U.S . DEPARTMEN T O FTRANSPORTATIO N FEDERA L AVIATIO N ADMINISTRATIO N

OFFIC E O FHEARING S WASHINGTON , D.C . I n th e Matte r

o f Mari aTavera s 2008SW21019 8 CP10SW000 5 Th e Honorabl e Isaa c D . Benki n 

### —?•' l - 8 201 0 hSl- A 

## cihRiN G DOCKE T

AGENCY' S RESPONS E T O TH E RESPONDENT' S REQUES T FO RPRODUCTIO N O g DOCUMENT S -i S

~~ ^ Pursuan t t o 1 4 C.F.R . 13.220(d) , th e Agenc y submit s th e following : o Reques t for Productio n o f

Document s 1 : Copie s o f an y an dall medica l record s o r document s mentionin g o r relatin g i n an y wa y t o th e medica l o r

psychologica l treatmen t

o f th e flight attendant , concernin g injurie s o r har mallegedl y cause db y m y client . Response : Objection . Th e documentatio n requeste dwoul dcaus e unnecessaril y invasio n o f th e persona l privac y o f

th e Fligh t

Attendan t

i n question . Therefore , concurren t wit h thi s response , th e Agenc y i s filing aMotio n for Protectiv e Orde r

concernin g thi s documentation . Reques t for Productio n o f

Document s 2 : Copie s o f an y an dal l exhibit s yo u inten dt o introduc e i n evidenc e a t th e hearing . Response : Se e th e attache dexhibit s describe di n th e Agency' s Preliminar y Propose dWitnes s an d Exhibi t List . Reques t for Productio n o f

Document s 3 : Copie s o f an y an dal l physica l evidence , includin g documents , i n you r possessio n whic h relate s t o thi s case . Response : Se e th e attache dexhibit s describe di n th e Agency' s Preliminar y Propose dWitnes s an d Exhibi t List . Respectfull y submitted , Alfre dR . Johnson , Jr . Regiona l Counse l 

### By : LmMJ^ i %li^^hian ^ Dated : i)T^IVijiip ^ ( ? Leoni dTalisma n ' i Attorne yCERTIFICAT E O FSERVIC E

I hereb y certif

y tha t acop y o f

th e Agency' s Respons e t o th e Respondent' s Reques t for Productio n o f Document s wa s serve dthi s dat e a s follows : Certifie dMai l - Retur n Receip t Requested : Administrativ e La w Judg e Honorabl e Isaak D . Benki n Offic e o f Hearings , M-2 0 U.S . Departmen t

o f Transportatio n 120 0 Ne w Jerse y Avenue , S.E . Washington , D.C . 2059 0 Certifie dMai l - Retur n Receip t Requested : Federa l Aviatio n Administratio n 80 0 Independenc e Avenue , S.W . Washington , D.C . 2059 1 Attention : Hearin g Docke t Clerk , AGC-43 0 Wilbu r Wrigh t Buildin g - Suit e 2W100 0 Certifie dMai l - Retur n Receip t Requeste dan dFirs t

Clas s U.S . Mail : Alexe i Schacht , Esq . Nalve n & Schach t Attorney s a t

La w 35 0 Fift h Avenue , Suit e 402 2 Ne w York , N Y 1011 8 

# nldill^'i V jmAd . ^Oih]MJX ^ Dat e Leoni dTalisma n Attorne y Offic e o f th e Regiona l Counse l 1 Aviatio n Plaz a Jamaica , N Y 1143 4U.S . DEPARTMEN T O FTRANSPORTATIO N f- ) ,•—r ^ ««-, , FEDERA L AVLSTIO N ADMINISTRATIO N H i

_O C / X/P : r \ OFFIC E O FHEARING S * ^ *

—i ^ WASHINGTON , D.C . Jij ^ . g 2Q] Q I n th e Matte r

o f Mari aTavera s HbARIfsi G DOCKE T 2008SW21019 8 CP10SW000 5 Th e Honorabl e Isaa c D . Benki n AGENCY' S PRELIMINAR Y PROPOSE D WITNES S AN D EXHIBI T LIS T COME S NO W th e Agency , b y an dthroug h it s designate drepresentative , th e Regiona l Counse l for th e Easter n Regio n an dhi s designate dan dauthorize dagents , an dsubmit s th e followin g Preliminar y Propose dWitnes s & Exhibi t List s pursuan t

t o th e Administrativ e La w Judge' s Prehearin g Orde r Establishin g Procedure s issue do n May 17 , 2010 .

PRELIMINAR Y PROPOSE D LIS T O FWITNESSES : 1 . Juli aSasso n I t i s anticipate dtha t

Ms . Sasso n wil l testif

y tha t whil e servin g a s aFligh t Attendan t

onboar dAmerica n Airline s Fligh t

#42 3 fro mLaGuardia , N Y t o Miami , FL , t o Sant o Domingo , Dominica n Republic , sh e wa s verball y threatene dan dsubsequently , physicall y assaulte db y Respondent . Sh e wil l testif y tha t sh e sustaine dphysica l injurie s a s aresul t o f th e Respondent' s assaul t o n her . Ms . Sasso n i s expecte d t o testif y consisten t

wit h he r statement s an daffidavit s provide da s par t o f Response s t o Respondent' s Discover y Requests . 2 . Anto n Veenho f I t i s anticipate dtha t

Mr . Veenho f

wil l testif

y tha t whil e servin g a s aFligh t Attendan t

onboard America n Airline s Fligh t #42 3 fro mLaGuardia , N Y t o Miami , F L t o Sant o Domingo , Dominica n Republic , h e witnesse dRespondent' s assaul t o n Ms . Sasso n at

th e deplanin g stag e o f

th e abov e flight fro mclos e range . 3 . Jaso n Henderso n I t i s anticipate dtha t

Mr . Henderso n wil l testif y tha t whil e servin g a s aFligh t Attendan t

onboar d America n Airline s Fligh t #42 3 fro mLaGuardia , N Y t o Miami , FL t o Sant o Domingo , Dominica nRepublic , Mr . Henderso n wa s threatene db y Respondent , an dals o witnesse dRespondent' s verbei l

threatenin g o f

Ms . Sasson , a s wel l a s Respondent' s physica l assaul t o n Ms . Sasson . 4 . Juliet aAzpuru a(Keegan ) I t i s anticipate dtha t

Ms . Azpuru awil l testif y tha t whil e servin g a s aFligh t Attendan t

onboar d America n Airline s Fligh t #42 3 fro mLaGuardia , N Y t o Miami , FL t o Sant o Domingo , Dominica n Republic , Ms . Azpuru a(Keegan ) sa w Ms . Sasso n shortl y befor e th e Respondent' s physica l assaul t an d immediatel y after

Respondent' s assault , an dwil l testif y tha t sh e sa w physica l injurie s o n Ms . Sasson' s fac e an dnec k

tha t sh e di dnot

observ e prio r

t o th e physica l assault . 5 . Dre w Blahni k I t i s anticipate dtha t

Mr . Blahni k

wil l testif

y tha t whil e aboar dAmerica n Airline s Fligh t #42 3 fro m LaGuardia , N Y t o Miami , F L t o Sant o Domingo , Dominica n Republic , Mr . Blahni k witnesse d Respondent' s physica l assaul t o n Ms . Sasso n a t

th e deplanin g stag e o f

th e above flight

fro mclos e range , an dwitnesse dMs . Sasson' s physica l injuries . 6 . Kathry n Gran t Ms . Gran t

i s a n Aviatio n Safety Inspecto r with th e Federa l Aviatio n Administration , an dwil l testif y abou t th e Sanctio n Guidanc e Tabl e fro mth e FA A Orde r 2150.3B , an drecommende dsanctio n i n thi s case . 7 . Patrici aMatton e Ms . Matton e i s aCabi n Safet y Inspecto r

wit h th e Federa l Aviatio n Administration , an dwil l testif y abou t th e dutie s o f

th e flight

cre w an dsafety procedures , Sanctio n Guidanc e Tabl e fro mth e FA A Orde r 2150.3B , an drecommende dsanctio n i n thi s case . Th e Agenc y respectfull y reserve s th e right t o supplemen t

it s Witnes s Lis t

i n accordanc e with th e Administrativ e La w Judge' s Prehearin g Orde r Establishin g Procedure s an di n th e even t tha t issue s othe r tha n thos e accepte dfor

investigatio n ar e mad e apar t o f th e instan t

matter . PRELIMINAR Y PROPOSE D LIS T O FEXHIBIT S Th e Agenc y propose s th e followin g exhibit s i t wil l rel y o n i n th e cours e o f th e hearing : Exhibi t 1 - Picture s o f

Fligh t Attendan t

Juli aSasso n take n b y Jaso n Henderso n an dJuliet aAzpuru a (Keegan ) moment s after

sh e wa s physicall y attacke db y passenge r Mari aTaveras . Exhibi t 2 - Timelin e o f

event s o n Fligh t

#42 3 writte n b y Fligh t

Attendan t

Juli aSasson .Exhibi t

3 - Writte n statemen t fro mAmerica n Airline s Passenge r Servic e Lea dAgen t

i n Sant o Domingo , DominicemRepublic , Gustav o Licairac . Exhibi t 4 - Two letter s o f

Investigatio n sen t

t o Mari aTaveras . Exhibi t 5 - Captai n Mar k

Cutkomp' s Debrie f

Report . Exhibi t 6 - Fligh t

Attendan t

Juli aSasson' s Debrie f

report . Exhibi t 7 - Fligh t

Attendan t

Juliet aAzpurua' s Debrie f report . Exhibi t 8 - Mari aTaveras ' Passenge r Nam e Recor d(PNR) . Exhibi t 9 - Passenge r

Seatin g Manifes t Exhibi t 1 0 - Polic e Repor t

fro mSant o Domingo , Dominica n Republic . Exhibi t 1 1 - Sant o Doming o Airpor t Securit y Repor t Exhibi t 1 2 - Recor do f

telephon e conversation s with Fligh t Attendan t

Juli aSasson . Exhibi t 1 3 - Medica l Examinatio n recor dfro mSant o Doming o Airpor t healt h clini c - subjec t

o f th e Agency' s Motio n fo r

Protectiv e Order . Exhibi t 1 4 - Copie s o f

medica l prescription s Fligh t Attendan t

Juli aSasso n receive dafte r he r medica l examinatio n i n Sant o Domingo , Dominica n Republi c - subjec t o f th e Agency' s Motio n for Protectiv e Order . Exhibi t 1 5 - Workers ' Compensatio n an dphysica l therap y documentatio n - subjec t o f th e Agency' s Motio n for

Protectiv e Order . Exhibi t 1 6 - Recor do f

telephon e conversatio n with Firs t Officer Dre w Blahnik . Exhibi t 1 7 - Chapte r

7 o f th e FA A Orde r

2150.3 B (page s 7-1 , 7-1 9 - 7-21) . Exhibi t 1 8 - Sanctio n Guidanc e Tabl e fro mth e FA A Orde r 2150.3B .However , th e Agenc y respectfull y reserve s th e right t o supplemen t

it s Exhibi t

Lis t i n accordanc e with th e Administrativ e La w Judge' s Prehearin g Orde r Establishin g Procedures . Respectfull y submitted , Alfre dR . Johnson , Jr . Regiona l Counse l By : LL<MC< L vM^VvUit-K ^ Date d : pT^/oJZ4^d( ? Leoni dTalisma n ' f Attorne yCERTIFICAT E O FSERVIC E

I hereb y certif

y tha t acop y o f

th e Agency' s Preliminar y Propose dWitnes s an dExhibi t Lis t wa s serve d thi s dat e a s follows : Certifie dMai l ~ Retur n Receip t Requested : Administrativ e La w Judg e Honorabl e Isaak D . Benki n Offic e o f Hearings , M-2 0 U.S . Departmen t

o f Transportatio n 120 O Ne w Jerse y Avenue , S.E . Washington , D.C . 2059 0 Certifie dMai l ~ Retur n Receip t Requested : Federa l Aviatio n Administratio n 80 0 Independenc e Avenue , S.W . Washington , D.C . 2059 1 Attention : Hearin g Docke t Clerk , AGC-43 0 Wilbiu

- Wrigh t

Buildin g - Suit e 2W100 0 Certifie dMai l - Retur n Receip t Requeste dan dFirs t

Clas s U.S . Mail : Alexe i Schacht , Esq . Nalve n & Schach t Attorney s at

La w 35 0 Fift h Avenue , Suit e 402 2 Ne w York , N Y 1011 8

Dat e ' Leoni dTalisma n Attorne y Offic e o f th e Regiona l Counse l 1 Aviatio n Plaz a Jamaica , N Y 1143 4

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# k^^ • ( FLIGH T ATTENDAN T ASSAUL T - AA FLIGH T 423 , 1 1 DECEMBE R200 7 TIMELIN E 110 0 Passenge r

Mari aTavare s board s flight 42 3 i n JFK , final destinatio n SD Q

* •* • m• 114 5 Schedule ddepartur e tim e 153 0 Actua l boardin g tim e flight 42 3 in MI A afte r

stopove r enrout e t o SD Q 161 5 ET D - Passenger s onboard , maintenanc e delay ensues . Passenger s remai n onboar ddurin g creepin g delay . Passenge r unres t despit e require ddelay announcements . On e passenge r

i s issue da*Passenger

Disturbanc e Repor t

b y # 4 Fligh t

Attendant , Ton y Veenho f 173 0 I walke dt o af

t galle y receivin g multipl e request s fo r water , coifee , food , etc . an d immediatel y returne dt o first clas s expressin g th e nee dfo r atota l aircraf

t wate r service. O n m y retur n t o first

class , passenge r

Mari aTavares , on e o f

th e passenger s wh o ha djus t aske dfor water , lef

t he r seat 12 C an dfollowe dm e t o th e first clas s galle y extremel y agitated , announcin g condescendingl y tha t sh e i s a n attorney , speak s fou r languages , i s a frequen t flyer, know s importan t

peopl e in governmen t

an dat AA , launchin g insult s an d threatenin g ou r

jobs . Purser , Jaso n Henderson , immediatel y gav e he r acu p o f wate r (whic h sh e neede dt o tak e apill) , askin g he r

t o drin k i t i n th e galle y rathe r

tha n takin g i

t t o he r seat . Sh e specificall y single dm e out i n he r wrath , callin g m e ''stupid " sinc e I wa s th e on e sh e originall y aske dfo r

th e water . A s w e bega n preparation s fo r th e wate r

service , Jaso n calle dth e cockpi t fo r an updat e an dwa s askedt o cance l th e servic e an dt o pu t all supplie s away . Th e Captai n wa s no w receivin g clearanc e for

imminen t

departur e an dw e wante dt o expedit e th e progress . 175 2 Actua l departur e time . On e hou r thirty-seve n minute s late . Durin g flight, I worke dm y numbe r fiv e positio n whic h i s first clas s galley . I di dhel p pic k u p refus e afte r

th e mai n cabi n beverag e service . Juliet aAzpurua , th e numbe r si x flight attendant , late r

advise dtha t

durin g mai n cabi n beverag e servic e Ms . Tavare s consume dn o alcohol , askin g fo r asof t drin k an dacu p o f

wate r t o tak e anothe r

pill . Sh e sai dtha t Ms . Tavare s slep t

durin g th e flight. 192 5 Schedule darriva l tim e 213 4 Actual arriva l time . Tw o hour s nin e minute s late . I disarme dm

y 2 L doo r an dstoo dther e sayin g 'Happ y Holidays" , "Sorr y fo r th e delay" , 'Than k

yo u for flyin g wit h us" , 'Goo dNight" , etc . t o passengers , al l deplanin g i n haste . I t wa s lik e acattl e stampede . A s passenge r

Tavare s approached , sh e launche danothe r rampag e o n AA' s financial woes , poo r

quality employee s an dm y "'stupidity" . He r

antic s secure dth e whol e aisle , preventin g th e remainin g hundre dpassenger s behin dhe r fromdeplaning . The y wer e



# EK. ^• • \ pushin g frombehind . A s I askedhe r t o cal mdown , sh e spran g at me , hittin g me , scratchin g five finger

nai l cut s int o m

y fac e an dlef

t ey e an dfinally pushin g m e backwards , twistin g an dhype r extendin g m

y nec k an dknockin g m e t o th e floor. Tw o femal e passenger s behin dhe r helpe dm e t o m

y fee t an dhel dmy right

arm , blockin g any intende ddefens e o r

retaliation . Th e surprise , fea r an dange r

pu t m e in astat e o f unbelievabl e shoc k

at he r boldness . I wa s tol dtha t

th e deadheadin g Captai n Rundl e observe dth e attac k an dran u p th e righ t aisl e t o exi t

th e aircraf

t an dsummo n police . I calle dt o th e purse r t o detai n Ms . Tavares . Horrifie dflight attendant s wipe dthe . bloo dan dtoo k cel l phon e picture s o f

m y swolle n face . Passenge r servic e supervisor , Gustav o Licairac^ : spok e t o CCR O an dpolice , advisin g ^tha t i f i wantes dt o pres s charge s both'partie s woul db e detaine db y th e polic e unti l th e hearin g whic h coul dno t

takf e plac e unti l th e followin g morning . Both th e purser , Jaso n Henderst A an dth e Spanislf speakef , Juliet aAzpuru awer e concerne dan dinsiste dt o sta y with m e throughou t

my quarantin e t o support m e i n necessar y testimon y an dcar e fo r m y injuries . Th e remainin g cre w member s proceede dt o th e layove r hote l t o res t

fo r th e remainde r

o f ou r trip . I wa s the n brough t

first t o th e Airpor t

Medica l Clini c fo r

treatment , receivin g asho t an daprescriptio n for

inflammation . We , three , wer e the n hel di n aroo mi n solitary confinement . W e wer e questione db y polic e multipl e time s wit h subtl e intimidatio n t o dro p charges . Finally , a t tw o o'cloc k

i n th e morning , a n angr y Mr . Raphae l Sanchez , A A Directo r o f th e Dominica n Republic , arrive dat th e airpor t

demandin g tha t

w e b e release d i n AA recognizanc e wit h th e promis e t o retur n u s fo r th e hearin g th e nex t

morning . Th e polic e complied , howeve r Ms . Tavare s wa s hel di n th e airpor t al l night . Mr . Licaira c drov e u s t o ou r hote l advisin g tha t

w e woul db e collecte dat eigh t o'cloc k th e nex t mornin g t o participat e i n th e hearing . Decembe r

12 , 200 7 SD Q Statio n Manager , Mr . Sergi o Marmol , me t u s at th e airpor t

an dspen t

th e day tryin g t o see k

justice . Th e mornin g wa s filledwit h seemingl y corrup t machination s t o delay an dcance l th e hearing , knowin g ou r flight wa s leavin g SD Q b y mi dafternoon . Ther e wer e visit s t o th e polic e statio n i n Boc aChica , the n t o SD Q t o b e see n b y astat e docto r an dthe n bac k

t o Boc aChic aat

eleve n thirty t o b e tol dth e Colone l woul dnot retur n fromlunc h until , perhaps , thre e thirty . W e coul dwait , however , unti l th e nex t da y t o hav e th e cas e heard . Heave n onl y know s wha t roadblock s th e nex t

day woul dbring ! „ It becam e clear

tha t justic e coul donl y b e serve dat hom e in th e US . Ou r flight wa s me t b y thre e flight

servic e managers . I 3p>en t th e nex t thre e week s receivin g Worker s Compensatio n medica l treatmen t an dphysica l therapy . Althoug h I hav e returne dt o work , I stil l suffer fro mresidua l nec k

pains , sever e hea dache s an dPos t Traumati c Stress . Juli aA . Sasso n 2 2 Januar> ' 200 8

### Pa

x Mari aTaverez , ( ninica n Republi c passpor

t ) an dU S Permanen

t Residen t Car d, seate din liW o n A A fligh t #423 , 1 1 De c '07 , fro

mMiam i to Santo Domingo , SDQ , Airbu s A-JOO , 

### Nos e #074 , wa s on e o f approximately 2 0 passenger s requestin g water o n thi s throug h flight

fro mJFK t o SDQ . Fligh t hadcreepin g delay s causin g passenger stress . Minute s befor

e departure , Ms . Tavere z stormie

dinto first

clas s galley t athreate n andintimidate fligh t attendant s sa) in g sh e i s a n attorney , speak s 4 languages , know s important peopl e who wil

l fire u s upo n he

r request . Afte

r receivin g water , sh e returne dto he r sea t fo r remainde r o f flight. O n deplaning , she unleashe datirad e a t 2 L doorway , blockin g all passenger s behindhe r fro mexitin g th e aircraft . A s I aske dhe r t o calmdov«i , sh e spmn g a t me , clawin g m

y fac e wit h he r fingernails, knocke dm

e backwards , twistin g an

dhyper-extcndin g m

y neck . I hav e report s fro

m2 medica

l doctor s i n SDQ , polic e reports , picture s taken b y cel l phon e o f m y face , Worker s Com

p docto r andphysica

l therap y reports . Durin g testiinony a

t th e hearin g in SDQ , Ms . Tavere z admitte dtha t she i s NO T a

n attorney , bu

t work s wit

h some i n Ne w York . I hav e been tol dtha t he r retur n ticke t to Ne w Yor k wa s reftinde

dandFrancesc aLaRouche , m y supervisor , ha s advise dtha t she ha s been placedon America n Airline s "D o Not

Fly " list .



