5) of this subsection, or the Administrator when the 

Administrator decides that an order of the Board under paragraph (5) 

will have a significant adverse impact on carrying out this part, may 

obtain judicial review of the order under section 46110 of this title. 

The Administrator shall be made a party to the judicial review 

proceedings. Findings of fact of the Board are conclusive if supported 

by substantial evidence. 

(7)(A) The Administrator may impose a penalty on a person (except an 

individual acting as a pilot, flight engineer, mechanic, or repairman) 

only after notice and an opportunity for a hearing on the record. 

(B) In an appeal from a decision of an administrative law judge as 

the result of a hearing under subparagraph (A) of this paragraph, the 

Administrator shall consider only whether--

(i) each finding of fact is supported by a preponderance of 

reliable, probative, and substantial evidence; 

(ii) each conclusion of law is made according to applicable law, 

precedent, and public policy; and 

(iii) the judge committed a prejudicial error that supports the 

appeal. 

(C) Except for good cause, a civil action involving a penalty under 

this paragraph may not be initiated later than 2 years after the 

violation occurs. 

(D) In the case of a violation of section 47107(b) of this title or 

any assurance made under such section--

(i) a civil penalty shall not be assessed against a n individual; 

(ii) a civil penalty may be compromised as provided under 

subsection (f); and 

(iii) judicial review of any order assessing a civil penalty may 

be obtained only pursuant to section 46110 of this title. 

(8) The maximum civil penalty the Under Secretary, Administrator, or 

Board m^y impose under this subsection is--

(A) $50,000 if the violation was committed by any person before 

the date of enactment of the Vision 100--Century of Aviation 

Reauthorization Act; 

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(B) $400,000 if the violation was committed by a person other 

than an individual or small business concern on or after that date; 

or 

(C) $50,000 if the violation was committed by an individual or 

small business concern on or after that date. 

(9) This subsection applies only to a violation occurring after 

August 25, 1992. 

(e) Penalty Considerations.—In determining the amount of a civil 

penalty under subsection (a) (3) of this section related to 

transportation of hazardous material, the Secretary shall consider— 

(1) the nature, circumstances, extent, and gravity of the 

violation; 

(2) with respect to the violator, the degree of culpability, any 

history of prior violations, the ability to pay, and any effect on 

the ability to continue doing business; and 

(3) other matters that justice requires. 

(f) Compromise and Setoff.—(1)(A) The Secretary may compromise the 

amount of a civil penalty imposed for violating— 

(i) chapter 401 (except sections 40103(a) and (d) , 40105, 40116, 

and 40117), chapter 441 (except section 44109), section 44502(b) o r 

(c), chapter 447 (except sections 44717 and 44719-44723), or chapter 

449 (except sections 44902, 44903(d), 44904, 44907(a)-(d)(1)(A) and 

(d)(1)(C)-(f), 44908, and 44909) of this title; or 

(ii) a regulation prescribed or order issued under any provision 

to which clause (i) of this subparagraph applies. 

(B) The Postal Service may compromise the amount of a civil penalty 

imposed under subsection (a)(1)(D) of this section. 

(2) The Government may deduct the amount of a civil penalty imposed 

or compromised under this subsection from amounts it owes the person 

liable for the penalty. 

(g) Judicial Review.—An order of the Secretary or the Administrator 

imposing a civil penalty may be reviewed judicially only under section 

46110 of this title. 

(h) Nonapplication.—(1) This section does not apply to the 

following when performing official duties: 

(A) a member of the armed forces of the United States. 

(B) a civilian employee of the Department of Defense subject to 

the Uniform Code of Military Justice. 

(2) The appropriate military authority is responsible for taking 

necessary disciplinary action and submitting to the Secretary (or the 

Under Secretary of Transportation for Security with respect to security 

duties and powers designated to be carried out by the Under Secretary or 

the Administrator with respect to aviation safety duties and powers 

designated to be carried out by the Administrator) a timely report on 

action taken. 

(i) Small Business Concern Defined.—In this section, the term 

""small business concern'' has the meaning given that term in section 3 

of the Small Business Act (15 U.S.C. 632). 

(Pub. L. 103-272, Sec. 1(e), July 5, 1994, 108 Stat. 1231; Pub. L. 103-

305, title I, Sec. 112(c), title II, Sec. 207(c), Aug. 23, 1994, 108 

Stat. 1575, 1588; Pub. L. 103-429, Sec. 6(60), Oct. 31, 1994, 108 Stat. 

4385; Pub. L. 104-264, title V, Sec. 502(c), title VIII, Sec. 804(b), 

title XII, Sec. 1220(b), Oct. 9, 1996, 110 Stat. 3263, 3271, 3286; Pub. 

L. 104-287, Sec. 5(77), Oct. 11, 1996, 110 Stat. 3396; Pub. L. 105-102, 

Sec . 3(c)(4), Nov. 20, 1997, 111 Stat. 2215; Pub. L. 106-181, title II, 

Sec. 222, title V, Sec. Sec. 503(c), 504(b), 519(c), title VII, 

Sec. Sec. 707(b), 720, Apr. 5, 2000, 114 Stat. 102, 133, 134, 149, 158, 

163; Pub. L. 106-424, Sec. 15, Nov. 1, 2000, 114 Stat. 1888; Pub. L. 

107-71, title I, Sec. 140(d) (1)-(4) , Nov. 19, 2001, 115 Stat. 642; Pub. 

L. 107-296, title XVI, Sec. 1602, Nov. 25, 2002, 116 Stat. 2312; Pub. L. 

108-176, title V, Sec. 503(a)-(c), Dec. 12, 2003, 117 Stat. 2557, 2558; 

Pub. L. 108-458, title IV, Sec. 4027(a), Dec. 17, 2004, 118 Stat. 3727.) 

[[Page 914]] 

Historical and Revision Notes 

Pub. L. 103-272 

Revised Section Source (U.S. Code) Source (Statutes at Large) 

46301(a) 49 App.:1303 (note). Nov. 18, 1988, Pub. L. 100-690, Sec. 

7214, 102 Stat. 4434. 

49 App..-1405 (last sentence). Aug. 23, 1958, Pub. 1. 85-726, Sec. 

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49 App.:1471(a)(1) (1st, 2d 

sentences less subchapter 

VII) . 

49 App.:1655(c) (1) . 

46301(b) 49 App.:1374(d) (2) 

46301(c) 49 App.:1471(a)(1) (3d, 5th 

sentences less subchapter 

VII) . 

49 App. : 1551(b) (1) (E) . 

46301(d) (1) 49 App. : 1471 (a) (3) (H) 

46301(d)(2) 49App.:1303 (note). 

46301(d) (3) , 

46301(d)(4), 

46301(d) (5) , 

46301(d) (6) , 

46301(d)(7). 

46301(d) (8) . 

46301(d) (9) . 

46301(e) 

46301(f) 

46301(g), 

46301(h) 

49 App.:1471(a)(3)(A). 

49 App.:1471(a)(3)(B). 

49 App.:1471(a)(3)(C). 

49 App.:1471(a) (3)(D)(i)-(iv). 

49 App.:1471(a) (3)(D)(v) (less 

Administrator under subch. 

VII) . 

49 App.:1471(a)(3)(E). 

49 App. :1471(a) (3) (G) . 

49 App.:1471(a)(3)(F). 

49 App.:1471(a)(1) (4th 

sentence less subchapter Vil). 

49 App.:1471(a)(2) (related to 

subchapter III, V, VI, or XII, 

Sec. 1501, 1514, or 

1515(e) (2) (B), and Postal 

Service). 

49 App.:1551(b)(1)(E). 

49 App.:1471(a)(1) (6th 

sentence less subchapter VII) 

49 App.:1551(b)(1)(E). 

49 App.:1471(a)(1) (last 

sentence less subchapter VII) 

49 App.:1551(b)(1)(E). 

505 (last sentence), 72 Stat. 774. 

Aug. 23, 1958, Pub. L. 85-726, Sec. 

901(a)(1) (less title VII), 72 Stat. 

783; restated July 10, 1962, Pub. L. 

87-528, Sec. 12, 76 Stat. 149; Aug. 

5, 1974, Pub. L. 93-366, Sec. 107, 88 

Stat. 414; Jan. 3, 1975, Pub. L. 93-

633, Sec. 113(b), 88 Stat. 2162; Oct. 

24, 1978, Pub. L. 95-504, Sec. 35(a), 

92 Stat. 1740; Aug. 8, 1985, Pub, L. 

99-83, Sec. 551(b)(2), 99 Stat. 225; 

Dec. 30, 1987, Pub. L. 100-223, Sec. 

204(a)- (c), 101 Stat. 1519; Nov, 18, 

1988, Pub. L. 100-690, Sec. 7208(a), 

102 Stat. 4429. 

Oct. 15, 1966, Pub. L. 89-670, Sec. 

6(c)(1), 80 Stat. 938; Jan. 12, 1983, 

Pub. L. 97-449, Sec. 7(b), 96 Stat. 

2444. 

Aug. 23, 1958, Pub. L. 85-726, 72 Stat. 

731, Sec. 404(d)(2); added Dec. 22, 

1987, Pub. L. 100-202, Sec. 328(a), 

101 Stat. 1329-383. 

Aug. 23, 1958, Pub. L. 85-726, 72 Stat. 

731, Sec. 1601(b)(1)(E); added Oct. 

4, 1984, Pub. L. 98-443, Sec. 3(e), 

98 Stat. 1704. 

Aug. 23, 1958, Pub. L. 85-726, 72 Stat. 

731, Sec. 901(a)(3) (less (D) (v) 

(related to Administrator under title 

VII)); added Nov. 18, 1988, Pub. L. 

100-690, Sec. 7208(b), 102 Stat. 

4429; restated Aug. 26, 1992, Pub. L. 

102-345, Sec. 2(a), 106 Stat. 923; 

Oct. 31, 1992, Pub. L. 102-581, Sec. 

208, 106 Stat. 4895. 

Nov. 18, 1988, Pub. L. 100-690, Sec. 

7214, 102 Stat. 4434. 

Aug. 23, 1958, Pub. L. 85-726, Sec. 

901(a)(2) (related to title III, V, 

VI, or XII, Sec. 1101, 1114, or 

1115(e) (2) (B), and Postmaster 

General), 72 Stat. 784; July 10, 1962, 

Pub. L. 87-528, Sec. 12, 76 Stat. 

150; restated Oct. 24, 1978, Pub. L. 

95-504, Sec. 35(b), 92 Stat. 1740; 

Dec. 30, 1987, Pub. L. 100-223, Sec. 

204(d), 101 Stat. 1519. 

In this section, the word "prescribed'' is added for consistency in 

the revised title and with other titles of the United States Code. The 

words "United States Postal Service'' and "Postal Service'' are 

substituted for ""Postmaster General'' because of section 4(a) of the 

Postal Reorganization Act (Public Law 91-375, 84 Stat. 773). 

In subsections (a)(1)(C) and (c), the words 'condition, or 

limitation'' are omitted as surplus. 

In subsection (a)(2), before clause (A), tlie words "occurring after 

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December 30, 1987'' are omitted as obsolete. 

In subsection (b)(1), the word 'providing'' is substituted for 

""engaged in'' for consistency in the revised title. 

