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Fro mth e U.S . Cod e Onlin e vi a GP O Acces s [wvfw.gpoacces s .gov ] tLaw s i n effec t a s o f Januar y3 , 2007 J [CITE : 49DSC46301 ] [Pag e 911-917 ) TITL E 49—TRANSPORTATIO N SUBTITL E VII—AVIATIO NPROGRAM S PAR T A—AI R COMMERC E AN D SAFET Y subpar t iv—enforcemen t an d penaltie s

CHAPTE R 463—PENALTIE S
Sec . 46301 . Civi l penaltie s (a ) Genera l Penalty.—(1 ) Aperso n i s liabl e t o th e Unite d State s Governmen t fo r a civi l penalt yo f no t mor e tha n $25,00 0 (o r $1,10 0 i f th e perso n i s a n individua l o r smal l busines s concern ) fo r violating —

(A ) chapte r 40 1 (excep t section s 40103(a ) an d (d ) , 40105 , 40116 , an d 40117) , chapte r 411 , chapte r 41 3 (excep t section s 4130 7 an d 41310(b)-(f)) , chapte r 41 5 (excep t section s 41502 , 41505 , an d 41507
- 41509) , chapte r 41 7 (excep t section s 41703 , 41704 , 41710 , 41713 , an d 41714) , chapte r 419 , subchapte r I I o r II I o f chapte r 421 , chapte r 44 1 (excep t sectio n 44109) , sectio n 44502(b ) o r (c) , chapte r 44 7 (excep t section s 4471 7 an d 44719-44723) , chapte r 44 9 (excep t section s 44902 , 44903(d) , 44904 , 44907(a)-(d)(1)(A ) an d (d)(1)(C)
- (f) , an d 44908) , sectio n 47107(b ) (includin g an yassuranc e mad e unde r suc h section) , o r sectio n 4713 3 o f thi s title ; (B ) a regulatio n prescribe d o r orde r issue d unde r an yprovisio n t o whic h claus e (A ) o f thi s paragrap h applies ; (C ) an yter mo f a certificat e o r permi t issue d unde r sectio n 41102 , 41103 , o r 4130 2 o f thi s title ; o r (D ) a regulatio n o f th e Unite d State s Posta l Servic e unde r thi s part . (2 ) Aseparat e violatio n occur s unde r thi s subsectio n fo r eac h da y th e violatio n (othe r tha n a violatio n o f sectio n 41719 ) continue s or , i f applicable , fo r eac h fligh t involvin g th e violatio n (othe r tha n a violatio n o f sectio n 41719) . (3 ) Penalt yfo r diversio n o f aviatio n revenues.—Th e amoun t o f a civi l penalt yassesse d unde r thi s sectio n fo r a violatio n o f sectio n 47107(b ) o f thi s titl e (o r an yassuranc e mad e unde r suc h section ) o r sectio n 4713 3 o f thi s titl e ma yb e increase d abov e th e otherwis e applicabl e maximu m amoun t unde r thi s sectio n t o a n amoun t no t t o excee d 3 time s th e amoun t o f revenue s tha t ar e use d i n violatio n o f suc h section . (4 ) Aviatio n securit yviolations.--Notwithstandin g paragrap h (1 ) o f thi s subsection , th e maximu m civi l penalt yfo r violatin g chapte r 44 9 o r anothe r requiremen t unde r thi s titl e administere d b yth e Unde r Secretar y o f Transportatio n fo r Securit yshal l b e $10,000 ; excep t tha t th e maximu m civi l penalt yshal l b e $25,00 0 i n th e cas e o f a perso n operatin g a n aircraf t fo r th e transportatio n o f passenger s o r propert yfo r compensatio n (excep t a n individua l servin g a s a n airman) . (5 ) Penaltie s appliccibl e t o individual s an d smal l busines s concerns,- -

(A ) A n individua l (excep t a n airma n servin g a s a n airman ) o r smal l busines s concer n i s liabl e t o th e Governmen t fo r a civi l penalt yo f no t mor e tha n $10,00 0 fo r violating —

(i ) chapte r 40 1 (excep t section s 40103(a ) an d (d) , 40105 , 40106(b) , 40116 , an d 40117) , sectio n 4450 2 (b ) o r (c) , chapte r 44 7 (excep t section s 44717-44723) , o r chapte r 44 9 (excep t section s 44902 , 44903(d) , 44904 , an d 44907-44909 ) o f thi s title ; o r (ii ) a regulatio n prescribe d o r orde r issue d unde r an y provisio n t o whic h claus e (i ) applies . (B ) Acivi l penalt yo f no t mor e tha n $10,00 0 ma yb e impose d fo r eac h violatio n unde r paragrap h (1 ) committe d b ya n individua l o r smal l busines s concer n relate d to- -

(i ) th e transportatio n o f hazardou s material ; (ii ) th e registratio n o r recordatio n unde r chapte r 44 1 o f a n aircraf t no t use d t o provid e ai r transportation ; (iii ) a violatio n o f sectio n 44718(d) , relatin g t o th e limitatio n o n constructio n o r establishmen t o f landfills ; (iv ) a violatio n o f sectio n 44725 , relatin g t o th e saf e 

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disposa l o f life-limite d aircraf t parts ; o r (v ) a violatio n o f sectio n 4012 7 o r sectio n 41705 , relatin g t o discrimination . (C ) Notwithstandin g paragrap h (1) , th e maximu mcivi l penalt yfo r a violatio n o f sectio n [[Pag e 912] ] 4171 9 committe d b ya n individua l o r smal l busines s concer n shal l b e $5,00 0 instea d o f $1,000 . (D ) Notwithstandin g paragrap h (1) , th e maximu mcivi l penalt yfo r a violatio n o f sectio n 4171 2 (includin g a regulatio n prescribe d o r orde r issue d unde r suc h section ) o r an yothe r regulatio n prescribe d b yth e Secretar yb ya n individua l o r smal l busines s concer n tha t i s intende d t o affor d consume r protectio n t o commercia l ai r transportatio n passenger s shal l b e $2,50 0 fo r eac h violation . (b ) Smok e Alar m

Devic e Penalty.—(1 ) Apassenge r ma yno t tampe r with , disable , o r destro ya smolc e alar mdevic e locate d i n a lavator yo n a n aircraf t providin g ai r transportatio n o r intrastat e ai r transportation . (2 ) A n individua l violatin g thi s subsectio n i s liabl e t o th e Governmen t fo r a civi l penalt yo f no t mor e tha n $2,000 . (c ) Procedura l Requirements.—(1 ) Th e Secretar yo f Transportatio n ma yimpos e a civi l penalt yfo r th e followin g violation s onl yafte r notic e an d a n opportunit yfo r a hearing :

(A ) a violatio n o f subsectio n (b ) o f thi s sectio n o r chapte r 411 , chapte r 41 3 (excep t section s 4130 7 an d 41310(b)-(f)) , chapte r 41 5 (excep t section s 41502 , 41505 , an d 41507-41509) , chapte r 41 7 (excep t section s 41703 , 41704 , 41710 , 41713 , an d 41714) , chapte r 419 , subchapte r I I o f chapte r 421 , o r sectio n 4490 9 o f thi s title . (B ) a violatio n o f a regulatio n prescribe d o r orde r issue d unde r an yprovisio n t o whic h claus e (A ) o f thi s paragrap h applies . (C ) a violatio n o f an yter m o f a certificat e o r permi t issue d unde r sectio n 41102 , 41103 , o r 4130 2 o f thi s title . (D ) a violatio n unde r subsectio n (a)(1 ) o f thi s sectio n relate d t o th e transportatio n o f hazardou s material . (2 ) Th e Secretar yshal l giv e writte n notic e o f th e findin g o f a violatio n an d th e civi l penalt yunde r paragrap h (1 ) o f thi s subsection . (d ) Administrativ e Impositio n o f Penalties.--(1 ) I n thi s subsection —

(A ) "fligh t engineer' ' mean s a n individua l wh o hold s a fligh t enginee r certificat e issue d unde r par t 6 3 o f titl e 14 , Cod e o f Federa l Regulations . (B ) "mechanic' ' mean s a n individua l wh o hold s a mechani c certificat e issue d unde r par t 6 5 o f titl e 14 , Cod e o f Federa l Regulations . (C ) ""pilot' ' mean s a n individua l wh o hold s a pilo t certificat e issue d unde r par t 6 1 o f titl e 14 , Cod e o f Federa l Regulations . (D ) ""repairman' ' mean s a n individua l wh o hold s a repairma n certificat e issue d unde r par t 6 5 o f titl e 14 , Cod e o f Federa l Regulations . (2 ) Th e Administrato r o f th e Federa l Aviatio n Administratio n ma y impos e a civi l penalt yfo r a violatio n o f chapte r 40 1 (excep t section s 40103(a ) an d (d ) , 40105 , 40106(b) , 40116 , an d 40117) , chapte r 44 1 (excep t sectio n 44109) , sectio n 44502(b ) o r (c ) , chapte r 44 7 (excep t section s 4471 7 an d 44719-44723 ) o r sectio n 46301(b) , 4630 2 (fo r a violatio n relatin g t o sectio n 46504) , 46318 , o r 47107(b ) (a s furthe r define d b yth e Secretar yunde r sectio n 47107(1 ) an d includin g an y assuranc e mad e unde r sectio n 47107(b) ) o f thi s titl e o r a regulatio n prescribe d o r orde r issue d unde r an yo f thos e provisions . Th e Secretar y o f Homelan d Securit yma yimpos e a civi l penalt yfo r a violatio n o f chapte r 44 9 (excep t section s 44902 , 44903(d) , 44907(a)-(d ) (1 ) (A ) , 44907(d)(1)(C)-(f) , 44908 , an d 44909) , 4630 2 \1 \ (excep t fo r a violatio n relatin g t o sectio n 46504) , 46303 , \1 \ o r a regulatio n prescribe d o r orde r issue d unde r suc h chapte r 449 . Th e Secretar yo f Homelan d Securit y o r Administrato r shal l giv e writte n notic e o f th e findin g o f a violatio n an d th e penalty . \ 1 \ S o i n original . Probabl yshoul d b e precede d b y""section'' . (3 ) I n a civi l actio n t o collec t a civi l penalt yimpose d b yth e Secretar yo f Homelan d Securit yo r Administrato r unde r thi s subsection , th e issue s o f liabilit yan d th e amoun t o f th e penalt yma yno t b e reexamined . (4 ) Notwithstandin g paragrap h (2 ) o f thi s subsection , th e distric t court s o f th e Unite d State s hav e exclusiv e jurisdictio n o f a civi l 

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actio n involvin g a penalt yth e Secretar yo f Homelan d Securit yo r Administrato r initiate s if —

(A ) th e amoun t i n controvers yi s mor e than — (i ) $50,00 0 i f th e violatio n wa s committe d b yan yperso n befor e th e dat e o f enactmen t o f th e Visio n 100—Centur yo f Aviatio n Reauthorizatio n Act ; (ii ) $400,00 0 i f th e violatio n wa s committe d b ya perso n othe r tha n a n individua l o r smal l busines s concer n o no r afte r tha t date ; o r (iii ) $50,00 0 i f th e violatio n wa s committe d b ya n individua l o r smal l busines s concer n o n o r afte r tha t date ; (B ) th e actio n i s i n re mo r anothe r actio n i n re mbase d o n th e sam e violatio n ha s bee n brought ; (C ) th e actio n involve s a n aircraf t subjec t t o a lie n tha t ha s bee n seize d b yth e Government ; o r (D ) anothe r actio n ha s bee n brough t fo r a n injunctio n base d o n th e sam e violation . (5)(A ) Th e Administrato r ma yissu e a n orde r imposin g a penalt yunde r thi s subsectio n agains t a n individua l actin g a s a pilot , fligh t engineer , mechanic , o r repairma n onl yafte r advisin g th e individua l o f th e charge s o r an yreaso n th e Administrato r relie d o n fo r th e propose d penalt yan d providin g th e individua l a n opportunit yt o answe r th e charge s an d b e hear d abou t wh yth e orde r shal l no t b e issued . (B ) A n individua l actin g a s a pilot , fligh t engineer , mechanic , o r repairma n ma yappea l a n orde r imposin g a penalt yunde r thi s subsectio n t o th e Nationa l Transportatio n Safet yBoard . Afte r notic e an d a n opportunit yfo r a hearin g o n th e record , th e Boar d shal l affirm , modify , o r revers e th e order . Th e Boar d ma ymodif ya civi l penalt yimpose d t o a suspensio n o r revocatio n o f a certificate . (C ) whe n conductin g a hearin g unde r thi s paragraph , th e Boar d i s no t boun d b yfinding s o f fac t o f th e Administrato r bu t i s boun d b yal l validl yadopte d interpretation s o f law s an d regulation s th e Administrato r carrie s ou t an d o f writte n agenc ypolic yguidanc e availabl e t o th e publi c relate d t o sanction s t o b e impose d unde r thi s sectio n unles s th e Boar d find s a n interpretatio n i s arbitrary , capricious , o r otherwis e no t accordin g t o law . [[Pag e 913] ] (D ) Whe n a n individua l file s a n appea l wit h th e Boar d unde r thi s paragraph , th e orde r o f th e Administrato r i s stayed . (6 ) A n individua l substantiall yaffecte d b ya n orde r o f th e Boar d unde r paragrap h (5 ) o f thi s subsection , o r th e Administrato r whe n th e Administrato r decide s tha t a n orde r o f th e Boar d unde r paragrap h (5 ) wil l hav e a significan t advers e impac t o n carryin g ou t thi s part , ma y obtai n judicia l revie wo f th e orde r unde r sectio n 4611 0 o f thi s title . Th e Administrato r shal l b e mad e a part yt o th e judicia l revie w proceedings . Finding s o f fac t o f th e Boar d ar e conclusiv e i f supporte d b ysubstantia l evidence . (7)(A ) Th e Administrato r ma yimpos e a penalt yo n a perso n (excep t a n individua l actin g a s a pilot , fligh t engineer , mechanic , o r repairman ) onl yafte r notic e an d a n opportunit yfo r a hearin g o n th e record . (B ) I n a n appea l fro ma decisio n o f a n administrativ e la wjudg e a s th e resul t o f a hearin g unde r subparagrap h (A ) o f thi s paragraph , th e Administrato r shal l conside r onl ywhether-
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(i ) eac h findin g o f fac t i s supporte d b ya preponderanc e o f reliable , probative , an d substantia l evidence ; (ii ) eac h conclusio n o f la wi s mad e accordin g t o applicabl e law , precedent , an d publi c policy ; an d (iii ) th e judg e committe d a prejudicia l erro r tha t support s th e appeal . (C ) Excep t fo r goo d cause , a civi l actio n involvin g a penalt yunde r thi s paragrap h ma yno t b e initiate d late r tha n 2 year s afte r th e violatio n occurs . (D ) I n th e cas e o f a violatio n o f sectio n 47107(b ) o f thi s titl e o r an yassuranc e mad e unde r suc h section-

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(i ) a civi l penalt yshal l no t b e assesse d agains t a nindividual ; (ii ) a civi l penalt yma yb e compromise d a s provide d unde r subsectio n (f) ; an d (iii ) judicia l revie wo f an yorde r assessin g a civi l penalt yma y b e obtaine d onl ypursuan t t o sectio n 4611 0 o f thi s title . (8 ) Th e maximu m

civi l penalt yth e Unde r Secretary , Administrator , o r Boar d m^ yimpos e unde r thi s subsectio n is-

-

(A ) $50,00 0 i f th e violatio n wa s committe d b yan yperso n befor e th e dat e o f enactmen t o f th e Visio n 100--Centur yo f Aviatio n Reauthorizatio n Act ; 

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(B ) $400,00 0 i f th e violatio n wa s committe d b ya perso n othe r tha n a n individua l o r smal l busines s concer n o n o r afte r tha t date ; o r (C ) $50,00 0 i f th e violatio n wa s committe d b ya n individua l o r smal l busines s concer n o n o r afte r tha t date . (9 ) Thi s subsectio n applie s onl yt o a violatio n occurrin g afte r Augus t 25 , 1992 . (e ) Penalt yConsiderations.—I n determinin g th e amoun t o f a civi l penalt yunde r subsectio n (a ) (3 ) o f thi s sectio n relate d t o transportatio n o f hazardou s material , th e Secretar yshal l consider —

(1 ) th e nature , circumstances , extent , an d gravit yo f th e violation ; (2 ) wit h respec t t o th e violator , th e degre e o f culpability , an y histor yo f prio r violations , th e abilit yt o pay , an d an yeffec t o n th e abilit yt o continu e doin g business ; an d (3 ) othe r matter s tha t justic e requires . (f ) Compromis e an d Setoff.—(1)(A ) Th e Secretar yma ycompromis e th e amoun t o f a civi l penalt yimpose d fo r violating —