### f^/L&ry) JaStXSu mFE B 05,200 8 17:3 9 [ ' 954463550 1 / pag e 1

Ja n 23,200 8

T o who mi l ma y concern :
O n Decembe

r 11" ' I v\/^me'etin g flight

42 3 when , the .securil

y pei-sonne

l advisedmc tha t apassenge

r ha dhi t allighl,attendant

whil e deplanin g fro

mth e aircraft , th e passenge r Ma. Tavarc

z wa s detaine db

y the airpor

t authorities , whe

n Pligh t Aiiendanl Sasso n deplane dshe wa s al l scratche di n he r fac e an dha dare dbmis c o n he r neck . Whe

n w e won t 1 0 ihc airpor

t authoritie s th e crew aske dihe mi f the passenger

was goin g lo be detaine dl u wha t iho y replie dtha

t i f siie di dnot

pressedcharge s she wii s goin g t u b u released , the

n w e procee dt

o the polic e statio n t

o pres s charge s agains t

Ms . Tavarez . Whe n Ms . Tavare

z arrive dl o the polic e slatin g tha

t fliglit attendant Sasso n ha dhi t he r sh e ha dn o mark s o r

scratche s on an

y othe r visibl e bod

y parts .

Gustav o Licaira

c Passenge r Servic e Lea

dAgen t America n Airline s Sant o Domingo , D R



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SENDER : COMPLET E THI S SECTIO N

• Complet e item s 1,2 , an d 3 . Als o complet e ite m 4 i f Restricte d Deliver y i s deslrad . • Prin t you rnam e an d addres s o n th e reverse s o tha t w e ca n rstu m th e car d t o you . • Attac h thi s car d t 6 th e bac k a t th e mallplece , o ro n th e fron t i f spac e permits . COMPLET E THI S SECTIO N O N DELIVER Y

1 . Articl e Addresse d to : M S MARI ATAVERA S 75-3 3 196t h Plac e FRES H MEADOWS , N

Y 1136 6 A . SIgnatu m

X

• i • Agan t D Addresae a B . Receive d b y f/MntadNafna > C . Dat e o f Deliver y D . l a deliver

y addieaadHfarsntftDniltamI ? O Ye s v ^ I f YES , ecTterdellvei y addres s below : D N o

3 . ServtcaTVp e a Certifie d Mai l Q Registera d • insure d Mal l • Exprea a Mal l • Retur n Receipt fo rMercharxlla e • C.O.D . 4 . Restricte d Delivery ? (Brtra Fee ; • Y « U Ye s 2 . Articl e Nu i (Timstarfi ^ 7DD M Sa^ D DDD l 331 0 afl^ 2 P S For m 3811 , Febmar y 200 4 Domesti c Retur n Receipt 1025S5-02-M-154 0/ 

### Ms . Mari a Tavera s 75-3 3 196 * Plac e Fre§ h Meadows , N Y 1136 6

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U.S . Departmen t o f Transportatio n Federa l Aviatio n Administratio n Southwest Regio n Arkansas , Louisiana , Mississippi , Ne w Mexico , Oklahoma , Texas AM R Certificate s Managemen t Offic e 1480 0 Trinit

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0 For t Worth , Texa s 7615 5 (817)684-680 0 Fax:(817)684-692 0 (866 ) 809-008 9 

### Apri l 4 , 200 8 CERTIFIE

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D FileNo.2008SW21019 8 Ms . Mari aTavera s 75-3 3 196' " Plac e Fres h Meadows , N Y 1136 6 Dea r M s Taveras : Personnel of

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n incident , which occurre dwhil e you wer e apassenge

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n Airline s Fligh

t 42 3 operatin g fromMiam

i Internationa

l Airpor t (MIA) , t o La s America s Airport , Sant

o Doming o (SDQ ) on Decembe r 11 , 2007 . I t i s allege dyou interfere dwit h crewmembe

r dutie s an dphysically assaulte daFlight Attendant . Conduct of thi s typ e i s contrar

y to Federa

l Aviatio n Regulations . Thi s lette r i s t o infor myou tha t thi s matte r i s unde r investigatio n b y th e Federa l Aviatio n Administratio n (FAA) . W e woul dappreciat

e receivin g an

y evidenc e or

statement s you migh

t car e t o mak e regardin g thi s matte

r withi n 1 0 day s o f

receip t o f thi s letter . An

y discussio n or written statement s fiimishe db y you wil l b e given consideratio n i n ou r investigation . If

w e do not hea r fromyou withi n th e specifiedtime , ou r repor t wil l b e processe dwithout

th e benefi t of you r statement . Sincerely , Bea u A . Morro w Aviatio n Safet

y Inspector Enclosur e Privacy Ac

t Notic e

### PRIVAC Y AC T NOTIC E

Thi s Notic e i s provide din accordanc e wit h Sectio n (e ) (3 ) o f

the Privac y Act , 5 U.S.C . Sectio n 552a(e)(3) , andconcern s th e informatio n requeste di n th e lette r o r for mwit h which thi s Notic e i s enclosed . A . Authority : Thi s informatio n i s solicite dpursuan t to th e Federa

l Aviatio n Ac t

o f 1958 , 4 9 U.S.C . Sectio n 1301 , et seq. . andregulation s issue dther e unde r codifie di n Par t 1 3 of Titl e 1 4 o f

th e Code of

Federa l Regulations . Submissio n of informatio n i s volun

tary . Th e reques t fo r informatio n i s intende dto provide you wit h a n opportunit

y to participat e in the investigation . B . Principa

l purpose : The requeste dinformation wil l b e use dto help determin e whethe r o r not ther e ha s been aviolatio n of

the Federa

l Aviatio n Regulations , an

di f so , what , if any , enforcemen

t actio n shoul db e taken . C . Routine uses : Record s fromthi s systemof record s ma

y b e disclose dmaccordanc e wit h th e routin e use s a s they appea r in Syste mo f Record s No . DOT/FA

A 847 a s publishe dfromtim e to time in th e Federa l Register . D . Effec t of failur e to respond : The FA

A canno t impos e an

y penaltie s upo n you in th e even t tha t yo u fail to respon dto thi s enforcemen t investigatio n letter . Failur e t o supply the requeste dinformation , however , wil l result in enforcemen

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• Complet e Item s 1,2 , an d 3 . Als o complet e Ite m 4 i f Restricte d Delfvet y I s desired . • Prin t you rnam e an d addres s o n tti e reverse s o tha t w e ca n return th e car d t o you . • Attac h thi s cai d t o th e bac k o f th e mallplece , o ro n th e fron t i f spac e permits. ' 1 . Articl e Addresse d to : MS . MARI ATAVERA S 399 0 BRON

X BLVD . AL T L C BRONX , N Y 10A6 6 COMPLET E A . Signatur

e X B . Receive d b y (Printe d Name ) OAoen t DAddreeae e C . Dat e o f Deliver y i D . I s delivei y addres s differen t ftwn Ite m 1 7 D Ye s I f YES , ente rdeliver y addree s below : D N o

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D FileNo.2008SW21019 8 Ms . Mari aTavera s 399 0 Bron x Blv dAL

T L C Bronx , N Y 1046 6 Dea r M s Taveras : Personnel o f

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42 3 operatin g fromMiam

i Internationa

l Airpor t (MIA) , to La s America s Airport , Sant

o Doming o (SDQ ) o n Decembe r 11 , 2007 . It i s allege dyou interfere dwit h crewmembe

r dutie s andphysically assaulte daFligh t Attendant . Conduct o f thi s typ e i s contrar

y t o Federa

l Aviatio n Regulations . Thi s lette r i s to infor myo u tha t thi s matte r i s unde r investigatio n b y th e Federa l Aviatio n Administratio n (FAA) . W

e woul dappreciate receivin g an y evidenc e or

statement s you migh

t car e to mak e regardin g thi s matter

withi n 1 0 day s o f

receip t o f thi s letter . An

y discussio n or written statement s fiimishedb y you wil l b e given consideratio n in ou r investigation . If

we d o not hea r fromyou withi n th e specifie dtime , ou r repor t wil l b e processe dwithout

th e benefi t of you r statement . Sincerely , Bea u A . Morro w Aviatio n Safet

y Inspector Enclosur e Privacy Ac

t Notic e

### PRIVAC Y AC T NOTIC E

Thi s Notic e i s provide din accordanc e wit h Sectio n (e ) (3 ) o f

th e Privac y Act , 5 U.S.C . Sectio n 552a(e)(3) , an

dconcern s th e information requeste din th e letter or for mwit h which thi s Notic e i s enclosed . A . Authoritv : Thi s informatio n i s solicite dpursuan t to th e Federa

l Aviatio n Ac t

of 1958 , 4 9 U.S.C . Sectio n 1301 , et seq. . andregulation s issue dthere under codifie din Par

t 1 3 o f Titl e 1 4 o f

th e Code o f

Federa l Regulations . Submissio n o f informatio n i s volun

tary . Th e reques t fo r informatio n i s intende dt

o provid e you wit

h a n opportimit

y t o participat e in th e investigation . B . Principa

l purpose : The requeste dinformatio n will b e use dto help determin e whethe r o r not ther e ha s been aviolatio n o f

th e Federa

l Aviatio n Regulations , an

di f so , what , i f any , enforcemen

t actio n shoul db e taken . C . Routin e uses : Record s fromthi s syste mo f record s ma

y b e disclose din accordanc e wit h th e routin e use s a s they appea r in Syste mo f Record s No . DOT/FA

A 84 7 a s publishe dfromtime to time in th e Federa l Register . D . Effec t of failur e t o respond : The FA

A cannot impos e an

y penaltie s upo n yo

u in the even t tha t you fai l to respon dto thi s enforcemen t investigatio n letter . Failur e to suppl y th e requeste dinformation , however , wil l result in enforcemen

t determination s withou

t the benefit o f you r comment s on th e allege dincident .

### Pilo t Debrief(s ) 

# A

Even t Date: 12/11/200 7 Flight : 42 3 12/11/200 7 MI A Title : CUSTOME R MISCONDUC T SD Q CER S ID : Tai l # : 07 4 Fleet : A30 0 

# i mp# : Name : Cutkomp , Mar k PA>aD : Base : LGA . Du e t o operationa l delay s departin g MIA , fligh t arrive d destinatio n (SDQ ) late . wherea.< : nassenger s wer e bein g deplane d whe n passenge ri n sea t 12 C starte d verba l abus e toward FA Juli a Sasso n abou t America n Airiine s inabilit y t o operat e efficientl y an d loudl y expressin g he rviews . FA Sasso n mad e a n apologeti c respons e t o thi s passenge ra s sh e walke d b y whe n th e passenge rconfronte d FA Sasso n an d starte d t o physicall y attac k F A Sasso n wit h he rhand s b y scratchin g he r fac e an d uppe rtorso . Othe rpassenger s assiste d th e confrontatio n b y pullin g bot h wome n apart . I wa s informe d b y cre w tha t a crewmembe rha d bee n attacke d an d tha t Securit y shoul d b e calle d to,th e aircraft . W e radioe d operation s t o hav e Nationa l Polic e respon d t o th e aircraf t whic h the y di d promptly . I observe d passenge ra t deplanin g doo rbefor e Nationa l Polic e remove d he ran d observe d a n irrationa l wome n loudl y expressin g he rviews . CCR O wa s contacte d an d informatio n passe d abou t th e event . Passenge rwa s detaine d b y Nationa l Polic e an d report file d a t thei roffice . FA Sasso n wa s escorte d t o Medica l fo rexaminatio n an d car e a t th e airport .



### EXHIBI T

### Fligh t Attendan t

Debrief(s ) ^H k

• m m Even t Date : 12/11/200 7 Fliqht ; 42 3 12/11/200 7 MI A SD Q Title : CUSTOME R MISCONDUC T Efn p # i Name : Moiica . Reinald o 1 wa s no t involve d Em p # : Name : Sasson . Juli a PAi^D : PAAD : C^R ? ID : Tai l # : 07 4 Fleet : 30 0

Base l IM A Base : IM A Pa xdenie d wate rdu e t o safet y factor s o n departure . Pa xfollowe d FA t o firs t clas s an d complaine d t o purse rabou t denia l o f water . Pa

xstate d sh e i s a n attomey , speak s fou rlanguages , know s importan t people , ca n hav e u s al l fired , need s wate rt o tak e a pill . Purse rexplaine d safet y procedure s an d requeste d sh e drin k th e water , no w received.i n th e firs t clas s galle y s o tha t th e othe rpassengers , als o agitate d b y th e lon g delay , woul d no t b e incite d t o complai n also . Paxtoo k a pil l a t tha t tim e an d anothe rpil l shortl y thereafte rdurin g th e mai n cabi n beverag e sen/ice . Sh e ha d a smal l ba g ful l o f prescriptio n medications . Ther e wa s n o contact , whatsoever , durin g th e remainde ro f th e flight. O n arrival , F A Sasso n wa s a t th e 2 L doorwa y next t o he rjumpsea t biddin g farewel l t o al l passengers . A s Ms . Tavere z approache d th e 2 L doorway , sh e stoppe d i n th e aisl e blockin g al l passenger s behin d he ran d bega n a tirad e abou t th e event s durin g th e initia l pr e departur e delay , repeatin g he ropinion s an d threats . A s I calml y aske d he rt o cal m down , sh e sprun g a t me , surprisin g m e b y clawin g m y face wit h he rfingemail s an d knockin g m e backward s int o m y jumpseat , thereb y twistin g an d hyperextendin g m y neck . Th e deadheadin g Captai n Rundl e observe d thi s an d ra n forwar d i n th e right han d aisl e t o contac t polic e an d hav e he r detained . I receive d immens e hel p fro m th e supervisin g agen t Mr . Licairac , statio n manage rMr . Marmo l an d country directo rMr . Sanchez , wh o al l personall y participate d i n negotiation s an d stipulation s i n accordanc e wit h Dominica n Law . I especiall y than k Mr . Jaso n Henderso n an d Ms . Juliet a Azpuru a fo rthei rvigilanc e an d support allowin g themselve s t o b e quasi-incarcerate d wit h m e almos t al l night , release d i n th e custod y o f Mr . Licaira c fo ra fe w hour s befor e ou rrequire d retu m t o police/court proceeding s th e followin g morning .



### EXHIBI T

### Fligh t Attendan t

Debrief(s ) 

# itk

Even t Date : 12/11/200 7 Flight : 42 3 12/11/200 7 MI A Title : CUSTOME R MISCONDUC T SD Q CER S ID : Tai l # : 07 4 Fleet : 30 0 Emp"# : lame : Azpurua , Juliet a PA/ID ; Base : iM A I di d no t witnes s th e assault . Afte rdeplainin g I walke d u p an d saw th e injurie s sustaine d b y Juli a Sasson . Th e loca l polic e wer e calle d an d Pax . Mari a Tavere z wa s detained . I accompanie d F/ A Sasso n t o act a s interprdtor . W e proceede d t o th e airpor t clinic , an d tije n t o th e airport polic e statio n t o writ e he rstatements . I wa s engage d i n thes e proceding s unti l 3a m an d returne d a t 8a m t o furtherassis t th e F/A . I f a mor e detaile d account.i s neede d I wil l b e happ y f o provid e tha t information .



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aPdlici ad e Turism o e n e l AIL A "Jos e Francisc o Peii aG6nie«? ^ Afiddellibro y l alectur a

Aerop i Int . d e La aAmericas , "Dr. Jos e Fco . Peii

aGdme2 ^ 1 2 d e Diciembr e d e 2007.

