## U.S
. DEPARTMEN TO F TRANSPORTATIO N ,.,.- . OFFIC E O F HEARING S - ^ ' ^ ^^''^ FEDERA L AVIATIO N ADMINISTRATIOh^ c^ n! s ^ Q nOC'^'~ T

Federa l Aviatio n Administratio n Complainan t V s AirTra n Airways , Inc
. Responden t FA ADocl<e t No
. CP10SO000 2 Judg e Isaa cD
. Benki n

RESPONDENT' S REQUES TFO R A N EXTENSIO N O F TIM E T O

FIL E ADOCUMEN T AND
. I F GRANTED
. 

# RESPONDENT' S RESPONS E T O TH E COURT' S PREHEARN G

ORDE R O F MA Y 19 . 201 0 AirTra n Ain/vays , in c(Respondent ) hereb yrequest s a n extensio n o ftim e t o fil e it s respons e t o th e Court' s prehearin g orde rofMarc h 12 , 2010 . Responden t wa s unde r th e erroneou s belie ftha t th e hearin g dat e i n thi s matte rwa s t o b e continue d du e t o a conflic t tha t Complainant' s attorne yha d wit h a hearin g before a NTS B Administrativ e LawJudge , whic h wa s resolve d whe n a newattorne yfo rth e Complainan t file d a Notic e o fAppearanc e o n Jun e 1 , 201 0 (se e correspondenc e fro m NTS B AL J Willia m R
. Mullin s whic h i s enclose d a s Attachmen t "A")
. I n accordanc e wit h paragrap h 5 o fth e Court' s Marc h 12 , 201 0 prehearin g order , Respondent' s counsel , o n Jun e 1 , 2010 , requeste d th e concurrenc e o fComplainant' s counse l (Mr
. Rober

t B
. Dixon ) t o Respondent' s reques t fo ra n extensio n oftime
. O n

GSO/LOOi a SWQ * VV d 31?LSS61?20 S XV d 20:^ 1 OLOS/LL/9 0

### Jun e 1 , 201 0 Mr
. Dixo n advise d Responden t tha t h e di d no t objec t an d concurre d wit h

a n extensio n o ftim e t o Jun e 3 , 2010 . I fRespondent' s reques t fo ra n extensio n o ftim e t o fil e it s respons e t o th e Court' s prehearin g orde ro fMa y19 , 201 0 i s grante d b yth e Court , the n Respondent , throug h it s undersigne d counsel , submit s th e followin g respons e t o th e Court s Prehearin g Order :

WITNES S LIS T Responden t intend s t o cal l th e followin g witnes s t o testif ya t th e hearing ; Mr
. Jeffre yMille r Vic e Presiden t o fFligh t Operation s an d FA R Par t 11 9 Directo ro fOperation s AirTra n Ainvays , Inc
. 995 5 AirTra n Blv d Oriando , F L 3282 7 Mr
. Mille rwil l provid e testimon yconcerning :

•th e event s tha t resulte d i n th e reporte d violatio n o f§121.46 7 o fth e Federa l Aviatio n Regulation s i n Jul yo f2008 . •th e complianc e histor yo fResponden t wit h respec t t o §121.46 7 prio rt o an d subsequen t t o th e reporte d violatio n tha t occurre d i n Jul yo f2008 . •Respondent' s complianc e dispositio n an d attitude , bot h generall yan d als o i n respons e t o th e reporte d violatio n o f§121,46 7 i n Jul yo f2008 . •th e natur e o fth e reporte d violatio n o f§121.46 7 tha t occurre d i n Jul yo f 2008 . •th e presenc e o fmitigatin g o raggravatin g factor s associate d wit h th e reporte d violatio n o f§121,46 7 tha t occurre d i n Jul yo f2008 . •Respondent' s correctiv e actio n t o preven t a reoccurrenc e o fth e event s tha t resulte d i n th e reporte d violatio n o f§121.46 7 i n Jul yo f2008 . •Respondent' s financia l performanc e sinc e 2005 .

eSO/SOO ®

SWQ < •VV d StLSeetSO S XV d SO:t LOLOS/LL/9 0

### •Relevan t provision s containe d i n FA AOrde r2150.3 B an d 4 9 U.S
. Cod e

. Chapte r46301 .

EXHIBI TLIS T Responden t intend s t o offe rint o evidenc e th e followin g exhibits :

•Propose d Exhibi t R-1
. 4 9 U.S
. Cod e Chapte r4630 1 •Propose d Exhibi t R-2
. FA AOrder2150.38 , Chapte r7 •Propose d Exhibi t R-3
. Respondent' s P& L Tren d 2005-200 9 Copie s o fth e abov e describe d Exhibit s ar e attache d i n accordanc e wit h th e prehearin g order
. Responden t als o ma yoffe rothe rexhibit s o revidenc e a s appropriat e t o rebu t o r impeac h evidenc e sponsore d b yo rtestimon yprovide d b yComplainant' s witnesse s whic h canno t b e anticipate d a t thi s time
. Respectfull ysubmitte d thi s 3r d da yo fJune , 201 0

Stephe n J
. Kolsk i Florid a Ba rNumbe r0103408 2 Executiv e Vic e Presiden t Corporat e Affair s AirTra n Airways , Inc
. 995 5 AirTra n Blvd , Orlando , F L 3282 7 Phone : (407)318-510 8 FAX : (407 ) 318-510 9 Email ; Steve.Kolski(a)AirTran.co m



## eeo/eooi a SW Q -i

- 

### VV d StLSe6tS0 g XV d SO:t L 0L02/LL/9 0

### FA ADocke t No
. CP10SO000 2 (Civi l Penalt yAction ) CERTIFICAT E O F SERVIC E I hereb ycertif ytha t o n thi s dat e a cop yo fRespondent s reques t fo ra n extensio n o ftim e t o fil e a documen t and , i fgranted , Respondent' s respons e t o th e Court' s Prehearin g Orde ro fMa y19 , 201 0 wa s provide d o n thi s 3" ^ da yo fJune , 201 0 a s follows : ORIGINA L & ON E COP Y(VI AU.S
. MAIL ) TO : Federa l Aviatio n Administratio n 80 0 Independenc e Ave , S.W
. Washington , D C 2059 1 Attention : Hearin g Docke t Clerk , AGC-43 0