(i ) chapte r 40 1 (excep t section s 40103(a ) an d (d ) , 40105 , 40116 , an d 40117) , chapte r 44 1 (excep t sectio n 44109) , sectio n 44502(b ) o r (c) , chapte r 44 7 (excep t section s 4471 7 an d 44719-44723) , o r chapte r 44 9 (excep t section s 44902 , 44903(d) , 44904 , 44907(a)-(d)(1)(A ) an d (d)(1)(C)-(f) , 44908 , an d 44909 ) o f thi s title ; o r (ii ) a regulatio n prescribe d o r orde r issue d unde r an yprovisio n t o whic h claus e (i ) o f thi s subparagrap h applies . (B ) Th e Posta l Servic e ma ycompromis e th e amoun t o f a civi l penalt y impose d unde r subsectio n (a)(1)(D ) o f thi s section . (2 ) Th e Governmen t ma ydeduc t th e amoun t o f a civi l penalt yimpose d o r compromise d unde r thi s subsectio n fro mamount s i t owe s th e perso n liabl e fo r th e penalty . (g ) Judicia l Review.—A n orde r o f th e Secretar yo r th e Administrato r imposin g a civi l penalt yma yb e reviewe d judiciall yonl yunde r sectio n 4611 0 o f thi s title . (h ) Nonapplication.—(1 ) Thi s sectio n doe s no t appl yt o th e followin g whe n performin g officia l duties :

(A ) a membe r o f th e arme d force s o f th e Unite d States . (B ) a civilia n employe e o f th e Departmen t o f Defens e subjec t t o th e Unifor mCod e o f Militar yJustice . (2 ) Th e appropriat e militar yauthorit yi s responsibl e fo r takin g necessar ydisciplinar yactio n an d submittin g t o th e Secretar y(o r th e Unde r Secretar yo f Transportatio n fo r Securit ywit h respec t t o securit y dutie s an d power s designate d t o b e carrie d ou t b yth e Unde r Secretar yo r th e Administrato r wit h respec t t o aviatio n safet ydutie s an d power s designate d t o b e carrie d ou t b yth e Administrator ) a timel yrepor t o n actio n taken . (i ) Smal l Busines s Concer n Defined.—I n thi s section , th e ter m ""smal l busines s concern' ' ha s th e meanin g give n tha t ter mi n sectio n 3 o f th e Smal l Busines s Ac t (1 5 U.S.C . 632) . (Pub . L . 103-272 , Sec . 1(e) , Jul y5 , 1994 , 10 8 Stat . 1231 ; Pub . L . 103
- 305 , titl e I , Sec . 112(c) , titl e II , Sec . 207(c) , Aug . 23 , 1994 , 10 8 Stat . 1575 , 1588 ; Pub . L . 103-429 , Sec . 6(60) , Oct . 31 , 1994 , 10 8 Stat . 4385 ; Pub . L . 104-264 , titl e V , Sec . 502(c) , titl e VIII , Sec . 804(b) , titl e XII , Sec . 1220(b) , Oct . 9 , 1996 , 11 0 Stat . 3263 , 3271 , 3286 ; Pub . L . 104-287 , Sec . 5(77) , Oct . 11 , 1996 , 11 0 Stat . 3396 ; Pub . L . 105-102 , Sec . 3(c)(4) , Nov . 20 , 1997 , 11 1 Stat . 2215 ; Pub . L . 106-181 , titl e II , Sec . 222 , titl e V , Sec . Sec . 503(c) , 504(b) , 519(c) , titl e VII , Sec . Sec . 707(b) , 720 , Apr . 5 , 2000 , 11 4 Stat . 102 , 133 , 134 , 149 , 158 , 163 ; Pub . L . 106-424 , Sec . 15 , Nov . 1 , 2000 , 114 Stat . 1888 ; Pub . L . 107-71 , titl e I , Sec . 140(d ) (1)-(4 ) , Nov . 19 , 2001 , 11 5 Stat . 642 ; Pub . L . 107-296 , titl e XVI , Sec . 1602 , Nov . 25 , 2002 , 11 6 Stat . 2312 ; Pub . L . 108-176 , titl e V , Sec . 503(a)-(c) , Dec . 12 , 2003 , 11 7 Stat . 2557 , 2558 ; Pub . L . 108-458 , titl e IV , Sec . 4027(a) , Dec . 17 , 2004 , 11 8 Stat . 3727. ) [[Pag e 914] ]

Historica l an d Revisio n Note s Pub . L . 103-27 2 Revise d Sectio n Sourc e (U.S . Code ) Sourc e (Statute s a t Large ) 46301(a ) 4 9 App.:130 3 (note) . Nov . 18 , 1988 , Pub . L . 100-690 , Sec . 7214 , 10 2 Stat . 4434 . 4 9 App..-140 5 (las t sentence) . Aug . 23 , 1958 , Pub . 1 . 85-726 , Sec . 

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4 9 App.:1471(a)(1 ) (1st , 2d sentence s les s subchapte r VII ) .

4 9 App.:1655(c ) (1 ) .
46301(b ) 4 9 App.:1374(d ) (2 )

46301(c ) 4 9 App.:1471(a)(1 ) (3d , 5t h sentence s les s subchapte r VII ) . 4 9 App . : 1551(b ) (1 ) (E ) .
46301(d ) (1 ) 4 9 App . : 147 1 (a ) (3 ) (H )

46301(d)(2 ) 49App.:130 3 (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 ) 4 9 App.:1471(a)(3)(A) . 4 9 App.:1471(a)(3)(B) . 4 9 App.:1471(a)(3)(C) . 4 9 App.:1471(a ) (3)(D)(i)-(iv) . 4 9 App.:1471(a ) (3)(D)(v ) (les s Administrato r unde r subch . VII ) . 4 9 App.:1471(a)(3)(E) . 4 9 App . :1471(a ) (3 ) (G ) . 4 9 App.:1471(a)(3)(F) . 4 9 App.:1471(a)(1 ) (4t h sentenc e les s subchapte r Vil) . 4 9 App.:1471(a)(2 ) (relate d t o subchapte r III , V , VI , o r XII , Sec . 1501 , 1514 , o r 1515(e ) (2 ) (B) , an d Posta l Service) .

4 9 App.:1551(b)(1)(E) . 4 9 App.:1471(a)(1 ) (6t h sentenc e les s subchapte r VII ) 4 9 App.:1551(b)(1)(E) . 4 9 App.:1471(a)(1 ) (las t sentenc e les s subchapte r VII ) 4 9 App.:1551(b)(1)(E) . 50 5 (las t sentence) , 7 2 Stat . 774 . Aug . 23 , 1958 , Pub . L . 85-726 , Sec . 901(a)(1 ) (les s titl e VII) , 7 2 Stat . 783 ; restate d Jul y10 , 1962 , Pub . L . 87-528 , Sec . 12 , 7 6 Stat . 149 ; Aug . 5 , 1974 , Pub . L . 93-366 , Sec . 107 , 8 8 Stat . 414 ; Jan . 3 , 1975 , Pub . L . 93
- 633 , Sec . 113(b) , 8 8 Stat . 2162 ; Oct . 24 , 1978 , Pub . L . 95-504 , Sec . 35(a) , 9 2 Stat . 1740 ; Aug . 8 , 1985 , Pub , L . 99-83 , Sec . 551(b)(2) , 9 9 Stat . 225 ; Dec . 30 , 1987 , Pub . L . 100-223 , Sec . 204(a)
- (c) , 10 1 Stat . 1519 ; Nov , 18 , 1988 , Pub . L . 100-690 , Sec . 7208(a) , 10 2 Stat . 4429 . Oct . 15 , 1966 , Pub . L . 89-670 , Sec . 6(c)(1) , 8 0 Stat . 938 ; Jan . 12 , 1983 , Pub . L . 97-449 , Sec . 7(b) , 9 6 Stat . 2444 . Aug . 23 , 1958 , Pub . L . 85-726 , 7 2 Stat . 731 , Sec . 404(d)(2) ; adde d Dec . 22 , 1987 , Pub . L . 100-202 , Sec . 328(a) , 10 1 Stat . 1329-383 .
Aug . 23 , 1958 , Pub . L . 85-726 , 7 2 Stat . 731 , Sec . 1601(b)(1)(E) ; adde d Oct . 4 , 1984 , Pub . L . 98-443 , Sec . 3(e) , 9 8 Stat . 1704 . Aug . 23 , 1958 , Pub . L . 85-726 , 7 2 Stat . 731 , Sec . 901(a)(3 ) (les s (D ) (v ) (relate d t o Administrato r unde r titl e VII)) ; adde d Nov . 18 , 1988 , Pub . L . 100-690 , Sec . 7208(b) , 10 2 Stat . 4429 ; restate d Aug . 26 , 1992 , Pub . L . 102-345 , Sec . 2(a) , 10 6 Stat . 923 ; Oct . 31 , 1992 , Pub . L . 102-581 , Sec . 208 , 10 6 Stat . 4895 . Nov . 18 , 1988 , Pub . L . 100-690 , Sec . 7214 , 10 2 Stat . 4434 .

Aug . 23 , 1958 , Pub . L . 85-726 , Sec . 901(a)(2 ) (relate d t o titl e III , V , VI , o r XII , Sec . 1101 , 1114 , o r 1115(e ) (2 ) (B) , an d Postmaste r General) , 7 2 Stat . 784 ; Jul y10 , 1962 , Pub . L . 87-528 , Sec . 12 , 7 6 Stat . 150 ; restate d Oct . 24 , 1978 , Pub . L . 95-504 , Sec . 35(b) , 9 2 Stat . 1740 ; Dec . 30 , 1987 , Pub . L . 100-223 , Sec . 204(d) , 10 1 Stat . 1519 .

I n thi s section , th e wor d "prescribed' ' i s adde d fo r consistenc yi n th e revise d titl e an d wit h othe r title s o f th e Unite d State s Code . Th e word s "Unite d State s Posta l Service' ' an d "Posta l Service' ' ar e substitute d fo r ""Postmaste r General' ' becaus e o f sectio n 4(a ) o f th e Posta l Reorganizatio n Ac t (Publi c La w91-375 , 8 4 Stat . 773) . I n subsection s (a)(1)(C ) an d (c) , th e word s 'condition , o r limitation' ' ar e omitte d a s surplus . I n subsectio n (a)(2) , befor e claus e (A) , tlie word s "occurrin g afte r 

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Decembe r 30 , 1987' ' ar e omitte d a s obsolete . I n subsectio n (b)(1) , th e wor d 'providing' ' i s substitute d fo r ""engage d in' ' fo r consistenc yi n th e revise d title . I n subsectio n (b)(2) , th e word s "i n accordanc e wit h sectio n 147 1 o f thi s Appendix' ' ar e omitte d a s surplus . I n subsectio n (c)(1) , befor e claus e (A) , th e word s "o r hi s delegate' ' ar e omitte d becaus e o f 49:322(b) . Th e wor d "impose' ' i s substitute d fo r '"assessed' " fo r consistency . Th e word s 'amoun t o f an y such' ' ar e omitte d a s surplus . I n subsectio n (d) , th e wor d impose' ' i s substitute d fo r 'assess' ' fo r consistency . I n subsectio n (d)(1) , befor e claus e (A) , th e word s 'the followin g definition s apply' ' ar e omitte d a s surplus . I n subsectio n (d)(2) , th e tex t o f sectio n 721 4 o f th e Anti-Dru g Abus e Ac t o f 198 8 (Publi c Law100-690 , 10 2 Sta t 4434 ) i s omitte d a s obsolete . Th e word s "o r th e delegat e o f th e Administrator' ' ar e omitte d becaus e o f 49:322(b) . I n subsectio n (d)(4)(C) , th e wor d "'or* ' i s substitute d fo r "and' ' fo r clarity . I n subsectio n (d)(5)(B ) and (7)(A) , th e word s "i n accordanc e wit h sectio n 55 4 o f titl e 5' ' ar e omitte d fo r consistenc yi n th e revise d titl e an d becaus e 5:55 4 applie s t o a hearin g o n th e recor d unles s otherwis e stated . I n subsectio n (d)(5)(B) , th e word s " consisten t wit h thi s subsection' ' ar e omitte d a s surplus . I n subsectio n (d)(5)(C) , th e wor d ""Administrator' ' i s substitute d fo r "'Federa l Aviatio n Administration' ' becaus e o f 49:106(b ) an d (g) . I n subsectio n (d)(7)(B) , befor e claus e (i) , th e word s '"a s th e resul t o f a hearin g unde r subparagrap h (A ) o f thi s paragraph' ' ar e adde d fo r clarity . I n subsectio n (e) , befor e claus e (1) , the word s ""civi l penalt y unde r subsectio n (a ) (3 ) o f thi s sectio n relate d t o transportatio n o f hazardou s material' ' ar e substitute d fo r "such penalty' ' fo r clarity . I n claus e (1) , th e wor d ""comnitted' ' i s omitte d a s surplus . I n subsectio n (f ) (2) , th e wor d "imposed' ' i s substitute d fo r "when finall ydetermine d o r fixe d b yorde r o f th e Board ' ' fo r consistency . Th e word s ""agree d upon' ' ar e omitte d a s surplus . I n subsectio n (g) , the wor d ""imposing' ' i s substitute d fo r ""assessing' ' fo r consistency . I n subsectio n (h)(2) , th e word s "wit h respec t thereto' ' ar e omitte d a s surplus . Th e wor d ""Administrator' ' i n sectio n 901(a)(1 ) o f the Federa l Aviatio n Ac t o f 195 8 (Publi c Law85-726 , 7 2 Stat . 783 ) i s retaine d o n authorit yo f 49:106(g) . Pub . L . 103-42 9 Thi s amend s 49:4630 1 (a ) (1 ) (A ) an d (2 ) (A) , (c)(1)(A) , (d)(2) , an d (f)(1)(A)(i ) t o correc t erroneou s cross-references .

Pub . L . 104-287 , Sec . 5(77 ) (A ) an d (B ) Thes e amend 49:46301(a)(1)(A ) an d (2)(A ) t o correc t error s i n th e codificatio n enacte d b ysectio n 1 o f th e Ac t o f Jul y5 , 199 4 (Publi c Law 103-272 , 10 8 Stat . 1231) , t o includ e i n th e cross-referenc e section s enacte d afte r th e cutof f dat e fo r th e codificatio n o f titl e 4 9 a s enacte d b

ysectio n 1 o f th e Ac t (Publi c La w103-272 , 10 8 Stat . 745) , and t o mak e i t easie r t o includ e futur e section s i n th e cross-referenc e b y restatin g i t i n term s o f chapters . Pub . L . 104-287 , Sec . 5(77 ) (C ) Thi s make s a conformin g amendmen t t o 49:46301(a)(3 )

Pub . L . 104-287 , Sec . 5(77)(D)-(F ) Thes e amend 49:4630 1 (c ) (1 ) (A ) , (d)(2) , an d (f)(l)(A)(i ) t o correc t error s i n the codificatio n enacte d b ysectio n 1 [[Pag e 9151 1 o f th e Ac t o f Jul y5 , 199 4 (Publi c Law103-272 , 10 8 Stat . 1231) , t o includ e i n th e cross-referenc e section s enacte d afte r th e cutof f dat e fo r th e codificatio n o f titl e 4 9 a s enacte d b ysectio n 1 o f th e Ac t (Publi c Law103-272 , 10 8 Stat . 745) , an d t o mak e i t easie r t o includ e futur e section s i n th e cross-referenc e b yrestating i t i n term s o f chapters . 