In subsection (b)(2), the words "in accordance with section 1471 of 

this Appendix'' are omitted as surplus. 

In subsection (c)(1), before clause (A), the words "or his 

delegate'' are omitted because of 49:322(b). The word "impose'' is 

substituted for '"assessed'" for consistency. The words 'amount of any 

such'' are omitted as surplus. 

In subsection (d), the word impose'' is substituted for 'assess'' 

for consistency. 

In subsection (d)(1), before clause (A), the words 'the following 

definitions apply'' are omitted as surplus. 

In subsection (d)(2), the text of section 7214 of the Anti-Drug 

Abuse Act of 1988 (Public Law 100-690, 102 Stat 4434) is omitted as 

obsolete. The words "or the delegate of the Administrator'' are omitted 

because of 49:322(b). 

In subsection (d)(4)(C), the word "'or*' is substituted for "and'' 

for clarity. 

In subsection (d)(5)(B) and (7)(A), the words "in accordance with 

section 554 of title 5'' are omitted for consistency in the revised 

title and because 5:554 applies to a hearing on the record unless 

otherwise stated. 

In subsection (d)(5)(B), the words " consistent with this 

subsection'' are omitted as surplus. 

In subsection (d)(5)(C), the word ""Administrator'' is substituted 

for "'Federal Aviation Administration'' because of 49:106(b) and (g). 

In subsection (d)(7)(B), before clause (i), the words '"as the 

result of a hearing under subparagraph (A) of this paragraph'' are added 

for clarity. 

In subsection (e), before clause (1), the words ""civil penalty 

under subsection (a) (3) of this section related to transportation of 

hazardous material'' are substituted for "such penalty'' for clarity. 

In clause (1), the word ""comnitted'' is omitted as surplus. 

In subsection (f) (2), the word "imposed'' is substituted for "when 

finally determined or fixed by order of the Board' ' for consistency. The 

words ""agreed upon'' are omitted as surplus. 

In subsection (g), the word ""imposing'' is substituted for 

""assessing'' for consistency. 

In subsection (h)(2), the words "with respect thereto'' are omitted 

as surplus. The word ""Administrator'' in section 901(a)(1) of the 

Federal Aviation Act of 1958 (Public Law 85-726, 72 Stat. 783) is 

retained on authority of 49:106(g). 

Pub. L. 103-429 

This amends 49:46301 (a) (1) (A) and (2) (A), (c)(1)(A), (d)(2), and 

(f)(1)(A)(i) to correct erroneous cross-references. 

Pub. L. 104-287, Sec. 5(77) (A) and (B) 

These amend 49:46301(a)(1)(A) and (2)(A) to correct errors in the 

codification enacted by section 1 of the Act of July 5, 1994 (Public Law 

103-272, 108 Stat. 1231), to include in the cross-reference sections 

enacted after the cutoff date for the codification of title 49 as 

enacted by section 1 of the Act (Public Law 103-272, 108 Stat. 745), and 

to make it easier to include future sections in the cross-reference by 

restating it in terms of chapters. 

Pub. L. 104-287, Sec. 5(77) (C) 

This makes a conforming amendment to 49:46301(a)(3) 

Pub. L. 104-287, Sec. 5(77)(D)-(F) 

These amend 49:46301 (c) (1) (A) , (d)(2), and (f)(l)(A)(i) to correct 

errors in the codification enacted by section 1 

[[Page 91511 

of the Act of July 5, 1994 (Public Law 103-272, 108 Stat. 1231), to 

include in the cross-reference sections enacted after the cutoff date 

for the codification of title 49 as enacted by section 1 of the Act 

(Public Law 103-272, 108 Stat. 745), and to make it easier to include 

future sections in the cross-reference by restating it in terms of 

chapters. 

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References in Text 

The date of enactment of the Vision 100—Century of Aviation 

Reauthorization Act, referred to in subsec. (d)(4)(A), (8), is the date 

of enactment of Pub. L. 108-176, which was approved Dec. 12, 2003. 

Amendments 

2004—Subsec. (d)(2). Pub. L. 108-458, Sec. 4027 (a) (1) - (3), 

substituted "46302 (for a violation relating to section 46504),'' for 

"46302, 46303,'', "'The Secretary of Homeland Security may'' for "'The 

Under Secretary of Transportation for Security may'', "44909), 46302 

(except for a violation relating to section 46504), 46303,'' for 

'"44909)'', and "The Secretary of Homeland Security or'' for ""The 

Under Secretary or''. 

Subsec. (d)(3). Pub. L. 108-458, Sec. 4027(a)(3), substituted 

"Secretary of Homeland Security or'' for "Under Secretary or''. 

Subsec. (d)(4). Pub. L. 108-458, Sec. 4027(a)(3), substituted 

""Secretary of Homeland Security or'' for "Under Secretary or'' in 

introductory provisions. 

Subsec. (d)(4)(A). Pub. L. 108-458, Sec. 4027(a)(4), realigned 

margins. 

2003—Subsec. (a)(1). Pub. L. 108-176, Sec. 503(a)(1), substituted 

""$25,000 (or $1,100 if the person is an individual or small business 

concern)'' for "'$1,000'' in introductory provisions. 

Subsec. (a)(1)(A). Pub. L. 108-176, Sec. 503(a)(2), (3), struck out 

""or'' before ""section 47107(b)'' and substituted "section), or 

section 47133'' for ""section)''. 

Subsec. (a)(2). Pub. L. 108-176, Sec. 503(a)(5), substituted 

""section 41719'' for "section 41715'' in two places. 

Pub. L. 108-176, Sec. 503(a)(4), redesignated par. (4) as (2) and 

struck out former par. (2) which read as follows: ""A person operating 

an aircraft for the transportation of passengers or property for 

compensation (except an airman serving as an airman) is liable to the 

Government for a civil penalty of not more than $10,000 for violating— 

"(A) chapter 401 (except sections 40103(a) and (d), 40105, 

40106(b), 40116, and 40117), section 44502(b) or (c), chapter 447 

(except sections 44717-44723), or chapter 449 (except sections 

44902, 44903(d), 44904, and 44907-44909) of this title; or 

(B) a regulation prescribed or order issued under any 

provision to which clause (A) of this paragraph applies.'' 

Subsec. (a)(3). Pub. L. 108-176, Sec. 503(a)(4), redesignated par. 

(5) as (3) and struck out former par. (3) which read as follows: "'A 

civil penalty of not more than $10,000 may be imposed for each violation 

under paragraph (1) of this subsection related to 

"(A) the transportation of hazardous material; 

(B) the registration or recordation under chapter 441 of this 

title of an aircraft not used to provide air transportation; 

'"(C) a violation of section 44718(d), relating to the 

limitation on construction or establishment of landfills; 

'"(D) a violation of section 44725, relating to the safe 

disposal of life-limited aircraft parts; or 

(E) a violation of section 41705, relating to discrimination 

against handicapped individuals.'' 

Subsec. (a)(4). Pub. L. 108-176, Sec. 503(a)(6), substituted 

""paragraph (1)'' for "paragraphs (1) and (2)''. 

Pub. L. 108-176, Sec. 503(a)(4), redesignated par. (8) as (4). 

Former par. (4) redesignated (2). 

Subsec. (a)(5). Pub. L. 108-176, Sec. 503(a)(7), added par. (5). 

Former par. (5) redesignated (3). 

Subsec. (a)(6). Pub. L. 108-176, Sec. 503(a)(4), struck out heading 

and text of par. (6). Text read as follows: ""Notwithstanding paragraph 

(1), the maximum civil penalty for violating section 41715 shall be 

$5,000 instead of $1,000.'' 

Subsec. (a)(7). Pub. L. 108-176, Sec. 503(a)(4), struck out heading 

and text of par. (7). Text read as follows: ""Notwithstanding paragraphs 

(1) and (4), the maximum civil penalty for violating section 40127 or 

41712 (including a regulation prescribed or order issued under such 

section) or any other regulation prescribed by the Secretary that is 

intended to afford consumer protection to commercial air transportation 

passengers, shall be $2,500 for each violation.'' 

Subsec. (a)(8). Pub. L. 108-176, Sec. 503(a)(4), redesignated par. 

(8) as (4) . 

Subsec. (d)(4)(A). Pub. L. 108-176, Sec. 503(b)(1), substituted 

""more than--'' for "more than $50,000;'' and added els. (i) to (iii). 

Subsec. (d)(8). Pub. L. 108-176, Sec. 503(b)(2), substituted 'is — 

'' for 'is $50,000.'' and added subpars. (A) to (C). 

Subsec. (i). Pub. L. 108-176, Sec. 503(c), added subsec. (i). 

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2002—Subsec. (a)(8). Pub. L. 107-296 added par. (8). 

2001—Subsec. (d)(2). Pub. L. 107-71, Sec. 140(d)(1)(C), inserted 

'Under Secretary or'' before "Administrator shall''. 

Pub. L. 107-71, Sec. 140(d)(1)(B), inserted after first sentence 

""The Under Secretary of Transportation for Security may impose a civil 

penalty for a violation of chapter 449 (except sections 44902, 44903(d), 

44907(a)-(d)(1)(A), 44907(d)(1)(C)-(f), 44908, and 44909) or a 

regulation prescribed or order issued under such chapter 449.'' 

Pub. L. 107-71, Sec. 140(d)(1)(A), which directed amendment of 

subsec. (d)(2) by striking out "", chapter 449 (except sections 44902, 

44903(d), 44907 (a) - (d) (1) (A) and (d) (1) (C) - (f) , 44908, and 44909),", 

was executed by striking out "", chapter 449 (except sections 44902, 

44903(d), 44904, 44907 (a)-(d) (1) (A) and (d)(1) (C)-(f), 44908, and 

44909),'' before "or section 46301(b)'', to reflect the probable intent 

of Congress. 

Subsec. (d)(3), (4). Pub. L. 107-71, Sec. 140(d)(2), substituted 

"Under Secretary or Administrator'' for "Administrator''. 

Subsec. (d)(8). Pub. L. 107-71, Sec. 140(d)(3), substituted 'Under 

Secretary, Administrator,'' for "Administrator''. 

Subsec. (h)(2). Pub. L. 107-71, Sec. 140(d)(4), inserted "the Under 

Secretary of Transportation for Security with respect to security duties 

and powers designated to be carried out by the Under Secretary or'' 

after ""(or''. 

2000—Subsec. (a)(1)(A). Pub. L. 106-181, Sec. Sec. 519(c), 720(1), 

substituted "subchapter II or III of chapter 421'' for ""subchapter II 

of chapter 421'' and struck out ""46302, 46303, or'' before ""47107(b) 

(including''. 

Subsec. (a)(3)(C). Pub. L. 106-181, Sec. 503(c), added subpar. (c). 

Subsec. (a)(3)(D), (E). Pub. L. 106-181, Sec. Sec. 504(b), 707(b), 

added subpars. (D) and (E) . 

Subsec. (a)(6). Pub. L. 106-181, Sec. 222(b), inserted heading and 

realigned margins. 

Subsec. (a)(7). Pub. L. 106-181, Sec. 222(a), added par. (7). 

Subsec. (d)(2). Pub. L. 106-424 substituted '"46301(b), 46302, 

46303, 46318,'' for "46302, 46303,". 