Wilbu rWrigh t Buildin g - Suit e 2W100 0 ON E COP Y(VI AFA X AN D U.S
. MAIL ) TO : Rober t B
. Dixon , Attorne y Complainant' s Counse l Offic e o fth e Regiona l Counsel , ASO- 7 Souther n Regio n Federa l Aviatio n Administratio n P.O
. Bo x2063 6 Atlanta , G A3032 0 TEL : 494-305-520 0 FA X 404-305-522 3 Robert.B
. Dixon@faa,go v ON E COP Y(VI AFA X AN D U.S
. MAIL ) TO : Th e Honorabl e Isaa cD
. Benkin , Administrativ e La wJudg e Offic e o fHearings , M-2 0 U.S
. Departmen t o fTransportatio n 120 0 Ne wJerse yAvenue , S E Eas t Buildin g Groun d Floor , Roo m El2-32 0 Washington , D.C
. 2059 0 TEL : At1:orne y202-366-213 9 Lega l Assistan t 202-366-213 2 FAX : 202-366-753 6
Stephe n J
. K o Jun e 3^^201 0 

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# ArTTAOVHEto J A Offic e o fAdministrativ e La wJudge s NTS B Circui t 3 - Judg e Geraght y NTS B Circui t 4 - Judg e Mullin s Judges ' Assistan t -Ann e Smit h ^^j vBO«^

62 4 Si xRag s Drive , Suit e 15 0

Arlington , Texa s 7601 1 Phone : (817 ) 652-786 0 FAX : (817 ) 652,786 8 

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## eeo/soo ®sw a < • vv d stiseetso s xv d 3o:t? L OLOS/LL/9 0

### MAY-24-201 0 09:4 4 FROM : 817552786 8 70:91407316390 1 P.5^ 3

^ 

### SERVE D MA Y5 , 201 0 UNITE D STATE S O F AMERIC A NATIONA L TRANSPORTATIO N SAFET YBOAR D OFFIC E O F ADMINISTRATIV E LA WJUDCE S


### J
. I^NDOLP H BABBIT T Actin g Administrato r Federa l Aviatio n Administration , Complainant ,
* Docke t No. : SE-1881 8 WILLIA M F
. KOCH , * JUDG E MULLIN S Respondent
. * SERVICE : B YFA X & REGULA R MAI L RASHAW N GEORGE , ESQ
. FAA/SOUTHER N REGIO N P.O
. BOX2063 6 ATLANTA
. G A3032 0 KATHLEE N YODICE , ESQ
. YODIC E ASSOCIATE S 60 1 PENNSYLVANI AAVE
. N W SUIT E 875 , SOUT H BLDG
. WASHINGTON , D C 2000 4

ORDE R DENYIN G REQUES TFO R CONTINUANC E Th e Administrato rha s requeste d a continuanc e o fth e Hearin g dat e no wse t fo rJun e 16 , 2010 , I n St
. Paul , MN
. Th e undersigne d ha s tw o othe rhearing s schedule d i n St
. Paul , M N tha t week
.

Counse l fo rResponden t ha s objecte d t o thi s request . Administrator' s Counse l ha s stated , a s ground s fo rth e continuance , a conflic t wit h anothe rhearin g schedule d o n Jun e 15 , 2010 , wit h Judg e Isaa cD
. Benkin , AL J wit h th e Departmen t o fTransportation , i n Orlando , FL
. Becaus e o fth e othe rsetting s i n St
. Paul , MN , tha t wee k an d i n th e interes t o fjudicia l economy , th e undersigne d spok e b ytelephon e wit h Judg e Benki n o n Ma y4 , 2010 , an d h e graciousl yagree d t o continu e hi s matte rwhic h wa s th e onl yhearin g h e ha d i n Orland o tha t week
. H e di d reques t tha t

eeo/aooi a sw o ^ vv d st^Lseetso s xv d SO:I? L OLOS/LL/8 OMfiy-24-201 0 09!4 4 FRDM : 817652786 8 TD:91407318590 1 P.3-' 3



### Counse l fo rth e Administrato ran d Ai rTra n contac t hi s offic e wit h propose d date s t o reschedul e tha t hearing ,

Therefore , th e reques t t o continu e thi s matte rno wse t fo rJun e 16 , 2010 , i n St
. Paul , MN , I s denied
.

AN D I TI S S O ORDERED
. ENTERE D thi s s" " da yo fMa y201 0 a t Arlington , Texa s

WILLIA M R
. MULLIN S ADMINISTRATIV E LA WJUDG E COURTES YCOPY : 

### JUDG E ISAA C D
. BENKI N OFIC E O F HEARINGS , M-2 0 U
. S
. DEPT
. O F TRANSPORTATIO N 120 0 NE WJERSE YAVE. , S E EAS TBLDG
. GROUN D FLR
. R M E12-32 0 WASHINGTON
. D C 2059 0



## eeo/ioo B SH O * 

### VV d StLSCGtSO S XV d eo:t L OLOS/U/9 0

## Fag e 1 or l u

Fro mnhif

. U.S . Cod e Onlin e vi a GP O Acces s [www,gpoaccess.gov ] [taw s i n effec t a s c t Jnaudi: / 3 , ZOQT ] [CITE : 4905C16301 ) 

# ^n\e ^ 

# B.- 1

[Pag e 911-917 ) TITL E 49—TRANSPORTATIO N SOBTITL E VII--AVIATIO NPROGKftbI $ tAR l A—AI R COMMERC E AN D SAFF-T t subpar t iv--6nLorcfcm<'n t «n d penaltie s

CHAPTE R 4 6 3 —PENALTIE S Sec . 46301 . Civi l penoltie s (a } G&UKXH IPon.jlty.

— (1 ) Aperao n i s liabl e t o th e Unite d State s Governmen c fo r « civi l penalt yo l ftul. mcin : hh-i n S2.'5,00 0 (o r 51,10 0 i l t.hf, : perso n i a a n individua l o r smal l busines s cooo^nr j (u i vicil.it-inrf-

-

(A ) t:h,-ipto

r 40 1 (excep t section s 40]03(o ) an d (d ) , lOLCS , 40116 , an d 40117) , chapte r 411 , cihuptc r 41. 3 (excep t section s 4130 7 an d 4131 0 (b ) - (1= ) ) , chapte r 41 5 (excep t aeetion s IL-JOJ , 41505 , an d 41S07
- 41509) , chapte r 41 1 (excep h.'.cccions 41''03 , 41704 , 41710 , 41713 , an d 41714) , chapte r 419 , suichapte r I I o : II I o f chjiptc r 421 , chapte r 4 4 1 (excep t sectio n 44109) , sectio n 44502(b ) o r (c) , cliophr. r 4 4 7 (excep t .':c;t:tJon