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Reference s i n Tex t Th e dat e o f enactmen t o f th e Visio n 100—Centur yo f Aviatio n Reauthorizatio n Act , referre d t o i n subsec . (d)(4)(A) , (8) , i s th e dat e o f enactmen t o f Pub . L . 108-176 , whic h wa s approve d Dec . 12 , 2003 . Amendment s 2004—Subsec . (d)(2) . Pub . L . 108-458 , Sec . 402 7 (a ) (1 ) - (3) , substitute d "4630 2 (for a violatio n relatin g t o sectio n 46504),' ' fo r "46302 , 46303,'' , "'The Secretar yo f Homeland Securit ymay' ' fo r "'The Unde r Secretar yo f Transportatio n fo r Securit ymay'' , "44909) , 4630 2 (excep t fo r a violatio n relating t o sectio n 46504) , 46303,' ' fo r '"44909)'' , and "Th e Secretar yo f Homelan d Securit yor' ' fo r ""The Unde r Secretar yor'' . Subsec . (d)(3) . Pub . L . 108-458 , Sec . 4027(a)(3) , substitute d "Secretar yo f Homeland Securit yor' ' fo r "Unde r Secretaryor'' . Subsec . (d)(4) . Pub . L . 108-458 , Sec . 4027(a)(3) , substitute d ""Secretaryo f Homeland Securit yor' ' fo r "Unde r Secretaryor' ' i n introductor yprovisions . Subsec . (d)(4)(A) . Pub . L . 108-458 , Sec . 4027(a)(4) , realigne d margins . 2003—Subsec . (a)(1) . Pub . L . 108-176 , Sec . 503(a)(1) , substitute d ""$25,00 0 (o

r $1,10 0 i f th e perso n i s a n individua l o r smal l busines s concern)' ' fo r "'$1,000' ' i n introductor yprovisions . Subsec . (a)(1)(A) . Pub . L . 108-176 , Sec . 503(a)(2) , (3) , struc k ou t ""or' ' befor e ""sectio n 47107(b)' ' and substitute d "section) , o r sectio n 47133' ' fo r ""section)'' . Subsec . (a)(2) . Pub . L . 108-176 , Sec . 503(a)(5) , substitute d ""sectio n 41719' ' fo r "sectio n 41715' ' i n tw o places . Pub . L . 108-176 , Sec . 503(a)(4) , redesignate d par . (4 ) a s (2 ) and struc k ou t forme r par . (2 ) whic h rea d a s follows : "" Aperso n operatin g a n aircraf t fo r the transportatio n o f passenger s o r propert yfo r compensatio n (excep t a n airma n servin g a s a n airman ) i s liabl e t o th e Governmen t fo r a civi l penalt yo f no t mor e tha n $10,00 0 fo r violating —

"(A ) chapte r 40 1 (excep t section s 40103(a ) an d (d) , 40105 , 40106(b) , 40116 , an d 40117) , sectio n 44502(b ) o r (c) , chapte r 44 7 (excep t section s 44717-44723) , o r chapte r 44 9 (excep t section s 44902 , 44903(d) , 44904 , an d 44907-44909 ) o f thi s title ; o r (B ) a regulatio n prescribe d o r orde r issue d unde r an y provisio n t o whic h claus e (A ) o f thi s paragrap h applies.' ' Subsec . (a)(3) . Pub . L . 108-176 , Sec . 503(a)(4) , redesignate d par . (5 ) a s (3 ) an

d struc k ou t forme r par . (3 ) whic h read a s follows : "' A civi l penalt yo f no t mor e than $10,00 0 ma yb e impose d fo r eac h violatio n unde r paragrap h (1 ) o f thi s subsectio n relate d t o

"(A ) the transportatio n o f hazardou s material ; (B ) th e registratio n o r recordatio n unde r chapte r 44 1 o f thi s titl e o f a n aircraf t no t use d t o provid e ai r transportation ; '"(C ) a violatio n o f sectio n 44718(d) , relatin g t o the limitatio n o n constructio n o r establishmen t o f landfills ; '"(D ) a violatio n o f sectio n 44725 , relating t o th e saf e disposa l o f life-limite d aircraf t parts ; o r (E ) a violatio n o f sectio n 41705 , relatin g t o discriminatio n agains t handicappe d individuals.' ' Subsec . (a)(4) . Pub . L . 108-176 , Sec . 503(a)(6) , substitute d ""paragraph (1)' ' fo r "paragraph s (1 ) and (2)'' . Pub . L . 108-176 , Sec . 503(a)(4) , redesignate d par . (8 ) a s (4) . Forme r par . (4 ) redesignate d (2) . Subsec . (a)(5) . Pub . L . 108-176 , Sec . 503(a)(7) , adde d par . (5) . Forme r par . (5 ) redesignate d (3) . Subsec . (a)(6) . Pub . L . 108-176 , Sec . 503(a)(4) , struc k ou t headin g and tex t o f par . (6) . Tex t rea d a s follows : ""Notwithstanding paragrap h (1) , th e maximu

mcivi l penalt yfo r violatin g sectio n 4171 5 shal l b e $5,00 0 instea d o f $1,000.' ' Subsec . (a)(7) . Pub . L . 108-176 , Sec . 503(a)(4) , struc k ou t headin g an d tex t o f par . (7) . Tex t rea d a s follows : ""Notwithstanding paragraph s (1 ) an d (4) , the maximu

mcivi l penalt yfo r violatin g sectio n 4012 7 o r 4171 2 (including a regulatio n prescribe d o r orde r issue d unde r suc h section ) o r anyothe r regulatio n prescribe d b yth e Secretar ytha t i s intende d t o affor d consume r protectio n t o commercia l ai r transportatio n passengers , shal l b e $2,50 0 fo r eac h violation.' ' Subsec . (a)(8) . Pub . L . 108-176 , Sec . 503(a)(4) , redesignate d par . (8 ) a s (4 ) . Subsec . (d)(4)(A) . Pub . L . 108-176 , Sec . 503(b)(1) , substitute d ""mor e than--' ' fo r "mor e tha n $50,000;' ' an d adde d els . (i ) t o (iii) . Subsec . (d)(8) . Pub . L . 108-176 , Sec . 503(b)(2) , substitute d 'is — ' ' fo r 'i s $50,000.' ' an d adde d subpars . (A ) t o (C) . Subsec . (i) . Pub . L . 108-176 , Sec . 503(c) , adde d subsec . (i) . 

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2002—Subsec . (a)(8) . Pub . L . 107-29 6 adde d par . (8) . 2001—Subsec . (d)(2) . Pub . L . 107-71 , Sec . 140(d)(1)(C) , inserte d 'Unde r Secretar yor' ' befor e "Administrato r shall'' . Pub . L . 107-71 , Sec . 140(d)(1)(B) , inserte d afte r firs t sentenc e ""Th e Unde r Secretar yo f Transportatio n fo r Securit yma yimpos e a civi l penalt yfo r a violatio n o f chapte r 44 9 (excep t section s 44902 , 44903(d) , 44907(a)-(d)(1)(A) , 44907(d)(1)(C)-(f) , 44908 , an d 44909 ) o r a regulatio n prescribe d o r orde r issue d unde r suc h chapte r 449.' ' Pub . L . 107-71 , Sec . 140(d)(1)(A) , whic h directe d amendmen t o f subsec . (d)(2 ) b ystrikin g ou t "" , chapte r 44 9 (excep t section s 44902 , 44903(d) , 4490 7 (a ) - (d ) (1 ) (A ) an d (d ) (1 ) (C ) - (f ) , 44908 , an d 44909)," , wa s execute d bystrikin g ou t "" , chapte r 44 9 (excep t section s 44902 , 44903(d) , 44904 , 4490 7 (a)-(d ) (1 ) (A ) and (d)(1 ) (C)-(f) , 44908 , an d 44909),' ' befor e "o r sectio n 46301(b)'' , t o reflec t th e probabl e inten t o f Congress . Subsec . (d)(3) , (4) . Pub . L . 107-71 , Sec . 140(d)(2) , substitute d "Unde r Secretar yo r Administrator' ' fo r "Administrator'' . Subsec . (d)(8) . Pub . L . 107-71 , Sec . 140(d)(3) , substitute d 'Unde r Secretary , Administrator,' ' fo r "Administrator'' . Subsec . (h)(2) . Pub . L . 107-71 , Sec . 140(d)(4) , inserte d "th e Unde r Secretar yo f Transportatio n fo r Securit ywit h respec t t o securit ydutie s and power s designate d t o b e carrie d ou t b yth e Unde r Secretar yor' ' afte r ""(or'' . 2000—Subsec . (a)(1)(A) . Pub . L . 106-181 , Sec . Sec . 519(c) , 720(1) , substitute d "subchapte r I I o r II I o f chapte r 421' ' fo r ""subchapte r I I o f chapte r 421' ' an d struc k ou t ""46302 , 46303 , or' ' befor e ""47107(b ) (including'' . Subsec . (a)(3)(C) . Pub . L . 106-181 , Sec . 503(c) , adde d subpar . (c) . Subsec . (a)(3)(D) , (E) . Pub . L . 106-181 , Sec . Sec . 504(b) , 707(b) , adde d subpars . (D ) an d (E ) . Subsec . (a)(6) . Pub . L . 106-181 , Sec . 222(b) , inserte d headin g an d realigne d margins . Subsec . (a)(7) . Pub . L . 106-181 , Sec . 222(a) , adde d par . (7) . Subsec . (d)(2) . Pub . L . 106-42 4 substitute d '"46301(b) , 46302 , 46303 , 46318,' ' fo r "46302 , 46303," . Subsec . (d)(7)(A) . Pub . L . 106-181 , Sec . 720(2) , substitute d ' a penalt yo n a person' ' fo r ' a penalt yo n a n individual'' . Subsec . (g) . Pub . L . 106-181 , Sec . 720(3) , inserte d 'o r the Administrator' ' afte r ""Secretary'' . 1997—Subsecs . (a)(1)(A) , (2 ) (A) , (d)(2) , (f ) (1 ) (A ) (i ) . Pub . L . 105
- 10 2 repeale d Pub . L . 104-264 , Sec . Sec . 502(c) , 1220(b) . Se e 199 6 Amendmen t note s below . 1996--Subsec . (a)(1)(A) . Pub . L . 104-287 , Sec . 5(77)(A)(iii) , (iv) , inserte d "or' ' afte r ""46303,' ' and struc k ou t '" , o r 41715' ' afte r ""unde r suc h section ) ' ' . Pub . L . 104-287 , Sec . 5(77 ) (A ) (ii ) , substitute d "sectio n 44502(b ) o r (c) , chapte r 44 7 (excep t section s 4471 7 and 44719-44723) , chapte r 44 9 (excep t section s 44902 , 44903(d) , 44904 , 44907(a)-(d)(1)(A ) an d (d)(1)(C)-(f) , and 44908) , o r section' ' fo r "o r an yo f section s 44701(a ) o r (b) , 44702-44716 , 44901 , 44903(b ) o r (c) , 44905 , 44906 , 44907(d)(1)(B) , 44909(a) , 44912-44915 , 44932-44938,'' . [[Pag e 916] ] Pub . L . 104-287 , Sec . 5(77 ) (A ) (i) , substitute d "chapte r 41 3 (excep t section s 4130 7 an d 4131 0 (b)-(f)) , chapte r 41 5 (excep t section s 41502 , 41505 , and 41507-41509) , chapte r 41 7 (excep t section s 41703 , 41704 , 41710 , 41713 , and 41714),' ' fo r ""an yo f section s 41301-41306 , 41308
- 41310(a) , 41501 , 41503 , 41504 , 41506 , 41510 , 41511 , 41701 , 41702 , 41705
- 41709 , 41711 , 41712 , o r 41731-41742,'' . Pub . L . 104-264 , Sec . 1220(b) , whic h directe d amendmen t o f subpar . (A ) b yinsertin g ""44718(d),' ' afte r "44716,'' , wa s repeale d byPub . L . 105-102 . Pub . L . 104-264 , Sec . 502(c ) (1) , whic h directe d amendmen t o f subpar . (A ) b yinsertin g ""44724,' ' afte r '"44718(d),'' , wa s repeale d b yPub . L . 105-102 . Subsec . (a)(2)(A) . Pub . L . 104-287 , Sec . 5 (77 ) (B) , substitute d '" , sectio n 44502(b ) o r (c) , chapte r 44 7 (excep t section s 44717-44723) , o r chapte r 44 9 (excep t section s 44902 , 44903(d) , 44904 , an d 44907-44909)' ' fo r ''o r an

yo f section s 44701(a ) o r (b) , 44702-44716 , 44901 , 44903(b ) o r (c) , 44905 , 44906 , 44912-44915 , o r 44932-44938'' . Pub . L . 104-264 , Sec . 502(c)(2) , whic h directe d amendmen t o f subpar . (A ) b yinsertin g '44724,' ' afte r ''44716,'' , wa s repeale d b yPub . L . 105-102 . Subsec . (a)(3) . Pub . L . 104-287 , Sec . 5(77 ) (C) , realigne d margin s o f subpars . (A ) and (B) . Subsec . (a)(5) . Pub . L . 104-264 , Sec . 804(b) , amende d par . (5 ) generally . Prio r t o amendment , par . (5 ) rea d a s follows : 'I n the cas e o f a violatio n o f sectio n 47107(b ) o f thi s title , th e maximumcivi l penalt yfo r a continuin g violatio n shal l no t excee d $50,000.' ' 

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Subsec . (C)(1)(A) . Pub . L . 104-287 , Sec . 5(77 ) (D ) (ii ) , (iii) , struc k ou t ""or' ' befor e "subchapte r II' ' an d inserte d "" , o r sectio n 44909' ' befor e ""o f thi s title"' . Pub . L . 104-287 , Sec . 5(77)(D){i) , substitute d "chapte r 41 3 (excep t section s 4130 7 an d 4131 0 (b)-(f)) , chapte r 41 5 (excep t section s 41502 , 41505 , an d 41507-41509) , chapte r 41 7 (excep t section s 41703 , 41704 , 41710 , 41713 , an d 41714 ) ,' ' fo r ""an yo f section s 41301-41306 , 41308
- 41310(a) , 41501 , 41503 , 41504 , 41506 , 41510 , 41511 , 41701 , 41702 , 41705
- 41709 , 41711 , 41712 , o r 41731-41742," . Subsec . (d)(2) . Pub . L . 104-287 , Sec . 5(77)(E) , substitute d ""sectio n 44502(b ) o r (c) , chapte r 44 7 (excep t section s 4471 7 an d 44719
- 44723) , chapte r 44 9 (excep t section s 44902 , 44903(d) , 44904 , 44907(a)
- (d)(1)(A ) an d (d ) (1 ) (C ) - (f) , 44908 , an d 44909) , o r section " fo r ""o r an yo f section s 44701(a ) o r (b) , 44702-44716 , 44901 , 44903(b ) o r (c) , 44905 , 44906 , 44907(d)(1)(B) , 44912-44915 , 449^2-44938," . Pub . L . 104-264 , Sec . 1220(b) , whic h directe d amendmen t o f par . (2 ) b yinsertin g ""44718(d),' ' afte r "44716,'' , wa s repeale d b yPub . L . 105-102 . Pub . L . 104-264 , Sec . 502(c ) (1) , whic h directe d amendmen t o f par . (2 ) b yinsertin g "44724,' ' afte r ""44718(d),'' , wa s repeale d b yPub . L . 105-102 . Subsec . (f)(1)(A)(i) . Pub . L . 104-287 , Sec . 5(77)(F) , substitute d "sectio n 44502(b ) o r (c) , chapte r 44 7 (excep t section s 4471 7 an d 44719
- 44723) , o r chapte r 44 9 (excep t section s 44902 , 44903(d) , 44904 , 44907(a)-(d)(1)(A ) an d (d)(1)(C)-(f) , 44908 , an d 44909)' ' fo r "o r an y o f section s 44701(a ) o r (b) , 44702-44716 , 44901 , 44903(b ) o r (c) , 44905 , 44906 , 44907(d)(1)(B) , 44912-44915 , o r 44932-44938'' . Pub . L . 104-264 , Sec . 1220(b) , whic h directe d amendmen t o f cl . (i ) b yinsertin g ""44718(d),' ' afte r ""44716,"' , wa s repeale d b yPub . L . 105-102 . Pub . L . 104-264 , Sec . 502(c)(1) , whic h directe d amendmen t o f cl . (i ) b yinsertin g ""44724,' ' afte r '"44718(d),'' , wa s repeale d b yPub . L . 105-102 . 1994—Subsec . (a)(1)(A) . Pub . L . 103-429 , Sec . 6 (60 ) (A) , substitute d ""an yo f section s 41301-41306' ' fo r ""sectio n 41301-41306' ' an d "an yo f section s 44701(a)' ' fo r "sectio n 44701(a)'' . Pub . L . 103-305 , Sec . 207(c)(1) , inserte d '' , o r 41715' ' befor e 'o f thi s title'' . Pub . L . 103-305 , Sec . 112(c)(1)(A) , substitute d "'46303 , 47107(b ) (includin g an yassuranc e mad e unde r suc h section)' ' fo r 'o r 46303'' . Subsec . (a)(2)(A) . Pub . L . 103-429 , Sec . 6(60)(B) , substitute d 'an y o f section s 44701(a)' ' fo r ""sectio n 44701(a)'' . Subsec . (a)(4) . Pub . L . 103-305 , Sec . 207(c)(2) , inserte d (othe r tha n a violatio n o f sectio n 41715)' ' afte r ""th e violation' ' i n tw o places . Subsec . (a)(5) . Pub . L . 103-305 , Sec . 112(c)(1)(B) , adde d par . (5) . Subsec . (a)(6) . Pub . L . 103-305 , Sec . 207(c)(3) , adde d par . (6) . Subsec . (c)(1)(A) . Pub . L . 103-429 , Sec . 6(60)(C) , substitute d ""an y o f section s 41301-41306' ' fo r "sectio n 41301-41306'' . Subsec . (d)(2) . Pub . L . 103-429 , Sec . 6(60 ) (B) , substitute d 'anyo f section s 44701(a)' ' fo r "'sectio n 44701(a)'' . Pub . L . 103-305 , Sec . 112(c)(2) , substitute d '46303 , o r 47107(b ) (a s furthe r define d b yth e Secretar yunde r sectio n 47107(1 ) an d includin g an yassuranc e mad e unde r sectio n 47107(b))' ' fo r ""o r 46303'' . Subsec . (d)(7)(D) . Pub . L . 103-305 , Sec . 112(c)(3) , adde d subpar . (D ) . Subsec . (f ) (1 ) (A ) (i ) . Pub . L . 103-429 , Sec . 6(60 ) (B) , substitute d ""an yo f section s 44701(a)' ' fo r ""sectio n 44701(a)'' . Effectiv e Dat e o f 200 3 Amendmen t Amendmen t b yPub . L . 108-17 6 applicabl e onl yt o fisca l year s beginnin g afte r Sept . 30 , 2003 , excep t a s otherwis e specificall y provided , se e sectio n 3 o f Pub . L . 108-176 , se t ou t a s a not e unde r sectio n 10 6 o f thi s title . Effectiv e Dat e o f 200 2 Amendmen t Amendmen t b yPub . L . 107-29 6 effectiv e 6 0 day s afte r Nov . 25 , 2002 , se e sectio n 4 o f Pub . L . 107-296 , se t ou t a s a n Effectiv e Dat e not e unde r sectio n 10 1 o f Titl e 6 , Domesti c Security . Effectiv e Dat e o f 200 0 Amendmen t Amendmen t b yPub . L . 106-18 1 applicabl e onl yt o fisca l year s beginnin g afte r Sept . 30 , 1999 , se e sectio n 3 o f Pub . L . 106-181 , se t ou t a s a not e unde r sectio n 10 6 o f thi s title . 