Subsec. (d)(7)(A). Pub. L. 106-181, Sec. 720(2), substituted 'a 

penalty on a person'' for 'a penalty on an individual''. 

Subsec. (g). Pub. L. 106-181, Sec. 720(3), inserted 'or the 

Administrator'' after ""Secretary''. 

1997—Subsecs. (a)(1)(A), (2) (A), (d)(2), (f) (1) (A) (i) . Pub. L. 105-

102 repealed Pub. L. 104-264, Sec. Sec. 502(c), 1220(b). See 1996 

Amendment notes below. 

1996--Subsec. (a)(1)(A). Pub. L. 104-287, Sec. 5(77)(A)(iii), (iv), 

inserted "or'' after ""46303,'' and struck out '", or 41715'' after 

""under such section) ' ' . 

Pub. L. 104-287, Sec. 5(77) (A) (ii) , substituted "section 44502(b) 

or (c), chapter 447 (except sections 44717 and 44719-44723), chapter 449 

(except sections 44902, 44903(d), 44904, 44907(a)-(d)(1)(A) and 

(d)(1)(C)-(f), and 44908), or section'' for "or any of sections 

44701(a) or (b), 44702-44716, 44901, 44903(b) or (c), 44905, 44906, 

44907(d)(1)(B), 44909(a), 44912-44915, 44932-44938,''. 

[[Page 916]] 

Pub. L. 104-287, Sec. 5(77) (A) (i), substituted "chapter 413 (except 

sections 41307 and 41310 (b)-(f)), chapter 415 (except sections 41502, 

41505, and 41507-41509), chapter 417 (except sections 41703, 41704, 

41710, 41713, and 41714),'' for ""any of sections 41301-41306, 41308-

41310(a), 41501, 41503, 41504, 41506, 41510, 41511, 41701, 41702, 41705-

41709, 41711, 41712, or 41731-41742,''. 

Pub. L. 104-264, Sec. 1220(b), which directed amendment of subpar. 

(A) by inserting ""44718(d),'' after "44716,'', was repealed by Pub. L. 

105-102. 

Pub. L. 104-264, Sec. 502(c) (1), which directed amendment of subpar. 

(A) by inserting ""44724,'' after '"44718(d),'', was repealed by Pub. L. 

105-102. 

Subsec. (a)(2)(A). Pub. L. 104-287, Sec. 5 (77) (B), substituted '", 

section 44502(b) or (c), chapter 447 (except sections 44717-44723), or 

chapter 449 (except sections 44902, 44903(d), 44904, and 44907-44909)'' 

for ''or any of sections 44701(a) or (b), 44702-44716, 44901, 44903(b) 

or (c), 44905, 44906, 44912-44915, or 44932-44938''. 

Pub. L. 104-264, Sec. 502(c)(2), which directed amendment of subpar. 

(A) by inserting '44724,'' after ''44716,'', was repealed by Pub. L. 

105-102. 

Subsec. (a)(3). Pub. L. 104-287, Sec. 5(77) (C), realigned margins of 

subpars. (A) and (B). 

Subsec. (a)(5). Pub. L. 104-264, Sec. 804(b), amended par. (5) 

generally. Prior to amendment, par. (5) read as follows: 'In the case 

of a violation of section 47107(b) of this title, the maximum civil 

penalty for a continuing violation shall not exceed $50,000.'' 

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Subsec. (C)(1)(A). Pub. L. 104-287, Sec. 5(77) (D) (ii) , (iii), struck 

out ""or'' before "subchapter II'' and inserted "", or section 44909'' 

before ""of this title"'. 

Pub. L. 104-287, Sec. 5(77)(D){i), substituted "chapter 413 (except 

sections 41307 and 41310 (b)-(f)), chapter 415 (except sections 41502, 

41505, and 41507-41509), chapter 417 (except sections 41703, 41704, 

41710, 41713, and 41714) ,'' for ""any of sections 41301-41306, 41308-

41310(a), 41501, 41503, 41504, 41506, 41510, 41511, 41701, 41702, 41705-

41709, 41711, 41712, or 41731-41742,". 

Subsec. (d)(2). Pub. L. 104-287, Sec. 5(77)(E), substituted 

""section 44502(b) or (c), chapter 447 (except sections 44717 and 44719-

44723), chapter 449 (except sections 44902, 44903(d), 44904, 44907(a)-

(d)(1)(A) and (d) (1) (C) - (f), 44908, and 44909), or section" for ""or 

any of sections 44701(a) or (b), 44702-44716, 44901, 44903(b) or (c), 

44905, 44906, 44907(d)(1)(B), 44912-44915, 449^2-44938,". 

Pub. L. 104-264, Sec. 1220(b), which directed amendment of par. (2) 

by inserting ""44718(d),'' after "44716,'', was repealed by Pub. L. 

105-102. 

Pub. L. 104-264, Sec. 502(c) (1), which directed amendment of par. 

(2) by inserting "44724,'' after ""44718(d),'', was repealed by Pub. L. 

105-102. 

Subsec. (f)(1)(A)(i). Pub. L. 104-287, Sec. 5(77)(F), substituted 

"section 44502(b) or (c), chapter 447 (except sections 44717 and 44719-

44723), or chapter 449 (except sections 44902, 44903(d), 44904, 

44907(a)-(d)(1)(A) and (d)(1)(C)-(f), 44908, and 44909)'' for "o r any 

of sections 44701(a) or (b), 44702-44716, 44901, 44903(b) or (c), 44905, 

44906, 44907(d)(1)(B), 44912-44915, or 44932-44938''. 

Pub. L. 104-264, Sec. 1220(b), which directed amendment of cl. (i) 

by inserting ""44718(d),'' after ""44716,"', was repealed by Pub. L. 

105-102. 

Pub. L. 104-264, Sec. 502(c)(1), which directed amendment of cl. (i) 

by inserting ""44724,'' after '"44718(d),'', was repealed by Pub. L. 

105-102. 

1994—Subsec. (a)(1)(A). Pub. L. 103-429, Sec. 6 (60) (A), substituted 

""any of sections 41301-41306'' for ""section 41301-41306'' and "any of 

sections 44701(a)'' for "section 44701(a)''. 

Pub. L. 103-305, Sec. 207(c)(1), inserted '', or 41715'' before 'o f 

this title''. 

Pub. L. 103-305, Sec. 112(c)(1)(A), substituted "'46303, 47107(b) 

(including any assurance made under such section)'' for 'o r 46303''. 

Subsec. (a)(2)(A). Pub. L. 103-429, Sec. 6(60)(B), substituted 'any 

of sections 44701(a)'' for ""section 44701(a)''. 

Subsec. (a)(4). Pub. L. 103-305, Sec. 207(c)(2), inserted (other 

than a violation of section 41715)'' after ""the violation'' in two 

places. 

Subsec. (a)(5). Pub. L. 103-305, Sec. 112(c)(1)(B), added par. (5). 

Subsec. (a)(6). Pub. L. 103-305, Sec. 207(c)(3), added par. (6). 

Subsec. (c)(1)(A). Pub. L. 103-429, Sec. 6(60)(C), substituted ""any 

of sections 41301-41306'' for "section 41301-41306''. 

Subsec. (d)(2). Pub. L. 103-429, Sec. 6(60) (B), substituted 'any of 

sections 44701(a)'' for "'section 44701(a)''. 

Pub. L. 103-305, Sec. 112(c)(2), substituted '46303, or 47107(b) 

(as further defined by the Secretary under section 47107(1) and 

including any assurance made under section 47107(b))'' for ""or 46303''. 

Subsec. (d)(7)(D). Pub. L. 103-305, Sec. 112(c)(3), added subpar. 

(D) . 

Subsec. (f) (1) (A) (i) . Pub. L. 103-429, Sec. 6(60) (B), substituted 

""any of sections 44701(a)'' for ""section 44701(a)''. 

Effective Date of 2003 Amendment 

Amendment by Pub. L. 108-176 applicable only to fiscal years 

beginning after Sept. 30, 2003, except as otherwise specifically 

provided, see section 3 of Pub. L. 108-176, set out as a note under 

section 106 of this title. 

Effective Date of 2002 Amendment 

Amendment by Pub. L. 107-296 effective 60 days after Nov. 25, 2002, 

see section 4 of Pub. L. 107-296, set out as an Effective Date note 

under section 101 of Title 6, Domestic Security. 

Effective Date of 2000 Amendment 

Amendment by Pub. L. 106-181 applicable only to fiscal years 

beginning after Sept. 30, 1999, see section 3 of Pub. L. 106-181, set 

out as a note under section 106 of this title. 

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Effective Date of 1997 Amendment 

Pub. L. 105-102, Sec. 3(c), Nov. 20, 1997, 111 Stat. 2215, provided 

that the amendment made by section 3(c)(4) is effective Oct. 9, 1996. 

Amendment by Pub. L. 105-102 effective as if included in the 

provisions of the Act to which the amendment relates, see section 3(f) 

of Pub. L. 105-102, set out as a note under section 106 of this title. 

Effective Date of 1996 Amendments 

Amendment by Pub. L. 104-287 effective July 5, 1994, see section 

8(1) of Pub. L. 104-287, set out as a note under section 5303 of this 

title. 

Amendment by section 502(c) of Pub. L. 104-264 applicable to any air 

carrier hiring an individual as a pilot whose application was first 

received by the carrier on or after the 120th day following Oct. 9, 

1996, see section 502(d) of Pub. L. 104-264, set out as a note under 

section 30305 of this title. 

Except as otherwise specifically provided, amendment by Pub. L. 104-

264 applicable only to fiscal years beginning after Sept. 30, 1996, and 

not to be construed as affecting funds made available for a fiscal year 

ending before Oct. 1, 1996, see section 3 of Pub. L. 104-264, set out as 

a note under section 106 of this title. 

Effective Date of 1994 Amendments 

Amendment by Pub. L. 103-429 effective July 5, 1994, see section 9 

of Pub. L. 103-429, set out as a note under section 321 of this title. 

Amendment by section 207(c) of Pub. L. 103-305 effective Feb. 1, 

1995, see section 207(d) of Pub. L. 103-305, set out as an Effective 

Date note under section 41719 of this title. 

Savings Provision 

Pub. L. 102-345, Sec. 2(c), Aug. 26, 1992, 106 Stat. 925, provided 

that: ""Notwithstanding subsections (a) and (b) of this section, 

sections 901(a)(3) and 905 of the Federal Aviation Act of 1958 [Pub. L. 

85-726] as in effect on July 31, 1992, shall continue in effect on and 

after such date 

[[Page 917]] 

of enactment with respect to violations of the Federal Aviation Act of 

1958 occurring before such date of enactment.'' 

Transfer of Functions 

For transfer of functions, personnel, assets, and liabilities of the 

Transportation Security Administration of the Department of 

Transportation, including the functions of the Secretary of 

Transportation, and of the Under Secretary of Transportation for 

Security, relating thereto, to the Secretary of Homeland Security, and 

for treatment of related references, see sections 203(2), 551(d), 

552(d), and 557 of Title 6, Domestic Security, and the Department of 

Homeland Security Reorganization Plan of November 25, 2002, as modified, 

set out as a note under section 542 of Title 6. 