3 4471 7 an d 44719-4472:^) , chapto t 44 9 (excep t section s 44902 , 449();i(d) , 44904 , 4490 7 (a ) • (d ) (1 ) (A ) an d (d)(1)(C)
- (I' l , an d 4<i90e) , sectxo n 4V1(JV(1; ) (iinjUidinr x an yaaauranc e mad e unde r suc hsection) , o r sectio n 471J 3 0 1 Lhi. i l.ic.lc ; (D ) .- ^ regulatio n prescribe d o r orde r issue d unde r ai*i ypi(>v.i:>io

n t o whic hclauK u (A ) o f thi s paragrap happli«s ; (C ) an y ter mo f a cei'LlIictit< ; o r permi t issue d unde r sectio n 41102 , 41103 , o r 4130 2 o f thi s title ; o r (D ) a rt-gulatio n o r Lh e Unite d -State s tosta i Servic e undft r thi c port , (2 l Aseparat e violatio n occur> : iindr. r rb j . 7 subsectio n fo r eac hdrt y th o violotio n (othe r tha n 5 viol«-cio n o r secLlui i 4IVli) ) coTitinue.' S or , i f appiio-abli; , fc. r r-oc hfligh t Involvin g th e violatio n lothe i i.h<ii i .1 violatio n o f sectio n 117191 . (3 ) Renalr yfo r diversio n o t avial.io n r<:vi.-.rn.w.-3.--Th e amoun t o f a i;ivi. l p<.-ri;.ilt

vassesse d unde r thi s sectio n fo r a i-iiiial.io n cjC .•itHiTio

n 4710 7 (b

l o f Liii s Litl c (o r an yassuranc e mad e und«i : suc hsection ) 0 1 Sectio n 4713 3 o f thi s LlLl c ma yh e increase d abov e th e otlKirwl^ e applicabl e maximu mamoun t unde r thi s sectio n l.t > u n .amoun t no t t o excee d 3 time s r.h

r amoun t o f revsnuK s th.j t or e use d i n violatio n u £:;u<r.h section . (4 ) ftviation securit yviolations.—Notwithstandin g pdroqrsp h(1 ) o f thi s aub.-i<;t:l-.'ion , th e roaxlmumcivi l pc.-nslt yfo r violatin g cliapl.n r •14 9 o t anothe r requiremen t unde r t(ii. 7 tixJ e administere d b yth e Unde r Secretar y o f Transportatio n fo r Securit yahal i l>- : 510,000 ; excep t tha t th e maxiKna n i:jvi l p<-.ncilr

vShal l b e 525,00 0 i n th e cas e 0 1 a peirur i opc.r.irinr r a n aircrat t lo r Lli

- i-.r,-inoportatio n a t passenger s o r propert yto r compensatio n (eiccep t a n indlvid^i.-i l servin g a s a n airinan i . (5 ) Penaltie s applicabl e t o individuol! ; .u,n d smal l busines s t^oncern.- ? , —

(A ) A n individua l (excep t * n firma n servin g a s a n airnian ) o r sinol l busines s concer n i s liabl e t o th e (Sovernmcnt . fo r a civi l penalt yo i i-io

t mor e tha n ?10,00 0 fo r violotinj — (i ) chapte r 40 1 (excep t section s 40103(a ) »n d (d) , 40105 , 40106(bl , 40116 , an d 401171 , .icKtio n 4450 2 (b ) o r (c ) , chapte r 4< 7 (excep t section s 44717-44723) , 0 1 chupt.-. r 44 9 (excep t aectioni i 44902 , 44303(d) , 44904 , an d 44907-44909 ) o i Lhi.- ; title ; o r (ii ; a regulni.io n pr^-scribe d o r orde r issue d unde r an y provisio n t o whic hcliufi e (i ) ,ippl.ic3 . (B ) Ac_v j 1 penalt yo f no t more : tha n S10,00 0 ma yb e impoat d fcj r eac hviolatio n unde r p/iragrop h(1 ) comndtce d b yn n individua l o r smal l busines s concer n relate d to —

(i ) th e tr.-insportatio n o f hazardou s matnri.iT ; (ii ) th e registratio n o r reeord-Ttio n unde r chapte r 44 1 o f a n aircraf t no t use d t o provid e ai r i.ran.-iportstion ; (•ii] ) a violatio n o f sectio n 4471 6 (d) , ii;i,il. i ii qx o th e iimil.nl.ion o n constructio n o r ».:stablishmen t o f laiiLli J J 1 K ; (iw ) aviol;4tio n o f sectio n 44725 , relatin g t o th e saif t 

## http://fhvebgaie4.access.gpo.gov/cgi-biii/TEXTgate.cgi?WATSdocID^3.' i 138286284+0+ 1 +.. . 4/15/201 0 6eo/8ooi a sw o * VV d StLSSGtSO S XV d80:i7 LOLOS/LL/9 0

## rag e 4 ; o i l u

disposa l o f Ijfe-limite d aircraf t parts ; o r (V ) a violatio n o f sectio n 4012 7 o r sectio n 41705 , relatin g t o discrimination . (C ) Notwithstandin g paragrap h(1) , tht ; moxi.mu mcivi l penalt yfo r a violatio n o f sectio n I(Pag e 912] ] 4171 9 committe d b ya n individua l o r smal l busirKy s concer n shal l b e 55,0(1 0 iristead o f ?1,000
- (D ) NoLwixhstandin g paragrap h11) , th e maximur o civi l penalt yi'o r aviolatio n o f sectio n 417]7 . (includin g a regulatio n prescribe d o r orde r issuo d unde r suc hsection ) o r an yothe r regulatio n prescribe d b yth e Secretar yb ya n individua l o r smal l busines s concer n tha t i a intendu d t o affor d consome r protectio n t o commercia l ai r ttansportacio n passenger s shal l b e S2,50 0 lo r c:ar hviolation . (b ) Smolc e .Alar