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Effectiv e Dat e o f 199 7 Amendmen t Pub . L . 105-102 , Sec . 3(c) , Nov . 20 , 1997 , 11 1 Stat . 2215 , provide d tha t th e amendmen t mad e b ysectio n 3(c)(4 ) i s effectiv e Oct . 9 , 1996 . Amendmen t byPub . L . 105-10 2 effectiv e a s i f include d i n th e provision s o f th e Ac t t o whic h th e amendmen t relates , se e sectio n 3(f ) o f Pub . L . 105-102 , se t ou t a s a not e unde r sectio n 10 6 o f thi s title . Effectiv e Dat e o f 199 6 Amendment s Amendmen t b yPub . L . 104-28 7 effectiv e Jul y5 , 1994 , se e sectio n 8(1 ) o f Pub . L . 104-287 , se t ou t a s a not e unde r sectio n 530 3 o f thi s title . Amendmen t b

ysectio n 502(c ) o f Pub . L . 104-26 4 applicabl e t o an yai r carrie r hirin g a n individua l a s a pilo t whos e applicatio n wa s firs t receive d b

yth e carrie r o n o r afte r th e 120t h dayfollowin g Oct . 9 , 1996 , se e sectio n 502(d ) o f Pub . L . 104-264 , se t ou t a s a not e unde r sectio n 3030 5 o f thi s title . Excep t a s otherwis e specificall yprovided , amendmen t b yPub . L . 104
- 26 4 applicabl e onl yt o fisca l year s beginnin g afte r Sept . 30 , 1996 , an d no t t o b e construe d a s affecting fund s mad e availabl e fo r a fisca l yea r endin g befor e Oct . 1 , 1996 , se e sectio n 3 o f Pub . L . 104-264 , se t ou t a s a not e unde r sectio n 10 6 o f thi s title . Effectiv e Dat e o f 199 4 Amendment s Amendmen t b

yPub . L . 103-42 9 effectiv e Jul y5 , 1994 , se e sectio n 9 o f Pub . L . 103-429 , se t ou t a s a not e unde r sectio n 32 1 o f thi s title . Amendmen t bysectio n 207(c ) o f Pub . L . 103-30 5 effectiv e Feb . 1 , 1995 , se e sectio n 207(d ) o f Pub . L . 103-305 , se t ou t a s a n Effectiv e Dat e not e unde r sectio n 4171 9 o f thi s title . Saving s Provisio n Pub . L . 102-345 , Sec . 2(c) , Aug . 26 , 1992 , 10 6 Stat . 925 , provide d that : ""Notwithstandin g subsection s (a ) an d (b ) o f thi s section , section s 901(a)(3 ) and 90 5 o f the Federa l Aviatio n Ac t o f 195 8 [Pub . L . 85-726 ] a s i n effec t o n Jul y31 , 1992 , shal l continu e i n effec t o n an d afte r suc h dat e [[Pag e 917] ] o f enactmen t wit h respec t t o violation s o f the Federa l Aviatio n Ac t o f 195 8 occurrin g befor e such dat e o f enactment.' ' Transfe r o f Function s Fo r transfe r o f functions , personnel , assets , an d liabilitie s o f th e Transportatio n Securit yAdministratio n o f th e Departmen t o f Transportation , includin g the function s o f the Secretar yo f Transportation , an d o f the Unde r Secretaryo f Transportatio n fo r Security , relatin g thereto , t o th e Secretar yo f Homelan d Security , and fo r treatmen t o f relate d references , se e section s 203(2) , 551(d) , 552(d) , and 55 7 o f Titl e 6 , Domesti c Security , an d th e Departmen t o f Homelan d Securit yReorganizatio n Pla n o f Novembe r 25 , 2002 , a s modified , se t ou t a s a not e unde r sectio n 54 2 o f Titl e 6 .



## http://frwebgate4.access.gpo.gov/cgi-biiVTEXTgate.cgi?WAISdocID=35138286284+0+l+.. . 4/15/201 0

## 10/01/0 7 215 0 3 B Chapte r7 . Sanctio n Guidanc e Policie s
I
. Purpose
. Thi s chapte rprovide s th e FAA' s policie s fo rdeterminin g a n appropriat e sanctio n onc e FA Aenforcemen t personne l decid e tha t lega l enforcemen t actio n i s appropriat e Thi s chapte r contain s th e genera l polic y(h e FA Aintend s t o appl yi n selectin g th e type s o fsanctions , range s o f sanction s withi n thos e types , an d specifi csanctio n amount s t o impos e m lega l enforcemen t action s fo rtypica l violation s o fth e FAA' s statut e an d regulation s Thi s guidanc e cover s th e parameter s bot h fo rselectin g sanction s an d fo rmodifyin g sanction s dunn g th e informa l procedure s Th e guidanc e m thi s chapte ri s applie d i n adjudication s unde r4 9 U S C § § 4 4 106 , 44709
. 44710 , 44726
. 44924 , 46 1 1 1 , 46301 , an d 70 1 1 5 Hazardou s material s sanctio n guidanc e an d policie s ar e addresse d i n Appendi xC 2
. Genera l Guidelines
. a . Certificat e Suspensio n Actio n an d Civi l Penalt yAction ; Sanction s fo rPunitiv e an d Deterren t Purposes
.

( I ) General
. I fa certificat e holde rimproperl yexercise s th e privilege s o fa certificate , a natura l consequenc e o ftha t ac t i s t o los e th e privilege s fo ra perio d o ftim e commensurat e \vit h th e Violatio n Balance d agains t thi s principle , however , th e FA Aconsider s th e advers e impac t tha t a certificat e suspensio n coul d hav e o n th e publi cThus , th e agenc ygenerall ysuspend s th e certificate s o findividua l certificat e holder s fo rviolation s However , th e FA Ausuall ytake s civi l penalt yactio n agains t ai rcarrier s an d airport s becaus e suc h action s d o no t disrup t service , whic h ma yadversel yaffec t th e public
. Nevertheless , whe n th e FA Adetermine s tha t safet y consideration s warran t it , th e agenc ywil l suspen d th e certificat e o fan ytyp e o fcertificat e holde r I n n o cas e wil l th e FA Atak e civi l penalt yactio n alon e whe n remedia l lega l actio n i s necessar y o rappropnat e

(2 ) Us e o fbot h punitiv e certificat e actio n an d civi l penalt yactio n fo rth e sam e violation s Th e FA Agenerall ydoe s no t tak e civi l penalt yactio n an d punitiv e certificat e actio n (tha t is , certificat e suspensio n fo ra fixed perio d o ftime ) agains t a certLfic^ e holde rfo rth e sam e conduc t I funusua l circumstance s warran t deviatio n fro m thi s practice , lega l counse l consul t t wit h th e Assistan t Chie fCounse l fo rEnforcemen t (AGC-300 ) befor e initiatin g th e action s (3 ) Chang e i n typ e o fpropose d sanctio n Th e initia l enforcemen t actio n reflect s th e agency' s bes t assessmen t o fth e appropnat e sanctio n fo rth e violation s alleged
. Afte rinitiatin g th e action , lega l counse l ordinaril ydoe s no t chang e th e typ e o fsanctio n unles s additiona l fact s o r circumstance s ar e presente d t o th e FA Atha t warran t a chang e I fth e actio n wa s coordinate d unde rchapte r6 , paragrap h 3 , wit h AGC-30 0 befor e initiation , the n lega l counse l coordinate s an y chang e i n th e typ e o fsanctio n wit h AGC-30 0 befor e makin g th e chang e b
. Lega l Sanction s fo rRemedia l Purposes
. (1 ) Indefinit e certificat e suspensio n pendin g complianc e o rdemonstratio n o f qualificatio n Suspensio n actio n i s appropnat e wher e ther e i s a nee d temporaril yt o
7- 1 

# EXHIBIT , ^TT -10/01/0 7 2150.3 B

suspen d th e privilege s o fth e certificat e o rratin g pendin g demonstratio n o fqualificatio n o r complianc e wit h statutor yo rregulator yrequirements
. FA Agenerall yuse s remedia l suspensio n whe n a n individua l doe s no t voluntaril ysurrende rhi s o rhe rcertificat e pendin g reexamination
. Se e chapte r5 (2 ) Certificat e revocatio n - general
. Th e FA Arevoke s a certificat e whe n a certificat e holde rlack s th e qualification s t o hol d th e certificat e Th e certificat e holder' s continue d exercis e o fth e privilege s o fth e certificat e i n suc h circumstance s woul d b e contrar yt o safet yi n ai r commerc e o rai rtransportatio n an d th e publi cinterest
. Revocatio n i s appropriat e wheneve ra certificat e holder' s conduc t demonstrate s a lac k o fth e technica l proficienc yo ra lac k o fth e degre e o fcare , judgment , o rresponsibility , require d o fth e holde ro fsuc h a certificate
. Order s o f revocatio n ar e issue d o n a n emergenc ybasi s whe n th e certificat e holde rlack s qualificatio n an d i s reasonabl yabl e as a practica l matte rt o exercis e th e privilege s o fth e certificate
. Lega l counse l doe s no t alleg e a lac k o fqualification s t o avoi d dismissa l o fcharge s unde r4 9 C.F.R
. § 821.33 , th e NTSB' s stal e complain t rule
. (3 ) Certificat e revocatio n - individuals
. Th e FA Agenerall yrevoke s a n individual' s certificat e o rratin g wheneve rh e o rsh e demonstrate s a lac k o fwillingnes s o rabilit yt o compl y consistentl ywit h statutor yo rregulator yrequirements
. Alac k o fwillingnes s o rabilit yt o compl y ma yb e demonstrate d b ysuc h thing s a s repeate d o rdeliberat e violation s o rb yviolation s tha t involv e grossl ycareles s o rreckles s conduct
. Eve n a singl e violatio n ma yb e sufficien t t o warran t a conclusio n a n individua l lack s qualification s Th e FA Aordinaril yrevoke s al l certificate s o fa perso n wh o commit s a violatio n involvin g intentiona l falsification
. (4 ) Certificat e revocatio n - entities
. Revocatio n i s normall yappropriat e whe n a certificate-holdin g entit ydeliberatel yo rflagrantl yviolate s th e statut e o rregulation s o rfalsifie s records
. Revocatio n als o i s generall yappropriat e whe n th e certificat e holde rha s committe d th e sam e o rsimila rviolation s i n th e recen t pas t demonstratin g a lac k o fqualification , o rwhe n th e certificat e holde rn o longe rhas , an d doe s no t obtai n i n a reasonabl e time , th e personne l o r equipmen t t o conduc t it s operatio n i n ful l complianc e wit h statutor yan d regulator yrequirements
. (5 ) Mandator ycertificat e revocation
. Unde r4 9 U.S.C
. § 44710 , th e FA Ai s require d t o revok e th e certificate s o fan yairma n wh o ha s bee n convicte d o fviolatin g certai n federa l o rstat e statute s relatin g t o a controlle d substanc e whe n a n airplan e wa s use d i n th e commissio n o fth e offens e an d th e airma n serve d as a n airman , o rwa s aboar d th e aircraft , i n connectio n wit h commissio n o fth e offens e o rth e facilitatio n o fth e commissio n o fth e offense
. Eve n whe n ther e ha s bee n n o conviction , revocatio n i s require d whe n a n airma n ha s knowingl ycarrie d ou t a n activit ypunishabl e unde rthes e crimina l statutes . Th e Administrato rma ywaiv e th e revocatio n i f a la wenforcemen t office rrequest s th e waive ran d th e Administrato rdecide s th e waive rwil l facilitat e la wenforcemen t purposes . 5e e 4 9 U.S.C
. §44710(1)
. Unde r4 9 U.S.C
. § 44106 , th e F A Aals o mus t revok e th e registratio n certificat e o fan yairplan e use d i n th e commissio n o fsuc h a n offens e whe n th e us e wa s permitte d b yth e owne ro fth e aircraf t wit h knowledg e tha t i t woul d b e use d fo rsuc h purpose . Unde r4 9 U.S.C
. § 44726 , th e FA Amus t revok e th e certificate s o fan y certificat e holde ro ra n individua l wh o ha s a controllin g o rownershi p interes t i n th e holde rwh o wa s convicte d o fa violatio n o ffedera l la wrelatin g t o th e installation , production , repair , o rsal e o fa counterfei t o rfraudulently-represente d aviatio n par t o rmateria l o rknowingly , an d wit h th e
7- 2

## 10/01/0 7 2150.3 B

inten t t o defraud , carrie dou t

o r facilitate da

nactivit y punishabl e unde r suc halaw . Th e Administrato r

may waiv e that

sanctio nto facilitat e law enforcemen t purpose s or

amend , rathe r tha nrevoke , acertificat e unde r certai ncircumstances . Se e 4 9 U S. C § § 44726( 0 an d(g) . (6 ) Mandator y certificat e actio nfor secunt y concem s Under 4 9 U.S. C § 461 1 I , th e Administrato r

i s require dto issu e a

norde r amending , modifying , suspending , or revokin g an y FAA-issue dcertificat e i f th e Administrato r

i s notifie dby the Unde r Secretar y o f

Borde r an d Transportatio nSecurit y (BTS ) o f th e Departmen t

o f Homelan dSecunt y (DHS ) tha t th e certificat e holde r

poses , o r

i s suspecte do f

posing , aris k

o f ai r pirac y o r terroris mor

athreat t o airlin e o r passenge r

safety . Unde r

4 9 U.S. C § 44924 , th e Administrato r i s required , a

t th e reques t o f th e Unde r

Secretar y o f

BTS , to suspen do r

revok e foreig nrepai r

statio ncertificate s in connectio nwithsecurit y audits . 3 . Applicabilit y an dExclusions . Th e sanctio nguidanc e tabl e (table ) i nAppendi x B provide s type s o f sanction s an dgenera l range s o f sanctio namount s fo

r violation s o f

4 9 U.S. C subtitl e VII an dI4 C F.R . part s 1-19 9 an d4 9 U.S.C . subtitl e IX , chapte r 70 1 and1 4 C F. Rchapte r 111 . Onc e th e agenc y ha s determine dtha t legal enforcemen t

actio ni s warrante dfo

r aviolation , FA A enforcemen t

personne l us e th e tabl e an dparagrap h4 o f thi s chapter , a s wel l a s any othe r sanctio nguidanc e i

nthi s order , to determin e apropose dsanctio nTh e matter s describe di n chapte r 7 , subparagraph s 3a.-d . ar e som e type s o f agenc y actio ntha

t fal l outsid e th e scop e o f paragrap h3 an dth e table . a . Decision s t o Tak e Administrativ e Actio n(Warnin g Notice s o r Letter s o

f Correction) . Anadministrativ e actio ndoe s no t constitut e eithe r

aformal adjudicatio no f th e inciden t o r afinding o f

violation . For

tha t reason , FAAinvestigativ e personne l d o not propos e a sanctio nusin g th e table . b . Th e FAu4' s Exercis e o f Prosecutoria l Discretion . Th e decisio nwhethe r t o prosecut e a particula r cas e i s base do narevie w o f th e evidenc e an drelevan t polic y an dlitigatio n considerations . Th e agenc y exercise s broa ddiscretio ninbothth e initial decisio nto bnn g alega l enforcemen t

action , an di

nan y late r

determinatio nto compromis e or settl e acas e base don variou s considerations . Th e FAA' s discretio ni nthes e area s i s absolut e an dpresume dto b e immun e ft-omreview . Heckle r v. Cheney , 47 0 U.S . 821,831(1985) . c . Hazardou s Material s Violations . Action s involvin g violation s o f th e federal hazardou s material s transportatio nlaw , 4 9 U S.C . chapte r 51 , o r th e Departmen t

o f Transportation' s Hazardou s Material s Regulations , 4 9 C.F.R . part s 10 6 throug h185 . Enforcemen t sanctio n guidanc e for

thes e violation s i s foun dinAppendi x C . d . Violation s b y Member s o f th e U.S . Arme dForces . Th e FAAi s require dto forward report s o f thes e violation s to th e Secretar y o f th e departmen t

concerne dunde r

4 9 U.S.C . § 46101(b) , wheneve r

th e violato r

i s actin g inth e performanc e o f official duties . Th e FAA , however , take s remedia l actio ninadditio nto referrin g arepor t whe nth e violator , whethe r o r no t