- NQTAINFORMATIVA ;

L

- Respetuosament e infonmole , qu e siend o la s 24:1 0 hora s d e lamadrugad ade l di ad e l afeeha , no s fii e enviad amediant e offci o si n nuiner o de l Superviso r

General d e lo s Servicio s d e Segurida dMilitar y Policial , AILA , "Dr . JFPG" , l anaciona l american aJUII A ANNE SASSON » mayo r

d e edad , pasaport e , y aqu e l amism afu e agredid afTsicament

e pe r lanombrad aMARI A CARIDA D TAVERA S CRUZ , dominicana , mayo r d e edad , pasaport e , moment o e n qu e s e eneantrab aabord o de l vuel o ^fo . 423 , d e l atine aA^^ : Ainericai i Akljfnea ^ pTQcedent

e d e ^f0^ v Yor^ . co n escal aTv^api

i > T S^ntia ^ p6iiy ^ por : lo ; qu e fEi e despachad apd * instrtic<?ione s Supeiiorest / y entregad aa

f sefio r GUSTAV O LIGAIRAC , Superviso r d e l areferids ^ ii'ne aAerea , caiTie t d e identificacidn AILA , No . 3085 > tel^Ibn o No . 809-549-0032 , exf c 22 1 y 257 , par aqu e s e present e e n hor ade s l amanan ad e est amism afecli ^ ant e e l Magistrad dPrpeurado r

Fiscal Adjunt o e n Boc aCHca , par alo s fine s correspdndientes . d e lugar . 2,

- L o qu e informo par as u conocimient o y fines qu e estime

LEOPOLDGt«>y M AQUINO , 2dom01.N . Oficia l de l Df aSecci6i i Tatfstic a«AILA , Dr . JFPG ' PVbg . EXHIBI T.cftf t

OFlCJN A PRINCIPA L Telt. : S(»-5«30Zi 7 809.563-O23 O fat. : 809-563-025 3 e-mail ; • cu^taiurldad^Hoinitfll.tio u

. Apulo.Pntu I 1135 0 AEROPUERT O INT . DBL/V S AMERICA S Oficln i d e SeguridM l TeU. : 809-549-8211/S2 U Fix ; 809-549-232 1 AIL A AEROPUBBrtOlNT . PUERT O PLATA Oflcin i (J e Scguritla d Tet : 809-386-033 3 AIGG U AEROPUERT O INT . PUNTACAN A Oficjn ado Segurida d TBL : S09-«g8-S4« l AlP C AEROPUERT O INT . LAROMAN A Oficin ad « Scguridn ) Tel. ; 809-8U-930 6 AILR AEROPUERT O IN T aSA O Oflcln ad e Segutidi d Tel. : 809-273-807 9 Fa r 809-233-808 0 AI C AEROPUHRT Q INT . DBBARAHON A Ofieti w d e Seguiidi d TV:l.:809-52*4l5 « AIM M AEROPUERT D INT . L A I3ABEL A D r JoaqulaBaiague r Oficin ad c Segurida d Tel. : 809-826-403 1 AIL I AEROPUERT O INT . ARROY O BARRI L Oficin ad e Segurida d Tel. : 809-374-297 9 AIA B > - AEROPUERT O INT , SAMANA(CATBY ) Tel. : 809-338-007 3 ESCUELADB , SEOURIOA O Oficin ad e Segutidat f Tela; : 809-222-140 0 809-222-140 1 l-a « 809-222-002 3 REPUBLIC A DOMINICANA



### CVERP O ESPECIAUZAD O E N SEGURIDA D AEROPORTUARIA SANT O DOMINGO , D . N .



### A l Del

Asunt o Anex o "TOD O POf t LA PATRIA " 

### "Afi o de l Libr ay laLectura " 

### 1 1 d e Diciembr e de l 2007 , Oficia l de l Di ad

e l aPolid ade Turismo , Politur , AIL A "Dr . Jos e Francisc o PefiaGomez'' . Siiperviso r

General d

e lo s Servicio s d

e Segurida d Mitita r y PoHcia l AtL A "Dr . Jos i Fnmdsc o Pefi a Gomez" . Certificacio n de entrega . Inprm e d e sohrecarga

^ certificado medico y copi ad e pasaport e , d e l aseHor

aJtlLI A ANN E SASSOi ^ 1.

- Cortismente , s e erwi aba p cusioSa , al asenor a JULI A ANN B SASSON , Pasaporte r d e mmttatida d americana , axafiii ad

& l aaerolme aAmerica

n Airlims ; po r

e l hecho d e habe r

a # agredid averba l y fisicamente po r lanombradt^

^ AfAJRX A CAJRI ^ TAVERA S CBUZ^ Pasaporte , d ^ nadonalidtu ^ dominicana , monuinto s e n qu e s e encontraban abor4 o de l vue h Na,42S / d k I k Uneaaere a America n Airliner , procedenfedekciuda(ideNe0^^ydrk^E.EM'U '
RADAMESJD E gr/sm. ' 

### OSO , T^.t^oronet , ffAD

EXHIBI TCB5 .

OPlCINAPRINaPA t Telt. : 809-563-024 7 309^363-023 0 Fax : 809-3634>i23 3 E-maU : Apldo.P(»|a I 1135 0 AEROPUERT O INT . OB IJV S AMERICA S Ondn ad « Sagudda d Telt. : 309-549-82 1 l.'82 K Fa.t : 8G9-J49-232 1 AILA AEROPUEHTT

O INT . PUERT O PLAT

A Oflcln ad * Segurida d Tel. : S09-386-033 S AIGO L AEROPUERT O INT. PUNTACAN A OflciAad e Saguilda d T\iL : S09-488-t4» I AIP C ACROPUEKT O INT . LAROMAN A OfTcfn ad e Segurida d 'nsl.:809-«I3-930 « AILR AEROPUERT O INT. aSA Q OficlmdaSegudda d Tel ; S09^J73-807 « Fa v ta9-23%t6tit . AI C AEROPUECTOINT . DEBARAHON A Oflcln ad c Sagnrida ^ TeL : 309-574-415 6 AIM M AEROPUEKT O IN t LAISABBt A Or . J9«qu( aBalMgue

r 0C^:ii»d*3eg)trida d 161:809-826-403 1 AIL T AEROPUERT O INT. ARROY O BARRI L Olcin ad e Segurida d Tel. : 809-374-297 9 AIA B AEROPUERT O INT . SAMAN A fCATEY ) Tel. : 809-338-007 5 ESCUEL A O E ' SEGURIDA D Ofloin ad s Segurida d Telt. : 809-232-140 0 809-222-140 1 Fax : 809-222-002 3 REPUBUC A DOMINICAN

A 

### CUERP O ESPECIAUZADOE N SEGURIDAD AEROPORTUARI A SANT O DOMINQO

i D

- N . .«M* * "TODapO RL

A PATRIA " "An o de l Libr a y l a Lectura " 

### NQT A INFORMATIVA : A l 1 1 d e Diciembr

e del 2007.

- Superuiso r

Genera l de lo s Seruido s d e Seguridad Milita r y Policial de l AILA , "Dr . Jos i Fco . Pefi a G6mez " /.

- Respetuosamente , informo aes e superio r despadto , cfu e siend aaproxtmadamJent

e la s 21:3 0 hora s de l df

ad e lafedia , recMu n llamad o de l Centr ad e Operadone s deAerodom , Sig h XXI , par asoUdtarrrt e qu e th e apersonaraa l Are ad e Saklii e (Bnaxh4) , luga r dond e desembarcari aelmte h No.^3 , d e l alai&t aere aAmerican AtrUrtes i proadent e d e l aduda dde Nea r York, co n escal aMiami ' Sant o Dornxngo , en razi6i

t de qu e abordo d e t aaerotuw e habu t u n pasajero reooltoso ; po r l o qu e prooedi apresentarm e d e inmediat o a l lugoT , percatmdom e di e qu e s e tratab ad e un aUger

adiscus ^ qu e habi asostetfido aborii ad e l aaeronar' . l a nombrad aMARI A CAJRJOJA D TAVERA S CRU2 ^ pasaport e , . d e nadonatida ^ dOrmmma ^ cofp^^J^^ ^ pasaporte ^ seftor aSASSOf

i con hceradmte s e n l acar ay e l cuelto , y lasefumtAVEMA ? ooi i traum aleqe e n costado izquktdo , po t loqu e procedimo s acondudtlasa t dtspertsari o medico d e est atermina l aeToportuari ay lueg o d e ree&i r la & atenddne s m^dica

ad e lugar , l aseftor

aTAVERA S fiie condual aal aOfidna s d e t aPotti M Nadmi ^ y l a seftor aSASSON^fit

e amdudd aat aOficin adeJPOlJttir , par aU^fine^^procedentes . qu e estime d e lugar . . 2.

- Lo qu e htfixrm o para , s u elesjdd

o ednodrnimjkf

y fines

^iQr'JL' ' 

### PAB£0M.MMS A MATOS , Capitdn Faroe , B.N . Oficia l Inspecto r

d e lo s Seroido s d e SeguridadMilita r (S-IO ) AHA , "Dr . Jos e Francisc o Pefi aGomez " AV/sm.

- Anexo : copi ad e Ofid ad e entreg ai t la . PJt . yal aOJt c d e Politur .CBS .

Ol-ICCN A PRINCIPA L Tell ; W»-.1(S3-024 7 :«IW-.1A3.0231 > Fii« : .>ni'>-3ft3-025 3 R-mail s .-<**.4 4 f«ri.l«l^VMmill|.«UII I Aptdn . Pntla l 1135 0 AEROPUERT O INT . Oei.ASAMERICA. S ondn ad e Seguridai l rcl.v : 809-349-82 1 Wg2 1 FIJI : 809-349-232 1 AIL A AEROPUURH ) INT. PUERT O PLAT

A ondn ad e Segurida d TiO, ; »l>9-.'18«-n.^3 5 AIGO L AEROPUERT O INT. PUNT A tlAN A OlVrin n O r SegnHdo d Tul. t W)9-«I»»-«48 l AIP C AFROPtfP.RT O INT . I. A HOMAN

A Onctn»d e .Seguitdn d TtL-HO*- * 13-930 6 A11. R AltROPtJERr O INT. <-19A« J On^'ita'dc i .'tegttitiiai t Tel, : X09-273-ttn9 ' ('»»• . X«9^333-l(0« 0 At e AEROPUERT O INT. DEBARAHONA . OHcin i d aStgiwida d Tafi ; X09-534-4I5 6 AIM K AFJIOPOJERTOIMT . L A I3ABEL A Or . Xoaifiili

i Balagvav OflctmileStgwhla d tet. : MM-826.403 I AI U AEROPUERT O INT , .\RROr O BARRI L ORtinaJ e Segurida d r d : 809-374-297 9 AIA B AKROPUER'r O (NT , S.\MANA(CATEY ) Ttl. r W*3?8.007 5 ESCUELA D E SEGURIDA D Onci m< k Snutida d Telt : 809-222.(40 0 "09222-140 1 F.-M ; »d9-222-002 J REPUBLIC A DOMINICANA



### CUERP O ESPECIALIZAD O E

N SEGURIDA

D AEROPORTVAKI

A SANT O DOMINGO , D . N , "TOD O l>O

RL A PATRlA• • "<4« o cfe/L/iJiX ) y/ aLecfora " 

### n d e Diciembr

e del 2007 . A l : Ofida l del Di at k bs^Senndo s Paliniilc^ , AIL A "Dr . los e L-randsc o Per

mGomez" . De l : Superviso r General d

e Id s Seivido s d

e Segurida d Milita r xj Policia l AIL A "Dr . Jos e !-rundsc aPeii a Gomez.". : Asunl a: Certificacio n d e enlreg ad

e pasajero . Anex o : Certificado medico y copiad e pasapm'l e d e l anombrad aMARI A CAIUPA D "TAVERA S CRUZ . I.ff::'

- Cortisntent0} ^ s^ermfaba^ms ^ nombraditMAm A CARTOAT^TA^rERAimi M Posapotte d e nadonalida ddominicana , po r e l heclt o d e habers e comportad

q d e tnit i prtn a inadeaiada , abord

o de l vuel o No.423) . d e l aline aaem t American AMimr' ^ procedented e laduda dd e Nec o York, con escake n Mianih$anlaBomiftgi: i pa r sostener un adiscus^ t

y habe r a^edid o fisicamente al asetlor aJULI A ANN E SASSON , Pasaporte : > d e nadonalida dariiermmrMafat ad k l a aeroHneaAmerican Airline .

RADAME S gr/sm.

- 

### EXNOSO ,

# Complain t

Recor do f Telephon e Conversatio n Complainant s nam e pronounced : Juli e Sasso n Date : 1/16/200 8 Time : 2:4 1 p m Route : MIA-SD Q Fligh t date : 12/11/200 7 Airline : AAL

A Phas e o f flight o f reporte dissue : Passenge r De-planein g AM RComplain t

# : CSW2 1 200 8 000 2 Complain t

topics : Passenge

r Mari aTavere z verbally andphysically assaulte dfligh t attendan t Juli e Sasson . Fact s relate dt o th e inspecto r durin g th e call : 1 calle dMs . Sasso n t o introduc e mysel f an dexplai n th e Federa

l Aviatio n Administration s complain t investigatio n process . I tol dMs . Sasso n tha t 1 ha dreadhe r complaint

an dwa s wonderin g if

she hadanythin g els e sh

e wante dm

e to know . Ms . Sasso n ha s been afligh t attendant wit h America n Airline s fo

r 1 6 year s andstate dshe hadnever bee n attacke d befor e b y apassenger . O n 12/11/2007 Ms . Sasso n wa s flyin g th e numbe r five positio n o n a n Airbu s A300 . Her

assigne djumpseat

wa s a t th e numbe

r 2 door o n th e lef t of th e aircraft . He

r jumpsea t wa s af t facing , toward s th e fligh

t attendants . Ms . Sasson' s tri p starte di n Ne w York . In Miam i (MIA ) th e fligh

t experience datw o hou r dela y du e t o maintenanc e issues . Ms . Sasso n state dtha t durin g th e dela

y she walked to th e rea r o f th e aircraf t andmany passenger s aske dher fo r Water. The cabi n crew wa s hesitant du e to th e fact

tha t th e pilot s hadnotifie dthemthey ma y b e cleare dsoon fo

r takeoff . Th e firs t tim e Ms . Sasso n notice dMs . Travera s wa s whe n she wa s i n the forwar dgalley andMs . Travera s cam e forwar di n a n angr y manne r demandin g adrin

k of wate r s o she coul dtak

e apill . Ms . Travera s state dto Ms . Sasson , "yo u ar e stupid " Ms . Travera s too k

he r pil l an dwen

t back to her seat . Flight

attendan t Sasso n hadno interactio n wit

h Ms . Travera s durin g th e flight. Ms . Sasso n state dtha t to her knowledg e andafte r talkin g t o th e other

flight attendants , Ms . Travera s wa s serve dn o alcoho l but di dhav e aba

g wit h man y prescriptio n pil l bottle s i n it . Upon de-planeing , Ms . Travera s go t u p andwalke du

p to flight attendant Sasson a t the 2 L doo r andsaid , "yo u ar

e stupi dandthi s i s wh

y America n Airline s i s i n fmancia

l troubl e wit

h employee s lik

e you" . Ms . Travera s the n spran g toward s flight attendan t Sasso n andwit

h her finger nails . Ms . Sasson' s fac e wa s scratche dandher nec k wa s twisted . A

n of f dut y America n Airlines , Captain namedRand y Rundl e (Sp ) ra

n of f th e

### aircraf

t andsiimmone dth e police . The polic e detaine dMs . Travera s andMs . Sasso n wa s taken to th e medica

l clini c a t th e airpor t wher e she wa s treate dfo

r her scratches , bruise s andtwiste dneck . Ms . Sasso n wa s askedi s sh e wante dto pres s charge s agains t Ms . Travera s andshe sai d"yes" . Ms . Sasson wa s tol dtha t i f she di dpres s charge s she woul d hav e to sta

y unti l th e nex t

morning . A t 0800 th e nex

t da y Ms . Sasso n wa s driven back t o th e Sant

o Doming o (SDQ ) airpor

t wher e she wa s met

b y th e America

n Airlines , Statio n Manager . Fro mthere they wer e to trave l t o th e polic e statio n wher e the hearin g woul dbe . Ms . Sasso n wa s tol db y th e polic e tha t t o verif y he r injurie s she wouldhav e to b e examine db y astate doctor . The y wen t andmet witi i th e state docto r

anddidn't ' arriv e bac k

t o th e polic e statio n unti l 11:30am . B y thi s time everybod

y wa s a t lunch . Th

e America n airline s statio n manage

r mad e a phone cal l an

dwa s abl e t o get

asecretar y t o retu mt o th e polic e station . The secretar y took th e repor t fro mth e state doctor . Whe n th e hearin g finally starte dMs . Travera s wa s brought i n stil l wearin g th e sam

e outfi t sh e ha don th e previou s day . Ms . Travera s stil l ha dhe r ba g o f medication s wit

h her . A t one poin t Ms . Sasso n state dtha

t th e polic e caugh

t Ms . Travera s i n ali e andaskedhe r to leav e th e room . A

t that point Ms . Travera s attomey approache dMs . Sasso n andthe othe r crew andAmerica

n Airline s employee s sh

e wa s with . H e apologize dfo r Ms . Travera s actions . A

t thi s poin t th e doo r to th e roo mwa s opene dan dMs . Travera s hear d he r attomey apologizin g an dyelle da t hi mno t t o apologiz e to th e America n Airline s employee s bu t

the y neede dto apologiz e t o her . Ms . Sasso n thanke dMs . Travera s attomey bu t

sai dshe wa s goin g t o repor t thi s t o the Federa

l Aviatio n Administratio n and th e Federa l Burea u o f Investigation . Thi s seeme dto mak e th e attome y angry . Bea u A . Morro w ^^* ^ Aviatio n Safet

y Inspecto r

# Complain t

Recordo f Telephon e Conversatio n Complainant s nam e pronounced : Juli e Sasso n Date : 3/26/200 8 - ' Time : 2:4 1 p m• * Route : MIA-SD Q Fligh t date : 12/11/2007 Airline : AAL

A Phas e o f flight o f reporte dissue : Passenge r deplanin g AM RComplain t

# : CSW2 1 200 8 000 2 Complain t

topics : Passenger

Maria'Tavere z verball y andphysicall y assaulte dflight attendan t Juli e Sasson . Fact s relate dt o th e inspecto r durin g th e call : I calle dandtrade demail s wit h Ms . Sasso n man

y time s durin g th e cours e o f thi s investigation . Mr . Sasso n wa s ver y helpful an

dshare dall th e documentatio n she ha d wit h m e tha t pertaine dto thi s case . Ms . Sasso n state dshe woxil dlike t o kno w if

w e move dforwar

dwit h a n enforcemen

t cas e s o she coul deventually us e th e Freedo mof Informatio n ac t

t o trac k it . I informe dher

tha t I wa s only abl e t o advis e her tha t i t wa s bein g sen t o n an da t that point an y civi l penalt

y actio n becam

e amatter betwee n th e FA

A andMari aTaverez . I als o let her kno w tha t I ma y nee dt o contac t

her agai n i f I hav e question s about

detail s surroundin g her

flight. I discusse dwit

h her tha t I woul db e closin g out

he r complaint andshe woul db e receivin g aclosur e letter . The las t cal l I made t o Ms . Sasso n wa s on March 26 * Bea u A . Morro w Ji^l ^ Aviatio n Safet

y Inspecto rPROCURADURI A FISCA L PROVINCI A SANT O DOMING O Depanatnent

o Medic o Leg : LeyN0.82l-27.Arts.d

H 10 9 

### D O MEDIC O EEGA L Y o Dr . (a ) Exequdto r No . 

### £ ^ M^uc o Legist * d e l aFrovioci aSant o Don^ngcv^tuand ^ecH^rimient o ti e . igOj^tuand o a^ecu^ri^uentOYl
CiAu\4u^^Hllff//?y' ^ ^•hclf^^ o Civil 