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Chapter 7. Sanction Guidance Policies 

I. Purpose. This chapter provides the FAA' s policies for determining an appropriate sanction 

once FAA enforcement personnel decide that legal enforcement action is appropriate This chapter 

contains the general policy (he FAA intends to apply in selecting the types of sanctions, ranges of 

sanctions within those types, and specific sanction amounts to impose m legal enforcement actions 

for typical violations of the FAA' s statute and regulations This guidance covers the parameters 

both for selecting sanctions and for modifying sanctions dunng the informal procedures The 

guidance m this chapter is applied in adjudications under 49 U S C §§ 44 106, 44709. 44710, 

44726. 44924, 461 1 1, 46301, and 701 1 5 Hazardous materials sanction guidance and policies are 

addressed in Appendix C 

2. General Guidelines. 

a. Certificate Suspension Action and Civi l Penalty Action; Sanctions for Punitive and 

Deterrent Purposes. 

( I) General. If a certificate holder improperly exercises the privileges of a certificate, a 

natural consequence of that act is to lose the privileges for a period of time commensurate \vith 

the Violation Balanced against this principle, however, the FAA considers the adverse impact 

that a certificate suspension could have on the public Thus, the agency generally suspends the 

certificates of individual certificate holders for violations However, the FAA usually takes civil 

penalty action against air carriers and airports because such actions do not disrupt service, which 

may adversely affect the public. Nevertheless, when the FAA determines that safety 

considerations warrant it, the agency wil l suspend the certificate o f any type o f certificate holder 

In no case wil l the FAA take civil penalty action alone when remedial legal action is necessary 

or appropnate 

(2) Use of both punitive certificate action and civil penalty action for the same 

violations The FAA generally does not take civi l penalty action and punitive certificate action 

(that is, certificate suspension for a fixed period of time) against a certLfic^e holder for the same 

conduct I f unusual circumstances warrant deviation from this practice, legal counsel consult t 

with the Assistant Chief Counsel for Enforcement (AGC-300) before initiating the actions 

(3) Change in type of proposed sanction The initial enforcement action reflects the 

agency's best assessment o f the appropnate sanction for the violations alleged. After initiating 

the action, legal counsel ordinarily does not change the type o f sanction unless additional facts or 

circumstances are presented to the FAA that warrant a change I f the action was coordinated 

under chapter 6, paragraph 3, with AGC-300 before initiation, then legal counsel coordinates any 

change in the type of sanction with AGC-300 before making the change 

b. Legal Sanctions for Remedial Purposes. 

(1) Indefinite certificate suspension pending compliance or demonstration of 

qualification Suspension action is appropnate where there is a need temporarily to 

7-1 

EXHIBIT, ^TT-
10/01/07 2150.3B 

suspend the privileges of the certificate or rating pending demonstration of qualification or 

compliance with statutory or regulatory requirements. FAA generally uses remedial suspension 

when an individual does not voluntarily surrender his or her certificate pending reexamination. 

See chapter 5 

(2) Certificate revocation - general. The FAA revokes a certificate when a certificate 

holder lacks the qualifications to hold the certificate The certificate holder's continued exercise 

o f the privileges of the certificate in such circumstances would be contrary to safety in air 

commerce or air transportation and the public interest. Revocation is appropriate whenever a 

certificate holder's conduct demonstrates a lack o f the technical proficiency or a lack of the 

degree of care, judgment, or responsibility, required o f the holder of such a certificate. Orders of 

revocation are issued on an emergency basis when the certificate holder lacks qualification and is 

reasonably able as a practical matter to exercise the privileges of the certificate. Legal counsel 

does not allege a lack of qualifications to avoid dismissal of charges under 49 C.F.R. § 821.33, 

the NTSB' s stale complaint rule. 

(3) Certificate revocation - individuals. The FAA generally revokes an individual's 

certificate or rating whenever he or she demonstrates a lack of willingness or ability to comply 

consistently with statutory or regulatory requirements. A lack of willingness or ability to comply 

may be demonstrated by such things as repeated or deliberate violations or by violations that 

involve grossly careless or reckless conduct. Even a single violation may be sufficient to warrant 

a conclusion an individual lacks qualifications The FAA ordinarily revokes all certificates o f a 

person who commits a violation involving intentional falsification. 

(4) Certificate revocation - entities. Revocation is normally appropriate when a 

certificate-holding entity deliberately or flagrantly violates the statute or regulations or falsifies 

records. Revocation also is generally appropriate when the certificate holder has committed the 

same or similar violations in the recent past demonstrating a lack of qualification, or when the 

certificate holder no longer has, and does not obtain in a reasonable time, the personnel or 

equipment to conduct its operation in full compliance with statutory and regulatory requirements. 

(5) Mandatory certificate revocation. Under 49 U.S.C. § 44710, the FAA is required to 

revoke the certificates of any airman who has been convicted of violating certain federal or state 

statutes relating to a controlled substance when an airplane was used in the commission o f the 

offense and the airman served as an airman, or was aboard the aircraft, in connection with 

commission o f the offense or the facilitation o f the commission o f the offense. Even when there 

has been no conviction, revocation is required when an airman has knowingly carried out an 

activity punishable under these criminal statutes. The Administrator may waive the revocation if 

a law enforcement officer requests the waiver and the Administrator decides the waiver wil l 

facilitate law enforcement purposes. 5ee 49 U.S.C. §44710(1). Under 49 U.S.C. § 44106, the 

F A A also must revoke the registration certificate of any airplane used in the commission o f such 

an offense when the use was permitted by the owner o f the aircraft with knowledge that it would 

be used for such purpose. Under 49 U.S.C. § 44726, the FAA must revoke the certificates of any 

certificate holder or an individual who has a controlling or ownership interest in the holder who 

was convicted o f a violation o f federal law relating to the installation, production, repair, or sale 

o f a counterfeit or fraudulently-represented aviation part or material or knowingly, and with the 

7-2 
10/01/07 2150.3B 

intent to defraud, carried out or facilitated an activity punishable under such a law. The 

Administrator may waive that sanction to facilitate law enforcement purposes or amend, rather 

than revoke, a certificate under certain circumstances. See 49 U S.C §§ 44726(0 and (g). 

(6) Mandatory certificate action for secunty concems Under 49 U.S.C § 4611 I, the 

Administrator is required to issue an order amending, modifying, suspending, or revoking any 

FAA-issued certificate if the Administrator is notified by the Under Secretary of Border and 

Transportation Security (BTS) of the Department of Homeland Secunty (DHS) that the 

certificate holder poses, or is suspected of posing, a risk of air piracy or terrorism or a threat to 

airline or passenger safety. Under 49 U.S.C § 44924, the Administrator is required, at the 

request of the Under Secretary of BTS, to suspend or revoke foreign repair station certificates in 

connection with security audits. 

3. Applicability and Exclusions. The sanction guidance table (table) in Appendix B provides 

types of sanctions and general ranges of sanction amounts for violations of 49 U.S.C subtitle VII 

and I4C F.R. parts 1-199 and 49 U.S.C. subtitle IX, chapter 701 and 14 C F.R chapter 111. 

Once the agency has determined that legal enforcement action is warranted for a violation, FAA 

enforcement personnel use the table and paragraph 4 of this chapter, as well as any other 

sanction guidance in this order, to determine a proposed sanction The matters described in 

chapter 7, subparagraphs 3a.-d. are some types of agency action that fall outside the scope of 

paragraph 3 and the table. 

a. Decisions to Take Administrative Action (Warning Notices or Letters of 

Correction). An administrative action does not constitute either a formal adjudication of the 

incident or a finding of violation. For that reason, FAA investigative personnel do not propose a 

sanction using the table. 

b. The FAu4's Exercise of Prosecutorial Discretion. The decision whether to prosecute a 

particular case is based on a review of the evidence and relevant policy and litigation 

considerations. The agency exercises broad discretion in both the initial decision to bnng a legal 

enforcement action, and in any later determination to compromise or settle a case based on 

various considerations. The FAA's discretion in these areas is absolute and presumed to be 

immune ft-om review. Heckler v. Cheney, 470 U.S. 821,831(1985). 

c. Hazardous Materials Violations. Actions involving violations of the federal hazardous 

materials transportation law, 49 U S.C. chapter 51, or the Department of Transportation's 

Hazardous Materials Regulations, 49 C.F.R. parts 106 through 185. Enforcement sanction 

guidance for these violations is found in Appendix C. 

d. Violations by Members of the U.S. Armed Forces. The FAA is required to forward 

reports of these violations to the Secretary of the department concerned under 49 U.S.C. 

§ 46101(b), whenever the violator is acting in the performance of official duties. The FAA, 

however, takes remedial action in addition to referring a report when the violator, whether or not 

7-3 
10/01/07 2150.3B 

acting in the performance o f official military duties, holds an FAA certificate, and the violator's 

qualifications are at issue. The FAA may take punitive action against a member o f the U.S. 

Armed Forces for a violation committed when the member is not performing official duties. 

4. Mitigatin g or Aggravating Factors and Elements. The factors in chapter 7, subparagraphs 

4.a. through m. have been developed over years of policy making and case adjudication. They 

have proven useful and appropriate for determining the seriousness of a violation and for 

selecting an appropnate sanction. Elements for evaluating and weighing each factor are also 

described. These factors and elements provide a framework for determining sanctions for 

violations specifically listed in the table as well as those not specifically listed. Al l the factors 

and elements, however, may not apply to each violation. Only those factors and elements that 

are relevant to a violation are considered in determining a sanction for the violation. This list of 

factors and elements is not intended to be exhaustive, other factors may be relevant as well. 

a. Nature of the Violation. Three elements define the nature o f a violation: first, whether 

the violation was operational or non-operational, second, whether the violation involved careless 

or reckless conduct; and third, whether the violation involved any special aggravating or 

mitigating factors. 

(1) Individuals. When an individual who holds a certificate improperly exercises the 

pnvileges of that certificate, the natural consequence of that act should be loss of privileges for a 

period o f time commensurate with the violation The FAA, therefore, primarily uses certificate 

actions to enforce operational regulations against individuals who hold certificates. The 

potential adverse impact that certificate action may have on an individual's livelihood does not 

alter this principle. Non-operational violations may warrant a different type of sanction. 

(2) Entities. The FAA ordinanly takes civil penalty action against a certificate-holding 

entity (for example, an air carrier) when it determines there would be a substantial adverse 

impact on the public interest from disrupted service by that certificate holder and the impact is 

not outweighed by safety considerations. Even when a substantial adverse impact would occur, 

when there is a need to prevent continuing violations or other egregious conduct by any 

certificate holder, when any certificate holder lacks qualification, or there is a reasonable basis to 

question the qualifications o f any certificate holder, the FAA takes remedial action, for example, 

revocation or indefinite suspension, as necessary 

(3) Careless or reckless conduct. Violations that involve careless or reckless conduct in 

violation o f 14 C.F.R. § 91.13 may warrant more severe sanctions. Carelessness connotes 

conduct that falls below the standard o f care or prudence expected o f a reasonable person, or 

holder o f the relevant certificate, acting under the same or similar circumstances. Recklessness 

connotes conduct that demonstrates a gross, or even callous or flagrant, disregard for safety 

Aircraft operations that do not otherwise result in a violation o f a specific regulation should be 

evaluated in light o f these standards to determine whether they constitute careless or reckless 

operations in violation of 14 C.F.R. § 9113. When a person operates an aircraft in violation of a 

specific regulation other than 14 C.F.R. §91.13, however, that violation constitutes a careless or 

reckless operation in and o f itself In these cases, the rrusconduct may also result in a violation 

o f 14 C.F.R. § 911 3 if it actually or potentially endangers the lives or property of others. 