mDfcvir:i^ Penalty . —(1 ) Apassenge r ma yno t tampe r with , disable , o r destro ya smolc e alar mdevic e locate d i n a lavator yo n nil aircraf t providin g ai r transportatio n o r inUraxtat e ni r transportation . (2 ) A n individua l violatin g Lhi; < subsectio n i s liabl e t o th e Governmen t fo r a civi l penalt yo f no t mur e ch/i n S7.,000 . (c ) )?rocedi.iEa l Requirements . —(1 ) Th e Secretar yo f Transportatio n ma yimpos e a civi l penalt yfo r th e followin g violation s onl yafte r notic e an d a n opportunit y£'o r a hearing : (A ) a violatio n o f subsectio n (b ) o f thi s sectio n o r chapLe x 411 , chapte r 41 3 (eiccfepl . .'•.e<.:tion s 4130 7 an d 4131 0 (b ) - (f ) ) , chapte r 41 S (excep t a^ictiona 41502 , 41bU5 , an d 11.507-41509) , chapte r 41 7 (Axcrp t se'Jtion s 41703 , 41704 , 41710 , 41713 , an d livi-l) , chapte r 419 , subehdpLe r TT o f chapte r 421 , o r .lectio n 4490 S o f thi s l.ir.li; . (B ) a violatio n o i a re<julatio n prescribe d o r orde r issue d unde r an yprovisio n t o whic hclaus e (A ) o £ Lhi n paragrap happlies . (C ) 0 violatio n o r an yter m o f a certilicaLt i u i pf:rmi t issue d unde r sectio n 41102 , 41103 , o r 4130 2 o f thi s title . (D ) a violatio n unde i aLib.ic:<;tio n (a ) (1 ) o f thi s secrie n relate d t o th e trarisportfltio n o f hazardou s material . (2 ) Th e Secretar yaliolX giv e writte n nci;lc<- . o f th e findin g o f a violatio n ixi\ i l.hc . civi l penalt yunde r paragrap h(I I o r Lhi.' ^ -Milj.iection . (d1 Admini E traLivc . Impositio n o f Fsnaltiaa.--(1 ) I n thi s subssction-

-

(ft ) '"fligh t engineer' ' mean s a n imJividii.-i l wh o hold s a fligh r engineft v<> • i l-

i ficcit e issue d unde r par t 6 3 o f titJ c \^ , r.iKio

- o f Federa l KegulaLion.-. . (B ) ' Eiechanic " ' mean s a n individua l wh o hold s a mechani c cerhificat e issue d unde r par t 0 5 o f titl e 14 , (".<jd e o f federa l regulations . (C ) 'pilot' ' mean s a n individua l wh o hold s a pilo t certificat e issue d unde r par r 5 1 o f titl e 14 , Cod e o f Federa l Regulations . (0 ) • • repairman" ' merin. 5 a n i.ndivldua l wh o hold.< i arepairma n certificat e issue d unde r par t 6 1 o i Lil.lc- . 1-1 , Cod e o f Federa l Ragulationa . (2 ) Th e Administrato r o f th e Fedeia l Aviatio n administratio n ma y impos e a civ^i. ) penalt yro r a violatio n o r chapLe i 40 1 ("xcep t section s 40103(a ) an d (d ) , 40105 , 40106(b) , 4011(3 , an d 40117) , chapL. n 44 1 (B3:ccp t sectio n 44109) , rieetjo n 44S02(b ) o r (c ) , chapte r 44 7 (excapi . section s 4471 7 an d 447i9-4472S l o r .•joctio n 46301(b) , 4630 2 (fo r a violatio n relatin g t o sectio n 46S04) , 16318 , o r 47107(b ) (a s furthe r define d b yth e Secretar yunde r sectio n 47107(1 ) an d includin g an y assuranc e mad e unde r sectio n 47107(b) 1 o f thi s titl e o r a regulsfio n prescribe d o r orde r issue d unde r an yo f thos e prov i .-jions . Th e Secretar y o f Homelan d secirit yma yirapoa e a civi. l penalt yfo r a violatio n o f chapte r 44 9 (excep t »eci-.jon;. i 44902 , 44903(d) , 4490 7 (a ) - (d ) (1 ) (A ) , 44907(d)(1)(C ) (f) , 44906 , an d 44909) , 4<530 2 \1 \ (excep t fo r a violatio n relatin g l-.

n sectio n 46S04 I , 4(!303,\1 \ o r a reyulai-.io n prescribe d o r orde r issue d unde i .sue hchapte r 449 . Th e Secretar yo t Homc:J.inci Securit y o r ?idmini9tcato r shal l giv e writte n notic e o f th e findin g o f a vlolaLio n •in d th e penalty . \ 1 \ 3 0 i n original . Probabl yshoul d b e precede d b y''aEctiot'' . (3 ) I n a t-'ivi i actio n t o colKic t a civi l penalt yimpose d b yth e Secretar yo f Homelan d securit yo r Administrato r unde r thi s subsoctioo , th e issue s o f liabiliL yan d th e amoun t o f th e penalt yma yno t br : reexamined . (4 ) Notwithetandin g paragrap h(2 ) o f i.hi o subsection , t.h e distric t cou i I..- , ii r th e Unite d Ltate- f hav e exclusiv e j m i.-.ui i ctlo n o f a civi l 

## http://frwebgale4,acccss.gpo.gov/cgi-bin/TEXTgatc.cgi?WAISdocID=35138286284+0+1+.. . 4/15/201 0 660/600 0 SW O + VV d StLSeetSO S XV d 60:^ 1 OLOS/LL/9 0rtt^ c J \j i I V

actio n invo.lvi.n

g a penalt yth e Secretar yo f Homelan d Securit yo i Administrato r Initinte s if —

(A ) th e amoun t i n controvers yi s mor e than-
- (1 ) ?SO,00 0 i f th e violatio n wa s comuLiLte d byan yperso n befor e th e dat e o f enactmen t o f th e visio n 100--Centur yo f Aviatio n Reauthorizatio n Act, - (ii ) 5400 , 00 0 i f th e violatio n wa s committe d bya per;;on othe r tha n a n individua l o t smal l busines s concer n o n o r alte r tha t Jact-. ; y r (iii ) fSO/Ou o i f th e violatio n wa s committe d b ya n indiv].dua l o r smal l busines s c;aii<:<:r n o n o r afte r tha t date ; (B ) Ui e SLitien i s i n re mo r anothe r actio n i n re mbase d o n th e .•;em e violatio n ha s bee n brought : (C ) th e actio n involve s a n aircraf t subj'jc t t o a lie n tha t ha s bee n seize d b yth e Government, - o r (D ) anothe r actio n ha s bee n brough t fo r a n injunctio n base d o n i-.h e .tninr ; violation . (5 ) (A ) Th e AdiainlatraLci i ma yi :;3u e a n orde r imposin g a penalt yunde r thi s subsectio n agains t a n individua l airtin g a s a pilot , fligh t ennineer , mechanic , o r repairma n onl yafte r advisin g Llit individua l o f th e charge s o r an yrooso a th e Administrato r relie d o n fo r th e propose d penalt yan d providin g th e individua l a n opportunit yt o answe r th e charge s an d b « hear d abou t wh yi.li e orde r shal l no t b e issued . (B ) A n inCLividua l actin g a s a pilot , Iligh t engineer , mechanic , o r repairm.i n ma yappea l a n orde r ijnpo.^5in< j a penalt yunde r thi s subaectio n t o th e Rationa l Transportatio n Safet yBoard . Afte r notic e an d a n opportunit yfo r a hearin g o n th e record , th e Boar d shal l ailirni , modify , o r revers e th e order . Th e Hoar d ma ymodif ya civi l penalt yimpose d t o a suspensio n o t revocatio n o f a cerLllli:ai.e . (C ) Whe n conductin g a hearin g unde r thi s paragraph , thfe Boar d i.- ; no t boun d b yiinding a <:/• " fac t o f th e Administrato r bu t i s boun d b yal l validl yadopte d interpreLaLion. i o f law s an d regulation s th e Administrato r carrie s ou t an d o f writte n agenc ypolic yguidjinc c availabJ e (.<