### Naci.Z^idad/^;ig^^-^^ ^ Direccid n ofici o N a cettifico habe r

examinad o a: Sex o icioN a_^ 2 -y 4 *

(La s condicione t

est4t t sujeta s acualquie r

ttp o d e compUcaQ^d

n qu e s e present e dentr o de l period o d e curacit e esfablecid^) . ••' » :did o aiffivCjliida

dd e Sant o Doming o Este , Prov . Sai^ ' d e ^i/-^ ^ ' de l aflo'SG^ . p^^ l Expedid o me s dfa s de l

Dr . (a) / Medic o Lt^ist a Av . Charle s d e Oaull e j[^(x . 27 , Sant o Dominft

p Bste y Provinci aSa^t o l^oniing^y ; JR v 0 s * Teli : 809r598-400 0

# kmi mk iM k k I M PilWic o ]»ki\i\m mhm \

Tg>9. i 80g-S4g-<>35 0 /

309-549-004 9

. q

_ ^^'-v ^ <^ ^ -^ O -

• ^• • 

# I

NOMBRE: . FECHA : _ . ^ 

# / / ci^^^tx^L^ ^ z<iD& ^

EXHIBI T

# kmtmkEm k kMuifiiblm y Amkn mSocia l

TelS. r 809-548-0350 /

809^549-004 *

JXA ^ 

### ^i<?/Lti ^

NOMBRE: . FECHA ; _ 

### i^X ^

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## K . .HAROLDDAVEHEMQlJEg^ASO C SoTucfoi mJurldicaf

f e n Gmarsl y Noteria * Biene s RBICM . AlcMlwyVentBde'CaM»r>6ilfinia»A(ftianalM '

•Vant«d#S«guiio » Abogad o Notart o ^ C/Ar?apb»>i»Port«No(S5 ? . T^t^SO W 482-904 4 Bsq.C/El'N&iwro.GudadNuay o Gets : (809J?t9-C220/835-996 7 Sant o Domingo , 0 . N . E-moif ; hamU_tfe>«hehotnwil,co m

X ,• ^ ' 

# I k

CONCENTR

E HEALTH SERVICE S Dat a o f Service : 12/13/200 7 Dat e o f Injury : 10/11/200 7 Attn : SR S Adjuste r America n Airline s P O Bo x61961 6 M D 559 3 FOR T WORTH , T X 7615 5 Dea rSR S Adjuster : You remploye e Juli e A . Sasso n receive d treatmen t fo ra ne w wor k relate d injur y a t ou rCM C - MI A F t Lauderdal e clini c o n 12/13/2007 . Th e billing s fo rthi s injur y car e wil l b e sen t t o Hartfor d In s EDI . Pleas e hel p u s provid e th e bes t car e t o you rinjure d employe e b y filing th e Employer' s Firs t Repor t o f Injur y wit h you rcarrier , i f no t alread y filed . Thi s wil l ensur e timel y reportin g an d managemen t o f thi s workers ' compensatio n claim . I f yo u hav e an y question s o rth e abov e informatio n i s incorrect , pleas e cal l ou roffic e o r fa xan y change s t o th e attentio n o f th e Billin g Department . Sincerely , CM C - MI A F t Lauderdal e Centra l Busines s Offic e

### Pag e I of 2 

## AmericanAirllnes * Acciden t Notificatio n Report Prin t 2 coph s o f thi s repor t Employ —sign s bot h copia * an d ka^p s on e copy . ** • IMPORTAN T ** - Pleas e ala o prin t a cop y o f th e Injury-On-Dut y Informatio n Package . Thi s documen t ca n als o b e foun d o n th e Wt)fkef s Compensatio n hom e pag e (unde rJetnet' s Policie s A Procedure s tab) . 

### Injure d Employe e Contac t Informatio n Empk>ye e Numbe rEmploye e Juli e Sasso n Employee' s Bas e Hom e Addres s Cit y Stat e « Zi p Employe e Cos t Cente r Hom e Phon e Numbe r Cell/Othe rPhon e Wofi c Phon e Numbe r

MI A 12/11/200 7 10:15:0 0 P M 

### Acciden t Dat a Acciden t OateHlm e 12/11/200 7 9:30:0 0 P M Statio n Reportin g Injur y Superviso rNotifie d 12/11/200710:00:0 0 P M SO C Notifie d Repor t Complete d 12/12/200 7 3:51:0 0 P M (Centra l Time ) Employe e Injurie a resultin g i n fataiity(s) , hospKtalizatlon , broke n liones , propert y damag e o f $25,00 0 o rmor e o ra n even t tha t involve s tiosplta l emergenc y roo m medica l (no t flrat aid ) treatmen t o f 3 o rmor e employee s mus t b e reporte d Immedletel y t o Syetem e Operatio n Contro l a t (817yiC S 967-7200 . D o no t repor t mino rinjurie s t o SOC . 

### Injure d Employe e Acciden t Informatio n Acthrit y Whe n Injur y Occurred/>sss«ng«r t deplaning/standin g a t 2 L doo r Bod y Par t Injure d Bod y Par t Injure d Before ? Natur e o f Injur y Caus e o f Injur y Locatio n o f Inciden t Equipment/Objec t Involve d 

### Aircraf t informatio n Aircraf t Typ e Righ t Numbe r Fligh t Dat a (MIWDCVYY ) Nec k N o Contusion , Bum p o rBruis e MISCELLANEOUS - AssaiMe d Aircraf t (anywher e o n aircraf t excep t th e belly ) A A Employe e

—A n aircraf t i s involve d i n th e incident . — A30 0 Phas e o f Fligh t 42 3 Aircraf t Ta U No . 12/11/200 7 Cit y Pai r Load/Taxl/Unloa d N07 4 MIASD Q 

### Vendo rInformatio n Outsid e Vendo rinvolved ? M o Vendor/Employe e Nam e 

### Injure d Employe e Additiona l Informatio n Numt>e ro f Othe rEmployee s Injure d Ho w di d yo u provid e Employe e wit h th e Injur y o n Dut y Repor t an d Informatio n Letter ? Is/Ha s employe e sough t medica l treatment ? Nam e o f doctor/medica l treatmen t facilit y Addres s o f doctor/medica l treatmen t facilit y Phon e numbe ro f doctor/medica l treatmen t ^iiit y Has/Ol d th e injur y resul t i n tost time ? Firs t dat e misse d Employe e place d o n transitiona l dut y (TD) ? N o Vendo requipmen t involve d Vendor/Employe e Phon e

Hande d t o employe e Ye e R Lauderdal e N o Dat e o f treatmen t 12/12/200 7

Returne d t o wor1 ( Firs t dat e o n T D

# I , Injury o n Dut y Repor t - Pao e 2 IJEmployee : Juli a Sasso n fEmploye e Superviso rinformatio n

- ~ Perso n Completin g Acciden t Report — Employe e Numbe r Nam e Wori t Phon e Emai l ( _ , 1 injur y Date : 12/11/200 7 9:30:0 0 P M

— • Injure d Employee' s Suoervlso r— Employe e Numbe r Nam e Wort c Phon e Emai l Pag e 2 of 2 

# i

Additiona l emai l addresse s t o receiv e a copy o f thi s acciden t report : Employee' s Statement

/ descriptio n o f Accident/ Injur y - Wha t happened ? F/ A wa s assaulte d b y passenge rMari a Tavere z wNt e aircraft deplanin g i n SDQ . F/ A receive d injurie s i n he rfac e an d nec k F/ A wa s struc k

i n (h e nec k

an d was throw n backward . Employee' s recommendations ) t o preven t futur e occurence s o f sam e inciden t Awaitin g lO D investigation . Witnesse s Involve d 

# E Employe e Numbe rB Firs t Nam e g Las t Nam e I I Phon e Numbe r Non e Reporte d — Supervisor' s Investigation : (who , what , when , where , how , equipmen t # , equipmen t condition , weathe rconditions , lightin g condiUons , contributin g factors , wer e procedure s followed, ar e procedure s adequate , etc. ) Pendin g lO D Investkxitkj n ^Siipervlsor a rscommendatlo n fo rwha t coul d hav e bee n donat e preven t thi s injury : Pendin g lO a Investlgatkm .

Dat e 

# A• m Nurnbfr :

Patient : Sasson , Juli e A . SSN : Address : Home : Work : Ext. : 

### Copcentr a l\/ledica l Center s (FL ) Physicia n Activit y Statu s Repor t Servic e Date : y2Jyir/{}{i 7 Cas e Date : 1flKl/200 7



### jA/fi/juxy f Employe rLocation : Address : Auth . by : Role : Phone : Fax : Ext. : Thi s Visit ; Tim e in : 09:0 0 a m Tim e Out : 10:3 8 a m Treatin g Provider . Alle n D . Long . ARN P Recordable : N/ A Diagnosis : 847. 0

910. 0 919. 0 92 0 Visi t Type : Ne w Medications : Cervica l Strai n ® Dispense d Prescriptio n Medicatio n l o Patien t Abrasio n O rFrictio n Bu m O f Face , Neck , An d Scal p Exce p Q Dispense d Over-The-Counte rPrescriptio n Abrasio n O rFrictio n Bu m O f Other , IVIultiple , An d Unspecif l D Writte n Prescriptio n give n t o Patien t Contusio n O

f Face , Scalp , An d Nec k Excep t Eye(S ) Patien t Status : Modifie d Activit y - Returnin g fo rfollow-u p visi t Restricte d Activit y (I n effec t unti l nex t physicia n visit) :

Retu m t o wor k

o n 12/13/200 7 wit h th e followin g restriction s N o repetitiv e liftin g ove r2 0 lbs . N o pushin g and/o rpullin g ove r2 0 lbs . o f forc e N o reachin g abov e shoulder s

Rwnarks :

nolov f Notice : The prescritse d activit y recommendations ar

e suggeste

d guidelines to assis

t i n Iti e patient' s treatment and rehabilitation . You r employe e ha s bee n intbrme

d tha t th e activit

y prescriptio n I s expecte

d t o b e followed a

t wor k and awa y fro m work . ndclpats d Dat e o f Maximu m Medica l Improvement : 12/30/200 7 Actua l Dat e o f Maximu m Medica l Improvement : Nex t VlsitiS^ : Ptlen t Notice : I t I s essentia l t o you rrecover

y tha t yo u keep you rschedule

d appointments , but shouk j yo u nee d t o reschedul e o rcance l you rappointment , pleas e contac t tti e dtnlc . Than k

yo u fo ryou rcooperatton . Visi t Date : Wednesday Decembe r19 , 200 7 8:1 5 a Provider/Facility : Rafae l Cardella , M D

## t . ;. „ - t • - tOENTIFICATiO N STRIP : Pleas e I'l l i n ai l blank s l o ensui e retur n o l sirio . N O RECOR D WIL L B E KEP T O F YOU R IDENTITY Thi s sectio n wi H t M relutne d l o vo u •SPAC E flElOW Btsenvtl ) f O H ASH S OAFE.»IM E STAMP ) TELEPHON E NUMBER

S wher e w e ma y reac h yo u fo rfurthe r detail s o i thi s occurrence : I40M E ALTERNAT E NAM E -J(A.L/i^ , AOORESS/P O BO

X . . 

## / / Ji?.f?^vi /

, TYP E O F EVENT/SITUATIO N DAT E OEOCCURRENC E / • CIT Y LOCA L TIM E (2 4 hr . clock ) - ^ I S O D O NO T REPOn rAinCnAF T ACCIDENT S AN D CHIMINA L ACTIVITIE S O N THI S FORM . ACCIDENT S AN D CRIMINA L ACTIVITIE S AR E NO T INCLUDE D I N TH E ASR ^ PROGRA M AN D SHOUL D NO T B E SUBMITTE D T O NASA . AL L lOENTIVE S CONTAINE D I N THI S REPOR T WIL L B E REMOVE D T O ASSUR E COMPLET E REPORTE R ANONYMITY . PLEAS E FIL L I N APPROPRIAT E SPACE S AN O CHEC KAL L ITEM S WHIC H APPL Y T O THI S EVEN T O R SITUATIO N REPORTE R EXPERIENC E 9 Fligh t Attendan t (FA ) " Traine e ' F A i n charg e OH-Dut y F A o Extra F A ) Othe r Tota l year s a s Fligh t Attendan t Tota l year s a s F

A wit h you rcurren t airlin e Numbe rof airaal t type s currentl y qualifie d t o wor k o n Percen t o i duty tim e i n pas t yea ro n aircraft typ e involve d 

## / 6 /.D.^ ^ „ . _ Typ e o f aircraf t Fligh t segmen t Cabi n activit y (Chec k al l tha t apply ) ___ , FLIGH T IWFOBIiATIO H (Make/Model ) ^ rb oU . „ . A.3iO numbe ro t seat s numbe ro f exits : Moo

rleve l numtM T o f paxo n boar d j^jU' ' numbe ri n cabi n cre w f

j f windo w O lailcon e 

# u fligh t origi n 

# /M . destinatio n 

## oi)<^ . tim e sinc e takeoff ;_Yr-^0< J hrs/min s neares t city/slat e (i l known ) oi W .•^£ ^ departur e i\m e Jjc}p ^

• t)oardin g • deplanin g safet y relate d duties , specify > beverag e servk: e > mea l servic e car l servic e Iray servic e movi e othe r OPERATO R FUQH T PHAS E WEATHE R LIQHTIN O e ai rcarrie r > commute r corporat e charte r ' othe r • predepartur e •tax i takeoff > clim b cruis e ^'descen t

J approac h ^ > landin g • gat e arriva l ' othe r <: clea r erai n ' turbulenc e ' thunderstorm s • unknow n cloud y

fo g sno w ic e CABI N

• brigh t mediu m dar k OUTSID E

>' > dayligh t a nigh t EVEN T CHARACTEBISnC S Reporter' s locatio n i n aircraft a t tim e o f even t Reporter' s activit y at tim e o f even i J^ldd l A^_, . Sc/Jlii^i L i C 'f t z^^liX^Vt^ V ^.l i Wa s fire/smok e involve d i n th e event ? N o Wa s a passenge rdirectl y involve d i n ih e event ? #Ye s Di d thi s even t resul t m a n in|ury ?

t o passenger ? t o crew ? • Ye s Ye s • Ye s N o • N o 'N o Ye s • N o

Wa s ther e a n evacuatio n durin g o r j s a resul t of thi s event ? Ye s eN o DESCWIB E EVEPiT/amJATIOii l Keepin g m mm d th e lopics show n belo w discus s ll'Os e whic h yoo tea l ar e retevdo i an d anythin g els e yo u llnn H i s imporljn t Includ e whii l yo u behav e reall y cause d tfi « (iroblem , an d wha

t ca n b e don e l o oteven i a recurrnrc e o rcorrec t Ih e situatio n (CONTINU E O N TH E OTHF R SID E AN D US E ADDITIONA L PAPE R I F I^EEDEO ) ''jL y ..'^:7l ^

.jijL.^^iu( L LL'-tX^t!L\~ - X<-U- . h > J^/U^^i. 1 /A<i./<K . / . .. . . . i

- I- / .t.* , // < ..y..^..Qn. . , .- . y .

# Complain t

Recordo f Telephon e Conversatio n Complainant s nam e pronounced : Dre w Blah-nic k Date : 3/26/200 8 . Time : 10:10a

m Route : MI

A - SD Q Fligh t date : 12/11/2007 Airline : AAL

A Phas e o f fligh t o f re^prte dissue : Deplanin g AM RComplain t

# : CSW212008000 2 Complain t

topics : Flight

Attendan t Juli aSasson wa s attacke db y apassenger . Mr . Blahnick wa s liste da s adea

dheadin g pilo t

wh o witnesse dit . 

