Recent Enforcement 

Activities & Initiatives

Office of Aviation Enforcement and Proceedings

presentation before the fourth meeting of the

Advisory Committee for Aviation Consumer Protection

May 21, 2013 
Enforcement Jurisdiction

“Air Transportation”

 

Direct and Indirect Air Carriers

“Ticket Agents” 
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Regulated Areas

I. Civil Rights

• Disability

• Other discrimination

II. Unauthorized Operations 

• Unlicensed common carriage operations 

• Cabotage

III. Consumer Protection

• Advertising

• Other areas (oversales, codeshare notice to passengers, contract of carriage, 

refunds, baggage liability, public charters, excessive tarmac delays, family 

assistance after aviation accidents)
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Enforcement Process & 

Outcomes 

Enforcement Process

• Formal 

• (Rules of Practice, including 14 CFR 302.401)

• (Rules of Conduct 14 CFR Part 300)

• Informal

Outcomes

• No violation

• Warning letter

• Consent cease and desist order

• Revocation or modification of economic authority

• Permanent or temporary ban on specific individuals from 

involvement in aviation industry

• Criminal (knowing and willful violations)
On-Site Inspections

• Since 2008, 25 inspections

• 16 consent orders (≈ $3.3M)

• Average five per year; funding considerations

• 3-5 person team 

• Comprehensive in scope

• Scope being expanded to public charter 

 operators and foreign air carriers 
Compliance Initiatives

• CONSUMER I and II RULES

• LONG ON-BOARD TARMAC DELAYS

• CODE-SHARE DISCLOSURE

• BAGGAGE LIABILITY

• PUBLIC CHARTERS
Compliance Initiative: 

Consumer I and II

• “New” Full Fare Rule

• Baggage Fee Disclosure

• Optional Fee Disclosure

• Customer service plans

• Posting of plans

• Complaint responses

• 24 consent orders (≈ $2M)
Tarmac Delay Compliance 

Initiative

• Three orders pre-rule ($175K)

• Eight orders under rule, including U.S. and

 foreign carriers ($1.665M), involving following 

 issues:

• Excessive time on tarmac/failure to deplane (4)

• Failure to provide notification of opportunity to 

 deplane (4)

• Tarmac delay plan missing assurances (3)

• Misreporting (1)

• Offsets for vouchers, refunds, miles (4)
Code-Share Disclosure 

Compliance Initiative

• Direct air carriers

• Since 2009, 4 ($240K)

• On-line travel agents

• Since 2011, 14 consent orders ($600K)

• “Brick and mortar” travel agents

 
Baggage Liability Limit 

Compliance Initiative

• Domestic Liability Limit Rule (14 CFR Part 254) 

• Montreal Convention (Articles 17 and 19)

• Since 2012, 5 orders with only baggage liability 

limit violations assessing $250K; two other 

orders with other violations 
Public Charter 

Compliance Initiative

• Direct Air, March 2012

• Four consent orders ($1.3M)

• Assurances

• Jurisdiction:

• Public charter operators

• Direct Air Carriers

• Depository Banks
Consent Orders and Assessed Civil Penalties 

by Type of Violation

CONSENT ORDERS BY YEAR/BY TYPE OF VIOLATION 

Total Orders

2009 2010 2011 2012 2013 by Type

Advertising 7 18 21 17 1 64

Unauth Opns 7 11 6 8 0 32

Civil Rights 1 7 5 5 0 18

Other Consumer 9 9 24 24 6 72

Reporting 3 6 1 0 0 10

Multiple Types 3 1 2 8 0 14

Total Orders By 

Yr: 30 52 59 62 7 210

ASSESSED CIVIL PENALTY AMTS ($) BY YEAR/BY TYPE OF VIOLATION

Total $ Amt

2009 2010 2011 2012 2013 by Type

Advertising $352,000 $920,000 $1,089,000 $830,000 $40,000 $3,231,000 

Unauth Opns $247,000 $335,000 $385,000 $230,000 $1,197,000 

Civil Rights $30,000 $1,290,000 $2,415,000 $295,000 $4,030,000 

Other Consumer $865,000 $837,000 $2,105,000 $2,335,000 $1,095,000 $7,237,000 

Reporting $100,000 $250,000 $20,000 $370,000 

Multiple Types $1,005,000 $35,000 $70,000 $445,000 $1,555,000 

Total $ Amt By 

Yr: $2,599,000 $3,667,000 $6,084,000 $4,135,000 $1,135,000 $17,620,000