7 ^ 
10/01/07 2150.3B 

When calculating the amount of sanction based on this factor, a distinction generally is drawn 

between instances where 14 C.F.R. § 91.13 is an independent violation and those where it is 

residual to another violation When a 14 C.F.R. §91.13 violation is residual only, a higher 

sanction generally is not wananted unless the conduct is also reckless 

b. Whether the Violation was Inadvertent and Not Deliberate. If a violation is 

deliberate or not inadvertent, a sanction at the upper end of the range or exceeding the range for 

that type of violation generally is appropriate. A deliberate violation generally wanants a 

sanction that is more severe than one that is just not inadvertent. 

(1) Not deliberate. This element means a lack of the degree of deliberation found in 

intentional misconduct. Deliberate or intentional misconduct is an aggravating circumstance and 

includes deliberate conduct that leads to a violation as well as circumstances indicating intent to 

commit a violation. 

(2) Inadvertence An act is inadvertent when it is the result of both inattention and lack 

of purposeful choice. For example, an inadvertent act occurs when a pilot flies at an incorrect 

altitude because he or she misread the aircraft's instruments; however, it is not an inadvertent act 

when a pilot flies at an incorrect altitude as a result of choosing not to consult the aircraft's 

instruments or choosing not to use other available means to verify altitude. The test to be applied 

is whether the conduct, not the factual or legal consequences, is inadvertent and unintended. 

Ferguson v. National Transportation Safety Board. 678 F.2d 82 1, 828-829 (9th Cir 1982). 

c. Certificate Holder's Level of Experience. 

(i) Level of experience refers pnmarily to the type of certificate and ratings held (for 

example, student, private, commercial, airline transport pilot, or certified flight instructor), and 

the number of hours flown, by the certificate holder. Certificate holders with greater levels of 

experience may be held to a higher standard. Thus, for example, commercial pilots may be held 

to a higher standard than pnvate pilots and airline transport pilots may be held to an even higher 

standard than commercial pilots. 

(2) In determining an appropriate sanction, the FAA may consider the extent to which 

the certificate holder's action deviated from the degree of care and diligence normally expected 

of a person with the certificate holder's level of experience. A significant deviation from the 

degree of care and diligence expected of the holder of that certificate may warrant a more 

aggravated sanction. 

d. Attitude of the Violator. 

(I) A good compliance attitude is the norm and does not warrant a reduction in sanction. 

A pnor violation history may suggest that a person has a poor compliance disposition, which is 

an aggravating factor. Furthermore, a person who commits an act or omission contrary to 

statutory or regulatory requirements after receiving notice through a prior administrative action 

or counseling that such conduct is in violation of those requirements might well be regarded as 

having a poor compliance disposition. In evaluating compliance disposition, the FAA does not 

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10/01/07 2150.3B 

view an alleged violator as having a poor attitude because the alleged violator fails to respond to 

a letter of investigation, chooses to be represented by counsel, or contests the violation. 

(2) In assessing the attitude of an alleged violator, the FAA may consider the declaration 

of an emergency to air traffic control. When an emergency is genuine and not of the person's 

own making, the emergency is exculpatory under 14 C.F.R. § 91 3(b). However, this situation is 

distinct from the situation where a declaration of emergency is not exculpatory but is a factor that 

might be appropriate to consider in determining sanction. In emergency situations, the FAA 

views declaring an emergency to air traffic control as a sign of good judgment and a constructive 

altitude. When an emergency is of a person's own making, that person's declaration of an 

emergency may be considered mitigating in determining the sanction to be imposed for any 

violations committed, in much the same way it is considered mitigating if a person voluntarily 

reports a violation. 

e. Degree of Hazard. 

(1) The degree of hazard may be increased as a result of the interplay of the operational 

environment (for example, weather conditions, congested vs. sparsely populated areas) and the 

nature of the threat to safety (to the life or property of another, including those in the aircraft 

being operated, to other aircraft, or to persons or property on the surface) that the misconduct 

presents. The safety threat is based on the reasonably foreseeable consequences of the 

misconduct. For example, operating 500 feet below the minimum altitude poses a greater hazard 

than operating 100 feet below Similarly, if an aircraft operator fails to comply with an 

airworthiness directive by operating 10 hours past a required inspection, the degree of hazard is 

probably not as great as when the aircraft is operated 100 hours beyond the required. And it is 

not mitigating when a violation does not result in actual harm; that is simply fortuitous. 

(2) The sanction ranges reflect the degree of danger normally inherent in an average 

violation of a regulation, without aggravating circumstances. As discussed in chapter 7, 

subparagraph 5.b., an increase in the degree of hazard may form the basis for exceeding the 

sanction ranges. For example, the range for an unauthorized low flight does not assume extreme 

departures from required altitudes, for example, flying an airplane over a crowded assembly of 

persons at 50 feet 

f. Action Taken by Employer or Other Authority. This factor ordinanly involves the 

following elements, whether the alleged violator's employer has taken disciplinary action and 

whether criminal prosecution is involved. 

(1) Employment discipline Where the violation would normally call for a certain type 

of enforcement action, the FAA takes that action regardless of any action taken by die violator's 

employer. Generally, the FAA does not credit an employer's disciplinary action toward a period 

of suspension the FAA imposes against die violator's certificate because of the different 

purposes of government-ordered, as contrasted with employer-ordered, actions. 

(2) Criminal prosecution. When ansing out of the same conduct, local, state, or federal 

prosecution does not preclude the FAA ft-om taking appropriate remedial enforcement action; nor 

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10/01/07 2150.3B 

does it preclude the FAA from taking appropriate punitive enforcement action For cases where 

federal, state, or local authorities prosecute cnminally, the FAA generally does take remedial 

enforcement action if that is warranted despite the cnminal prosecution. However, the FAA does 

not generally take punitive legal enforcement action for the same conduct, unless it believes the 

criminal sanctions are not sufficient to provide an adequate detenent for fijture violations by the 

violator and others similarly situated, or when the FAA wants to establish a violation history 

record. If the FAA decides to proceed with a punitive civil enforcement action in addition to the 

criminal prosecution, it generally considers the cnminal penalties incurred in those proceedings 

in determining the appropnate amount of sanction to be sought in the FAA's punitive 

enforcement action 

g. Use of a Certificate. This factor relates to the nature or kind of activity or operation 

involved at the time the violation was committed Whether the certificate holder was engaged in 

student, private, commercial, or airline activity bears on the seventy of the sanction. Air carriers 

are held to the highest standard of care. Likewise, personnel engaged in air transportation are 

held to the highest safety standard. 

h. Violation History. 

(1) A violation-free history is the expected norm, not the exception and, therefore, is not 

a mitigating factor. Sanction ranges in the table generally represent the normal range of sanction 

for a single, first-time, inadvertent violation. Given the expected norm, a prior violation record 

can be evidence of a poor compliance disposition or of a pattem of disregard for the FAA's 

regulations, which are aggravating factors. As a result, a violation history can justify imposing a 

sanction at the higher end of the normal range or a sanction beyond the normal range. It might 

also justify revocation rather than suspension if the pattem of violation reflects a lack of 

qualification. In addition, a violation history might justify a certificate suspension if previously 

issued civil penalties have not produced the desired deterrent effect In deciding whether a 

violation history justifies aggravating the sanction or changing the usual type of sanction, the 

FAA considers the length of time that has elapsed between violations, whether the violations 

involved the same or similar regulations, and whether the violations are factually similar. 

(2) The following actions constitute violation history when they involve regulatory 

violations and become final: orders of amendment, modification, suspension, or revocation of an 

FAA certificate; orders assessing a civil penalty; findings of violation contained in a consent 

order, order of compliance or denial; and findings of violation made by a federal court. In 

addition, a party may agree as part of a settlement that the FAA may consider alleged violations 

as findings of violation for ftiture sanction determinations 

L Decisional Law. Decisions of the FAA decisionmaker represent the FAA 

Administrator's position on issues arising in civil penalty assessment actions, including issues 

regarding sanctions. The policy in this order also represents the Administrator's position on 

sanctions in legal enforcement actions. To the extent that this document conflicts with FAA 

decisionmaker decisions published before this document's issuance, the sanction guidance policy 

in this order supersedes those decisions However, FAA decisionmaker decisions published after 

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10/01/07 2150.3B 

the issuance of this document that conflict with the policy in this order supersede this document 

and are controlling. 

j . Ability to Absorb Sanction, Sanctions should be deterrent While punitive sanctions 

should not be unduly harsh, they should be substantial enough to prevent violators ft^om profiting 

from their violations, that is, the sanction should be high enough to remove any profit incentive 

for violations. Penalties should never be permitted to be a cost of doing business. Air carriers, 

in particular, are required by law to have the financial wherewithal to operate according to 

established safety standards. While the FAA does not allow financial circumstances to excuse 

any violation, it does consider a earner's size and financial strength in choosing the appropriate 

sanction amount. The difference in the penalties fixed in the law for large and small business 

concems recognizes this fact. A civil penalty that may be a mere cost of doing business to a 

major air carrier might compel a small air carrier to go out of business Therefore, the FAA uses 

air carrier size as one means of ensuring a relatively equivalent detenent effect on each air 

carrier that violates the same FAA regulation The resulting classification of air carriers by size 

and ranges of civil penalties are set forth in part one of the table. For all entities and individuals, 

the FAA considers ability to pay a civil penalty and the effect a civil penalty will have on a 

person's ability to continue in business to the extent it knows such information. 

k. Consistency of Sanction. One of the agency's goals is to achieve relative consistency in 

imposing similar sanctions for similar violations. The FAA pursues this objective to assure 

fairness and so the sanction's impact has an equivalent degree of deterrent or disciplinary value 

to others similarly situated This goal may not always be achieved, however, because of the 

inherently subjective nature of the exercise of judgment in setting sanctions. 

I. Whether the Violation was Reported Voluntarily. 

(1) The FAA has programs that allow persons to report voluntarily apparent violations 

and receive lesser enforcement action provided certain criteria are met. These programs include 

the aviation safety reporting program, the voluntary disclosure reporting program, and the 

aviation safety action program. Besides these programs, the FAA may grant special enforcement 

consideration under certain circumstances to a person who, incident to his or her report of 

another's violations, voluntarily discloses his or her own participation in the same or related 

violations. This special enforcement consideration may range from mitigating the sanction to 

determining that no enforcement action is required 

(2) If a person is not covered under one of these programs but nonetheless voluntarily 

reports an apparent violation to the FAA before the FAA discovers it, takes immediate action to 

correct the noncompliance, and works with the FAA on steps to preclude recunence of the 

apparent violation, the FAA may consider such actions in mitigating the sanction for the 

violation. 

m. Corrective Action. The FAA considers corrective action a mitigating factor in 

determining sanction provided the corrective action exceeds the minimum regulatory or statutory 

requirements. The amount of credit given in setting a sanction depends on the extent and timing 

of the conective action, that is, how extensive was the corrective action and how quickly was it 

taken Implementing new procedures that are above those required under the FAA's regulations 

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10/01/07 2150.3B 

to prevent future violations ordinarily is considered a mitigating factor in determining an 

appropriate sanction. Conective action taken after the alleged violator first becomes aware o f a 

deficiency but before FAA discovery o f the violation ordinarily warrants greater mitigation than 

corrective action that is taken only after the alleged violator receives notice o f the FAA' s 

enforcement action. Corrective action taken by an alleged violator that simply brings that person 

into compliance with the statutory or regulatory requirements is not considered in mitigation of 

sanction. To mitigate a sanction based on such conective action would put at an economic 

disadvantage competitors who have expended the resources necessary to maintain compliance. 