### Fact s relate dt o th e inspecto r durin g th e call : I calle dMr . Blahnic k

to obtai n hi s witnes s statement . H e wa s no t a t hom e on March 27*' ' s o I lef t amessag e fo

r hi mt o cal l m

e back . March 28,2008,10:10am . I calle dMr . Blahnick an dwa s abl e t o talk

wit h him . Mr . Blahnick i s aFirs t Office r fo r America n Airline s an

dflie s th e Boein g 75 7 and767 aircraft . Mr . Blahnick

state dtha t h e remembere dth e attack

o n Fligh t Attendant Sasson . Mr, Blahnick state dtha t when Flight

Attendan t Sasson wa s attacke dh e wa s on a4 5 degre e angl e fro mher . Flight

Attendant Sasson wa s a

t th e 2 L doo r an dhi s attentio n wa s brough t t o tha t are awhen h e heardMs . Tavare s yell , "You touche dme , don' t touc h me" . Then h e witnesse dMs . Tavare s aggressively scratc h Ms . Sasso n o n th e face . He note dtha t Ms . Sasso n stumble dbackward s andtw o passenger s caugh t her . Other

passenger s pulle dMs . Travare s of

f Flight Attendant Sasson , Mr . Blahnick

note dtha t Flight Attendan t Sasson ha dastunne dloo k

o n he r fac e andyelle dout " I wan t her arrested " t o whic h Ms . Tavare s yelled , "Fin e arres t

u s both" . Whe

n Mr . Blahnick

wa s deplanin g h e note dtha t Ms . Tavare s an

dFlight Attendant Sasso n wer

e o n th e Jetwa

y wit h th e loca l Polic e bein g questioned . Agai n h e heardMs . Sasson state , " I wan t he r arrested " t o whic h Ms . Tavare s sai d"Fine.arres t

u s both" . Mr . Blahnick

then note dMs , Tavare s bein g escorte dto the terminal . Bea u A . Morro w Aviatio n Safet

y Insp eu 

### 07/26/0 7 2150.3 B

suspen dth e privilege s o f th e certificat e o r

ratin g pendin g demonstratio n o f qualificatio n or complianc e with statutor y o r regulatory requirements . FA A generall y use s remedia l suspensio n whe n an individua l doe s no t voluntaril y surrende r

hi s o r he r certificat e pendin g reexamination . Se e chapte r

5 . (2 ) Certificat e revocatio n - general . Th e FA A revoke s acertificat e whe n acertificat e holde r lack s th e qualification s t o hol dth e certificate . Th e certificat e holder' s continue dexercis e o f th e privilege s o f

th e certificat e i n suc h circumstance s woul db e contrar y t o safet y i n ai r commerc e o r

ai r transportatio n an dth e publi c interest . Revocatio n i s appropriat e wheneve r a certificat e holder' s conduc t demonstrate s alac k

o f th e technica l proficienc y o r alac k o f th e degre e o f care , judgment , o r

responsibility , require do f th e holde r

o f suc h acertificate . Order s o f revocatio n ar e issue do n an emergenc y basi s whe n th e certificat e holde r lack s qualificatio n an di s reasonabl y abl e a s apractica l matte r t o exercis e th e privilege s o f th e certificate . Legal counse l doe s no t alleg e alac k

o f qualification s t o avoi ddismissa l o f charge s unde r

4 9 C.F.R . § 821.33 , th e NTSB' s st^l e complain t rule . (3 ) Certificat e revocatio n - individuals . Th e FA A generall y revoke s a n individual' s certificat e o r

ratin g wheneve r

h e o r sh e demonstrate s alac k

o f willingnes s o r

ability t o compl y consistentl y with statutor y o r regulatory requirements . A lac k o f willingnes s o r

ability t o compl y ma y b e demonstrate db y suc h thing s a s repeate do r deliberat e violation s o r

b y violation s that involv e grossl y careles s o r reckles s conduct . Eve n asingle violatio n ma y b e sufficient t o warran t aconclusio n an individua l lacks qualifications . Th e FA A ordinaril y revoke s al l certificate s o f a perso n wh o commit s aviolatio n involvin g intentiona l falsification . (4 ) Certificat e revocatio n - entities . Revocatio n i s normall y appropriat e whe n a certificate-holdin g entit y deliberatel y o r flagrantly violate s th e statut e o r regulation s o r

falsifie s records . Revocatio n als o i s generall y appropriat e whe n th e certificat e holde r ha s committe dth e sam e o r similar violation s i n th e recen t

pas t demonstratin g alac k

o f qualification , o r

whe n th e certificat e holde r

n o longe r

has , an ddoe s no t

obtai n i n areasonabl e time , th e personne l o r equipmen t

t o conduc t

it s operatio n i n full complianc e wit h statutor y an dregulator y requirements . (5 ) Mandator y certificat e revocation . Unde r 4 9 U.S.C . § 44710 , th e FA A i s require dt o revok e th e certificate s o f any airma n wh o ha s bee n convicte do f violatin g certai n federal o r stat e statute s relatin g t o acontrolle dsubstanc e whe n an airplan e wa s use di n th e commissio n o f th e offens e an dth e airma n serve da s a n airman , o r wa s aboar dth e aircraft , i n connectio n with commissio n o f

th e offens e o r

th e facilitatio n o f

th e commissio n o f

th e offense . Eve n whe n ther e ha s bee n n o conviction , revocatio n i s require dwhe n an airma n ha s knowingl y carrie dou t a n activit y punishabl e unde r thes e crimina l statutes . Th e Administrato r may waiv e th e revocatio n i f ala w enforcemen t

office r request s th e waive r

an dth e Administrato r

decide s th e waive r

wil l facilitat e la w enforcemen t purposes . Se e 4 9 U.S.C . § 44710(f) . Unde r 4 9 U.S.C . § 44106 , th e FA A als o mus t

revok e th e registratio n certificat e o f an y airplan e use di n th e commissio n o f suc h an offens e whe n th e us e wa s permitte db y th e owne r o f th e aircraf

t with knowledg e that

i t woul d b e use dfo r

suc h purpose . Unde r

4 9 U.S.C . § 44726 , th e FA A mus t revok e th e certificate s o f an y certificat e holde r

o r an individua l vnh

o ha s acontrollin g o r

ownershi p interes t

i n th e holde r

wh o wa s convicte do f

aviolatio n o f

federal law relatin g t o th e installation , production , repair , o r sal e o f acounterfei t

o r fraudulently-represente daviatio n part o r materia l o r

knowingly , an dwit

h th e 

### 7-2

### 07/26/0 7 2150.38 '

inten t t o defraud , carrie dou

t or facilitate da

n activit y punishabl e unde

r suc h alaw . The Administrator

ma y waiv e tha

t sanctio n to facilitat

e la w enforcemen

t purpose s o r

amend , rathe

r than revoke , acertificat

e unde r certai n circumstances . Se

e 4 9 U.S.C . § § 44726(f

) and(g) , (6 ) Mandator

y certificat e actio n fo r securit y concerns . Unde

r 4 9 U.S.C . § 46111 , th e Administrator

i s require dt

o issu e a n orde r amending , modifying , suspending , or revokin g an

y FAA-issue dcertificat

e i f the Administrator

i s notifie dby the Unde

r Secretar y o f Borde r an d Transportatio n Securit

y (BTS ) o f

the Departmen

t of HomelandSecurit

y (DHS ) tha

t th e certificate holde

r poses , o r i s suspecte dof

posing , arisk

of ai r pirac y or terroris mor

athrea t t o airlin e o r passenge r safety . Unde

r 4 9 U.S.C . § 44924 , the . Administrator i s require*d

, a t th e reques t o f the Unde r Secretar y o f BTS , to suspendor

revok e foreijg n repair statio n certificate s in connectio n wit

h securit y audits . 3 . Applicabilit

y an dExclusions . Th

e sanctio n guidanc e tabl e (table ) in Appendi x B provide s type s o f sanction s andgenera

l range s of sanctio n amount s fo

r violation s o f

4 9 U.S.C , subtitl e VI I an d1 4 CF.R , part s 1-19

9 an d4 9 U.S.C . subtitl e IX , chapte r 70 1 and1 4 C.F.R . chapte

r III , Onc e the agency ha s determine dtha t lega l enforcemen

t actio n i s warrante dfo

r aviolation , FA

A enforcemen

t personnel us e the tabl e an

dparagrap h 4 o f

thi s chapter , a s wel l a s an

y othe r sanctio n guidanc e in thi s order , to determine apropose dsanction . The matter s describe di n chapte r 7 , subparagraph s 3a.-d . ar

e som e type s o f agency action tha

t fal l outside the scop e of paragrap h 3 andthe table . a . Decision s t o Tak e Administrativ e Actio n (Warnin g Notice s o r Letter s of Correction) . A

n administrativ e actio n doe s not constitut e eithe r aforma l adjudicatio n o f

the iricident or afinding of

violation . Fo

r tha t reason , FA

A investigativ e personnel do not propos e a sanctio n usin g th e table . b . Th e FAA' s Exercis e o

f Prosecutoria l Discretion . Th e decisio n whethe

r t o prosecut

e a particula r cas e i s basedo

n areview o f

the evidenc e an

drelevan t polic y an dlitigatio n considerations . Th

e agency exercise s broa

ddiscretio n i

n bot h the initia

l decisio n t

o brin g alegal enforcement

action , an di n an y later determinatio n t

o compromis e or

settl e acas e base don variou s considerations . Th e FAA' s discretio n i

n thes e area s i s absolut

e andpresume dto b e immun e fi-o

mreview . Heckle

r v. Cheney , 47 0 U.S . 821 , 83 1 (1985) . c . Hazardou s Material s Violations . Action s involving violation s of th e federa l hazardou s material s transportatio n law , 4 9 U.S.C . chapte r 51 , o r th e Departmen

t of Transportation' s Hazardou s Material s Regulations , 4 9 C.F.R . part s 10 6 through 185 . Enforcemen t sanctio n guidanc e fo

r thes e violation s i s foun

di n Appendix C . d . Violation s b y Member s o f th e U.S . Arme dForces . Th e FA A i s require dt o forwar

d report s of thes e violation s t

o th e Secretar y of the departmen

t concerne dunde

r 4 9 U.S.C . § 46101(b) , wheneve

r the violator

i s actin g i n the performanc e o f

officia l duties . The FAA , however , take s remedia

l actio n i n additio n t

o referring arepor

t whe n the violator , whethe

r o r no t

7- 3

### 07/26/0 7 2150.3 B

actin g i n th e performanc e o f official militar y duties , hold s an FA A certificate , an dth e violator' s qualification s ar e at

issue . Th e FA A ma y tak e punitiv e actio n agains t amembe r

o f th e U.S . Arme dForce s for

aviolatio n committe dwhe n th e membe r i s no t performin g officia

l duties . 4 . Mitigatin g o r

Aggravatin g Factor s an dElements . Th e factor s i n chapte r 7 , subparagraph s 4.a . throug h m . hav e bee n develope dove r year s o f polic y makin g an dcas e adjudication . The y hav e prove n usefu l an dappropriat e for determinin g th e seriousnes s o f aviolatio n an dfo

r selectin g an appropriat e sanction . Element s fo r evaluatin g an dweighin g eac h facto r are als o described . Thes e factor s an delement s provid e aframewor k fo r determinin g sanction s fo r violation s specificall y liste di n th e tabl e a s wel l a s thos e no t specificall y listed . Al l th e factor s an delements , however , may no t appl y t o eac h violation . Onl y thos e factor s an delement s tha t ar e relevan t

t o aviolatio n ar e considere di n determinin g asanctio n fo r th e violation . Thi s lis t

o f factor s an delement s i s no t intende dt o b e exhaustive ; othe r factor s may b e relevan t

a s well . a . Natur e o f

th e Violation . Thre e element s defin e th e natur e o f aviolation : first, whethe r th e violatio n was operationa l o r non-operational ; second, whethe r th e violatio n involve dcareles s o r reckles s conduct ; an dthird , whethe r th e violatio n involve dan y specia l aggravatin g o r mitigatin g factors . (1 ) Individuals . Whe n a n individua l wh o hold s acertificat e improperl y exercise s th e privilege s o f

that certificate , th e natura l consequenc e o f tha t ac t shoul db e los s o f

privilege s fo r

a perio do f tim e commensurat e with th e violation . Th e FAA , therefore , primaril y use s certificat e action s to enforc e operationa l regulation s agains t individual s wh o hol dcertificates . Th e potentia l advers e impac t

tha t certificat e actio n may hav e o n an individual' s livelihoo ddoe s no t alte r thi s principle . Non-operationa l violation s ma y warran t adifferen t

typ e o f sanction . (2 ) Entities . Th e FA A ordinaril y take s civi l penalt y actio n agains t acertificate-holdin g entit y (fo r

example , a n ai r

carrier ) whe n it

determine s ther e woul db e asubstantia l advers e impac t o n th e publi c interes t

fro mdisrupte dservic e b y tha t certificat e holde r

an dth e impac t

i s no t outweighe db y safet

y considerations . Eve n whe n asubstantia l advers e impac t woul doccur , whe n ther e i s anee dt o preven t continuin g violation s o r othe r egregiou s conduc t

b y any certificat e holder , whe n an y certificat e holde r lack s qualification , o r

ther e i s areasonabl e basi s t o questio n th e qualification s o f an y certificat e holder , th e FA A takes remedia l action , for example , revocatio n o r

indefinit e suspension , a s necessary . (3 ) Careles s o r

reckles s conduct . Violation s tha t involv e careles s o r

reckles s conduc t

i n violatio n o f

1 4 C.F.R . §91.1 3 may warran t mor e sever e sanctions . Carelessnes s connote s conduc t tha t fall s belo w th e standar do f car e o r prudenc e expecte do f

areasonabl e person , o r holde r o f th e relevan t

certificate , actin g unde r

th e sam e o r

similar circumstances . Recklessnes s connote s conduc t

tha t demonstrate s agross , o r eve n callou s o r

flagrant , disregar dfo

r safety . Aircraf t operation s that

d o no t otherwis e resul t

i n aviolatio n o f

aspecifi c regulatio n shoul db e evaluate di n ligh t

o f thes e standard s t o determin e whethe r the y constitut e careles s o r reckles s operation s i n violatio n o f 1 4 C.F.R . § 91.13 . Whe n aperso n operate s an aircraf t i n violatio n o f

a specifi c regulatio n othe r

tha n 1 4 C.F.R . § 91.13 , however , tha t violatio n constitute s acareles s o r reckles s operatio n in an do f itsel f In thes e cases , th e misconduc t may als o resul t

i n aviolatio n o f 1 4 C.F.R . § 91.1 3 if

i t actuall y o r

potentiall y endanger s th e live s o r propert y o f

others . 

### 7- 4

### 07/26/0 7 2150.38 '

Whe n calculating th

e amoun t of sanctio n base don thi s factor , adistinctio n generall y i s drawn betwee n instance s wher

e 1 4 C.F.R . § 91.1 3 i s a

n independen

t violatio n andthos e wher

e it i s residua l t o anothe r violation . Whe

n a1 4 C.F.R , §91.1 3 violatio n i s residua l only , ahigher sanctio n generall

y i s not warrante dunles s the conduc t i s als o reckless . b . Whethe r

th e Violatio n wa s InadVtsrten f an dNo t Deliberate . I

f aviolatio n i s deliberat e or no t inadvertent , asanctio n at

tKeuppe r end'o f th e rang e o

r exceedin g the rang e fo

r tha t typ e o f violatio n generally i s appropriate . A deliberat e violatio n generally warrant s a sanctio n tha

t i s mor e sever e tha n on e tha t i s jusj t not inadvertent' . (1 ) No t deliberate . Thi s elemen

t mean s alac

k o f the degre e o f

deliberatio n foun

di n intentiona l misconduct . Deliberat

e o r intentiona l misconduc t

i s a h aggravatin g circumstanc e an d include s deliberat

e conduc t tha t lead s to aviolatio n a s well a s circumstance s indicatin g inten t to commit aviolation . (2 ) Inadvertence . A

n act i s inadverten

t whe n i t i s the result

of bot h inattentio n an

dlac k of purposefu l choice . Fo

r example , a

n inadverten

t act occ\ir s when apilo t

flies a t a n incorrec t altitud e becaus e h e o

r she misrea

dth e aircraft' s instruments ; however , i t i s no t a n inadverten

t act whe n apilo t flie s a t a n incorrec t altitude a s aresult

o f choosin g not

to consult the aircraft' s instrument s or

choosin g not

t o us e othe r availabl e mean s to verif

y altitude . The tes t

t o b e applie d i s whethe r th e conduct , not

the factua l or lega l consequences , i s inadverten t anduruntended , Ferguso n v

. Nationa l Transportatio n Safet

y Board . 67 8 F.2 d821 , 828-82 9 (9t h Cir . 1982) , c . Certificat e Holder' s Leve l o f Experience . (1 ) Level o f

experienc e refers primarily to th e typ e o f certificat e andrating s hel d(fo

r example , student , private , commercial , airlin e transpor t pilot , or certifie dflight

instructor) , an

d the numbe r o f hour s flown, b

y the certificat

e holder . Certificat

e holder s wit

h greate r level s of experienc e ma

y be hel dt o ahighe r standard . Thus , fo

r example , commercia

l pilot s ma y b e hel d t o ahighe r standar dtha n privat e pilot s an dairlin e transpor

t pilot s ma y b e hel dto a

n even highe

r standar dtha n commercia

l pilots , (2 ) I n determinin g a

n appropriat

e sanction , th e FA

A ma y consider th e extent t o which the certificat

e holder' s actio n deviate dfro mth e degre e of

car e anddiligenc e normally expecte d o f aperso n wit

h the certificat

e holder' s level o f

experience . A significan

t deviatio n fromthe degre e of car e an ddiligenc e expecte dof

the holde r o f tha t certificat e ma y warran t amor e aggravate dsanction . d . Attitud e o

f th e Violator . (1 ) A goodcomplianc e attitude i s th e nor manddoe s not

warran t areductio n in sanction , A prio r violatio n histor

y ma y sugges t tha t aperso n ha s apoo

r complianc e disposition , whic h i s a n aggravating factor . Furthermore , aperson who commit s a n ac t o r omissio n contrar

y t o statutor y or regulator y requirement s afte

r receivin g notic e through aprio r administrativ e action or counselin g tha

t suc h conduct i s i n violatio n o f

thos e requirement s migh

t wel l b e regardeda s havin g apoo

r complianc e disposition . I

n evaluatin g complianc e disposition , the FA A doe s not 7- 507/26/0 7 2150.3 8

vie w a n allege dviolato r

a s havin g apoo r

attitud e becaus e th e allege dviolato r fail s t o respon dt o S Llette r o f investigation , choose s t o b e represente db y coimsel , o r contest s th e violation . (2 ) I n assessin g th e attitud e o f a n allege dviolator , th e FA A may conside r th e declaratio n o f an emergenc y t o ai r

traffi c control . Whe n a

n emergenc y i s genuin e an dnot o f th e person' s ow n making , th e emergenc y i s exculpator y imder 1 4 G.F.R . § 9'L3(b) . However , thi s situatio n i s distinc t fro mth e situatio n wher e adeclaratio n o f emergenc y i s not

exculpator y bu t

i s afactor

tha t migh t b e appropriat e t o conside r i n determining:sanction . In emergenc y situations , th e FAA view s declarin g a

n emergenc y t o ai r

traffi c controla s asig n o f goo djudgmen t

an daconstructiv e attitude . When a

n emergenc y i s o f

aperson' s ow n making, that person' s declaratio n o f

a n emergenc y ma

y b e considere dmitigatih g i n determinin g th e sanctio n t o b e impose dfor an y violation s committed , i n muc h th e sam e way i t i s considere dmitigatin g i f a^perso n voluntaril 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 interpla y o f

th e operationa l environmen t

(fo r example , weathe r

conditions , congeste dvs . sparsel y populate dareas ) an dth e natur e o f th e threa t t o safet y (t o th e lif

e o r property o f

another , includin g thos e i n th e aircraf t bein g operated , t o othe r

aircraft , o r

t o person s o r

property o n th e surface ) tha t th e misconduc t presents . Th e safet

y threa t i s base do n th 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 tha n operatin g 10 0 fee t

below . Similarly , i f

a n aircraf t operato r fail s t o compl y with an airworthines s directiv e b y 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 great a s whe n th e aircraf

t i s operate d100 hour s beyon dth e required . An di t i s no t mitigatin g whe n aviolatio n doe s no t resul t i n actua l harm ; tha t

i s simpl y fortuitous , (2 ) Th e sanctio n range s reflec t th e degre e o f

dange r normall y inheren t

i n a n averag e violatio n o f

aregulation , withou t

aggravatin g circumstances . A s discusse di n chapte r 7 , subparagrap h 5.b. , a n increas e i n th e degre e o f hazar dmay for

mth e basi s fo r

exceedin g th e sanctio n ranges . Fo r

example , th e rang e for

a n unauthorize dlo w flight doe s no t assum e extrem e departure s fromrequire daltitudes , for example , flying a

n airplan e ove r

acrowde dassembl y o f person s at

5 0 feet f . Actio n Take n b y Employe r o r Othe r Authority . Thi s facto r

ordinaril y involve s th e followin g elements : whethe r th e allege dviolator' s employe r ha s take n disciplinar y actio n an d whethe r crimina l prosecutio n i s involved . (1 ) Employmen t

discipline . Wher e th e violatio n woul dnormall y cal l fo r acertai n typ e o f enforcemen t

action , th e FA A take s that actio n regardles s o f

an y actio n take n by th e violator' s employer . Generally , th e FAA doe s no t credi t a n employer' s disciplinar y actio n towar daperio d o f suspensio n th e FA A impose s agains t th e violator' s certificate , becaus e o f th e different purpose s o f

government-ordered , a s contraste dwith employer-ordered , actions . (2 ) Crimina l prosecution . Whe n arisin g ou t o f th e sam e conduct , local , state , o r federa l prosecutio n doe s no t

preclud e th e FA A fro mtakin g appropriat e remedia l enforcemen t action ; no r 