> r.h e publi c relate d t o sanction s t o b e impose d unde r thi s sectio n unlea a th e Boar d f^ind s a n interpretaLio n L s arbitrary , captieiou.^ , o r otherwis e no t accordin g L o l.iw . ((Pag e 91 3 11 (P) ) Whir

n a n individua l i'ile s a n appea l wit hth e Boar d unde r rhi s paragraph , i.li

n orde r o f th e Administrato r i s stayed . (C ) A n individua l KUII.-I i ,irii;i,:i l l yaffecte d b ya n orde r o f th e Boar d unde r paragrap h(5 ) o f thi s subsection , u t I.IH - Administrato r whe n th e ?id]n i n i li t r.-ite r :li5cide s tha t a n orde r o f th e boar d unde t parogiapl i (.•) ) wil l hav e a 3l3nii'i<:.iii r ;idv«ir.'3

e impac t o n carryin g ou t thi s part , ma y obtai n judicia l revie wo f th e oidts r uiLd<: r sectio n 4S11 0 o f thi s title . Th e Administrato r shal l b e mad e a part yt o th e judicia l re:vi<: w proceedings . Finding s o f fac t o f th e Boar d or e conclusiv e i f supporte d b y2ub.-:hanr. i a) , evidence , (7)(A ) Th e Administrato r ma yImpos e a penalt yo n a perso n (excep t a n individua l actin g a s a piltil-. , f 1 i.qh t engineer , mechanic , o r repairman ) orl. yafte r notic e au d a n opportunit ylo r a hearin g o n rhi ? record . (B ) T n o n /ippea l fro ma decisio n o f a n adminiatraLiv e la w-jiidri e a s th e raeul L o i a h<iarH.n< j unde r subparagrap h(A ) o f thi s paragraph , th e Administrato r shal l conside r onl y win^thc-r-

-

(i ) eac hfindin g o f fac t i a supporte d b ya preponderanc e o f reliable , probative , an d substantia l evidence ; (ii ) eiiti

hconclusio n o f la wi s mad e accocdin g t o applicabl e law , precedent , an d publlc r policy ; an d (iii ) th e judg e committe d a pre-judlcia! ) erro r tha t support s th e appeal . (C ) Excep t fo r goo d cause , a civi l actio n involvin g a penalt yunde r thi s paragrapl i ma yno t b e initiate d late r tha n 2 year s afte r th e violatio n occurs . (D ) i n th e cas e o f a violatio n o l aecLio n 47107(1> ) o f thi s titl e o r an y.•j.'.v.nuranc

e mad e unde r suc hsection — (i ) . 1 r.:ivil penalt yshal l no t b e assesse d agains t a n i.iid i vidvi a I ; (ii ) a civi l penalt yma yb e compromise d a s provide d unde r subsectio n (f) ; an d (iii ) judicia l revie wo l an yorde r assessin g a civi l penalt yra;iy b e obtaine d onl ypursuon t t o sectio n 4611 0 o f thi s title . (B ) Th e maximu mcivi l penalt yth e Unde r Secretary , Administrator , o r Boar d m/i

yimpos e unde r thi s subsectio n is — (A ) ?irU,on( i i f th e violatio n wa s committe d b yanyperso n bel'<ir e th e dat e o f enacLmen t o f th e visio n 100••••Centur yo f Aviatio n Reauthorizatio n Act ; 

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(D ) 5400,00 0 i f th e violatio n wa s coiiniitin. d b ya perso n othe r tha n a n Individua l o r smal l busines s concer n o n o r arte r tha t date ; o r (C ) $iiOrQO O i f th e violatio n wa s committe d b ya n individua l o r smal l busines s concer n o n o r afte r tha t date . (9 ) Thi s subsectio n app]ir;. s onl yt o a violatio n occurrin g arte r Augus t 25 , 19&2 . (c ) Ponalt yConsiderations.—I n determinin g th e amoun t o f a civi l penalt yunde r subsectio n (a)(3 ) o f thi s sectio n relate d t o transportatio t o f hazardou s maLeriai , th e Secretor yshal l consider- '

(1 ) th e nature , circumstances , extent , an d gravit yo f th e violaticin ; (2 ) wit hreapec t t o th e violator , th e degre e o f culpability , an y histor yo f prio r violations , th e abilit yt o pay , an d an yeffec t o n th e abilit yi-.

o continu e doin g business ; an d (3 ) othe r matter s tha t ju.ttic c requires . (f ) Compromis e an d Setoff . —(1 ) (A ) i'h a Secretar yma y;;oiiipr:>ri i s e -zh e amoun t o f a civi l penalt yimpose d fo r violating —