5. Use of the Table of Sanctions. 

a. General. Sanction determinations are not accomplished through a strict mathematical 

formula; rather, sanction determinations result from a judgment of where a case lies along a 

spectrum of gravity Ultimately, the circumstances of each case are evaluated in terms of the 

needs of safety and the public interest. 

b. Single, First-time, Inadvertent Violations. 

(1) Part 11 of the table specifies both the normal types of sanction (certificate action, civil 

penalty action, or other type) and the normal ranges within those types the FA A ordinarily seeks 

to impose in a legal enforcement action for a single, first-time violation that is generally 

inadvertent (the table includes ranges o f sanctions for several violations that usually are 

intentional, for example, interference with a crewmember, smoking on an aircraft). In addition, 

the table generally reflects a presumption that the alleged violator wants to comply with the law 

and to remedy any noncompliance and that the alleged violator, therefore, has a constructive 

attitude 

(2) For factors b, d, or h of paragraph 4 (that is, inadvertent and not deliberate conduct, 

attitude, and violation history), the FAA does not normally deviate from the ranges listed in the 

table solely based on the inadvertence o f the violation or on the alleged violator's good 

reputation, past public service, violation-free history, or constructive attitude. An y mitigating 

circumstances are to be found in the facts and circumstances of the violation itself 

(3) Applying ranges within a sanction type. In determining where, within each range, a 

sanction should be imposed, the FAA generally considers factors a, c, e, f, g, i, j , k, and m of 

paragraph 4 (that is, nature o f the violation, level of expenence, degree o f hazard, action by 

employer or other authority, use o f certificate, decisional law, ability to absorb sanction, 

consistency o f the sanction with similar cases, corrective action), to the extent they are applicable 

or relevant. When determining a specific sanction amount within a range, FA A enforcement 

personnel begin with an amount in the middle o f the range and increase that amount toward the 

higher end o f the range for aggravating factors or decrease that amount toward the lower end o f 

the range for mitigating factors. 

(4) Deviating from ranges within a sanction type. The FAA might impose sanctions 

below the normal ranges based on justifiable mitigation under factors j , 1, and m o f paragraph 4 

(that is, the ability to absorb the sanction, voluntary reporting, corrective action). The FAA may 

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10/01/07 2150.3B 

impose sanctions above the normal ranges when the following circumstances, relating to factors 

b, d, e, and h of paragraph 4 are present: the violation is other than inadvertent"*, the violator has 

a violation history, the violation involves a significant degree of hazard, or the violator has a 

poor compliance disposition. The ranges also may be exceeded when the case involves multiple 

violations. {See chapter 7, paragraphs 6 and 7) 

c. Types of Sanction. 

(1) General. The FAA ordinarily does not initiate punitive civil penalty and punitive 

certificate actions (that is, fixed-period certificate suspensions) against a certificate holder for the 

same offense. While electing to impose one sanction is not a legal bar to a concurrent 

proceeding to impose another, pursuing both actions solely for punitive purposes usually is not 

necessary. The FAA takes remedial and punitive actions in the same case, however, when 

warranted. 

(2) Selecting types of sanctions. Except m exceptional circumstances, the FAA uses the 

type of sanction recommended in the table. The FAA must impose any sanction mandated by 

statute (for example, revocation under 49 U.S.C. §§ 44106(b), 44710(b), and 44726(b) unless 

waived by the Administrator). 

6. General Guidance on Multiple Acts or Multiple Violations. 

a. Description of Multiple Violations. Enforcement actions often involve multiple 

violations: multiple violations of a single regulation; a single violation of multiple regulations; 

or multiple violations of multiple regulations. In addition, under 49 U S.C. § 46301 (a)(2), if a 

violation is a continuing one, each day the violation continues, or each flight for which the 

violation was committed, constitutes a separate offense. 

b. General Sanction Guidance. Multiple violations ordinarily result in high sanction 

amounts. Such sanction amounts ordinarily are not determined by simply adding up the 

individual penalties for multiple violations set forth in the table, however. Simply adding up the 

individual penalties for each violation could result in compounding a sanction in a 

disproportionately harsh manner for the conduct involved. Conversely, multiple violations may 

be so serious in their consequences for safety and the public interest as to require a penalty 

greater than the sum of the recommended amount of penalty provided for in the table for each 

violation. 

c. Single Act of Noncompliance Resulting in Multiple Violations. When a smgle 

instance of noncompliance results in multiple violations of general and specific regulations 

involving the same or similar conduct, the FAA ordinarily does not compound the sanction to 

reflect the amount of sanction recommended in the table for each regulatory violation. In 

calculating the amount of sanction for multiple violations, FAA enforcement personnel consider 

* When the violation is one that is generally inherently deliberate {e.g., interference with crewmeraber or smoking 

violations), factor b. is not considered in detemuning whether the sanction should be above the range in the table. 

The ranges in the table for such violations ah-eady have taken into consideration the inherently deliberate nature of 

the violation. 

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10/01/07 2150.3B 

the totality of circumstances relating to the multiple violations, including the alleged violator's 

degree o f culpability, and whether the alleged violator had taken steps, although unsuccessful, to 

prevent the violations. 

d . Type of Legal Enforcement Action. Where this guidance designates the type of legal 

enforcement action for a single violation, the FAA ordinarily selects the same type of sanction 

for multiple violations o f a similar nature. The senousness of multiple violations, however, may 

require changing what is normally a civil penalty action to a certificate action or, sometimes, a 

punitive certificate suspension to'a remedial revocation action 

7. Special Consirlerations for Numerous Multiple Violations Resulting Fro m an initial Act 

or Omission. To determine penalties for numerous multiple violations that result from an initial 

act or omission, the FAA applies the special considerations and guidance in chapter 7, 

subparagraphs 7 a through e. These cases involve such a high number o f multiple violations that 

i f FA A enforcement peVsonnel were simply to add the recommended amounts of penalty for each 

flight or day that constitutes a separate violation, the resulting sanction amount could be 

disproportionately harsh for the misconduct involved, in an average case. 

a. Determining Proposed Penalty. To determine an appropnate civi l penalty in a case 

involving numerous multiple violations resulting from an initial act or omission (for example, an 

aircraft operated on a dozen or more flights after being improperly returned to service), FAA 

enforcement personnel: 

(1) Identify each initial act or omission that caused or resulted in the multiple violations 

(for example, improper maintenance plus improper return to service; failure to maintain a quality 

control system) 

(2) Consult the table in Appendix B and the general guidance in chapter 7, paragraph 4, 

on aggravating and mitigating factors to determine the amount of penalty appropriate for each 

initial act or omission that caused or resulted in the multiple violations (for example, in 

airworthiness cases, a penalty for the act of improper maintenance or inspection; in 

manufacturing cases, a penalty for the act of failing to maintain a quality control system). 

(3) Determine the amount of penalty for the numerous multiple violations by applying 

the guidance in chapter 7, subparagraphs 7.b. through d. Of particular importance in determining 

an appropriate sanction for numerous multiple violations is the degree o f the alleged violator's 

culpability for the multiple violations. A lower degree of culpability is present when the alleged 

violator neither knew nor was likely to discover the continuing violations. For example, once 

improper maintenance was done there were no signs o f it from such things as discrepancies 

reported by the crew, and no inspections that would have led to its discovery were scheduled. A 

more significant degree o f culpability is present when factors such as the following are present: 

• the initial act or omission was entered in records that should have led to 

immediate detection and correction; 

• the initial act or omission remained undetected and continued through required 

inspections or checks designed to reveal such discrepancies, 

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10/01/07 2150.3B 

• the alleged violator was not following maintenance or inspection procedures the 

FAA had approved or accepted; 

• the level of the alleged violator's organization that was aware of, or involved in 

the noncompliance included management (for example, management implemented policies that 

contributed to the violations), although an alleged violator's culpability does not require 

management involvement; 

• the alleged violator has a history of similar violations or a history of systemic 

deficiencies. 

Knowing and willful violations connote the highest degree of culpability. 

(4) Add the penalties arrived at for the initial violation to the penalty for the multiple 

violations. 

b. Limitations on Total Civil Penalty Amounts for Numerous Multiple Violations. 

(1) In an average case involving numerous inadvertent, multiple violations resulting from 

a single act or omission, that is, not one that is covered by chapter 7, subparagraphs 7.c. or 7.d., 

the total civil penalty for the multiple violations ordinarily falls within the ranges provided in 

either Figure 7-1 or 7-2. The group classifications are defined in part I of Appendix B. 

(2) The tenn isolated in Figures 7-1 and 7-2 typically describes a single instance of an 

employee's failure to follow a statutory or regulatory requirement, contrary to the company's 

own practice or procedure. A case may involve a number of isolated and unrelated violations. 

Each group of the multiple violations resulting from each isolated violation ordinarily is subject 

to the isolated, inadvertent ranges in Figures 7-1 or 7-2. 

(3) Inadvertent failures are considered systemic if they are repetitive or otherwise 

demonstrate an underlying deficiency in the alleged violator's system, practices, or procedures. 

Systemic failures generally warrant more substantial penalties and indicate a need for corrective 

action. 

(4) The aggravating or mitigating factors and elements in chapter 7, paragraph 4. are 

considered to determine an appropriate civil penalty within the applicable range in Figure 7-1 or 

7-2, for the multiple violations resulting from the initial act or omission. Of particular 

importance is an evaluation of the seriousness of the potential hazard caused by the violation and 

the degree of culpability of the alleged violator for the multiple violations. 

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10/01/07 2150.3B 

Figure 7-1. Ranges of Penalties for Air Carriers, Commercial Operators, Part 125 Operators 

Type of 

Violations 

Inadvertent, 

Isolated 

Violations 

Inadvertent, 

Systemic 

Violations 

Group I 

Large 

Business 

$200,000-

$400,000 

$300,000-

$500,000 

Group I 

Small 

Business 

$100,000-

$300,000 

$200,000-

$400,000 

Group II 

or Part 

125 Large 

Business 

$150,000-

$300,000 

$250,000-

$400,000 

Group II or 

Part 125 

Small 

Business 

$100,000-

$200,000 

$150,000-

$300,000 

Group III 

$75,000-

$150,000 

$100,000-

$200,000 

Group IV 

$50,000-

$100,000 

$75,000-

$150,000 

Figure 7-2. Ranges of Penalties for Air Agencies, Airports, Manufacturers 

Type of 

Violations 

Inadvertent, 

Isolated 

Violations 

Inadvertent, 

Systemic 

Violations 

Air 

Agency 

Large 

Business 

$150,000-

$300,000 

$250,000-

$400,000 

Air 

Agency 

Small 

Business 

$100,000-

$200,000 

$150,000-

$300,000 

Airport 

Operator 

Large 

Business 

$200,000-

$400,000 

$300,000-

$500,000 

Airport 

Operator 

Small 

Business 

$100,000-

$300,000 

$200,000-

$400,000 

Manufacturing 

Large Business 

$200,000-

$400,000 

$300,000-

$500,000 

Manufacturing 

Small Business 

$100,000-

$300,000 

$200,000-

$400,000 

Individual 

$50,000-

$100,000 

$75,000-

$150,000 

c. Penalties Outside the Ranges. 