### 7- 6

### 07/26/0 7 2150.3 8

doe s i t preclud e th e FA A fro mtakin g appropriat

e punitiv e enforcemen

t action . Fo

r case s wher

e federal , state , o

r loca l authoritie s prosecut

e criminally , the FA

A generally doe s tak

e remedia l enforcemen

t actio n if tha t i s warrante ddespit

e the crimina

l prosecution . However , the FA A doe s no t generall y tak e punitiv e lega

l enforcemen

t actio n fo r th e sam e conduct , unles s i

t believe s the crimina l sanction s ar

e not sufficien t t o provid e a n adequat e deterrent fo r futur e violation s b

y the violator an dother s similarly.situated , o r whe n the FA A want s to establis h aviolatio n histor y record . I f th e FA A decides , t

o -procee dwit h apunitiv e civi l enforcemen t actio n in additio n to th e crimina l prosecution , i

t generally consider s th

e crimina l penaltie s incurre din thos e proceeding s i n determining the ; appropriate " amoun t ofsanctio n to b e sough

t i n the FAA' s punitiv e enforcemen

t action . g . Us e of aCertificate . -Thi s facto

r relate s to the natur

e o f kin do f activit y or operatio n involveda t th e tim e the violatio n was " committed . Whethe r the certificat

e holde r wa s engagedi

n student , private , commercial , o r airlin e activit

y bear s o n the severit

y o f th e sanction . Ai

r carrier s ar e heldt o th e highes t standar dof care . Likewise , persorme

l engage di

n ai r transportatio n ar

e hel dt o the highes t

safet y standard . h . Violatio n o r

Inciden t History . (1 ) A violation-fre e histor

y i s the expectednorm , not th e exceptio n and , therefore , i s not amitigatin g factor . Sanctio n range s in the tabl e generall y represent

th e norma

l rang e ofsanctio n fo r asingle , first-time, inadverten t violation . Given the expecte dnorm , aprior violatio n recor

d ca n be evidenc e of

apoo r complianc e dispositio n o r

of apatter n o f disregar dfo r the FAA' s regulations , which ar

e aggravatin g factors . A s aresult , aviolatio n histor y ca n justif y imposing a sanctio n a t th e highe r endo f the norma l rang e or asanctio n beyondth e norma l range . I t migh t als o justif y revocatio n rathe

r tha n suspensio n i

f th e patter n o f violatio n reflect s alack

o f qualification . I

n addition , aviolatio n histor y migh t justif y acertificat

e suspensio n i f

previously issue dcivil penaltie s hav e not producedth

e desire ddeterren

t effect . I n decidin g whethe

r a violatio n histor

y justifie s aggravatin g the sanctio n o r changin g th e usua

l typ e ofsanction , th

e FA A consider s the lengt

h of time tha t ha s elapse dbetween violations , whethe r th e violation s involvedthe sam

e or simila r regulations , an

dwhethe r the violation s ar

e factuall y similar . (2 ) The following action s constitut e violatio n histor

y whe n they involv e regulator

y violation s an

dbecom e final: order s o

f amendment , modification , suspension , o r revocatio n of

a n FA A certificate ; order s assessin g acivil penalty ; findings of violatio n containe din aconsen t order , orde

r of complianc e or

denial ; an dfindings of

violatio n mad

e by afedera

l court . I n addition , apart

y ma y agre e a s par

t o f asettlemen

t tha t the FA A ma y conside r allegedviolation s a s findings o

f violatio n fo

r futur e sanctio n determinations . i . Decisiona

l Law . Decision s of

the FA A decisionmake

r represent th e FA A Administrator' s positio n on issue s arising i n civ^spenalt

y assessmen

t actions , including issue s regarding sanctions . The'polic y i n thi s orde r als o represent s the /^.dministrator' s position on sanction s i n lega l enforcemen

t actions . To the exten

t tha t thi s documen

t conflict s wit

h FA A decisionmake

r decision s publishe dbefor

e thi s document' s issuance , th e sanctio n guidanc e polic y i n thi s orde r supersede s thos e decisions . However , FA A decisionmake

r decision s publishedafte

r 7- 7Iv 5 QilllQIO l 2150.3 8

th e issuanc e o f

thi s documen t

that conflic t with th e polic y i n thi 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 deterrent . Whil e punitiv e sanction s shoul dnot

b e undul y harsh , the y shoul db e substantia l enoug h t o preven t violator s fro mprofitin g fro mthei r

violations , that

is , th e sanctio n shoul db e hig h enoug h t o remov e an y profi t incentiv e fo r violations . Penaltie s shoul dneve r b e permitted.t o b e acos t o f doin g business . Ai r

carriers , i n particular , ar 6 require db y la w t o hav e th e financial wherewitha l t o operat e accordin g t o establishe dsafet

y standards . Whil e th e FA A doe s no t allo w financial circumstance s t o excus e an y violation , i

t doe s conside r

acarrier' s siz e an dfinancial strengt h i n choosin g th e appropriat e sanctio n amount . Th e differenc e i n th e penaltie s fixedi n th e la w fo r larg e and'smal l busines s concern s recognize s thi s fact, . A civi l penalt y that 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 ou t o f business . Therefore , th e FAA use s ai r carrie r siz e a s on e mean s o f

ensurin g arelativel y equivalen t deterren t effec t o n eac h ai r carrie r tha t violate s th e sam e FA A regulation . Th e resultin g classificatio n o f ai r carrier s b y siz e an drange s o f

civi l penahie s ar e se t

fort h i n par t one , sectio n A o f

th e table . Fo r

al l entitie s an d individuals , th e FAA consider s abilit y t o pay acivi l penalt y an dth e effec t acivi l penalt y wil l hav e o n aperson' s abilit y t o continu e i n busines s t o th e exten t i t know s suc h information , k . Consistenc y o f

Sanction . On e o f

th e agency' s goal s i s t o achiev e relativ e consistency i n imposin g similar

sanction s fo

r simila r violations . Th e FA A pursue s thi s objectiv e t o assur e fairnes s an ds o th e sanction' s impac t ha s a n equivalen t

degre e o f

deterren t o r disciplineir

y valu e t o other s similarl y situated . Thi s goa l ma y no t 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 n settin g sanctions . 1 . Whethe r

th e Violatio n wa s Reporte dVoluntarily . (1 ) Th e FA A ha s program s that allo w person s t o report

voluntaril y apparen t

violation s an dreceiv e lesse r

enforcemen t

actio n provide dcertai n criteri aar e met . Thes e program s includ e th e aviatio n safet

y reportin g program , th e voluntar y disclosur e reportin g program , an dth e aviatio n safet

y actio n program . Beside s thes e programs , th e FA A ma y gran t specia l enforcemen t consideratio n unde r

certai n circumstance s t o aperso n who , inciden t t o hi s o r he r repor t o f another' s violations , voluntaril y disclose s hi s o r he r ow n participatio n i n th e sam e o r relate d violations . Thi s specia l enforcemen t consideratio n ma

y rang e frommitigatin g th e sanctio n t o determinin g tha t

n o enforcemen t

actio n i s required . (2 ) I f aperso n i s no t

covere dunde r

on e o f thes e program s bu t

nonetheles s voluntaril y report s an apparen t

violatio n t o th e FA A befor e th e FA A discover s it , take s immediat e actio n t o correc t th e noncompliance , an dwork s with th e FA A o n step s t o preclud e recurrenc e 'o f th e apparen t violation , th e FA A may conside r suc h action s in mitigatin g th e Unctio n fo r th ^ violation . m . Correctiv e Action . Th e FA A consider s correctiv e actio n amitigatin g facto r i n determinin g sanctio n provide dth e correctiv e actio n exceed s th e minimu mregulator y o r statutory requirements . Th e amoun t o f credi t give n i n settin g asanctio n depend s o n th e exten t an dtimin g o f th e correctiv e action , that is , ho w extensiv e wa s th e correctiv e actio n an dho w quickl y was i t taken . Implementin g ne w procedure s that ar e above thos e require dunde r th e FAA' s regulation s 7- 8

### 07/26/0 7 2150.38 -

t o prevent futur e violation s ordinarily i s considere damitigatin g facto r in determinin g a

n appropriat e sanction . Correctiv e actio n taken afte r the allege dviolator

first become s awar

e of a deficienc y bu

t befor e FA A discover

y o f th e violatio n ordinarily warrant s greate r mitigatio n tha

n correctiv e action tha

t i s taken only afte

r the allege dviolator

receive s notic e o f

the FAA' s enforcemen

t action . Correctiv e actio n taken b y a n allege dviolator

tha t simply bring s tha

t person ••' into complianc e wit

h th e statutor

y o r regulator y requirement s i s not

considere di

n mitigatio n o f ' sanction, . T

o mitigat e asanctio n base do n such correctiv e actio n wouldput a t a n economi c disadvantag e competitor s who hav e expende dth e resource s necessar

y t o maintain compliance . 5 . Us e o f th e Tabl e o

f Sanctions . :-a . General . Sanctio n determination s ar e not accomplishe dthrough astric t mathematica

l formula ; rather , sanctio n determination s result fro majudgment

o f wher e acas e lie s alon g a spectrumo

f gravity . Ultimately , th

e circumstance s of

eac h cas e ar e evaluate din term s of

the need s o f safet y an dthe publi c interest , b . Single , First-time , Inadverten t Violations . (1 ) Par t I I of th e tabl e specifie s bot

h the norma

l type s ofsanctio n (certificat e action , civi l penalt y action , or

othe r type ) andthe norma

l range s within thos e type s th e FA A ordinarily seek s t o impos e i n alega l enforcemen

t actio n fo r asingle , first-time violatio n tha t i s generally inadverten t (the tabl e include s range s of sanction s fo

r severa l violation s tha

t usually ar e intentional , fo

r example , interferenc e wit

h acrewmember , smoking on a n aircraft) . I

n addition , th e table generall

y reflect s apresumptio n tha t th e allegedviolator

want s t o compl

y wit h th e la w an dt o remed y an y noncomplianc e andtha

t th e allege dviolator , therefore , ha s aconstructiv e attitude . (2 ) Fo r factors b , d , o

r h o f paragraph 4 (tha

t is , inadverten

t andnot deliberat e conduct , attitude , an

dviolatio n history) , th

e FA A doe s no t normall y deviat e fromthe range s liste din th e tabl e solel y basedon th

e inadvertenc e of

the violatio n o

r on th e allege dviolator' s good reputation , pas t

publi c service , violation-fre e history , o r constructiv e attitude . An

y mitigatin g circumstance s ar

e t o b e foun din th e facts an

dcircumstance s o f

the violatio n itsel f (3 ) Applying range s within asanctio n type . I n determinin g where , within eac h range , a sanctio n shouldb e imposed , th e FA A generall y consider s factor s a, c , e , f , g , i , j , k , andmo f peiragrap h 4 (tha t is , natur e o f the violation , level of

experience , degre e o f

hazard , actio n b

y employer o r othe r authority , us e o f

certificate , decisiona

l law , abilit

y t o absor b sanction , consistenc y o f

the sanctio n wit

h simila r cases , correctiv e action) , to the extent the y ar e applicabl e ^ o r relevant . Whe

n determinin g aspecifi c sanctio n amoun t withi n arange , FA

A enforcemen

t personne l begin with.a

n amount, in the middle o f

the rang e andincreas e tha

t amoun t towar dth e

- highe r en dof th e rang e fo r aggravatin g factors o

r decreas e tha

t amoun t towar dthe lowe r endo f th e rang e fo

r mitigating factors . " ' (4 ) Deviating fro

mrange s within asanction type . The FA A migh t impos e sanction s belo w the norma

l range s basedon justifiabl e mitigatio n unde r factors j , 1 , an

dmof paragrap h 4 (that is , th e abilit y t o absor b the sanction , voluntar

y reporting , correctiv e action) . Th e FA A ma y 7- 907/26/0 7 2150.3 8

impose sanction s above th e norma l range s whe n th e followin g circumstances , relatin g t o factor s b , d , e , an dh o f

paragrap h 4 ar e present : th e violatio n i s othe r tha n inadvertent'* , th e violato r ha s aviolatio n history , th e violatio n involve 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 ma y b e exceede dwhe n th e cas e involve s multipl e violations , (Sift; , chapte r

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

Sanction . (l)jGeneral . Th e FA A ordinaril 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

fo r th e sam e offense . Whil e electin g t o impos e on e sanctio n i s no t alega l ba r

t o aconcurren t proceedin g to inipos e another , pursuin g bot h action s -solely fo r punitiv e purpose s usuall y i s no t necessary . Th e FA A take s remedia l an dpunitiv e action s i n th e sam e case , however , whe n warranted . (2 ) Selectin g type s o f

sanctions . Excep t

i n exceptiona l circumstances , th e FA A use s th e typ e ofsanctio n recommende di n th e table . Th e FA A mus t impose an y sanctio n mandate db y statut e (fo r

example , revocatio n unde r 4 9 U.S.C . § § 44106(b) , 44710(b) , an d44726(b ) unles s waive db y th e Administrator) . 6 . Genera l Guidanc e o n Multipl e Act s o r Multipl e Violations . a . Descriptio n o f

Multipl e Violations . Enforcemen t action s ofte n involv e multipl e violations ; multipl e violation s o f asingl e regulation ; asingle violatio n o f multipl e regulations ; o r multipl e violation s o f

multipl e regulations . In addition , unde r 4 9 U.S.C . § 46301(a)(2) , i f a violatio n i s acontinuin g one , eac h day th e violatio n continues , o r eac h flight

fo r whic h th e violatio n wa s committed , constitute s aseparat e offense . b . Genera l Sanctio n Guidance . Multipl e violation s ordinaril y resul t i n hig h sanctio n amounts . Suc h sanctio n amount s ordinaril y ar e no t determine db y simpl y addin g u p th e individua l penaltie s for

multipl e violation s se t

fort h i n th e table , however . Simpl y addin g u p th e individua l penalties fo

r eac h violatio n coul dresul t i n compoundin g asanctio n i n a disproportionatel y harsh manne r for th e conduc t

involved . Conversely , multipl e violation s ma y b e s o seriou s in thei r

consequence s fo

r safety an dth e publi c interes t a s t o requir e apenalt y greate r tha n th e su mo f

th e recommende damoun t o f penalt y provide dfor

i n th e tabl e for

eac h violation . c . Singl e Ac t

o f Noncomplianc e Resultin g i n Multipl e Violations . Whe n asingle instanc e o f

noncomplianc e result s i n multipl 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 A ordinaril y doe s no t compoun dth e sanctio n t o reflec t th e amoun t

o f sanctio n recommende din th e tabl e fo r eac h regulator y violation . I n calculatin g th e amount-e f sanctio n fo

r multipl e violations , FAA enforcemen t personne l conside r

" * When th e violatio n i s on e tha t i s generall y inherentl y deliberat e (e.g. , interferenc e wit h crewmembe r

o r smokin g violations) , facto r

b . i s no t considere di

n determinin g whethe r

th e sanctio n shoul db e abov e th e rang e i n th e table . Th e range s i

n th e tabl e fo

r suc h violation s alread y hav e take n int o consideratio n th e inherentl y deliberat e natur e o f th e violation . 7-1 0

### 07/26/0 7 2150.3 8

th e totalit y o f circumstance s relatin g to th e multipl e violations , includin g the allege dviolator' s degree of culpability , an

dwhethe r the allege dviolator

ha dtake n steps , although unsuccessful , t o preven t th e violations . d . Typ e o

f Legal Enforcemen t

Action . Wher

e thi s guidanc e designate s the typ e of lega l enforcemen

t actio n fo r asingl e violation , the FA

A ordinarily select s th e sam e typ e of sanctio n fo r multiple violation s of

asimila r nature . Th

e seriousnes s of

multipl e violations , however , ma y requir e changing wha

t i s normall y acivi l penalt

y actio n t o acertificat

e actio n or , sometimes , a punitiv e certificat

e suspensio n t

o aremedia

l revocatio n action , 7 . Specia l Consideration s fo r

Numerou s Multipl e Violation s Resultin g Fro man Initia l Act o r Omission . T o determin e penaltie s fo r numerou s multipl e violation s tha t result fro ma n initia l act o r omission , th

e FA A applie s the specia

l consideration s an

dguidanc e i n chapte

r 7 , subparagraph s 7.a . through e . Thes e case s involv e suc h ahigh numbe

r o f multipl e violation s tha

t i f FA A enforcemen

t persoxme l wer e simpl y t o ad dthe recommendedamount s of penalt y fo r eac h flight o r da y tha t constitute s aseparat

e violation , th e resultin g sanctio n amoun t coul db e disproportionately hars h fo r the misconduct

involved , i

n a n averag e case . a . Determinin g Propose dPenalty . T o determine a n appropriat

e civi l penalt

y in acas e involving numerou s multipl e violation s resultin g fro ma n initia l ac t o r omissio n (fo

r example , a

n aircraf t operatedon adozen or

mor e flights afte

r bein g improperl

y returne dt o service) , FA

A enforcemen

t personnel : (1 ) Identif y each initia

l ac t or omissio n tha

t cause dor resulte din the multipl e violation s (fo r example , imprope

r maintenanc e plu s imprope r retu mto service ; failur

e t o maintain aqualit

y confrol system) . (2 ) Consult

th e tabl e i n Appendix B an

dth e genera

l guidanc e in chapte

r 7 , paragraph 4 , on aggravatin g an

dmitigatin g factors t

o determine the amoun

t o f penalt y appropriat

e fo r eac h initia l act o r omissio n tha

t cause dor resulte di n the multipl e violation s (fo r example , in airworthines s cases , apenalt y fo r the ac t of imprope r maintenanc e or

inspection ; in manufacturing cases , apenalt y fo r the ac t o f failing t o maintain aqualit

y contro l system) . (3 ) Determine the amoun

t o f penalt y fo r the numerou s multipl e violation s by applying the guidanc e i

n chapte r 7 , subparagraph s 7.b . through d . O f particula r importanc e in determinin g a n appropriat

e sanctio n fo

r numerou s multipl e violation s i s the degre e o f th e allege dviolator' s culpabilit y fo r the multipl e violations , A lowe r degree of culpabilit y i s presen

t whe n the allege d violator neithe r kne w no r wa s likel y t o discove r the continuin g violations . Fo r example , onc e imprope r maintenanc e wa s don

e ther e wer e no sign s of

i t fromsuch thing s a s discrepancie s reporte dby the crew , an

dn o inspection s tha

t wouldhave ledt

o it s discover

y wer e scheduled . A nlor e significan

t degre e of culpabilit y i s presen

t whe n factors such a s the following are present :