(i ) I'jhflpte

r 40 1 (excep t section s 4010 3 (s ) an d (d ) , 40105 , 40116 , an d 40117) , chapte r •11 1 (<:x(:t:p [ ::;cctio n 44109) , sectio n 44502(b ) o r (c) , chapte r 44 7 (excep t section s 44'n 7 an d 4a7'l9-44723) , o r chapte r 44 9 (excep t section s i4902 , 44903(d) , 44904 , 44907(a)-(d)(1)(A ) en d (d ) (1 ) (O-d) , 44900 , an d 44909 ) o f thi s title ; o r (ii ) a regulatio n prescribe d o r orde r issue d unde r anyprovisio n t o whic hclaus e (i ) o f thl o subparagrap happlies . (B ) Th e roata l Servic e ma ycompromis e th e amoun t o f a eivi l penalt y impose d unde r subsectio n |a)(1)(D ) o f thi s section . (2 ) I'h e (iovernmen t ma ydeduc t th e amoun t o f a civi l penalt yimpose d o r compromise d unde r thi s subsectio n iroic i auicjwnr. ^ i t owe s th e perso n liabl e fo r th e penalty . (g ) Judi(:i,:i l Review.--A n orde r o f th e Secretar yo r th e AdminiaLrato r imposin g a civi l penalt ym.^ yb e reviewe d judiciall yonl yunde r sectio n 4611 0 o f thi s title . (h ) Nonapplicatioc . —(1 ) 'Ihi s sectio n doe s noT . appl yt o th e followin g whe n performin g officia l duties :

(A ) a membe r o f th e arme d force s o i th e Unite d States . (B ) a i;iv

i l.ia n employe e o f th e Deportmen t o f Defens e subject , l. o th e [Jn i fej:7 n Cod e o l Militar y.Tiistice . ("2 ) Thi' . appropriat e militar yauthorit yi s responsibl e Lo r (.akin g necessar ydisciplinar yat:i:ie r an d submittin g t o th e Secretar y(o r th e Unde r Secretar yo f Vransportaclo n lo r Si^c-uril^ vwii.fi respec t t o securit y dui.io: ; .iTi

d power s designate d t o b e carrie d ou t b yLh e Unde r .'ii:(:rr.;t.3r yo r th e AdminieLral.o r wit hrespec t t o aviatio n safet ydutie s an d power; ; designate d t o b e carrie d ou t b yth e Administrator ) a timel yrepor t o n actio n talcen . (i l Smal l Busines s Concer n Defined.—I n thi s secLlcn , th e ter m ''smal l busine±:£ ^ concern' ' ha s th e meanin g gj.ven tha t ter mi n sectio n 3 o f th e Smal l busines s Ac t (1 5 (J.S.C . 632) . (Pub . L . 103-272 , sec . L ( = ) , Jul y.5 , 1994 , 10 6 Stat . 123J ; f ub . 1 . 103
- 305 , titl e I , -lee . 112(c) , tiLl e II , See , ?07(c) , Aug . 23 , 1994 , 10 0 .•^l-.at . 1575 , ISeS ; Pub . L , 105-429 , Sec . 6(6u) , OrA-. . 31 , 1994 , 10 9 Stat . 4365 ; Pub . L . ^.01-2t)^ , titl e V , sec . .SC2(c) , titl e vm , sei; . IJ(J1(li) , titl e ,XIJ' , Se c 1220(b) , Oct . 9 , 1996 , 11 0 Stat . 3263 , 3271 , 3286 ; fub . L . 104-287 , Sec . 5(77) , Oct . 11 , 1996 , 11 0 .'li-.ah . 3396 ; Tub . L . 105-102 , Sei . 3(c)(4) , Kov . 20 , 199'/ , 11 1 3tat
- 2215 ; Pub . L . 106-iai , ritl e II , Sec . 222 , titl e V , See . Sec . 503(c) , S04(b) , 519(c) , titl e Vll , S&c . se c 707(b) , 720 , Apr . 5 , 2000 , 11 4 Stat . 102 , 133 , 134 , 149 , 158 , 163 ; Pub . L . 106-424 , .Sec . 15 , Nov . 1 , 2000 , 114 Stat . 1888 ; Pub . L . 107-71 , titl e I , Sec . 14 0 (d ) (1 ) - (4 ) , Nov , 19 , 2001 , 11 5 Stat . 6*?, ; Puis . L . 107-296 , titl e XVI , Sec . 1602 , Nov . 2i , 200^ , 11 6 Stat . 2312 ; Pub . L . H)((-]7<i , titl e V , Sec . 503(fl)-(c) , Dec . 12 , 2003 , 11 7 Stat . 2557 , 2558 ; tub . L . 104-41.8 , titl e IV , Sec . 4027(a) , Dec , 17 , 2004 , 11 6 SLat . 117^7. ) f[rag e D14 1 1

Historica l en dIftevisio nNote s Pub . L . l(33--?,7 3 R6vi-><: dSectio nSourc e (U.S . Code ) Sourc e (iitatute s a t Large ) 4*'-3''l:a ) 49App.:130 3 (iiol-.( 0 . Nov . 10 , 19()D , fub . L . LQO-H'iO , .See . 7214 , 10 2 Stat . 1434 , 4 9 App.:140 5 (las t esnc&MjK ) . Autj . ?3 , 1958 , rub . L . (I5-72C , Sec . 

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

•1 9 App . ;l«i.^.">(c ) ( 1 ) . 46301(b ) 4 9 App.:1374(d ) (Z )
46301(C I 4 9 Apu . :1471(o ) (1 ) (3d , 5t h sentence s les s subchapte r VII ) . 4 9 App , ;1551(b ) (1 ) (E ) . 4630:(d ) (1 ) 4 9 App . : 147 1 (a ) (3 ) IH ) .

46301(d)(2 ) 49App.:130 3 (note) . 4 9 App.:147 1 (a ) (3 ) (A ) . 4 630 1 (d

p (3 1 4 9 hpp . : ] 4 7 1 („ ) Ci ) (A ) , 4 6301(d ) (4 ) 4 9 App. : 1 4 7 1 (a ) (i ) (C ) . 46.M I (d ) (;> ) 4 9 App. : 147 1 (a ) (3 ) (D ) (i)-(iv ) . 4fi301(dl(0 ) Ii j App . :147 1 (;> ) (3)(Dj(v ) (les s Administr'aLu r unde r .•;iibc)i . VIJ. ) , 4630 1 (d ) I' n 4 9 App. ; 117 1 ( a I (3 ) (j: ) . 46301(d)(8 ) 4 9 App.:1471(a)(3)(G) . 1630 1 (d ) (9 ) 4 9 App . :147Ha ) (3 ) (!'' ) . 40301(e ) 4 9 App.:1471(a ) (1 ) (4t h seuL>:iK:r . l.<:.i.-. .iiibchaptf r vn ) , 46301 . (f ) 4 9 App . ; 147 1 (a ) (2 ) (relate d L o subchap'Tc r 111 , V , VI , o r XII , Sec . 1501 , 1514 , o r lbl5(< o {7. ) (B) , ah dL'osta l Service) .