## 7-310/01/0 7 2150.3 B

actin g i n th e performanc e o fofficia l militar yduties , hold s a n FA Acertificate , an d th e violator' s qualification s ar e a t issue
. Th e FA Ama ytak e punitiv e actio n agains t a membe ro fth e U.S
. Arme d Force s fo ra violatio n committe d whe n th e membe ri s no t performin g officia l duties
. 4
. Mitigatin g o rAggravatin g Factor s an d Elements
. Th e factor s i n chapte r7 , subparagraph s 4.a
. throug h m . hav e bee n develope d ove ryear s o fpolic ymakin g an d cas e adjudication
. The y hav e prove n usefu l an d appropriat e fo rdeterminin g th e seriousnes s o fa violatio n an d fo r selectin g a n appropnat e sanction
. Element s fo revaluatin g an d weighin g eac h facto rar e als o described
. Thes e factor s an d element s provid e a framewor k fo rdeterminin g sanction s fo r violation s specificall yliste d i n th e tabl e a s wel l as thos e no t specificall ylisted
. Al l th e factor s an d elements , however , ma yno t appl yt o eac h violation
. Onl ythos e factor s an d element s tha t ar e relevan t t o a violatio n ar e considere d i n determinin g a sanctio n fo rth e violation
. Thi s lis t o f factor s an d element s i s no t intende d t o b e exhaustive , othe rfactor s ma yb e relevan t as well
. a . Natur e o fth e Violation
. Thre e element s defin e th e natur e o fa violation : first, whethe r th e violatio n wa s operationa l o rnon-operational , second , whethe rth e violatio n involve d careles s o rreckles s conduct ; an d third , whethe rth e violatio n involve d an yspecia l aggravatin g o r mitigatin g factors
. (1 ) Individuals
. Whe n a n individua l wh o hold s a certificat e improperl yexercise s th e pnvilege s o ftha t certificate , th e natura l consequenc e o ftha t ac t shoul d b e los s o fprivilege s fo ra perio d o ftim e commensurat e wit h th e violatio n Th e FAA , therefore , primaril yuse s certificat e action s t o enforc e operationa l regulation s agains t individual s wh o hol d certificates
. Th e potentia l advers e impac t tha t certificat e actio n ma yhav e o n a n individual' s livelihoo d doe s no t alte rthi s principle
. Non-operationa l violation s ma ywarran t a differen t typ e o fsanction
. (2 ) Entities
. Th e FA Aordinanl ytake s civi l penalt yactio n agains t a certificate-holdin g entit y(fo rexample , a n ai rcarrier ) whe n i t determine s ther e woul d b e a substantia l advers e impac t o n th e publi cinteres t fro m disrupte d servic e b ytha t certificat e holde ran d th e impac t i s no t outweighe d b ysafet yconsiderations
. Eve n whe n a substantia l advers e impac t woul d occur , whe n ther e i s a nee d t o preven t continuin g violation s o rothe regregiou s conduc t b yan y certificat e holder , whe n an ycertificat e holde rlack s qualification , o rther e i s a reasonabl e basi s t o questio n th e qualification s o fan ycertificat e holder , th e FA Atake s remedia l action , fo rexample , revocatio n o rindefinit e suspension , as necessar y (3 ) Careles s o rreckles s conduct
. Violation s tha t involv e careles s o rreckles s conduc t i n violatio n o f1 4 C.F.R
. § 91.1 3 ma ywarran t mor e sever e sanctions
. Carelessnes s connote s conduc t tha t fall s belo wth e standar d o fcar e o rprudenc e expecte d o fa reasonabl e person , o r holde ro fth e relevan t certificate , actin g unde rth e sam e o rsimila rcircumstances
. Recklessnes s connote s conduc t tha t demonstrate s a gross , o reve n callou s o rflagrant, disregar d fo rsafet y Aircraf t operation s tha t d o no t otherwis e resul t i n a violatio n o fa specifi cregulatio n shoul d b e evaluate d i n ligh t o fthes e standard s t o determin e whethe rthe yconstitut e careles s o rreckles s operation s i n violatio n o f1 4 C.F.R
. § 9113
. Whe n a perso n operate s a n aircraf t i n violatio n o fa specifi cregulatio n othe rtha n 1 4 C.F.R
. §91.13 , however , tha t violatio n constitute s a careles s o r reckles s operatio n i n an d o fitsel fI n thes e cases , th e rrusconduc t ma yals o resul t i n a violatio n o f1 4 C.F.R
. § 911 3 i fi t actuall yo rpotentiall yendanger s th e live s o rpropert yo fothers
. 7 ^

### 10/01/0 7 2150.3 B

Whe ncalculatin g th e amoun t o f sanctio nbase do nthi s factor , adistinctio ngenerall y i s draw n betwee ninstance s wher e 1 4 C.F.R . § 91.1 3 i s a nindependen t

violatio nan dthos e wher e i t i s residua l to anothe r

violatio nWhe na14 C.F.R . §91.1 3 violatio ni s residua l only , ahighe r sanctio ngenerall y i s no t wanante dunles s th e conduc t i s als o reckles s b . Whethe r

th e Violatio nwa s Inadverten t an dNo t Deliberate . If

aviolatio ni s deliberat e o r

no t inadvertent , asanctio nat th e uppe r

en do f th e rang e o r

exceedin g th e rang e fo

r that typ e o f violatio ngenerall y i s appropriate . Adeliberat e violatio ngenerall y wanant s a sanctio ntha

t i s mor e sever e tha

non e tha t i s jus t not inadvertent . (1 ) No t deliberate . Thi s elemen t mean s alac k

o f th e degre e o f

deliberatio nfoun din intentiona l misconduct . Deliberat e o r intentiona l misconduc t

i s a naggravatin g circumstanc e an d include s deliberat e conduc t tha t lead s t o aviolatio na s well a s circumstance s indicatin g inten t t o commi t aviolation . (2 ) Inadvertenc e A

nac t i s inadverten t

whe ni t i s th e resul t

o f bot hinattentio nan dlack o f purposefu l choice . For

example , a

ninadverten t

ac t occur s whenapilo t

flie s a t a nincorrec t altitud e becaus e h e or

sh e misrea dth e aircraft' s instruments ; however , i t i s no t a ninadverten t

ac t whe napilo t

flies a t a nincorrec t

altitud e a s aresul t

o f choosin g not

to consul t

th e aircraft' s instrument s o r

choosin g not

to us e othe r

availabl e mean s t

o verif y altitude . Th e tes t

to b e applie d i s whethe r

th e conduct , no t

th e factual o r

lega l consequences , i s inadverten t an dunintended . Ferguso nv

. Nationa l Transportatio nSafety Board . 67 8 F.2d8 2 1 , 828-82 9 (9thCi r 1982) . c . Certificat e Holder' s Leve l o f Experience . (i ) Leve l o f

experienc e refer s pnmaril y to th e typ e o f certificat e an drating s hel d(fo r example , student , private , commercial , airlin e transport pilot , or certifie dflight

instructor) , an d th e numbe r

o f hour s flown, b y th e certificat e holder . Certificat e holder s withgreate r level s o f experienc e ma y b e hel dto ahighe r standard . Thus , fo

r example , commercia l pilot s may b e hel d to ahighe r

standar dthanpnvat e pilot s an dairlin e transport pilot s ma

y b e hel dt

o a neve nhighe r standar dthancommercia l pilots . (2 ) I ndeterminin g a

nappropriat e sanction , th e FAAma y conside r

th e exten t

to whic h th e certificat e holder' s actio ndeviate dfromth e degre e o f car e an ddiligenc e normall y expecte d o f aperso nwit hth e certificat e holder' s leve l o f experience . Asignifican t deviatio nfromth e degre e o f car e an ddiligenc e expecte do f th e holde r

o f tha t certificat e may warran t

amor e aggravate dsanction . d . Attitud e o f

th e Violator . (I ) Agoo dcomplianc e attitud e i s th e norman ddoe s no t warran t areductio ni

nsanction . Apno r violatio nhistory may sugges t that aperso nha s apoo r

complianc e disposition , whic hi s a naggravatin g factor . Furthermore , aperso nwh o commit s a nac t o r omissio ncontrar y to statutor y o r

regulator y requirement s afte r receivin g notic e throug haprio r administrativ e actio n o r counselin g that

suc hconduc t

i s inviolatio no f

thos e requirement s migh t wel l b e regarde da s havin g apoo r

complianc e disposition . I nevaluatin g complianc e disposition , th e FAAdoe s no t 7- 5

## 10/01/0 7 2150.3 B

vie w anallege dviolato r

a s havin g apoo r

attitud e becaus e th e allege dviolato r fail s to respon dt

o alette r o f investigation , choose s t o b e represente db y counsel , o r contest s th e violation . (2 ) Inassessin g th e attitud e o f a nallege dviolator , th e FAAmay conside r th e declaratio n o f a nemergenc y t

o ai r traffi c control . Whe na

nemergenc y i s genuin e an dno t o f th e person' s ow nmaking , th e emergenc y i s exculpatory unde r 1 4 C.F.R . § 9 1 3(b) . However , thi s situatio ni s distinc t fromth e situatio nwher e adeclaratio no f emergenc y i s not

exculpator y but

i s afactor

tha t migh t b e appropriat e t o conside r i ndeterminin g sanction . Inemergenc y situations , th e FAA view s declarin g a

nemergenc y t

o air traffi c contro l a s asig no f goo djudgmen t

an daconstructiv e altitude . Whe na

nemergenc y i s o f

aperson' s ow nmaking , that person' s declaratio no f

a n emergenc y ma y b e considere dmitigatin g i ndeterminin g th e sanctio nto b e impose dfo r any violation s committed , i

nmuc hth e sam e wa

y i t i s considere dmitigatin g i f aperso nvoluntaril y report s aviolation . e . Degre e o f

Hazard . (1 ) Th e degre e o f

hazar dma

y b e increase da s aresul t o f th e interplay o f

th e operationa l environmen t

(fo r example , weathe r

conditions , congeste dvs . sparsel y populate dareas ) andth e natur e o f the threat

to safety (t o the lif

e o r property o f

another , includin g thos e i nthe aircraf

t bein g operated , to othe r

aircraft , or

to person s or

propert y o nth e surface ) tha t th e misconduc t presents . Th e safet

y threat i s base do nth e reasonabl y foreseeabl e consequence s o f th e misconduct . Fo r

example , operatin g 50 0 fee t belo w th e minimu maltitud e pose s agreate r hazar d thanoperatin g 10

0 fee t belo w Similarly , if

a naircraf t operato r fail s to compl y wit

ha n airworthines s directiv e by operatin g 1 0 hour s pas t arequire dinspection , th e degre e o f hazar di s probabl y no t

a s grea t a s whe nth e aircraf

t i s operate d100 hour s beyon dth e required . Andi t i s no t mitigatin g whe naviolatio ndoe s not resul t i nactua l harm ; tha

t i s simpl y fortuitous . (2 ) Th e sanctio nrange s reflec t th e degre e o f

dange r normall y inheren t

i na naverag e violatio no f

aregulation , withou t

aggravatin g circumstances . A s discusse di nchapte r 7 , subparagrap h5.b. , a

nincreas e inthe degre e o f hazar dmay for

mth e basi s fo

r exceedin g th e sanctio nranges . Fo

r example , th e rang e fo

r a nunauthorize dlo w flight doe s no t assum e extrem e departure s fromrequire daltitudes , fo r example , flying a

nairplan e ove r

acrowde dassembl y o f person s a t 5 0 feet f . Actio nTake nb y Employe r o r Othe r Authority . Thi s facto r ordinanl y involve s th e followin g elements , whethe r th e allege dviolator' s employe r ha s take ndisciplinar y actio nan d whethe r crimina l prosecutio ni s involved . (1 ) Employmen t

disciplin e Wher e th e violatio nwoul dnormall y cal l fo r acertai ntyp e o f enforcemen t

action , th e FA Atake s tha t actio nregardles s o f

an y actio ntake nb y di e violator' s employer . Generally , th e FAAdoe s no t credi t a nemployer' s disciplinar y actio ntowar daperio d o f suspensio nth e FAAimpose s agains t di e violator' s certificat e becaus e o f th e different purpose s o f

government-ordered , a s contraste dwithemployer-ordered , actions . (2 ) Crimina l prosecution . Whenansin g out o f th e sam e conduct , local , state , o r federal prosecutio ndoe s not

preclud e th e FA

Aft-omtakin g appropriat e remedia l enforcemen t action ; no r 

## 7- 6

## 10/01/0 7 2150.3 B

doe s i t preclud e th e FAAfromtakin g appropriat e punitiv e enforcemen t actio nFo r

case s wher e federal , state , o r

local authoritie s prosecut e cnminally , th e FAAgenerall y doe s tak e remedia l enforcemen t

actio nif that i s warrante ddespit e th e cnmina l prosecution . However , th e FAAdoe s no t generall y take punitiv e legal enforcemen t actio nfo

r th e sam e conduct , unles s i t believe s th e crimina l sanction s ar e no t sufficien t

t o provid e a

nadequat e detenen t

fo r fijture violation s b y th e violato r an dother s similarl y situated , o r whe nth e FAAwant s to establis haviolatio nhistor y record . If

th e FAAdecide s to procee dwithapunitiv e civi l enforcemen t actio ni nadditio nto th e crimina l prosecution , i

t generall y consider s th e cnmina l penaltie s incurre dinthos e proceeding s i ndeterminin g th e appropnat e amoun t o f sanctio nto b e sough t

i nth e FAA' s punitiv e enforcemen t

actio n g . Us e o f

aCertificate . Thi s facto r relate s to th e natur e or

kin do f activit y o r

operatio n involve da

t th e tim e th e violatio nwa s committe dWhethe r the certificat e holde r

wa s engage di

n student , private , commercial , o r airlin e activit y bear s onth e sevent y o f th e sanction . Ai r

carrier s ar e hel dto th e highes t

standar do f

care . Likewise , personne l engage di nai r transportatio nar e hel dto th e highes t

safet y standard . h
. Violatio n History
. 

### (1 ) Aviolation-fre e histor y i s th e expecte dnorm , not the exceptio nand , therefore , i s not amitigatin g factor . Sanctio nrange s i nth e tabl e generall y represen t th e norma l rang e o f

sanctio n fo r asingle , first-time, inadverten t violation . Give nth e expecte dnorm , aprio r violatio nrecor d canb e evidenc e o f

apoo r complianc e dispositio no r o f apatte mo f

disregar dfor

th e FAA' s regulations , whic hare aggravatin g factors . A s aresult , aviolatio nhistory ca njustif y imposin g a sanctio nat

th e highe r

en do f th e norma l rang e or

asanctio nbeyon dth e norma l range . I t migh t als o justif y revocatio nrathe r

thansuspensio nif

th e patte mo f

violatio nreflect s alac k

o f qualification . I

naddition , aviolatio nhistor y migh t justif y acertificat e suspensio nif previousl y issue dcivi l penaltie s hav e no t produce dth e desire ddeterren t effect I ndecidin g whethe r

a violatio nhistor y justifie s aggravatin g th e sanctio no r changin g th e usual typ e o f sanction , th e FA Aconsider s th e lengt ho f tim e that ha s elapse dbetwee nviolations , whethe r th e violation s involve dth e sam e o r

similar regulations , an dwhethe r th e violation s are factuall y similar . (2 ) Th e followin g action s constitut e violatio nhistory whenthe y involv e regulator y violation s an dbecom e final: order s o f amendment , modification , suspension , o r revocatio no f

a n FAAcertificate ; order s assessin g acivi l penalty ; finding s o f violatio ncontaine di

naconsen t order , orde r

o f complianc e o r

denial ; an dfindings o f

violatio nmad e b y afedera l court . I n addition , apart y may agre e a s part o f asettlemen t

that th e FAAma

y conside r

allege dviolation s a s findings o f

violatio nfor

ftiture sanctio ndetermination s LDecisiona l Law . Decision s o f th e FA Adecisionmake r represen t

th e FAA Administrator' s positio no nissue s arisin g i ncivi l penalt y assessmen t actions , includin g issue s regardin g sanctions . Th e polic y inthi s orde r als o represent s th e Administrator' s positio no n sanction s i nlegal enforcemen t actions . T o th e exten t

that thi s documen t

conflict s wit hFA A decisionmake r

decision s publishe dbefor e thi s document' s issuance , th e sanctio nguidanc e polic y i nthi s orde r

supersede s thos e decision s However , FAAdecisionmake r decision s publishe dafter