• th e initia l act or omissio n was entere di

n record s tha

t shoul dhav e ledt o immediat e detectio n an

dcorrection ; • the initia

l act or omissio n remainedundetecte dandcontinue dthrough require d inspection s o

r check s designe dto revea

l suc h discrepancies ; 7-1 107/26/0 7 2150.3 8

• th e allege dviolato r

wa s no t followin g maintenanc e o r inspectio n procedure s th e FA A ha dapprove do r

accepted ; • th e leve l o f

th e allege dviolator' s organizatio n tha t was awar e of

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

implemente dpolicie s that contribute dt o th e violations) , althoug h a n allege dviolator' s culpabilit y doe s not 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 dwillfia

l violation s connot e th e highes t degre e o f

culpability , (4 ) Ad dth e penaltie s arrive dat for th e initia l violatio n to th e penalt y for th e multipl e violations . b . Limitation s o n Tota l Civi l Penalt y Amount s fo r Numerou s Multipl e Violations . (1 ) I n an averag 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 n th e range s provide din eithe r Figur e 7- 1 o r

7-2 . Th e grou p classification s ar e define di n part I o f Appendi x B . (2 ) Th e termisolate di n Figure s 7- 1 an d7- 2 typicall y describe s asingle instanc e o f a n employee' s failur e t o follo w astatutor y o r regulator y requirement , contrary t o th e company' s ow n practic e o r

procedure . A cas e may involv e anumbe r o f isolate dan dunrelate dviolations . Eac h grou p o f

th e multipl e violation s resultin g fro meac h isolate dviolatio n ordinaril y i s subjec t t o th e isolated , inadverten t range s i n Figure s 7- 1 o r

7-2 . (3 ) Inadverten t

failure s ar e considere d.systemi c i f the y ar e repetitiv e o r

otherwis e demonstrat e a

n underlyin g deficienc y i n th 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 in chapte r 7 , paragrap h 4 . ar e considere dt o determin e a n appropriat e civi l penalt y withi n th e applicabl e rang e i n Figur 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

n evaluatio n o f

th e seriousness o f

th e potential hazar dcause db y th e violatio n an 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

### 07/26/0 7 2150.3 8

Figur e 7-i . 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 1

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 II o r

Part 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 IV

$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 , Manufacturers * Typ e of Violation s Inadvertent , Isolate d Violation s Inadvertent , Systemi c Violation s Ai

r Agency Larg e Busines s $150,000

- $300,00 0 $250,000

- $400,00 0 Ai

r 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 Smal l Busines s $100,000

- $300,00 0 $200,000

- $400,00 0 Manufacturing

Larg e Busines s $200,000

- $400,00 0 $300,000

- $500,00 0 Manufacturing

Smal l Busines s $100,000

- $300,000 $200,000

- $400,000 Indivi d

$50,0 < $100. ( $75, 0 $150 ,

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

tha n th e ranges . I t

ma y b e appropriat e t o selec t acivi l penalt y amoun t belo w th e range s i n Figure 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 n th e ranges . I t

ma y b e appropriat e t o selec t acivi l penalty highe r tha n th e ranges , u p t o th e statutory maximums :

• If th e allege dviolato r

wa s significanti y culpabl e i n permittin g th e initia l ac t o r omission ; • If th e violation s involv e significan t safet y risks; • I f ther e was a

n absenc e o f

correctiv e actio n b y th e allege dviolato r ove r a n extende d perio do f time ; • Where it

i s necessary t o provid e an economi c disincentiv e fo r regulatory noncompliance ; or . • I f th e allege dviolato r

ha s apoo r

complianc e dispositio n o r history . d . Intentiona l Violations . Whe n ther e i s substantia l an dreliabl e evidenc e that 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 n an dallowe dthe mt o 7-1 307/26/0 7 2150.3 8

occur , th e range s se t

fort h i n Figure s 7- 1 an d7- 2 d o no t apply . Fo r

example , operatio n o f

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

t o r flight wa s no t i n complianc e with statutory o r

regulator y requirements , ye t deliberatel y operate di t

anyway , i s mos t

serious , an dapart fromcivi l penalties , require s consideratio n o f remedia l certificat e action . Fo r multipl e violation s i n thes e circumstances , an y civi l penaltie s sough t ma y b e u p t o th e statutory maximu m penalt y fo

r eac h violation , regardles s o f th e numbe r

o f violations . e . Civi l Complaints . Th e guidanc e i n chapte r 7 , paragrap h 7 doe s not

limi t th e amotmt

o f civi l penaltie s tha t

ma y b e sough t

i n acivi l complain t

filedi n U.S . distric t

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

Sanction . Excep t

whe n th e FA A exercise s it s prosecutoria l discretio n t o settl e a n enforcemen t

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

revokin g a certificat e t o provid e for

acivi l penalty . Th e FA A als o generall y doe s no t modif y order s assessin g acivi l penalt y t o provid e for acertificat e action . Th e FA A modifie s th e typ e o f sanctio n onl y i n thos e case s involvin g extraordinar y circumstance s (beyondth e norma l aggravatin g o r

mitigatin g factor s an delement s liste di n chapte r 7 , paragrap h 4) . Ne w fact s discovere dafte

r th e origina l orde r

ha s bee n issue dmay 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 dfact s rais e ne w issues , suc h a s th e allege dviolator' s qualification s t o hol dacertificate , o r

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

o f Sanction . Th e FA A doe s not appl y th e factor s liste di n chapte r 7 , paragrap h 4 . i n amanne r

tha t woul ddoubl e thei r

effect . Onc e th e FA A ha s fairl y considere dth e relevan t mitigatin g an daggravatin g circumstances , i t generall y doe s not

modif y th e amoun t

ofsanction . Th e FA A modifie s th e amoun t o f sanctio n normall y onl y whe n ne w informatio n indicates th e factor s o r elements wer e not

fairl y applied , o r

whe n othe r

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

time s specia l situation s aris e tha t dictat e th e nee dfor mor e effectiv e enforcemen t actio n throug h increase dsanction s o r othe r measure s in a particula r regulate dare ao r

segmen t o f industry . Whe n thes e circumstance s arise , th e FA A ma y se t u p aspecia l emphasi s enforcemen t program , designe dt o focu s o n aparticular are ao f noncomplianc e o n anationa l o r local geographica l basis , 10 . Smal l Entities . a . General . (1 ) Unde r

th e Smal l Busines s Regulatory Enforcemen t Fairnes s Ac t

o f 199 6 (SBREFA) , th e FA A i 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 fo

r statutory o r

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

th e law , suc h apolic y i s t o contai n certai n conditions . Thos e suggeste db y Congres s are : requirin g th e smal l entity t o correc t th e violatio n withi n areasonabl e correctio n period ; limitin g th e applicabilit y t o violation s discovere dthroug h participatio n i n acomplianc e 

### 7-1 4

### 07/26/0 7 2150.3 8

assistanc e o

r audit progra moperatedo

r supporte db

y th e agency ; excludin g small entitie s tha t hav e bee n subject t o multipl e enforcemen

t action s b y the agency ; excludin g violation s involving willfu l o r crimina l conduct ; excludin g violation s tha t pos e seriou s health , safet

y o r environmenta

l threats ; an

drequiring agoo dfait

h effor t t o compl y wit h the law . The SBREF

A als o provide s tha

t unde r appropriat e circumstances , the FA

A ma y conside r abilit y t o pa y i n determining th

e penalt y t o asses s asmal l entity . (2 ) Congres s intendedtha

t agencie s hav e th e discretio n t o develop the limit s of

thei r enforcemen

t policie s fo

r smal l entitie s andthe specifi c circumstance s unde r whic h penalt

y reduction s o

r waiver s wouldbe granted . Becaus e the statut e require s a

n agency , subject

t o the requirement s an

dlimitation s of

othe r statutes , t o plac e condition s or

exclusion s on it s enforcemen

t policy unde

r SBREFA , i

t doe s not appea r Congres s intende dagencie s to reduc e or waive penaltie s solel

y becaus e a

n allege dviolator

i s asmall entity . Rather

j th e statute contemplate s tha

t certai n criteri ab e me

t befor e a n agency reduce s o

r waive s apenalt

y agains t a small entity . Although the SBREF A impose s arequiremen

t o n agencie s t

o establis h penalt

y reductio n an

dwaive r program s fo

r small entities . Congres s recognize dtha t som e agencie s alread y hav e forma

l or informa l policie s or

program s tha

t wouldmee

t thi s requirement , b . FAA' s Polic y unde r

th e SBREFA . (1 ) The FAA' s complianc e andenforcemen t progra minclude s severa

l policie s tha

t mee t the requirement s of

, an dar e consistent

wit h the inten t of , SBREFA , Taken together , thes e policie s constitut

e th e FAA' s polic y mandate dby SBREFA , (2 ) Unde r the FAA' s complianc e an

denforcemen

t program , fo

r example , FA

A investigativ e personnel hav e the discretio n t o addres s allege dviolation s b y an y person , includin g small entities , wit h lesse r enforcemen

t actio n tha n acivi l penalty , tha

t is , administrativ e action , providedth e criteri ai n chapte r 5 ar e met . Ther

e ar e tw o forms of administrativ e action : awarnin g notic e an

dalette r o f correction . A warnin g notic e bring s to th e attentio n of

the regulate dperson or

entit y th e facts an dcircumstance s tha

t indicat e tha t a violatio n ha s occurred , identifie s the regulator y provisio n a

t issue , andrequest s futur

e compliance , A lette

r of correctio n i s simila

r bu t i s intende dfo

r us e whe n there i s a

n agreemen

t wit h the regulate dpart

y tha t correctiv e actio n acceptabl e to the FA A has , or withi n areasonabl e perio dwill be , taken . Administrativ e action s are les s onerou s tha n awaive r o f penalt y in tha t they neithe

r carr y asanctio n nor

resuh i n afinding of

violation , (3 ) Unde r the agency' s voluntar

y disclosur

e reportin g program , the FA A take s administrativ e actio n instea do f civi l penalt

y actio n agains t

mos t regulate dentities , including small entitie s tha

t voluntaril y repor t certain apparen

t ^violations t

o the FAA , complet

e correctiv e actio n satisfactor

y t o th e FA A to preven

t their recurrence , an

dmee t certai n othe

r criteria . (4 ) Th e FAA' s sanctio n policie s hav e historically providedfo r reduction s of

civi l penaltie s i n appropriat

e case s base don the mitigatin g factors listedin chapte r 7 , subparagraph 4, , which include abilit

y t o pa y an dwhethe r apenalt y wouldpreven

t the entit y fro mcontinuing , iii business . 7-1 507/26/0 7 2150.3 8 (5 ) Fo r ai r carrier s an dcommercia l operators , th e FA A als o take s compan y siz e int o consideratio n i n determinin g th e appropriat e amoun t o f civi l penalty . Th e sanctio n range s i n Par t I . Definition s an dAbbreviation s o f th e tabl e for

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 h entitie s a s a mean s o f providin g arelativel y equivalen t deterren t for th e sam e violatio n agains t eac h ai r carrie r an dcommercia l operator . Whil e th e FA A ha s no t specifie dsuc h sanctio n range s fo r othe r certificat e holdin g entities , it 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 n for

repai r stations , manufacturers , airports , ain dothe r entitie s holdin g certificates . (6 ) Althoug h th e FA A doe s no t reduc e o r

waiv e th e penalt y o f

an allege dviolato r

solel y becaus e it i s asmal l entity , th e FA A appropriatel y reduce s acivi l penalty , o r elect s t o tak e administrativ e actio n rathe r tha n lega l enforcemen t

action , agains t

asmal l entit y i f

ajppropriat

e unde r th e policie s describe di n chapte r 7 , subparagraph s 10 . b.(l)-(5) . - c . Th e Smal l Busines s Ombudsman . (1 ) Th e Smal l Busines s an dAgricultiu- e Regulator y Enforcemen t Ombudsma n an d1 0 Regiona l Fairnes s Board s wer e establishe dt o receiv e comment s fromsmal l businesse s abou t federa l agenc y enforcemen t actions . Th e Ombudsma n annuall y evaluate s th e enforcemen t activitie s an drate s eac h agency' s responsivenes s t o smal l business . (2 ) Eac h FA A employe e wh o conduct s a n inspectio n o f asmal l busines s concern tha t i s regulate db y th e FA A provide s th e smal l busines s concern wit h an informatio n sheet . Th e informatio n shee t

inform s tha t

entit y tha t

it may submi t

complaint s o r

comment s regardin g unfai r FA A regulatory enforcemen t t o th e Nationa l Ombudsman , Th e informatio n shee t contain s th e followin g language : Our objectiv e i s t o ensur e afair regulator y enforcemen t

environment . I f

yo u fee l tha

t yo u hav e bee n treate dunfairl y o r unprofessionally , yo u ma y contac t th e FA A b y callin g th e FAA' s Offic e o f

Rulemakin g a t

(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 n Administration , 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 right t o contac t

th e Smal l Busines s Administration' s Nationa l Ombudsma n a t 1

- 888

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

th e FAA . Th e FA A strictl y forbid s retaliatory 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

concern s abou t

th e FAA' s complianc e an denforcemen t activities . 11 . Remedia l Sanctio n Guidanc e Policy . a . General . (1 ) Th e FA A statut 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

### 07/26/0 7 2150.3 8

airma n certificates , typ e certificates , productio n certificates , airworthines s certificates , ai r carrie r operating certificates , airpor t operatin g certificates , ai

r agency certificates , an

dair navigatio n facilit y certificates . 4 9 U.S.C . § 44702(a) . Fo r mos t of thes e certificates , th e statute require s the Administrato

r t o investigat

e an dmak e appropriat

e findings regardin g qualification s t o hol dth e certificat e appliedfo

r befor e the certificat

e i s issued . Fo

r example , the Administrator i s require d t o investigat

e an dmak e findings tha

t person s applyin g fo

r airma n certificate s ar

e qualifie dto holdthos e certificates ; tha

t aircraf t an daircraf t engin e part s ar

e properl y designe dand manufactiied , perfor

mproperly , andWe t

the regulatidfi s andminimu mstandard s prescribe d befor e issuing atyp e certificate , an ds o forth , 4 9 U.S,C , § § 44702-44706 , Onc e th e Administrato

r finds the applican

t i s qualifiedfo

r the certificat

e applie dfor, the Administrator i s requiredt o issue th e certificat

e i n question , (2 ) Becaus e th e Administrator' s responsibilit y t o promot

e safet y i n ai r conunerc e an

dair transportatio n i s constant , the Administrator must als o tak e appropriat

e actio n when th e Administrato

r finds, or ha s reaso n t

o believe , the certificat

e holde r no longe r possesse s the qualification s require dt

o holdacertificate . Thus , the statute provide s tha t th e Administrator "ma y reinspec t

a t an y time acivi l aircraft , aircraf t engine , propeller , appliance , air navigatio n facility , or ai r agency o r reexamine a

n airma n holdin g acertificat

e issuedunde

r sectio n 4470 3 of thi s title," an

dtha t th e Administrator

"ma y issu e a n orde r amending , modifying , suspendin g or revoking ,. . an

y par t o f acertificat

e issuedunde

r [chapte r 44 7 of th e statute ] if.. . th e Administrato

r decide s afte

r conducting areinspection , reexamination , o r othe r investigatio n tha

t safet y i n ai r commerc e or

ai r transportatio n require s tha

t action, " 4 9 U.S,C , § § 44709(a) an d(b ) (1)(A) , (3 ) Revocatio n i s the appropriat e remed y fo r conduc t tha t demonstrate s tha

t acertificat

e holde r lack s eithe

r the technica

l proficiency or

th e degre e of

care , judgment , andresponsibility , require dfo

r the certificat

e an drating s held . Th e proper

standar dfo r revocatio n i s no t

whethe r specific violation s demonstrat e afailur e to exercis e th e necessar

y qualification s o f

acertificat

e holder , bu t rathe r whethe r the violation s demonstrat

e tha t the holde r ha s neve r possesse dor

n o longe r possesse s such qualifications . Similarly , suspensio n unti l demonstratio n o f qualificatio n i s appropriat

e whe n th e agency ha s reaso n t o believ e th e certificat e holde r ma y lack th e require d competenc e t

o holdacertificat

e an dgenerally whe

n the certificat

e holder fail s or refuse s t o b e reexamined . I

n eithe r case , using th e factors normally applie dto selec t asanctio n in punitiv e suspensio n case s i s neithe

r require dno

r appropriate , b . Misconduc t

Generall y Warrantin g Revocation . (1 ) Th e FA A ha s concludedtha

t b y thei r nature , som

e act s of misconduc t

ar e s o egregiou s a s t

o demonstrat

e th e certificat e holde r neve r possesse dor

n o longe r possesse s the qualification s require dt

o holdan y airma n certificat e an dothe r certificates . Therefore , suc h act s of misconduct

warran t revocation o f

all airma n certificate s an

dothe r certificate s hel db y the certificat e holder . Suc

h act s include : making afraudulen t o r intentionally fals e statement ; operatin g a

n aircraf t whil e unde

r the influenc e o f

alcoho l o r drugs , or wit h a n alcoho l concentratio n o

f .0 4 percen t o r above , or within 8 hour s of

consuming alcohol , i n violatio n of 1 4 C.F.R . § 91.17(a) ; operating acivi l aircraf t witiiin the Unite dState s wit h knowledg e tha

t narcoti c drugs , marijuana , an ddepressan

t o r stimulan t drug s or substance s a s define din federa l 7-1 7QiTllQIO l 2150.3 8

o r stat e statute s ar e carrie di n th e aircraft , in violatio n o 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 n for th e violatio n o f

any federal o r

stat e statut e relatin g t o th e growing , processing , manufacture , sale , disposition , possession , transportation , o r importatio n o 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 n aircraft , th e exercis e o f th e privilege s o f

th e allege dviolator' s airma n certificat e t o further th e prohibite dconduct , o r mor e than on e dru g convictio n o f an y kin dwithi n th 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 ease 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 h asanctio n othe r

tha n revocatio n i s warranted . Becaus e o f th e seriou s implication s fo r aviatio n safet

y raise db y thes e cases , however , FA A legal counse l coordinate s an y decisio n t o seek^ asanctio n othe r than revocatio n with th e Assistan t Chie f Counse l fo

r Enforcement.