4 9 App.:1551(b ) (1 ) (E ) . 163(1 1 (g ) 4 9 App.:1471(a ) (1 ) (6t h sentenc e les s .'jubchapte r vii ) , 4 9 Hpp.:)551(b)(1)(E) . 46301(h ) 4 9 App . :]4V 1 (a ) ( 1 ) ( Us t sentenc e les s eubchapLe r VTT ) 4 9 App.:15Sl(b l (1 ) (f; ) . 50 5 (las t sentence] , 7 2 Stat . 774 , Aug . 23 , 1958 . tub . 1 . 85-726 , Sec . 901(a)(1 ) (les s titl e VJI) , 7 2 Stat . 753 ; restate d Jul y10 , 1962 , Pub . L . 87-528 , Sec . 12 , 7 6 Stat . 149 ; Aug . 5 , 1974 , rub . L . 93-366 , ."Sec . 107 , 8 8 Stat . 411 ; Jan . ^ , 1975 , Pub . L . 93
- 633 , Sec , 113(b) , 8 8 Stat . 216Z,
- Oct . 24 , 197S , Pub . I . 95-504 , aec . 3;)(a) , 9; ! Stat . 1740 ; Aug . 8 , 19Bb , Pub . L . 99-83 , Sec . a51(b ) (2) , Uec . 30 , 1987 , Pub . L . 2D4(a)
- (e) , 10 1 Stat . 1988 , Pub . L . 100-690 , 10 2 Stat . 4429 . Oct . 15 , 1966 , Pub . L . ft(c)(1), 8 0 Stat . 938 ; Pub . L . 97-419 , See . 2444 . Aug . 23 , 19&e , Pub . L . 731 , Sec . 404(d)(2) ; 1987 , Pub . L . 10U-20X , 10 1 Stat . 1329-383 . 9 9 Stat . 225,
- 100-223 , .Sec . 1519 ; Nov . IS , .5cc . 7208(a) , fl9-670. Sec . Jan . 12 , 1983 , 7(b) , 9 6 Stat . 05-726 , 7 2 Stat . adde d Dec . 22 , •Se c 32 8 (a) .

Aug . 23 , 1958 , Pub . 1 . 85-726 , 7 2 Scat . 731 , Sec . 16Dl(b)(1)(E) ; adde d Oct . 4 , 1984 , Pub . L . 96-443 , Sec: . 3(e) , 0 6 Stat . 1704 . a\iq . 23 , :95e , rub . L . 65-726 , 7 2 Stat . 731 , Sec . 90 : (01 ) (3 ) (les s (D ) (V ) (relate dt o AdiiiinisLraLO r unde r titl e VID) ; adde dOov , 10 , 1988 , Pub . L . 100-690 , Sec . 720 8 (b) , 10 2 Stat . 4429 ; xesLaLe dAug . 26 , 1992 , Pub . L . 102-3-45 , Sec . 2(a) , 10 6 Stat . 923 ; Oct . 31 , 1992 , Pub . L . 102-581 , Sec . 208 , IO C Stat , 4995 . Slov . 18 , 1988 , Pub . L . 10 0 690 . Sec , 7714 , -mil . Shat . 1434 .

Aug . 2.3 , 195P , Pub . t, . 85-726 , Sec . 9Ul(a)(2 ) (i:ulal.<: d ho |- i r I c Til , V , VI , o r Xll , Sec . 1101 , 1114 , o r lllSle ) (2)(D) , en d fostmaste r S<:n<-.r.-i l ) , 7 2 Stat . 784 ; Jul y10 , 19C2 , Pub . L . bV-bia , Sei: . 12 , 7 6 £tat . 150 ; restate d Oct . 24 , 1978 , Pub . T, , 9b-5(J4 , Sec . .35(b) , 9 2 Stat . 1740 ; Dec . 30 , 1597 , Pub . L . 100-223 , Sec . 20 4 Id ) . 10 1 Stai. . 1519 .

I n thi s section , th e wor d ' pre.ferib?d' ' i s adde d fo r coneisLenc yi n th e revise d titl e an d wit hothe r title s o r th e Unite d State s Code . Th e word s ''unite d state s Posta l Service" ' an d ''I'osta l Service' ' ar e subfltltutft d lo i "Postmaste r General' ' becaus e o r .'.eccior i 4(a ) o f th e Posta l Reorganizatio n Ac t (Publi c La w91-375 , 8 4 Stat . 773) . J n subsection s (a)(1)(C ) an d (c ) , Lin ; woidc i 'condition , o r limitation' ' ar e omitte d a s aurplu.<^ . I n subsectio n (a)(2) , befor e claus e (A) , tl'if c word.- i ' occnrrin q.jftr. r 

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### VV d SULSeetSO S XV d S0:t? L OLOS/LL/9 0

## Fag c 6 ot w

Decembe r 30 , 1987' ' ar e omH.i:i: d a:. ; obsolete . i n subsectio n (b)(1) , th e wor d "'providing' ' i s substitute d fo r 'engage d in' " fo r consistenc yi n th e revise d fi-tle . I n Subsectio n (b)(2) , th e word> i "'i n accordanc e wit hsectio n 147 1 o f thi s Appendix' ' at e omitte d a s surplus . I n <iub.iecl-.i.o

n (c)(1) , befor e claus e (A) , th e word s '"o r hit i delegate" ' ar e omitte d becaus e o f 4D:322(b) . Th e wor d 'impose' ' i s substitute d £c r

' "assessed' ' fo r con.-ii;-. ! <-.ney . Th e word s ''amoun t o f an y .•meti' ' ar o omitte d a s surplus . I n subsec: ! in n (d) , th e uor d "'impose' ' i s substitute d fo r ''.ir.ncsa' ' fo r consistency . I n subsectio n (d)(1) , befor e dous e (A) , th e word s ''th e followin g definition s apply" " ar e omitte d a s surplu.i . I n subsectio n (d ) (2) , th e tex t o f sectio n 721 1 o f th o Anti-Dru g Abus e Ac t o f 199 8 (Publi c La w100-690 , 10 2 Sta t 4434 ) i s oiiiitt'i d a s obsolete . Th e word s "'o r th e delegat e o l Lh e Administrator' " ar e omitte d becaus e o f 49:322(b) . I n subsectio n (d)(4)(C) , th e wor d 'or' " .i s substitute d fo r 'and' ' i'o r clarity . i n subsectio n (d)(5)(B ) an d (•/)(AI , the- , word s 'i n accordanc e wit h .iei;tio n 55 4 o f titl e 5' " arf i omitte d fo r conaisLKne yi n th e revise d titl e an d becaus e ::>:.'i.s i .-ipplie s t o a hearin g o n ch e recor d unles s otherwis e stated . T n subsectio n (d)(5)(B) , th e word s 'oonslsLen L wit hthi s subsection' ' ar c omitte d a s surplus . I n suhsectio n (d ) (5)(C) , th e wor d ''Administrator" ' i. i substitute d fo r "Federa l Aviatio n Administration' " becaus e o f 49;106(b > an d (gl . I n subsectio n (d)(7jiB) , befor e claus e (i ) , th e word.- ; ''a s th e resul t o r a hearin g unde r subparagrap h(A ) o f thi s paragraph' ' ar e adde d fo r clarity . I n .'•.ub.s(:::rio