## 1- 1

## 10/01/0 7 2150.3 B

th e issuanc e o f

thi s documen t

tha t conflic t withth e polic y i

nthi s orde r

supersed e thi s documen t an dar e controlling . j . Abilit y t o Absor b Sanction , Sanction s shoul db e deterren t Whil e punitiv e sanction s shoul dno t

b e undul y harsh , the y shoul db e substantia l enoug hto preven t violator s ft^omprofitin g fro mthei r

violations , tha

t is , th e sanctio nshoul db e hig henoug ht o remov e any profi t incentiv e for violations . Penaltie s shoul dneve r b e permitte dto b e acos t o f doin g business . Ai r

carriers , inparticular , ar e require db y la w to hav e th e financial wherewitha l to operat e accordin g t o establishe dsafety standards . Whil e th e FAAdoe s no t allo w financial circumstance s to excus e an y violation , i

t doe s conside r

aearner' s siz e an dfinancial strengt hi nchoosin g th e appropriat e sanctio namount . Th e differenc e i nth e penaltie s fixedinth e law fo r larg e an dsmal l busines s concem s recognize s thi s fact . Acivi l penalt y tha t ma y b e amer e cos t

o f doin g busines s t o a majo r ai r carrie r migh t compe l asmal l ai r

carrie r t o g o out o f busines s Therefore , th e FA Ause s ai r carrie r siz e a s on e mean s o f

ensurin g arelativel y equivalen t detenen t effect o neac hai r carrie r that violate s th e sam e FA

Aregulatio nTh e resultin g classificatio no f air carrier s b y siz e an drange s o f

civi l penaltie s are set

fort hi npar t on e o f th e table . For

all entitie s an dindividuals , th e FAAconsider s abilit y to pa y acivi l penalty an dth e effec t acivi l penalty will hav e o na person' s abilit y to continu e i nbusines s to th e exten t

i t know s suc hinformation . k . Consistenc y o f

Sanction . On e o f

th e agency' s goal s i s to achiev e relativ e consistenc y i n imposin g similar

sanction s fo

r similar violations . Th e FAApursue s thi s objectiv e to assur e fairnes s an ds o th e sanction' s impac t ha s a nequivalen t

degre e o f

deterren t o r disciplinary valu e t o other s similarl y situate dThi s goal ma y not alway s b e achieved , however , becaus e o f th e inherentl y subjectiv e natur e o f th e exercis e o f

judgmen t

i nsettin g sanctions . I . Whethe r

th e Violatio nwa s Reporte dVoluntarily . (1 ) Th e FA Aha s program s tha t allo w person s to report

voluntaril y apparen t

violation s an dreceiv e lesse r

enforcemen t

actio nprovide dcertai ncriteri aar e met . Thes e program s includ e th e aviatio nsafety reportin g program , th e voluntar y disclosur e reportin g program , an dth e aviatio nsafety actio nprogram . Beside s thes e programs , th e FA Ama y gran t special enforcemen t consideratio nunde r

certai ncircumstance s to aperso nwho , inciden t to hi s o r he r report o f another' s violations , voluntaril y disclose s hi s o r her ow nparticipatio ni

nth e sam e o r

relate d violations . Thi s specia l enforcemen t consideratio nmay rang e frommitigatin g th e sanctio nt o determinin g that

n o enforcemen t

actio ni s require d (2 ) If aperso ni s no t

covere dunde r

on e o f thes e program s but

nonetheles s voluntaril y report s anapparen t

violatio nto th e FAAbefor e th e FAAdiscover s it , take s immediat e actio nt o correc t th e noncompliance , an dwork s withth e FAAo nstep s to preclud e recunenc e o f th e apparen t violation , th e FA Amay conside r suc haction s inmitigatin g th e sanctio nfo r th e violation . m . Correctiv e Action . Th e FAAconsider s correctiv e actio namitigatin g factor in determinin g sanctio nprovide dth e correctiv e actio nexceed s th e minimu mregulatory o r statutor y requirements . Th e amoun t o f credi t give ni nsettin g asanctio ndepend s o nth e exten t an dtimin g o f th e conectiv e action , that is , ho w extensiv e wa s th e correctiv e actio nan dho w quickl y wa s it take nImplementin g ne w procedure s that ar e abov e thos e require dunde r th e FAA' s regulation s 

## 7- 810/01/0 7 2150.3 B

t o preven t futur e violation s ordinaril yi s considere d a mitigatin g facto ri n determinin g a n appropriat e sanction
. Conectiv e actio n take n afte rth e allege d violato rfirst become s awar e o fa deficienc ybu t befor e FA Adiscover yo fth e violatio n ordinaril ywarrant s greate rmitigatio n tha n correctiv e actio n tha t i s take n onl yafte rth e allege d violato rreceive s notic e o fth e FAA' s enforcemen t action
. Correctiv e actio n take n b ya n allege d violato rtha t simpl ybring s tha t perso n int o complianc e wit h th e statutor yo rregulator yrequirement s i s no t considere d i n mitigatio n o f sanction
. T o mitigat e a sanctio n base d o n suc h conectiv e actio n woul d pu t a t a n economi c disadvantag e competitor s wh o hav e expende d th e resource s necessar yt o maintai n compliance
. 5 . Us e o fth e Tabl e o fSanctions
. a . General
. Sanctio n determination s ar e no t accomplishe d throug h a stric t mathematica l formula ; rather , sanctio n determination s resul t fro m a judgmen t o fwher e a cas e lie s alon g a spectru m o fgravit yUltimately , th e circumstance s o feac h cas e ar e evaluate d i n term s o fth e need s o fsafet yan d th e publi cinterest
. b
. Single , First-time , Inadverten t Violations
. (1 ) Par t 1 1 o fth e tabl e specifie s bot h th e norma l type s o fsanctio n (certificat e action , civi l penalt yaction , o rothe rtype ) an d th e norma l range s withi n thos e type s th e FA Aordinaril yseek s t o impos e i n a lega l enforcemen t actio n fo ra single , first-time violatio n tha t i s generall y inadverten t (th e tabl e include s range s o fsanction s fo rsevera l violation s tha t usuall yar e intentional , fo rexample , interferenc e wit h a crewmember , smokin g o n a n aircraft)
. I n addition , th e tabl e generall yreflect s a presumptio n tha t th e allege d violato rwant s t o compl ywit h th e la w an d t o remed yan ynoncomplianc e an d tha t th e allege d violator , therefore , ha s a constructiv e attitud e (2 ) Fo rfactor s b , d , o rh o fparagrap h 4 (tha t is , inadverten t an d no t deliberat e conduct , attitude , an d violatio n history) , th e FA Adoe s no t normall ydeviat e from th e range s liste d i n th e tabl e solel ybase d o n th e inadvertenc e o fth e violatio n o ro n th e allege d violator' s goo d reputation , pas t publi cservice , violation-fre e history , o rconstructiv e attitude
. An ymitigatin g circumstance s ar e t o b e foun d i n th e fact s an d circumstance s o fth e violatio n itsel f (3 ) Applyin g range s withi n a sanctio n type . I n determinin g where , withi n eac h range , a sanctio n shoul d b e imposed , th e FA Agenerall yconsider s factor s a , c , e , f , g , i , j , k , an d m o f paragrap h 4 (tha t is , natur e o fth e violation , leve l o fexpenence , degre e o fhazard , actio n b y employe ro rothe rauthority , us e o fcertificate , decisiona l law , abilit yt o absor b sanction , consistenc yo fth e sanctio n wit h simila rcases , correctiv e action) , t o th e exten t the yar e applicabl e o rrelevant
. Whe n determinin g a specifi csanctio n amoun t withi n a range , FA Aenforcemen t personne l begi n wit h a n amoun t i n th e middl e o fth e rang e an d increas e tha t amoun t towar d th e highe ren d o fth e rang e fo raggravatin g factor s o rdecreas e tha t amoun t towar d th e lowe ren d o f th e rang e fo rmitigatin g factors
.

(4 ) Deviatin g from range s withi n a sanctio n type . Th e FA Amigh t impos e sanction s belo wth e norma l range s base d o n justifiabl e mitigatio n unde rfactor s j , 1 , an d m o fparagrap h 4 (tha t is , th e abilit yt o absor b th e sanction , voluntar yreporting , correctiv e action)
. Th e FA Ama y 7- 9

### 10/01/0 7 2150.3 B

impos e sanction s abov e the normal range s whe nth e followin g circumstances , relatin g to factor s b , d , e , an dho f

paragrap h4 ar e present : th e violatio ni s othe r tha ninadvertent"* , th e violato r ha s aviolatio nhistory , th e violatio ninvolve s asignifican t degre e o f

hazard , o r

th e violato r

ha s a poo r complianc e disposition . Th e range s als o may b e exceede dwhe nth e cas e involve s multipl e violations . {See chapte r

7 , paragraph s 6 an d7 )
c . Type s o f

Sanction . (1 ) General . Th e FA

Aordinaril y doe s no t

initiat e punitiv e civi l penalty an dpunitiv e certificat e action s (that

is , fixed-periodcertificat e suspensions ) agains t acertificat e holde r

for th e sam e offense . Whil e electin g to impos e on e sanctio ni s no t alegal ba

r to aconcurren t proceedin g to impos e another , pursuin g bothaction s solel y fo r punitiv e purpose s usuall y i s no t necessary . Th e FA Atake s remedial andpunitiv e action s i nth e sam e case , however , whe n warranted . (2 ) Selectin g type s o f

sanctions . Excep t

mexceptiona l circumstances , th e FAAuse s th e typ e o f sanctio nrecommende di nth e table . Th e FAAmus t impos e any sanctio nmandate db y statut e (for

example , revocatio nunder 4 9 U.S.C . § § 44106(b) , 44710(b) , and44726(b ) unles s waive db y th e Administrator) . 6 . Genera l Guidanc e o nMultipl e Act s o r Multipl e Violations . a . Descriptio no f

Multipl e Violations . Enforcemen t action s ofteninvolv e multipl e violations : multipl e violation s o f asingl e regulation ; asingl e violatio no f multipl e regulations ; o r multipl e violation s o f

multipl e regulations . I

naddition , unde r

4 9 U S.C . § 4630 1 (a)(2) , if a violatio ni s acontinuin g one , eac hda y th e violatio ncontinues , o r eac hflight

fo r whic hth e violatio nwa s committed , constitute s aseparat e offense . b . Genera l Sanctio nGuidance . Multipl e violation s ordinaril y resul t i nhig hsanctio n amounts . Suc hsanctio namount s ordinaril y ar e no t determine dby simpl y addin g u p th e individua l penaltie s fo

r multipl e violation s set

fort hi nth e table , however . Simpl y addin g u p th e individua l penaltie s fo

r eac hviolatio ncoul dresul t incompoundin g asanctio ni na disproportionatel y hars hmanne r fo r the conduc t

involved . Conversely , multipl e violation s may b e s o seriou s i

nthei r consequence s fo

r safety an dth e publi c interes t a s to requir e apenalt y greate r tha nth e su mo f

th e recommende damoun t o f penalt y provide dfo

r i nth e tabl e fo

r eac h violation . c . Singl e Ac t

o f Noncomplianc e Resultin g i nMultipl e Violations . Whenasmgl e instanc e o f

noncomplianc e result s inmultipl e violation s o f genera l an dspecifi c regulation s involvin g th e sam e o r

similar conduct , th e FA Aordinaril y doe s no t compoun dth e sanctio nto reflec t th e amoun t

o f sanctio nrecommende di nth e tabl e fo r

eac hregulatory violation . I n calculatin g th e amoun t

o f sanctio nfo

r multipl e violations , FA Aenforcemen t personne l conside r

* Whe nth e violatio ni s one tha

t i s generall

y inherently deliberate {e.g. , interferenc e wit hcrewmerabe

r o r smokin g violations) , facto

r b . is not consideredi

ndetemunin g whethe

r the sanctio nshouldb

e abov e th e rang e i nthe table . The range s i

nthe tabl e fo

r suc hviolation s ah-ead

y hav e take

nint o consideratio nthe inherentl y deliberat

e natur e o f the violation . 

### 7-1 010/01/0 7 2150.3 B

th e totalit yo fcircumstance s relatin g t o th e multipl e violations , includin g th e allege d violator' s degre e o fculpability , an d whethe rth e allege d violato rha d take n steps , althoug h unsuccessful , t o preven t th e violations
. d
. Typ e o fLega l Enforcemen t Action
. Wher e thi s guidanc e designate s th e typ e o flega l enforcemen t actio n fo ra singl e violation , th e FA Aordinaril yselect s th e sam e typ e o fsanctio n fo rmultipl e violation s o fa simila rnature . Th e senousnes s o fmultipl e violations , however , ma y requir e changin g wha t i s normall ya civi l penalt yactio n t o a certificat e actio n or , sometimes , a punitiv e certificat e suspensio n to' a remedia l revocatio n actio n 7 . Specia l Consirleration s fo rNumerou s Multipl e Violation s Resultin g Fro m a n initia l Ac t o rOmission
. T o determin e penaltie s fo rnumerou s multipl e violation s tha t resul t fro m a n initia l ac t o romission , th e FA Aapplie s th e specia l consideration s an d guidanc e i n chapte r7 , subparagraph s 7 a throug h e . Thes e case s involv e suc h a hig h numbe ro fmultipl e violation s tha t i fFA Aenforcemen t peVsonne l wer e simpl yt o ad d th e recommende d amount s o fpenalt yfo reac h flight o rda ytha t constitute s a separat e violation , th e resultin g sanctio n amoun t coul d b e disproportionatel yhars h fo rth e misconduc t involved , i n a n averag e case . a . Determinin g Propose d Penalty
. T o determin e a n appropnat e civi l penalt yi n a cas e involvin g numerou s multipl e violation s resultin g fro m a n initia l ac t o romissio n (fo rexample , a n aircraf t operate d o n a doze n o rmor e flights afte rbein g improperl yreturne d t o service) , FA A enforcemen t personnel : (1 ) Identif yeac h initia l ac t o romissio n tha t cause d o rresulte d i n th e multipl e violation s (fo rexample , imprope rmaintenanc e plu s imprope rretur n t o service ; failur e t o maintai n a qualit y contro l system )

(2 ) Consul t th e tabl e i n Appendi xB an d th e genera l guidanc e i n chapte r7 , paragrap h 4 , o n aggravatin g an d mitigatin g factor s t o determin e th e amoun t o fpenalt yappropriat e fo reac h initia l ac t o romissio n tha t cause d o rresulte d i n th e multipl e violation s (fo rexample , i n airworthines s cases , a penalt yfo rth e ac t o fimprope rmaintenanc e o rinspection ; i n manufacturin g cases , a penalt yfo rth e ac t o ffailin g t o maintai n a qualit ycontro l system)
. (3 ) Determin e th e amoun t o fpenalt yfo rth e numerou s multipl e violation s b yapplyin g th e guidanc e i n chapte r7 , subparagraph s 7.b
. throug h d
. O fparticula rimportanc e i n determinin g a n appropriat e sanctio n fo rnumerou s multipl e violation s i s th e degre e o fth e allege d violator' s culpabilit yfo rth e multipl e violations
. Alowe rdegre e o fculpabilit yi s presen t whe n th e allege d violato rneithe rkne wno rwa s likel yt o discove rth e continuin g violations
. Fo rexample , onc e imprope rmaintenanc e wa s don e ther e wer e n o sign s o fi t fro m suc h thing s a s discrepancie s reporte d b yth e crew , an d n o inspection s tha t woul d hav e le d t o it s discover ywer e scheduled
. A mor e significan t degre e o fculpabilit yi s presen t whe n factor s suc h as th e followin g ar e present :

• th e initia l ac t o romissio n wa s entere d i n record s tha t shoul d hav e le d t o immediat e detectio n an d correction ;

• th e initia l ac t o romissio n remaine d undetecte d an d continue d throug h require d inspection s o rcheck s designe d t o revea l suc h discrepancies , 7-1 1

### 10/01/0 7 2150.3 B

• th e allege dviolato r

wa s no t followin g maintenanc e o r inspectio nprocedure s th e FA Aha dapprove do r

accepted ; • th e leve l o f

th e allege dviolator' s organizatio ntha t wa s awar e of

, o r involve di n th e noncomplianc e include dmanagemen t (fo r example , managemen t

implemente dpolicie s tha t contribute dt o th e violations) , althoug ha nallege dviolator' s culpabilit y doe s no t requir e managemen t

involvement ; • th e allege dviolato r

ha s ahistor y o f

simila r violation s o r

ahistor y o f

systemi c deficiencies . Knowin g an dwillfu l violation s connot e th e highes t degre e o f

culpability . (4 ) Ad dth e penaltie s arrive da t for th e initia l violatio nt o th e penalt y fo r th e multipl e violations . b . Limitation s o nTota l Civi l Penalt y Amount s fo r Numerou s Multipl e Violations . (1 ) I na naverag e cas e involvin g numerou s inadvertent , multipl e violation s resultin g fro m asingl e ac t

o r omission , tha t

is , no t on e tha t i s covere db y chapte r

7 , subparagraph s 7.c . o r 7.d. , th e tota l civi l penalt y for th e multipl e violation s ordinaril y fall s withi nth e range s provide di n eithe r Figur e 7- 1 o r

7-2 . Th e grou p classification s ar e define di npar t I o f Appendi x B . (2 ) Th e ten nisolate dinFigure s 7- 1 an d7- 2 typicall y describe s asingl e instanc e o f an employee' s failur e t o follo w astatutor y o r regulator y requirement , contrar y t o th e company' s ow npractic e o r

procedure . Acas e ma y involv e anumbe r o f isolate dan dunrelate dviolations . Eac hgrou p o f

th e multipl e violation s resultin g fro meac hisolate dviolatio nordinaril y i s subjec t t o th e isolated , inadverten t range s inFigure s 7- 1 o r 7-2 . (3 ) Inadverten t

failure s ar e considere dsystemi c i f the y ar e repetitiv e o r

otherwis e demonstrat e a nunderlyin g deficienc y i nth e allege dviolator' s system , practices , o r procedures . Systemi c failure s generall y warran t mor e substantia l penaltie s an dindicat e anee dfo r correctiv e action . (4 ) Th e aggravatin g o r mitigatin g factor s an delement s inchapte r 7 , paragrap h4 . ar e considere dt o determin e a nappropriat e civi l penalt y withi nth e applicabl e rang e i nFigur e 7- 1 o r 7-2 , fo r th e multipl e violation s resultin g fro mth e initia l ac t o r omission . O f

particula r importanc e i s a nevaluatio no f th e seriousnes s o f

th e potentia l hazar dcause db y th e violatio nan d th e degre e o f

culpabilit y o f

th e allege dviolato r

for th e multipl e violations .