(1) Penalties lower than the ranges. It may be appropriate to select a civil penalty amount 

below the ranges in Figures 7-1 or 7-2 if the degree of culpability is minimal, the degree of 

potential hazard is extremely low, and there are no other aggravating circumstances. 

(2) Penalties higher than the ranges. It may be appropriate to select a civil penalty higher 

than the ranges, up to the statutory maximums: 

• If the alleged violator was significantly culpable in permitting the initial act or omission; 

• If the violations involve significant safety risks; 

• If there was an absence of corrective action by the alleged violator over an extended 

period of time; 

• Where it is necessary to provide an economic disincentive for regulatory noncompliance; 

or. 

• If the alleged violator has a poor compliance disposition or history. 

d. Intentional Violations. When there is substantial and reliable evidence that the alleged 

violator knew of the violations resulting from the initial act or omission and allowed them to 

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10/01/07 2150.3B 

occur, the ranges set forth in Figures 7-1 and 7-2 do not apply. For example, operation of an 

aircraft when there is evidence the operator knew the aircraft or flight was not in compliance 

with statutory or regulatory requirements, yet deliberately operated it anyway, is most serious, 

and apart from civil penalties, requires consideration of remedial certificate action. For multiple 

violations in these circumstances, any civil penalties sought may be up to the statutory maximum 

penalty for each violation, regardless of the number of violations. 

e. Civil Complaints. The guidance in chapter 7, paragraph 7 does not limit the amount of 

civil penalties that may be sought in a civil complaint filed in U.S. district court. 

8. Modification. 

a. Type of Sanction. Except when the FAA exercises its prosecutorial discretion to settle 

an enforcement action, the FAA generally does not modify orders suspending or revoking a 

certificate to provide for a civil penalty. The FAA also generally does not modify orders 

assessing a civil penalty to provide for a certificate action. The FAA modifies the type of 

sanction only in those cases involving extraordinary circumstances (beyond the normal 

aggravating or mitigating factors and elements listed in chapter 7, paragraph 4). New facts 

discovered after the original order has been issued may provide a basis for modifying the amount 

of sanction, but would not ordinarily provide a basis for modifying the type of sanction. 

However, if newly discovered facts raise new issues, such as the alleged violator's qualifications 

to hold a certificate, or if they implicate a statutorily-mandated penalty, the FAA modifies the 

type of sanction. 

b. Amount of Sanction. The FAA does not apply the factors listed in chapter 7, paragraph 

4. in a manner that would double their effect. Once the FAA has fairly considered the relevant 

mitigating and aggravating circumstances, it generally does not modify the amount of sanction. 

The FAA modifies the amount of sanction nonnally only v/hen new information indicates the 

factors or elements were not fairly applied, or when other clear and compelling reasons are 

articulated. 

9. Special Emphasis Enforcement Programs. At times special situations arise that dictate the 

need for more effective enforcement action tlirough increased sanctions or other measures in a 

particular regulated area or segment of industry. When these circumstances arise, the FAA may 

set up a special emphasis enforcement program, designed to focus on a particular area of 

noncompliance on a national or local geographical basis. 

10. Small Entities. 

a. General. 

(1) Under the Small Business Regulatory Enforcement Fairness Act of 1996 (SBREFA), 

the FAA is required to have a policy or program to provide for the reduction, and under 

appropriate circumstances waiver, of civil penalties for statutory or regulatory violations by 

small entities. Under the law, such a policy is to contain certain conditions. Those suggested by 

Congress are: requiring the small entity to correct the violation within a reasonable correction 

period; limiting the applicability to violations discovered through participation in a compliance 

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10/01/07 2150.38 

assistance or audit program operated or supported by the agency; excluding small entities that 

have been subject to multiple enforcement actions by the agency; excluding violations involving 

willfiil or criminal conduct; excluding violations that pose serious health, safety or 

environmental threats; and requiring a good faith effort to comply with the law. The SBREFA 

also provides that under appropriate circumstances, the FAA may consider ability to pay in 

determining the penalty to assess a small entity. 

(2) Congress intended that agencies have the discretion to develop the limits of their 

enforcement policies for small entities and the specific circumstances under which penalty 

reductions or waivers would be granted. Because the statute requires an agency, subject to the 

requirements and limitations of other statutes, to place conditions or exclusions on its 

enforcement policy under SBREFA, it does not appear Congress intended agencies to reduce or 

waive penalties solely because an alleged violator is a small entity. Rather, the statute 

contemplates that certain criteria be met before an agency reduces or waives a penalty against a 

small entity. Although the SBREFA imposes a requirement on agencies to establish penalty 

reduction and waiver programs for small entities. Congress recognized that some agencies 

already have formal or informal policies or programs that would meet this requirement. 

b. FAA's Policy under the SBREFA. 

(1) The FAA's compliance and enforcement program includes several policies that meet 

the requirements of and are consistent with the intent of, SBREFA. Taken together, these 

policies constitute the FAA's policy mandated by SBREFA. 

(2) Under the FAA's compliance and enforcement program, for example, FAA 

investigative personnel have the discretion to address alleged violations by any person, 

including small entities, with lesser enforcement action than a civil penalty, that is, 

administrative action, provided the criteria in chapter 5 are met. There are two forms of 

administrative action: a warning notice and a letter of correction. A warning notice brings to the 

attention of the regulated person or entity the facts and circumstances that indicate that a 

violation has occurred, identifies the regulatory provision at issue, and requests future 

compliance. A letter of correction is similar but is intended for use when there is an agreement 

with the regulated party that cortective action acceptable to the FAA has, or within a reasonable 

period will be, taken. Administrative actions are less onerous than a waiver of penalty in that 

they neither carry a sanction nor result in a finding of violation. 

(3) Under the agency's voluntary disclosure reporting program, the FAA takes 

administrative action instead of civil penalty action against most regulated entities, including 

small entities that voluntarily report certain apparent violations to the FAA, complete corrective 

action satisfactory to the FAA to prevent their recurrence, and meet certain other criteria. 

(4) The FAA's sanction policies have historically provided for reductions of civil 

penalties in appropriate cases based on the mitigating factors listed in chapter 7, subparagraph 4., 

which include ability to pay and whether a penalty would prevent the entity from continuing in 

business. 

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10/01/07 2150.3B 

(5) For air carriers and commercial operators, the FAA also takes company size into 

consideration in determining the appropriate amount of civil penalty. The sanction ranges in Part 

I. Definitions and Abbreviations of the table for single, inadvertent, first-time violations by U.S. 

air carriers and U.S. commercial operators differentiate among various sizes of such entities as a 

means of providing a relatively equivalent detertent for the same violation against each air 

carrier and commercial operator. While the FAA has not specified such sanction ranges for other 

certificate holding entities, it is the FAA's policy to seek penalties generally relative to the size 

and revenue of the operation for repair stations, manufacturers, airports, and other entities 

holding certificates. 

(6) Although the FAA does not reduce or waive the penalty of an alleged violator solely 

because it is a small entity, the FAA appropriately reduces a civil penalty, or elects to take 

administrative action rather than legal enforcement action, against a small entity if appropriate 

under the policies described in chapter 7, subparagraphs 10.b.(l)-(5). 

c. The Small Business Ombudsman. 

(1) The Small Business and Agriculture Regulatory Enforcement Ombudsman and 10 

Regional Fairness Boards were established to receive comments from small businesses about 

federal agency enforcement actions. The Ombudsman annually evaluates the enforcement 

activities and rates each agency's responsiveness to small business. 

(2) Each FAA employee who conducts an inspection of a small business concern that is 

regulated by the FAA provides the small business concern with an information sheet. The 

information sheet informs that entity that it may submit complaints or comments regarding unfair 

FAA regulatory enforcement to the National Ombudsman. The information sheet contains the 

following language: 

Our objective is to ensure a fair regulatory enforcement enviromnent. If you feel that you 

have been treated unfairly or unprofessionally, you may contact the FAA by calling the 

FAA's Office of Rulemaking at (202)-267-3404 or by mailing your comments or 

complaints to the Federal Aviation Administration, Office of Rulemaking, 800 

Independence Avenue, S.W., Room 808, Washington, D.C., 20591. You also have a 

right to contact the Small Business Administration's National Ombudsman at 1- 888-

REG-FAIR (1-888-734-3247), or w^^w.sba.gov/ombudsman regarding the fairness of the 

compliance and enforcement activity of the FAA. The FAA strictly forbids retaliatory 

acts by its employees. As such, you should feel confident that you will not be penalized 

for expressing your concems about the FAA's compliance and enforcement activities. 

I I. Remedial Sanction Guidance Policy. 

a. General. 

(1) The FAA statute requires the Administrator to promote "safe flight of civil aircraft in 

air commerce . .. ." 49 U.S.C. § 44701(e). As one means of achieving this goal, the statute 

specifically authorizes the Administrator to issue various certificates. These certificates include 

7-16 
10/01/07 2150.3B 

airman certificates, type certificates, production certificates, auworthiness certificates, air carrier 

operating certificates, airport operating certificates, air agency certificates, and air navigation 

facility certificates. 49 U.S.C. § 44702(a). For most of these certificates, the statute requires the 

Administrator to investigate and make appropriate findings regarding qualifications to hold the 

certificate applied for before the certificate is issued. For example, the Administrator is required 

to investigate and make findings that persons applying for airman certificates are qualified to 

hold those certificates; that aircraft and aircraft engine parts are properly designed and 

manufactured, perform properly, and meet the regulations and minimum standards prescribed 

before issuing a type certificate, and so forth. 49 U.S.C. §§ 44702-44706. Once the 

Administrator finds the applicant is qualified for the certificate applied for, the Administrator is 

required to issue the certificate in question. 

(2) Because the Administrator's responsibility to promote safety in air commerce and air 

transportation is constant, the Administrator must also take appropriate action when the 

Administrator finds, or has reason to believe, the certificate holder no longer possesses the 

qualifications required to hold a certificate. Thus, the statute provides that the Administrator 

"may reinspect at any time a civil aircraft, aircraft engine, propeller, appliance, air navigation 

facility, or air agency or reexamine an airman holding a certificate issued under section 44703 of 

this title," and that the Administrator "may issue an order amending, modifying, suspending or 

revoking . . . any part of a certificate issued under [chapter 447 of the statute] if. . . the 

Administrator decides after conducting a reinspection, reexamination, or other investigation that 

safety in air commerce or air transportation requires that action." 49 U.S.C. §§ 44709(a) and (b) 

(1)(A). 