- In addition , legal counse l document s th e basi s for tha t decisio n i n th e cas e file. ,,, ,

i . ' . • • • . ••.,• • ;•••'- -

c . Intentionall y Fals e o r Fraudulen t

Statements . (1 ) I n general , th e FA A consider s th e makin g o f intentionall y fals e o r

fraudulen t statement s s o seriou s a

n offens e that

i t result s i n revocatio n o 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) , ajf' d \82 1 F.2 d6 3 (1s t Cir . 1987 ) (violatio n o f

1 4 C.F.R . § 67.20(a)) . Falsificatio n ha s aseriou s effec t o n th e integrity o f

th e record s o n whic h th 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 n safet y i s compromised . I (2 ) Th e FA A ha s handle ddifferentl y on e are ao f intentiona l falsificatio n - omittin g <; ; informatio n relate dt o alcohol

- o r drug-relate dconvictions , an dothe r similar convictions , from 5 v__ J application s fo r airma n medica l certification . InFAAOrde r 2150.3A , Compliancean d d^11/ 0 Enforcemen t ( C & E ) Bulleti n No . 90-2 , issue do n February 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 , I I an dsuspendin g any airma n o r groun dinstructo r

certificate s for

6 0 day s whe n th e falsificatio n p : involve domittin g fro mth e applicatio n fo r medica l certificatio n informatio n o n asingl e drivin g j whil e intoxicate do r drivin g unde r

th e influenc e (DUI ) conviction ; revokin g an y curren t medica l certificat e an dsuspendin g an y airma n o r groun dinstructo r

certificate s fo

r 18 0 day s whe n th e I falsificatio n involve domittin g informatio n o n asingle dru g convictio n fo r simpl e possessio n I s fromth e applicatio n for medica l certification ; an drevokin g an y curren t medica l an dan y airman * ; o r

groun dinstructo r

certificate s whe n th e falsificatio n involve domittin g informatio n o n more \\tha n on e DU I conviction , o r aconvictio n fo

r mor e tha n simpl e possession , o r mor e than tw o dru g r ' conviction s o f any type . I : (3 ) Th e FAA ha s reevaluate dth e sanctio n guidanc e containe di n C & E Bulleti n

^ A dru g convictio n withi n th e scop e o f 1 4 C.F.R . § § 61.15(a) , 63.12(a) , o r 65.12(a ) that

doe s no t involv e th e us e o f a n aircraf t o r th e exercis e o f

th e privilege s o f

th e allege dviolator' s certificat e als o ca n warran t revocatio n i

n som e circumstances. Revocatio n i s appropriat e wher e th e totality o f th e circumstance s underlyin g th e convictio n indicate s tha t th e allege dviolato r

lack s th e judgment , responsibility , an dcomplianc e attitud e require do f a n airman . Thi s determinatio n mus t

b e made o n acase-by-cas e basis . 7-1 8

### 07/26/0 7 2150.3 8

No , 90-2 , an

dha s conclude dtha

t the sanctio n guidanc e fo

r fraudulen t o r intentiona l falsification shouldb e the sam

e regardles s o f

the typ e of

cas e involved . The FA

A ha s determine dtha

t falsification i

n th e case s describe di

n C & E Bulleti n No , 90- 2 ha s th e sam e potentially advers e consequence s fo

r aviatio n safet

y a s doe s falsification o f

an y othe r record . I n essence , aperson wh o fraudulentl

y or intentionally falsifie s thes e record s demonstrate s the sam e lac k o f care , judgment , an

dresponsibilit

y a s aperso n wh

o falsifie s an

y othe r aviatio n safety-relate drecords . To correct the anomal

y create db

y C «f e E Bulleti n No , 90-2 , the FA A rescind s th e sanctio n guidanc e regarding intentionally fals e or fraudulen t statement s i

n tha t bulleti n andwithdraw s the Notic e o f Enforcemen

t Policy foun

da t 5 4 Fed . Reg . 1514

4 (1989) , 12 . Genera l Guidance for

Usin g th e Sanctio n Guidance 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 a t Appendix B , par

t III , Q,(2)-(6 ) provide s the suggeste dsanctio n range s fo r asingl e ac t

of unrul y conduct by apassenge

r subject to th e maximu mcivi l penalt

y of $25,00 0 ($27,50 0 fo

r violation s afte

r Jun e 15,2006 ) unde

r 4 9 U,S,C , § 46318 . Se

e als o Cre w Interferenc e (Unrul

y Passengers) , chapte

r 4 , paragraph 14 . The

y provide genera

l guidanc e onl

y abou t ho w t o appl y the agency' s civi l penalt

y authorit y unde r 4 9 U.S.C . § 46318 . The sanctio n guidanc e table s do not

supplan t th e agency' s judgment

or it s prosecutoria

l discretio n in evaluatin g aparticula

r cas e fo r enforcemen

t action . (2 ) Whethe

r aparticula

r passenger' s unruly act

warrant s asanctio n within or outside the sanctio n range , or

i n the exercis e o f

prosecutoria

l discretio n adecisio n not

t o procee dwit

h enforcemen

t actio n depend s o n th e totalit y o f th e circumstance s i n aparticula r case . Wher

e th e mitigatin g an

daggravatin g factors describe di n chapte r 7 , paragraph 4 ar

e als o presen

t i n a 4 9 U,S,C , § 4631 8 case , FA A enforcemen

t personnel applying the sanctio n range s a t Appendix B , Figur e B-3- p conside

r thos e factors i

n selectin g a

n appropriat

e sanctio n within or

outside the range . The variet

y of conduc t subject t o 4 9 U.S.C . § 4631 8 an

dthe varie dfacts an

d circumstance s withi n whic h unrul y conduc t ma y occur , ma

y als o warrant

consideratio n o f

othe r mitigatin g andaggravatin g factors unique to unrul y passenge

r conduct . Som

e o f thes e additiona

l factors ar e se t fort h i n chapte r 7 , subparagraph s I2.b . an

dc , b . Additiona l Aggravatin g Factor s t o Consider . In additio n to th e factor s describe di n chapte r 7 , paragraph 4 , FA

A enforcemen

t personnel conside

r othe r potentiall y aggravatin g factors i n chapte r 7 , subparagraph s 12,b,(l)-(7 ) in di e selectio n of a n appropriat

e sanctio n withi n o r outside the sanctio n range , (1 ) Th e severit y of th e unrul y conduct . Th

e severit y of the conduc t

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

• Th e physica l characteristic s of

the individua

l committin g th e unrul

y conduc t contraste dwit

h thos e of th e victim , • Th e natur e o f the conduct

itsel f • Th e exten t o f an y injur y inflicted , 7-1 9^ Q1I2QI0 1 2150.3 8 (2 ) Whethe r

th e unrul y conduc t

occurre dwhe n th e aircraf t wa s i n flight

o r whil e passenger s were boardin g o r deplaning . Certai n unrul y conduc t tha t occur s durin g flight

o r o n a crowde dboarde dflight

ma y b e mor e aggravatin g tha n th e sam e conduc t that 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 safet y dutie s t o performo h aflight, unrul y conduc t agains t acrewmembe r ma y b e more aggravatin g tha n th e sam e unrul y conduc t directe da t

an individua l wh o doe s no t hav e any safet

y dutie s t o perfor mo n th e flight. (4 ) Whethe r

th e unrul y passenge r

provoke dth e situatio n tha t resulte di n th e unrul y "conduct . For

instance , apassenge r

wh o instigate s aconfrontation , o r apassenge r

wh o mixe s alcohoTwit h prescribe do r over-the-counte r

drug s tha t

th e passenge r

claim s precipitate dth e uruail 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 n arrival . (7 ) Whethe r

th e unrul y conduc t

wa s inflicte dwith malic e o r i n anger . c . Additiona l Mitigatin g Factor s t o Consider . Th e factor s liste di n chapte r 7 , subparagraph s 12.c . (l)-(3 ) ma y justif y asanctio n belo w th e sanctio n range , o r i n th e agency' s prosecutoria l discretion , ma y justif y adecisio n no 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 n i n th e contex t o f acrimina l prosecutio n for 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 n for

whic h th e passenge r

was receivin g medica l treatment . (3 ) Whethe r

th e unrul y conduc t

wa s areasonabl e respons e t o aprovocatio n b y another . However , apassenger' s us e o f unreasonabl e forc e i n respons e t o aprovocatio n b y anothe r individua l o n th e aircraf

t woul dnot

constitut e amitigatin g factor . d . Whe n t o Appl y th e Sanctio n Rang 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 n Boar dth e Aircraft . (1 ) Th e sanctio n rang e at Appendi x B , part

III.Q.(6 ) fo

r an ac t that pose s a n imminen t threa t t o safet y o f aircraf t o r othe r individual s o n th e aircraf t applie s whe n ther e i s a

n imminent threa t to th e safet

y o f th e aircraf

t o r t o th e collectiv e safet

y o f other s o n boar dth e aircraft . Fo r example , apassenge r

attemptin g t o ope n an emergenc y exi t doo r woul db e an imminen t

threat t o th e safet y o f th e aircraft . I f

th e imminen t

threa t t o safet y i s directe dt o specifi c individual s o n th e 

### 7-2 0

### 07/26/0 7 2150.38 "

aircraft , the

n the sanctio n rang e fo

r physica l assau U o r threatene dphysica

l a t Appendix B , par

t III.Q . (2)-(5 ) applies . (2 ) I n selectin g a

n appropriat

e sanctio n within o

r outside th e sanctio n rang e fo r a n act posin g a n imminen t safet y threat , FA

A enforcemen

t personnel conside

r whethe r the resultan

t imminent threa t wa s the unintende dconsequenc e of th e passenger' s careles s o

r reckles s act

o r whether th e passenge r intende dthe consequences . TheTorme r wouldjustif

y asanctio n towar

d the lo w en do f the range , whil e the latte

r wouldjustif

y asanctio n towar

dthe maximu

mrange . e . Applicabl e Sanctio n Range s for Security Officer s o r

Other s Assigne daLa

w Enforcemen t

Functio n on aFligh t

(fo r example , Federa l Ai r

Marsha b Assigne dt o th e Flight) . FA

A enforcemen

t personne l appl

y the sanctio n rang e applicabl e to physica l assauh s o r threatene dphysica

l assault s on crewmember s (Appendix B , par t III.Q . (2 ) an

d(4)) . f . Applyin g Unrul y Passenge r Sanctio n Guidanc e Table s t o Multipl e Acts . Whe n applying th e tabl e to multipl e act s b y a n unrul y passenger , FA

A enforcemen

t personnel conside r not onl y th e individua

l unruly act s committed , but als o the collectiv e consequence s of al l th e unrul

y behavior . FA

A enforcemen

t persorme l d o not approach the sanctio n determinatio n fo r multipl e act s a s amechanica l exercis e of

multiplyin g the numbe

r of separat e act s o f unrul y behavio r by asanctio n amoun

t in the rang e fo

r asingl e act . Instead , the

y us e the guidanc e i

n the tabl e an dexercis e their

judgment a s to th e seriousnes s o f

the conduct , give

n the totalit

y o f circumstances , t

o determin e a

n appropriat

e sanctio n amoun

t tha t wil l dete r futur e violation s b

y th e imrul y passenge

r an dother s similarly situated .

7-2 1

### 10/01/0 7 2150.3 8

Fig . B-3-n . Miscellaneou s Civi l Penalt y Certificat e Actio n (I ) Allowin g unauthorize dmanipulatio n o f control s b y uncertificate dindividua l attemptin g t o se t recor dunde r 4 9 U.S.C . § 44724(a ) Mandator y Revocatio n (2 ) Carriag e o f

illegal drug s (controlle dsubstances ) o n aircraf t Revocatio n (3 ) Conductin g operatio n withou t require doperatin g certificat e 60-t o 120

- day Suspensio n (4 ) Misus e o f

an airport-approve didentificatio n mediu m Moderat e t o Maximu m (5 ) Makin g a

n incorrec t

statemen t

o n an applicatio n for

amedica l certificat e Indefinit e Suspensio n (pendin g correctio n o f applicatio n an d determinatio n o f qualification ) o r Revocatio n o f medica l certificat e (6 ) Refusal t o produc e pilo t certificate , lo g o r

record s 30-da y Suspension , an dunti l produce dt o Revocatio n Fig . B-3-0 . Operation s a t Airport s Requirin g Slot s (1 ) Operatio n withou t

areservatio n fro mAT C (2 ) Operatio n wit

h areservatio n fromATC , bu t at th e wron g time Civi l Penalt y Minimu mt o Moderat e Minimu mt o Moderat e Certificat e Actio n
Fig . B-3-p . Unrul y passenger s (1 ) Interferenc e with crewmembe r (1 4 C.F.R . 91.11 , 121.580 , 125.328 , 135.120 ) (2 ) Physica l assaul t

o f fligh t o r cabi n crewmembe r under4 9 U.S.C . §4631 8 (3 ) Physica l assaul t

o f individua l othe r

tha n acrewmembe r unde r 4 9 U.S.C . §4631 8 (4 ) Threate n t o physicall y assaul t flight o r cabi n crewmembe r unde r 4 9 U.S.C . §4631 8 (5 ) Threate n t o physicall y assaul t individua l othe r

tha n fligh t o r cabi n crewmembe r

unde r 4 9 U.S.C . § 4631 8 Civi l Penalt y MaxirnUm $1,100-$8,00 0 $50 0 - $5,00 0 $1,100-$5,00 0 $50 0 - $5,00 0 Certificat e 1 Actio n



### 8-2 8 EXHIBI T



# •l £

### 10/01/0 7 2150.3 8

Fig . B-3-p . Unrul y passenger s cont . (6 ) Act s i

n amanne r

tha t pose s imminen t

threa t t o safety o f aircraf t o r othe r individual s o n aircraf

t unde r 4 9 U.S.C . § 4631 8 Civi l Penalt y $5,00 0 - $25,00 0 ($5,00 0 - $27,50 0 for violation s after

6/15/2006 ) Certificat e

Actio n
Fig . B-3-q . Othe r

Violation s b y Passenger s (1 ) Smokin g whil e N o Smokin g sig n i s lighte dJ ' • (2 ) Smokin g i n aircraf

t lavatory :•':: " (3 ) Tamperin g with smok e detecto r unde r 4 9 U.S.C . § 46301(b ) (4 ) Failur e t o faste n sea t bel t whil e sea t

bel t sig n i s lighte d (5 ) Failur e t o occup y a

n approve dsea t

o r berth with asafety belt , and , i f

installed , shoulde r

harnes s properl y secure ddurin g movemen t

o n th e surface , takeoff

, o r landin g (6 ) Operatin g aportabl e electroni c devic e (7 ) Drinkin g alcoholi c beverag e no t serve db y carrie r Civi l Penalt y Maximu m Maximu m $1,80 0 t o $2,20 0 Minimu mt o Moderat e Minimu mt o Moderat e Maximu m Maximu m Certificat e Actio n

4 . DUI/DW I PROGRAM . FALSIFICATIO N O FDRU G CONVICTION S AN D AIRMA N MEDICA L CERTIFICAT E VIOLATION S Fig . B-4-a . Sanction s relate dt o DUI/DW I Progra m (1 ) Intentionall y fajs e o r fraudulen t

entry o n medica l certificat e applicatio n regardin g aDU I convictio n o r administrativ e actio n unde r 1 4 C.F.R . § 67.403(a)(1 ) (2 ) Makin g a

n incorrect

statemen t

o n amedica l certificat e applicatio n regardin g aDU I convictio n o r administrativ e actio n unde r 1 4 C.F.R . § 67.403(c)(1 )

(3 ) Failur e t o repor t

amoto r vehicl e actio n (MVA ) unde r 1 4 C.F.R . §61.15(e ) (4 ) Tw o MVA s arisin g fro mseparat e incident s withi n 3 years , an dreporte dboth unde r 1 4 C.F.R . §61.15(d ) Civi l Penalt y Certificat e Actio n Revocatio n o f al l airma n an dmedica l certificate s Indefinit e Suspensio n (pendin g correctio n o f applicatio n an d determinatio n o f qualification ) o r Revocatio n o f medica l certificat e 15-t o 45-day Suspensio n ofallpart6 1 certificate s 90-t o 120

- da y Suspensio n o f al l par t 6 1 certificate s 

### 8-2 9

# Complain t

Recor do f Telephon e Conversatio n Complainant s nam e pronounced : Ralp h Rundl e Date : 3/26/200 8 Time : 9:23a

m Route : MI

A - SD Q Fligh t date : 12/11/2007 Airline : AAL

A Phas e o f fligh t o f reporte dissue : Passenge r de-planeing . AM RComplain t

# : CSW212008000 2 Complain t

topics : Flight

Attendan t Juli aSasso n wa s attacke db y apassenger . Mr . Rundl e wa s liste da s adea

dheadin g pilo t

who witaesse dth e attack . Fact s relate dt o th e inspecto r durin g th e call : I lef t amessag e wit

h Mr . Rxmdl

e on 3/26/200 8 a

t 8:29am , I aske dhi mt o cal l m e back , Mr . Rimdle calle dm

e bac k andlef t m e amessage . In tha

t messag e explaine dtha

t he didn' t actually witnes s th e attack becaus e h e wa s seate din th e bac k o f th e aircraft . I calle dMr . Rundl e bac k

an daske dhi mt o fill m

e in on the detail s o f

wha t h e sa w tha t day . Mr . Rundl e state dtha t h e doesn' t

kno w fligh

t attendant Sasso n andtha

t h e didn' t see the actua

l attack . H e wa s seate din th e back of the aircraf t andwa s waitin g fo

r the passenger s to deplane . A mal e flight attendan t in th e back

o f th e Airbu s A 3 00 answere d a n interphone call . Afte

r thi s flight

attendan t hung u p the phon e h e informe dMr , Rundl e tha t aflight attendant i n th e fi'ont

of th e aircraf t hadbeen attacke db y apassenger . Mr, Rundl e state dtha

t upo n de-planin g he didn' t

see flight attendan t Sasson , I tol dMr , Rundle tha

t arepor t indicate s h e wa s th e one who notifie dth e loca l authoritie s of

the attack , Mr . Rundl e state dtha t thi s wa s not

true , Mr . Rundl e ha s been employe db y America n Airline s fo

r 2 0 years . H e i s a767 captain . I thanke dCaptai n Rundl e fo r hi s tim e andth e calle dended . Bea u A , Morrow^ Aviatio n Safet

y Inspector( )



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CUTKOM P M E KOWALSK I E P HENDERSO NJ MOJXC AR AZPURU AJ VEENHO F r SASSO N.J

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### u/ s SE Q VEENHO F r BAQUER O L F SANTIAG O V D T E Q FL T ST A 1 1 4 9 236 9 FL L 1 1 X X 236 9 FL L 1 1 4 0 62 7 SJ U 1 1 4 0 62 7 SJ U 1 1 4 0 42 3 MI A 1 1 4 0 42 3 MI A GT R 5.2 7 DA Y COUN T SD Q DE P M

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