7-1 2

## 10/01/0 7 2150.3 B

Figur e 7-1 . Range s o f

Penaltie s fo r

Ai r Carriers , Commercia l Operators , Par t 12 5 Operator s Typ e o f Violation s Inadvertent , Isolate d Violation s Inadvertent , Systemi c Violation s Grou p I

Larg e Busines s $200,000

- $400,00 0 $300,000

- $500,00 0 Grou p I

Smal l Busines s $100,000

- $300,00 0 $200,000

- $400,00 0 Grou p I I

o r Par t 12 5 Larg e Busines s $150,000

- $300,00 0 $250,000

- $400,00 0 Grou p I I o r

Par t 12 5 Smal l Busines s $100,000

- $200,00 0 $150,000

- $300,00 0 Grou p II I

$75,000

- $150,00 0 $100,000

- $200,00 0 Grou p I V

$50,000

- $100,00 0 $75,000

- $150,00 0 Figur e 7-2 . Range s o f

Penaltie s fo r

Ai r Agencies , Airports , Manufacturer s Typ e o f Violation s Inadvertent , Isolate d Violation s Inadvertent , Systemi c Violation s Air

Agenc y Larg e Busines s $150,000

- $300,00 0 $250,000

- $400,00 0 Air

Agenc y Smal l Busines s $100,000

- $200,00 0 $150,000

- $300,00 0 Airpor

t Operator Larg e Busines s $200,000

- $400,00 0 $300,000

- $500,00 0 Airpor

t Operator Small Busines s $100,000

- $300,00 0 $200,000

- $400,00 0 Manufacturin g

Larg e Busines s $200,000

- $400,00 0 $300,000

- $500,00 0 Manufacturin g

Small Busines s $100,000

- $300,00 0 $200,000

- $400,00 0 Individua l $50,000

- $100,00 0 $75,000

- $150,00 0

c . Penaltie s Outsid e th e Ranges . (1 ) Penaltie s lowe r

tha nth e ranges . It

ma y b e appropriat e t o selec t acivi l penalt y amoun t belo w th e range s inFigure s 7- 1 o r 7- 2 i f th e degre e o f

culpabilit y i s minimal , th e degre e o f potentia l hazar di s extremel y low , an dther e ar e n o othe r aggravatin g circumstances . (2 ) Penaltie s highe r

tha nth e ranges . I t

ma y b e appropriat e t o selec t acivi l penalt y highe r tha nth e ranges , u p t o th e statutor y maximums :

• I f th e allege dviolato r

wa s significantl y culpabl e i npermittin g th e initia l ac t o r omission ; • I f th e violation s involv e significan t safety risks ; • I f ther e wa s a nabsenc e o f correctiv e actio nb y th e allege dviolato r ove r a nextende d perio do f time ; • Wher e i t

i s necessar y t o provid e aneconomi c disincentiv e fo r regulator y noncompliance ; or . • I f th e allege dviolato r

ha s apoo r

complianc e dispositio no r history . d . Intentiona l Violations . Whe nther e i s substantia l an dreliabl e evidenc e tha t th e allege d violato r kne w o f th e violation s resultin g fro mth e initia l ac t o r omissio nan dallowe dthe mt o 7-1 3

### 10/01/0 7 2150.3 B

occur , th e range s se t

forthi nFigure s 7- 1 an d7- 2 d o no t apply . Fo r

example , operatio no f

a n aircraf t whe nther e i s evidenc e th e operato r kne w th e aircraf

t o r fligh t wa s no t i ncomplianc e wit hstatutor y o r

regulator y requirements , ye t deliberatel y operate di t

anyway , i s mos t

serious , an dapar t fro mcivi l penalties , require s consideratio no f remedia l certificat e action . Fo r multipl e violation s i nthes e circumstances , an y civi l penaltie s sough t ma y b e u p t o th e statutor y maximu m penalt y fo r

eac hviolation , regardles s o f th e numbe r

o f violations . e . Civi l Complaints . Th e guidanc e inchapte r 7 , paragrap h7 doe s no t limi t th e amoun t

o f civi l penaltie s tha t

ma y b e sough t

i nacivi l complain t

filedi nU.S . distric t

court . 8 . Modification . a . Typ e o f

Sanction . Excep t

whe nth e FA Aexercise s it s prosecutoria l discretio nt o settl e a nenforcemen t

action , th e FA Agenerall y doe s no t modif y order s suspendin g o r

revokin g a certificat e t o provid e fo r acivi l penalty . Th e FA Aals o generall y doe s no t modif y order s assessin g acivi l penalt y t o provid e fo r acertificat e action . Th e FA Amodifie s th e typ e o f sanctio nonl y i nthos e case s involvin g extraordinar y circumstance s (beyon dth e norma l aggravatin g o r

mitigatin g factor s an delement s liste dinchapte r 7 , paragrap h4) . Ne w facts discovere dafte r

th e origina l orde r

ha s bee nissue dma y provid e abasi s for modifyin g th e amoun t o f sanction , bu t

woul dno t

ordinaril y provid e abasi s for modifyin g th e typ e o f

sanction . However , i f

newl y discovere dfacts rais e ne w issues , suc ha s th e allege dviolator' s qualification s t o hol dacertificate , o r

if the y implicat e astatutorily-mandate dpenalty , th e FA Amodifie s th e typ e o f sanction . b . Amoun t

o f Sanction . Th e FA Adoe s no t appl y th e factor s liste dinchapte r 7 , paragrap h 4 . inamanne r

tha t woul ddoubl e thei r

effect . Onc e th e FA Aha s fairl y considere dth e relevan t mitigatin g an daggravatin g circumstances , it generall y doe s no t

modif y th e amoun t

o f sanction . Th e FA Amodifie s th e amoun t o f sanctio nnonnall y onl y v/he nne w informatio nindicate s th e factor s o r element s wer e no t

fairl y applied , o r

whe nothe r

clea r an dcompellin g reason s ar e articulated . 9 . Specia l Emphasi s Enforcemen t Programs . A t

time s specia l situation s aris e tha t dictat e th e nee dfo r mor e effectiv e enforcemen t actio ntliroug hincrease dsanction s o r othe r measure s ina particula r regulate dare ao r

segmen t o f industry . Whe nthes e circumstance s arise , th e FA Amay se t u p aspecia l emphasi s enforcemen t program , designe dt o focu s o naparticula r are ao f noncomplianc e o nanationa l o r loca l geographica l basis . 10 . Smal l Entities . a . General . (1 ) Unde r

th e Smal l Busines s Regulator y Enforcemen t Fairnes s Ac t

o f 199 6 (SBREFA) , th e FA Ai s require dt o hav e apolic y o r progra mt o provid e for

th e reduction , an dunde r appropriat e circumstance s waiver , o f civi l penaltie s for

statutor y o r

regulator y violation s b y smal l entities . Unde r

th e law , suc hapolic y i s t o contai ncertai nconditions . Thos e suggeste db y Congres s are : requirin g th e smal l entit y t o correc t th e violatio nwithi nareasonabl e correctio n period ; limitin g th e applicabilit y t o violation s discovere dthroug hparticipatio ninacomplianc e 7-1 4

## 10/01/0 7 2150.3 8

assistanc e o r

audi t progra moperate do r

supporte db y th e agency ; excludin g smal l entitie s tha t hav e bee nsubjec t

t o multipl e enforcemen t action s b y th e agency ; excludin g violation s involvin g willfii l o r crimina l conduct ; excludin g violation s tha t pos e seriou s health , safety o r environmenta l threats ; an drequirin g agoo dfaitheffort t o compl y wit hth e law . Th e SBREF A als o provide s tha t

unde r appropriat e circumstances , th e FA Ama y conside r abilit y t o pa y i n determinin g th e penalt y t o asses s asmal l entity . (2 ) Congres s intende dtha t agencie s hav e th e discretio nt o develo p th e limit s o f thei r enforcemen t

policie s fo r

smal l entitie s an dth e specifi c circumstance s unde r whic hpenalt y reduction s o r

waiver s woul db e granted . Becaus e th e statut e require s a nagency , subjec t t o th e requirement s an dlimitation s o f othe r statutes , t o plac e condition s o r exclusion s o nit s enforcemen t

polic y unde r

SBREFA , i t

doe s no t appea r Congres s intende dagencie s t o reduc e o r waiv e penaltie s solel y becaus e a nallege dviolato r i s asmal l entity . Rather , th e statut e contemplate s tha t

certai ncriteri ab e me t

befor e a nagenc y reduce s o r waive s apenalt y agains t a smal l entity . Althoug hth e SBREF Aimpose s arequiremen t o nagencie s t o establis hpenalt y reductio nan dwaive r

program s fo r

smal l entities . Congres s recognize dtha t som e agencie s alread y hav e forma l o r

informa l policie s o r

program s tha t

woul dmee t

thi s requirement . b . FAA' s Polic y unde r th e SBREFA . (1 ) Th e FAA' s complianc e an denforcemen t progra minclude s severa l policie s tha t mee t th e requirement s o f

an dar e consisten t

wit hth e inten t

of , SBREFA . Take ntogether , thes e policie s constitut e th e FAA' s polic y mandate db y SBREFA . (2 ) Unde r

th e FAA' s complianc e an denforcemen t program , fo r

example , FA A investigativ e personne l hav e th e discretio nt o addres s allege dviolation s b y an y person , includin g smal l entities , wit hlesse r enforcemen t

actio ntha nacivi l penalty , tha t is , administrativ e action , provide dth e criteri ainchapte r 5 ar e met . Ther e ar e tw o form s o f administrativ e action : awarnin g notic e an dalette r o f correction . Awarnin g notic e bring s t o th e attentio no f

th e regulate dperso no r

entit y th e facts an dcircumstance s tha t indicat e tha t

a violatio nha s occurred , identifie s th e regulator y provisio na t issue , an drequest s future compliance . Alette r

o f correctio ni s simila r

bu t i s intende dfor

us e whe nther e i s a nagreemen t wit hth e regulate dpart y tha t cortectiv e actio nacceptabl e t o th e FA Ahas , o r withi nareasonabl e perio dwil l be , taken . Administrativ e action s ar e les s onerou s tha nawaive r o f penalt y intha t the y neithe r

carr y asanctio nno r

resul t i nafindin g o f

violation . (3 ) Unde r

th e agency' s voluntar y disclosur e reportin g program , th e FA Atake s administrativ e actio ninstea do f civi l penalt y actio nagains t mos t regulate dentities , includin g smal l entitie s tha t

voluntaril y repor t

certai napparen t

violation s t o th e FAA , complet e correctiv e actio nsatisfactor y t o th e FA At o preven t thei r recurrence , an dmee t

certai nothe r

criteria . (4 ) Th e FAA' s sanctio npolicie s hav e historicall y provide dfo r reduction s o f

civi l penaltie s inappropriat e case s base do nth e mitigatin g factor s liste di nchapte r 7 , subparagrap h4. , whic hinclud e abilit y t o pa y an dwhethe r apenalt y woul dpreven t th e entit y fro mcontinuin g i n business .
7-1 5

### 10/01/0 7 2150.3 B (5 ) Fo r ai r carrier s an dcommercia l operators , th e FA Aals o take s compan y siz e int o consideratio ni ndeterminin g th e appropriat e amoun t o f civi l penalty . Th e sanctio nrange s i nPar t I . Definition s an dAbbreviation s o f th e tabl e fo r

single , inadvertent , first-time violation s b y U.S . ai r carrier s an dU.S . commercia l operator s differentiat e amon g variou s size s o f suc hentitie s a s a mean s o f providin g arelativel y equivalen t deterten t for th e sam e violatio nagains t eac hai r carrie r an dcommercia l operator . Whil e th e FA Aha s no t specifie dsuc hsanctio nrange s fo r othe r certificat e holdin g entities , i t i s th e FAA' s polic y t o see k penaltie s generall y relativ e t o th e siz e an drevenu e o f

th e operatio nfor

repai r stations , manufacturers , airports , an dothe r entitie s holdin g certificates . (6 ) Althoug hth e FA Adoe s no t reduc e o r

waiv e th e penalt y o f

anallege dviolato r

solel y becaus e i t

i s asmal l entity , th e FA Aappropriatel y reduce s acivi l penalty , o r elect s t o tak e administrativ e actio nrathe r tha nlega l enforcemen t

action , agains t

asmal l entit y i f

appropriat e unde r th e policie s describe di nchapte r 7 , subparagraph s 10.b.(l)-(5) . c . Th e Smal l Busines s Ombudsman . (1 ) Th e Smal l Busines s an dAgricultur e Regulator y Enforcemen t Ombudsma nan d1 0 Regiona l Fairnes s Board s wer e establishe dt o receiv e comment s fro msmal l businesse s abou t federa l agenc y enforcemen t actions . Th e Ombudsma nannuall y evaluate s th e enforcemen t activitie s an drate s eac hagency' s responsivenes s t o smal l business . (2 ) Eac hFA Aemploye e wh o conduct s a ninspectio no f asmal l busines s concer ntha t i s regulate db y th e FA Aprovide s th e smal l busines s concer nwit haninformatio nsheet . Th e informatio nshee t

inform s tha t

entit y tha t

it may submi t

complaint s o r

comment s regardin g unfai r FA Aregulator y enforcemen t to th e Nationa l Ombudsman . Th e informatio nshee t contain s th e followin g language : Ou r objectiv e i s t o ensur e afai r regulator y enforcemen t enviromnent . I f

yo u fee l tha t

yo u hav e bee ntreate dunfairl y o r unprofessionally , yo u ma y contac t th e FA Ab y callin g th e FAA' s Offic e o f

Rulemakin g at

(202)-267-340 4 o r

b y mailin g you r

comment s o r complaint s t o th e Federa l Aviatio nAdministration , Offic e o f Rulemaking , 80 0 Independenc e Avenue , S.W. , Roo m808 , Washington , D.C. , 20591 . Yo u als o hav e a righ t t o contac t

th e Smal l Busines s Administration' s Nationa l Ombudsma nat 1

- 888

- REG-FAI R(1-888-734-3247) , o r w^^w.sba.gov/ombudsma nregardin g th e fairnes s o f th e complianc e an denforcemen t activit y o f

th e FAA . Th e FA Astrictl y forbid s retaliator y act s b y it s employees . A s such , yo u shoul dfee l confiden t tha t yo u wil l no t

b e penalize d fo r expressin g you r

concem s abou t

th e FAA' s complianc e an denforcemen t activities . I I . Remedia l Sanctio nGuidanc e Policy . a . General . (1 ) Th e FA Astatut e require s th e Administrato r t o promot e "saf

e flight o f civi l aircraf

t in ai r commerc e . . . . " 4 9 U.S.C . § 44701(e) . A s on e mean s o f achievin g thi s goal , th e statut e specificall y authorize s th e Administrato r t o issu e variou s certificates . Thes e certificate s includ e 7-1 6