(3) Revocation is the appropriate remedy for conduct that demonstrates that a certificate 

holder lacks either the technical proficiency or the degree of care, judgment, and responsibility, 

required for the certificate and ratings held. The proper standard for revocation is not whether 

specific violations demonstrate a failure to exercise the necessary qualifications of a certificate 

holder, but rather whether the violations demonstrate that the holder has never possessed or no 

longer possesses such qualifications. Similarly, suspension until demonstration of qualification 

is appropriate when the agency has reason to believe the certificate holder may lack the required 

competence to hold a certificate and generally when the certificate holder fails or refuses to be 

reexamined. In either case, using the factors normally applied to select a sanction in punitive 

suspension cases is neither required nor appropriate. 

b. Misconduct Generally Warranting Revocation. 

(1) The FAA has concluded that by their nature, some acts of misconduct are so 

egregious as to demonstrate the certificate holder never possessed or no longer possesses the 

qualifications required to hold any airman certificate and other certificates. Therefore, such acts 

of misconduct warrant revocation of all airman certificates and other certificates held by the 

certificate holder. Such acts include: making a fraudulent or intentionally false statement; 

operating an aircraft while under the influence of alcohol or drugs, or with an alcohol 

concentration of .04 percent or above, or within 8 hours of consuming alcohol, in violation of 

14 C.F.R. § 91.17(a); operating a civil aircraft within the United States with knowledge that 

narcotic drugs, marijuana, and depressant or stimulant drugs or substances as defined in federal 

7-17 
10/01/07 2150.3B 

or state statutes are cartied in the aircraft, in violation of 14 C.F.R. § 91.19(a); refusing to submit 

to a drug or alcohol test; and conviction for the violation of any federal or state statute relating 

to the growing, processing, manufacture, sale, disposition, possession, transportation, or 

importation of narcotic drugs, marijuana, depressant or stimulant drugs or substances involving 

the use of an aircraft, the exercise of the privileges of the alleged violator's airman certificate to 

further the prohibited conduct, or more than one drug conviction of any kind within the scope of 

14 C.F.R. §§ 61.15(a), 63.12(a), or 65.12(a).^ 

(2) Except for cases under 49 U.S.C. §§ 44106, 44710, 44726, and 46111, there may be 

unique circumstances for which a sanction other than revocation is wartanted. Because 

of the serious implications for aviation safety raised by these cases, however, FAA legal counsel 

coordinates any decision to seek a sanction other than revocation with the Assistant Chief 

Counsel for Enforcement. In addition, legal counsel documents the basis for that decision in the 

case file. 

c. Intentionally False or Fraudulent Statements. 

(1) In general, the FAA considers the making of intentionally false or fraudulent 

statements so serious an offense that it results in revocation of all certificates held by the 

certificate holder. See, for example. Administrator v. Twomey, 5 NTSB 1258 (1986), aff'd 

821 F.2d 63 (1st Cir. 1987) (violation of 14 C.F.R. § 67.20(a)). Falsification has a serious effect 

on the integrity of the records on which the FAA's safety oversight depends. If the reliability of 

these records is undermined, the FAA's ability to promote aviation safety is compromised. 

(2) The FAA has handled differently one area of intentional falsification - omitting 

information related to alcohol- or drug-related convictions, and other similar convictions, from 

applications for airman medical certification. In FAA Order 2150.3A, Compliance and 

Enforcement (C & E) Bulletin No. 90-2, issued on February 6, 1990, the agency's policy called 

for the following sanctions: revoking the alleged violator's current medical certificate, if any, 

and suspending any airman or ground instructor certificates for 60 days when the falsification 

involved omitting from the application for medical certification information on a single driving 

while intoxicated or driving under the influence (DUl) conviction; revoking any current medical 

certificate and suspending any airman or ground instructor certificates for 180 days when the 

falsification involved omitting information on a single drug conviction for simple possession 

from the application for medical certification; and revoking any current medical and any airman 

or ground instructor certificates when the falsification involved omitting information on more 

than one DUI conviction, or a conviction for more than simple possession, or more than two drug 

convictions of any type. 

(3) The FAA has reevaluated the sanction guidance contained in C & E Bulletin 

^ A drug conviction within the scope of 14 C.F.R. §§ 61.15(a), 63,12(a), or 65.12(a) that does not involve the use of 

an aircraft or the exercise of the privileges of the alleged violator's certificate also can warrant revocation in some 

circumstances. Revocation is appropriate where the totality of the circumstances underlying the conviction indicates 

that the alleged violator lacks the judgment, responsibility, and compliance attitude required of an airman. This 

determination must be made on a case-by-case basis. 

7-18 
10/01/07 2150.3B 

No. 90-2, and has concluded that the sanction guidance for fraudulent or intentional falsification 

should be the same regardless of the type of case involved. The FAA has determined that 

falsification in the cases described in C & E Bulletin No. 90-2 has the same potentially adverse 

consequences for aviation safety as does falsification of any other record. In essence, a person 

who fraudulently or intentionally falsifies these records demonstrates the same lack of care, 

judgment, and responsibility as a person who falsifies any other aviation safety-related records. 

To correct the anomaly created by C & E Bulletin No. 90-2, the FAA rescinds the sanction 

guidance regarding intentionally false or fraudulent statements in that bulletin and withdraws the 

Notice of Enforcement Policy found at 54 Fed. Reg. 15144 (1989). 

12. General Guidance for Using the Sanction Guidance Table for Unruly Passenger 

Conduct Under 49 U.S.C. § 46318. 

a. General Purpose and Policy. 

(1) The table at Appendix B, part II, Figure B-3-p provides the suggested sanction ranges 

for a single act of unruly conduct by a passenger subject to the provisions of 49 U.S.C. § 46318. 

See also Crew Interference (Unruly Passengers), chapter 4, paragraph 14. They provide general 

guidance only about how to apply the agency's civil penalty authority under 49 U.S.C. § 46318. 

The sanction guidance tables do not supplant the agency's judgment or its prosecutorial 

discretion in evaluating a particular case for enforcement action. 

(2) Whether a particular passenger's unruly act wairants a sanction within or outside the 

sanction range, or in the exercise of prosecutorial discretion a decision not to proceed with 

enforcement action depends on the totality of the circumstances in a particular case. Where the 

mitigating and aggravating factors described in chapter 7, paragraph 4 are also present in a 

49 U.S.C. § 46318 case, FAA enforcement personnel applying the sanction ranges at Appendix 

B, part II, Figure B-3-p consider those factors in selecting an appropriate sanction within or 

outside the range. The variety of conduct subject to 49 U.S.C. § 46318 and the varied facts and 

circumstances within which unruly conduct may occur, may also warrant consideration of other 

mitigating and aggravating factors unique to unruly passenger conduct. Some of these additional 

factors are set forth in chapter 7, subparagraphs 12.b. and c. 

b. Additional Aggravating Factors to Consider. In addition to the factors described in 

chapter 7, paragraph 4, FAA enforcement personnel consider other potentially aggravating 

factors in chapter 7, subparagraphs 12.b.(l)-(7) in the selection of an appropriate sanction within 

or outside the sanction range. 

(1) The severity of the unruly conduct. The severity of the conduct may be indicated by 

several factors, including: 

• The physical characteristics of the individual committing the unruly conduct 

contrasted with those of the victim. 

• The nature of the conduct itself 

• The extent of any injury inflicted. 

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10/01/07 2150.3B 

(2) Whether the unruly conduct occurred when the aircraft was in flight or while 

passengers were boarding or deplaning. Certain unruly conduct that occurs during flight or on a 

crowded boarded flight may be more aggravating than the same conduct that occurs while 

passengers are deplaning. 

(3) Whether the unruly conduct was directed at a crewmember or a passenger. Because 

a crewmember has safety duties to perform on a flight, unruly conduct against a crewmember 

may be more aggravating than the same unruly conduct directed at an individual who does not 

have any safety duties to perform on the flight. 

(4) Whether the unruly passenger provoked the situation that resulted in the unruly 

conduct. For instance, a passenger who instigates a confrontation, or a passenger who mixes 

alcohol with prescribed or over-the-counter drugs that the passenger claims precipitated the 

unruly conduct. 

(5) Whether the unruly conduct necessitated that the flight be diverted from its intended 

destination. 

(6) Whether the unruly conduct necessitated that the flight crew call ahead for law 

enforcement to meet the flight on arrival. 

(7) Whether the unruly conduct was inflicted with malice or in anger. 

c. Additional Mitigating Factors to Consider. The factors listed in chapter 7, 

subparagraphs 12.c.(l)-(3) may justify a sanction below the sanction range, or in the agency's 

prosecutorial discretion, may justify a decision not to prosecute a passenger's unruly conduct. 

(1) Whether the unruly passenger has already served a criminal sentence for the same 

conduct or has already made monetary restitution in the context of a criminal prosecution for the 

same conduct. 

(2) Whether the passenger's unruly conduct was caused by a diagnosed medical or 

mental condition for which the passenger was receiving medical treatment. 

(3) Whether the unruly conduct was a reasonable response to a provocation by another. 

However, a passenger's use of unreasonable force in response to a provocation by another 

individual on the aircraft would not constitute a mitigating factor. 

d. When to Apply the Sanction Range for Acts Posing an "Imminent Threat" to Safety 

of the Aircraft or Others on Board the Aircraft. 

(1) The sanction range at Appendix B, part II, Figure B-3-p for an act that poses an 

imminent threat to safety of aircraft or other individuals on the aircraft applies when there is an 

imminent threat to the safety of the aircraft or to the collective safety of others on board the 

aircraft. For example, a passenger attempting to open an emergency exit door would be an 

imminent threat to the safety of the aircraft. If the imminent threat to safety is directed to 

7-20 
10/01/07 2150.3B 

specific individuals on the aircraft, then the sanction range for physical assault or threatened 

physical at Appendix B, part II, Figure B-3-p applies. 

(2) In selecting an appropriate sanction within or outside the sanction range for an act 

posing an imminent safety threat, FAA enforcement personnel consider whether the resultant 

imminent threat was the unintended consequence of the passenger's careless or reckless act or 

whether the passenger intended the consequences. The former would justify a sanction toward 

the low end of the range, while the latter would justify a sanction toward the maximum range. 

e. Applicable Sanction Ranges for Security Officers or Others Assigned a Law 

Enforcement Function on a Flight (for example, Federal Air Marshals Assigned to the 

Flight). FAA enforcement personnel apply the sanction range applicable to physical assaults or 

threatened physical assaults on crewmembers (Appendix B, part II, Figure B-3-p). 

f. Applying Unruly Passenger Sanction Guidance Tables to Multiple Acts. 

When applying the table to multiple acts by an unruly passenger, FAA enforcement personnel 

consider not only the individual unruly acts committed, but also the collective consequences of 

all the unruly behavior. FAA enforcement personnel do not approach the sanction determination 

for multiple acts as a mechanical exercise of multiplying the number of separate acts of unruly 

behavior by a sanction amount in the range for a single act. Instead, they use the guidance in the 

table and exercise their judgment as to the seriousness of the conduct, given the totality of 

circumstances, to determine an appropriate sanction amount that will deter future violations by 

the unruly passenger and others similarly situated. 

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