## 10/01/0 7 2150.3 B

airma ncertificates , typ e certificates , productio ncertificates , auworthines s certificates , ai r carrie r operatin g certificates , airpor t operatin g certificates , ai r agenc y certificates , an dai r navigatio n facilit y certificates . 4 9 U.S.C . § 44702(a) . Fo r mos t o f thes e certificates , th e statut e require s th e Administrato r

t o investigat e an dmak e appropriat e finding s regardin g qualification s t o hol dth e certificat e applie dfo r

befor e th e certificat e i s issued . Fo r example , th e Administrato r i s require d t o investigat e an dmak e finding s tha t person s applyin g fo r

airma ncertificate s ar e qualifie dt o hol dthos e certificates ; tha t aircraf t an daircraf

t engin e part s ar e properl y designe dan d manufactured , perfor mproperly , an dmee t th e regulation s an dminimu mstandard s prescribe d befor e issuin g atyp e certificate , an ds o forth . 4 9 U.S.C . § § 44702-44706 . Onc e th e Administrato r

finds th e applican t

i s qualifie dfor

th e certificat e applie dfor , th e Administrato r i s require dt o issu e th e certificat e inquestion . (2 ) Becaus e th e Administrator' s responsibilit y t o promot e safet y i nai r commerc e an dai r transportatio ni s constant , th e Administrato r mus t als o tak e appropriat e actio nwhe nth e Administrato r

finds, o r ha s reaso nt o believe , th e certificat e holde r n o longe r

possesse s th e qualification s require dt o hol dacertificate . Thus , th e statut e provide s tha t th e Administrato r "ma y reinspec t

a t an y tim e acivi l aircraft , aircraf t engine , propeller , appliance , ai r navigatio n facility , o r

ai r agenc y o r

reexamin e anairma nholdin g acertificat e issue dunde r sectio n4470 3 o f thi s title, " an dtha t

th e Administrato r

"ma y issu e a norde r

amending , modifying , suspendin g o r revokin g . . . an y par t

o f acertificat e issue dunde r [chapte r 44 7 o f th e statute ] if . . . th e Administrato r

decide s afte r

conductin g areinspection , reexamination , o r othe r investigatio ntha t safety inai r

commerc e o r

ai r transportatio nrequire s tha t action. " 4 9 U.S.C . § § 44709(a ) an d(b ) (1)(A) . (3 ) Revocatio ni s th e appropriat e remed y for conduc t tha t demonstrate s tha t

acertificat e holde r lack s eithe r

th e technica l proficienc y o r th e degre e o f

care , judgment , an dresponsibility , require dfor

th e certificat e an drating s held . Th e prope r standar dfo r

revocatio ni s no t

whethe r specifi c violation s demonstrat e afailur e t o exercis e th e necessar y qualification s o f acertificat e holder , bu t

rathe r whethe r th e violation s demonstrat e tha t th e holde r

ha s neve r

possesse do r

n o longe r possesse s suc hqualifications . Similarly , suspensio nunti l demonstratio no f qualificatio n i s appropriat e whe nth e agenc y ha s reaso nto believ e th e certificat e holde r ma y lac k

th e require d competenc e t o hol dacertificat e an dgenerall y whe nth e certificat e holde r fail s o r refuse s t o b e reexamined . Ineithe r

case , usin g th e factor s normall y applie dt o selec t asanctio ninpunitiv e suspensio ncase s i s neithe r require dno r

appropriate . b . Misconduc t

Generall y Warrantin g Revocation . (1 ) Th e FA Aha s conclude dtha t b y thei r nature , som e act s o f

misconduc t

ar e s o egregiou s a s t o demonstrat e th e certificat e holde r neve r possesse do r

n o longe r

possesse s th e qualification s require dt o hol dan y airma ncertificat e an dothe r certificates . Therefore , suc hact s o f misconduc t

warran t revocatio no f

al l airma ncertificate s an dothe r certificate s hel db y th e certificat e holder . Suc hact s include : makin g afraudulen t o r intentionall y fals e statement ; operatin g anaircraf

t whil e unde r

th e influenc e o f

alcoho l o r

drugs , o r

wit hanalcoho l concentratio no f

.0 4 percen t

o r above , o r

withi n8 hour s o f

consumin g alcohol , i nviolatio no f 1 4 C.F.R . § 91.17(a) ; operatin g acivi l aircraf t withi nth e Unite dState s wit hknowledg e tha t narcoti c drugs , marijuana , an ddepressan t o r stimulan t

drug s o r substance s a s define dinfedera l 

## 7-1 7

### 10/01/0 7 2150.3 B

o r stat e statute s ar e cartie di nth e aircraft , i nviolatio no f 1 4 C.F.R . § 91.19(a) ; refusin g t o submi t t o adru g o r

alcoho l test ; an dconvictio nfo r th e violatio no f

an y federa l o r

stat e statut e relatin g t o th e growing , processing , manufacture , sale , disposition , possession , transportation , o r importatio no f

narcoti c drugs , marijuana , depressan t o r stimulan t

drug s o r substance s involvin g th e us e o f

a naircraft , th e exercis e o f th e privilege s o f

th e allege dviolator' s airma ncertificat e t o furthe r th e prohibite dconduct , o r mor e tha non e dru g convictio no f an y kin dwithi nth e scop e o f 1 4 C.F.R . § § 61.15(a) , 63.12(a) , o r 65.12(a). ^ (2 ) Excep t

for case s unde r

4 9 U.S.C . § § 44106 , 44710 , 44726 , an d46111 , ther e ma y b e uniqu e circumstance s for whic hasanctio nothe r

tha nrevocatio ni s wartanted . Becaus e o f th e seriou s implication s fo r aviatio nsafety raise db y thes e cases , however , FA Alega l counse l coordinate s an y decisio nt o see k asanctio nothe r

tha nrevocatio nwit hth e Assistan t Chie f Counse l fo r

Enforcement . I naddition , lega l counse l document s th e basi s fo r tha t decisio ni nth e cas e file . c . Intentionall y Fals e o r Fraudulen t

Statements . (1 ) I ngeneral , th e FA Aconsider s th e makin g o f intentionall y fals e o r

fraudulen t statement s s o seriou s a noffens e tha t i t result s i nrevocatio no f

al l certificate s hel db y th e certificat e holder . See , for example . Administrato r v . Twomey , 5 NTS B 125 8 (1986) , aff' d 82 1 F.2 d6 3 (1s t

Cir . 1987 ) (violatio no f 1 4 C.F.R . § 67.20(a)) . Falsificatio nha s aseriou s effec t o nth e integrit y o f

th e record s o nwhic hth e FAA' s safet y oversigh t depends . I f

th e reliabilit y o f thes e record s i s undermined , th e FAA' s abilit y t o promot e aviatio nsafety i s compromised . (2 ) Th e FA Aha s handle ddifferentl y on e are ao f intentiona l falsificatio n- omittin g informatio nrelate dto alcohol

- o r drug-relate dconvictions , an dothe r simila r convictions , fro m application s fo r

airma nmedica l certification . InFA AOrde r 2150.3A , Complianc e an d Enforcemen t

( C & E ) Bulleti nNo . 90-2 , issue do nFebruar y 6 , 1990 , th e agency' s polic y calle d for th e followin g sanctions : revokin g th e allege dviolator' s curren t medica l certificate , i f

any , an dsuspendin g an y airma no r groun dinstructo r

certificate s fo r

6 0 day s whe nth e falsificatio n involve domittin g fro mth e applicatio nfo r medica l certificatio ninformatio no nasingl e drivin g whil e intoxicate do r

drivin g unde r

th e influenc e (DUl ) conviction ; revokin g an y curren t medica l certificat e an dsuspendin g an y airma no r groun dinstructo r

certificate s for

18 0 day s whe nth e falsificatio ninvolve domittin g informatio no nasingl e dru g convictio nfor simpl e possessio n fro mth e applicatio nfor

medica l certification ; an drevokin g an y curren t medica l an dan y airma n o r groun dinstructo r

certificate s whe nth e falsificatio ninvolve domittin g informatio no nmor e tha non e DU I conviction , o r aconvictio nfor

mor e tha nsimpl e possession , o r mor e tha ntw o dru g conviction s o f

an y type . (3 ) Th e FA Aha s reevaluate dth e sanctio nguidanc e containe dinC & EBulleti n

^ Adru g convictio nwithinthe scop e o f 1 4 C.F.R . § § 61.15(a) , 63,12(a) , or 65.12(a) tha

t doe s no t involv e th e us e of a naircraf t or th e exercis e o f

the privilege s of

th e allege dviolator' s certificate als o ca nwarrant revocatio ni

nsom e circumstances . Revocatio ni s appropriate where th e totalit y o f th e circumstance s underlyin g th e convictio nindicate s tha t th e allege dviolator

lacks th e judgment , responsibility , andcomplianc e attitude require do f a nairman . Thi s determinatio nmus t

be made o

nacase-by-cas e basis . 

### 7-1 8

## 10/01/0 7 2150.3 B

No . 90-2 , an dha s conclude dtha t th e sanctio nguidanc e for fraudulen t

o r intentiona l falsificatio n shoul db e th e sam e regardles s o f th e typ e o f

cas e involved . Th e FA Aha s determine dtha t falsificatio ni nth e case s describe di nC & EBulleti nNo . 90- 2 ha s th e sam e potentiall y advers e consequence s fo r

aviatio nsafet y a s doe s falsificatio no f an y othe r

record . I nessence , aperso n wh o fraudulentl y o r

intentionall y falsifie s thes e record s demonstrate s th e sam e lac k o f care , judgment , an dresponsibilit y a s aperso nwh o falsifie s an y othe r aviatio nsafety-relate drecords . T o correc t

th e anomal y create db y C & EBulleti nNo . 90-2 , th e FA Arescind s th e sanctio n guidanc e regardin g intentionall y fals e o r fraudulen t

statement s i ntha t

bulleti nan dwithdraw s th e Notic e o f Enforcemen t

Polic y foun da t

5 4 Fed . Reg . 1514 4 (1989) . 12 . Genera l Guidanc e fo r Usin g th e Sanctio nGuidanc e Tabl e fo r Unrul y Passenge r Conduc t Unde r 4 9 U.S.C . § 46318 . a . Genera l Purpos e an dPolicy . (1 ) Th e tabl e at

Appendi x B , par t

II , Figur e B-3- p provide s th e suggeste dsanctio nrange s for asingl e ac t

o f unrul y conduc t

b y apassenge r

subjec t t o th e provision s o f

4 9 U.S.C . § 46318 . Se e als o Cre w Interferenc e (Unrul y Passengers) , chapte r 4 , paragrap h14 . The y provid e genera l guidanc e onl y abou t

ho w t o appl y th e agency' s civi l penalt y authorit y unde r 4 9 U.S.C . § 46318 . Th e sanctio nguidanc e table s d o no t supplan t th e agency' s judgmen t

o r it s prosecutoria l discretio ni nevaluatin g aparticula r cas e for enforcemen t

action . (2 ) Whethe r

aparticula r

passenger' s unrul y ac t

wairant s asanctio nwithi no r outsid e th e sanctio nrange , o r

i nth e exercis e o f

prosecutoria l discretio nadecisio nno t t o procee dwit h enforcemen t

actio ndepend s o nth e totalit y o f th e circumstance s i naparticula r case . Wher e th e mitigatin g an daggravatin g factor s describe dinchapte r 7 , paragrap h4 ar e als o presen t ina 4 9 U.S.C . § 4631 8 case , FA Aenforcemen t personne l applyin g th e sanctio nrange s at Appendi x B , par t II , Figur e B-3- p conside r thos e factor s inselectin g anappropriat e sanctio nwithi no r outsid e th e range . Th e variet y o f conduc t subjec t t o 4 9 U.S.C . § 4631 8 an dth e varie dfact s an d circumstance s withi nwhic hunrul y conduc t ma y occur , may als o warran t consideratio no f

othe r mitigatin g an daggravatin g factor s uniqu e t o unrul y passenge r conduct . Som e o f

thes e additiona l factor s ar e se t

forthi nchapte r

7 , subparagraph s 12.b . an dc . b . Additiona l Aggravatin g Factor s t o Consider . I nadditio nt o th e factor s describe di n chapte r 7 , paragrap h4 , FA Aenforcemen t personne l conside r

othe r potentiall y aggravatin g factor s i nchapte r

7 , subparagraph s 12.b.(l)-(7 ) inth e selectio no f a nappropriat e sanctio nwithi n o r outsid e th e sanctio nrange . (1 ) Th e severit y o f

th e unrul y conduct . Th e severit y o f th e conduc t

ma y b e indicate db y severa l factors , including :

• Th e physica l characteristic s o f th e individua l committin g th e unrul y conduc t contraste dwit hthos e o f th e victim . • Th e natur e o f

th e conduc t

itsel f
• Th e exten t

o f an y injury inflicted .



## 7-1 9

## 10/01/0 7 2150.3 B (2 ) Whethe r

th e unrul y conduc t

occurre dwhe nth e aircraf t wa s i nflight

o r whil e passenger s wer e boardin g o r deplaning . Certai nunrul y conduc t tha t occur s durin g flight

o r o na crowde dboarde dflight

ma y b e mor e aggravatin g tha nth e sam e conduc t tha t occur s whil e passenger s ar e deplaning . (3 ) Whethe r

th e unrul y conduc t

wa s directe da t

acrewmembe r

o r apassenger . Becaus e acrewmembe r

ha s safety dutie s t o perfor mo naflight, unrul y conduc t agains t acrewmembe r ma y b e mor e aggravatin g tha nth e sam e unrul y conduc t directe dat

anindividua l wh o doe s no t hav e an y safet y dutie s t o perfor mo nth e flight. (4 ) Whethe r

th e unrul y passenge r

provoke dth e situatio ntha t resulte di nth e unrul y conduct . Fo r

instance , apassenge r

wh o instigate s aconfrontation , o r apassenge r

wh o mixe s alcoho l wit hprescribe do r over-the-counte r

drug s tha t

th e passenge r

claim s precipitate dth e unrul y conduct . (5 ) Whethe r

th e unrul y conduc t

necessitate dtha t

th e flight

b e diverte dfro mit s intende d destination . (6 ) Whethe r

th e unrul y conduc t

necessitate dtha t

th e flight

cre w cal l ahea dfo r

la w enforcemen t

t o mee t th e flight

o narrival . (7 ) Whethe r

th e unrul y conduc t

wa s inflicte dwithmalic e o r inanger . c . Additiona l Mitigatin g Factor s t o Consider . Th e factor s liste dinchapte r 7 , subparagraph s 12.c.(l)-(3 ) may justif y asanctio nbelo w th e sanctio nrange , o r inth e agency' s prosecutoria l discretion , ma y justif y adecisio nno t

t o prosecut e apassenger' s unrul y conduct . (1 ) Whethe r

th e unrul y passenge r

ha s alread y serve dacrimina l sentenc e fo r th e sam e conduc t o r ha s alread y mad e monetar y restitutio ninth e contex t o f acrimina l prosecutio nfo r th e sam e conduct . (2 ) Whethe r

th e passenger' s unrul y conduc t wa s cause db y adiagnose dmedica l o r menta l conditio nfor

whic hth e passenge r

wa s receivin g medica l treatment . (3 ) Whethe r

th e unrul y conduc t

wa s areasonabl e respons e t o aprovocatio nb y another . However , apassenger' s us e o f unreasonabl e forc e inrespons e to aprovocatio nb y anothe r individua l o nth e aircraf t woul dno t

constitut e amitigatin g factor . d . Whe nt o Appl y th e Sanctio nRang e fo r Act s Posin g a n"Imminen t Threat " t o Safet y o f th e Aircraf t

o r Other s o nBoar dth e Aircraft . (1 ) Th e sanctio nrang e at Appendi x B , par t

II , Figur e B-3- p for

anac t tha t pose s a n imminen t threa t to safety o f

aircraf t o r othe r individual s o nth e aircraf t applie s whe nther e i s a n imminen t threa t t o th e safety o f

th e aircraf

t o r t o th e collectiv e safety o f other s o nboar dth e aircraft . Fo r

example , apassenge r

attemptin g t o ope na nemergenc y exi t doo r woul db e a n imminen t threa t t o th e safety o f

th e aircraft . I f

th e imminen t

threa t t o safety i s directe dt o 

## 7-2 0

## 10/01/0 7 2150.3 B

specifi c individual s o nth e aircraft , the nth e sanctio nrang e fo r physical assault

or threatene d physical at

Appendi x B , part

II , Figure B-3- p applies . (2 ) Inselectin g a

nappropriate sanctio nwithi nor outsid e th e sanctio nrang e fo r a nac t posin g a nimminent

safet y threat , FAAenforcement personne l consider

whether the resultant imminent threat wa s th e unintende dconsequenc e o f th e passenger' s careles s or reckles s ac t

o r whether th e passenger

intende dth e consequences . The forme r woul djustif

y asanctio ntoward th e lo w endof

th e range , whil e th e latter woul djustif

y asanctio ntowardth e maximumrange . e . Applicabl e Sanctio nRange s fo r Securit y Officer s o r

Other s Assigne daLa w Enforcemen t

Functio no naFligh t

(fo r example , Federa l Ai r

Marshal s Assigne dt o th e Flight) . FAAenforcement personne l apply th e sanctio nrang e applicabl e to physical assault s or threatene dphysical assault s oncrewmember s (Appendi x B , part II , Figure B-3-p) . f . Applyin g Unrul y Passenge r Sanctio nGuidanc e Table s t o Multipl e Acts . Whenapplyin g th e tabl e to multipl e act s b y a nunruly passenger , FAAenforcement personne l consider not only th e individual unruly act s committed , but als o th e collectiv e consequence s of all th e unruly behavior . FA Aenforcement

personne l do not

approac hth e sanctio ndeterminatio n fo r multipl e act s a s amechanical exercis e of multiplyin g th e number

of separate act s of

unruly behavio r b y asanctio namount

i nthe rang e fo

r asingl e act . Instead , they us e th e guidanc e i nthe tabl e andexercis e their

judgmen t as t o the seriousnes s o f

th e conduct , giventh e totalit y o f circumstances , to determin e a nappropriate sanctio namount tha t wil l dete r futur e violation s b

y th e unruly passenger

an dother s similarly situated .

7-2 1

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