n (el , befor e claus e (1) , th e word s ''civi l peiiali: y unde r subsectio n (a ) I'A ) o f thi s sectio n relate c r. o transportatio n o f hazardou s material' ' ar e 6ubBLitu(:<:c i fo r suc hpenalty' " fo r clarity . I n claus e (1) , th e wor d 'committed' ' i^ ; om i l-.t<- d a s surplus . T n .?iib3ection (f ) (2 1 , th e wor d 'imposed" ' i s sub.- ; titiired fo r 'whe n finall ydetermine d o r fixe d b yorde r o f th e Doerd' ' fo r consistency . T1L « word- r "'agree d upon' ' ar e omitte d a s surplus . I n subsectio n (g) , th e wor d 'imposing" ' i. i substitute d fo r • • assesijing " ' --o r conaiatency . T n subsectio n (h)(2) . th e word s "wit hrespec t thereto" ' az e omitte d a s surplus . Th e wor d ''Administrator' " i n -icctio n 901(a)(1 ) o l Lh e Federa l Aviatio n Ac t o l IS.'i n (Publi c La w85-726 , 7 2 StaL . 703 ) i s retaine d o n authorit yo f 49:106(g) . Pui) . I. . ]0:i-i;i 9 Tia. i anKiiidii 49:46301la ) (1 ) (A ) an d(2 ) (A

) . (c)(i)(A) , (d)(2 ) (f ) (1 ) (A

) (i j t o correci ; erroneou s crosa-rererence:; .

fuh . L . 104-287 , .';<:e . 5(77 | (A ) an d(B ) Thfi.-i e .iinenr i 45:4630 1 (a ) (1 ) (A ) au d (2 ) (A ) -c o Correc t error s i n the : codificatio n eDaoLit d b y.•lecfto n I o f th e Ac t o f Jul y5 , 199 4 (Publi c La w 103-272 , lO O Stat . 1231) , t o iii<:liid< : i n th<~ eross-referenc e section s enacte d afte r i:h e cutof f dat e fo r th e codiiicaLioi i o l titl e 4 9 o s enacte d b ysec i io n 1 o f th e Ac t (Publi c La w103-272 , 10 8 Stat . •/4^) , an d t o ma)t e i t easie r t o inciuii e futur e section s i n th e cross-rpferenc e by restatin g i t i n term s o f chapters . Pub . L . 104-287 , Sec . .•;(77 ) (C ) Thi. i mak<r.r . f

conformin g amendmen t t o 49:4630 1 (a ) (3) . Pub . 1, . 104-287 , Hec . L, (77 ) (D ) - (R ) Thes e amen d19:4630 l (c ) (1 ) (A) , (d)(2) , an d(f) (1 ) (A ) (i ) t o correc t error s mth e codificatio nenacLis dhj y 5<-ctio n1 UPag e 91B] ] O i th e At.:t . o f Jul y5 , 199 4 (Publi c La w103-272 , 10 9 Stat . 123]) , t o includ e i n th e cross-reierenc e section s enacte d afte r th e cutof f dat e fo r th e Codificatio n o f titl e 1 9 o' ^ cnocte d b ysectio n 1 o f th e Ac t (Publi c La w103-272 , lO B Star. . 74.S ) , anct t o ma)c f i t easie r t o includ e futur e aection s i n th e cross-referer]f:>- . b yrcrit.irin g .i t i n terra s o f (:li.:»fTt e r s - 

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## rag e / O Tl u

Heference s i n Tex t Th e dat e o f enactmen t o f th e visio n 100--Centur yo f Aviatio n Bcauthoriratio n Act , referre d t o i n subsec . (d)(4)(A) , (8) , i s th e dat e 0 1 enacljnen t c f Pub . L . 108-176 , whic hwa s approve d Dec . 12 , 2003 . Araenoment s 2004—Subsec . (d)(2) . Pub . L . 108-438 , Sec . 402 7 (a ) (1 ) - (3) , substitute d ''1630 2 (fo r a v.iolatio n relatin g t o sectio n 46504),' ' fo r •"46302 , 46303,'' , '"Th e Secretar yo l Homelan d Sncurit ymay' ' fo r "Th e Unde r Secretar yo r Transportatio n fo r Securit ymay'' , "44909) , 4630 2 (excep t ro r a violatio n relatin g t o sectio n 46504) , 16303,' ' fo r ''44909)'' , an d "Th e Secretar yo f Homelan d Securit yor' ' fo r "Th e unde r Secretar yor"' . Subsec . (d ) (Ji . Pub . L . inB-458 , Sec . 4027(a)(3) , substitute d "Secretor yo f Homelan d Securit yor" ' lo r 'Unde r Sectetat yor'' . Subsec . (d)(4) . Pub . L . 108-458 , Sec . 4027(a)(3) , autj.ii.il.iii.e d " •Sef:r<-.Kar

yo f KomelLind Securit yor' ' fo r 'Unde r Secretar yor' ' i n introductor yprovLHioiiM . Subsec . (d ) (4 ) (A ) . Pub , L . 10a-4SH , See . 40-''. 7 (p ) (4) , realigne d margins . Z003~Subsec . (a)(1) . Pub . I.. . 108-176 , Sec . 503(a)(1) , eubstituLe d •'?2S,0D 0 (O r S3,10 0 i f th e perso n i s a n individua l o r smal l busines s concern)" ' fo r ""$1,000" " i n introductor yprovisions . S-ubsec . (a)(1)(A) . Pub . L . 108-176 , Sec . S03(a)(2) , (3) , struc k ou t 'or' ' befor e 'sectio n 47107(b)' ' an d aubytitute d ''section) , o r sectio n 47133" ' fo r ' ".tection ) ' " . Sul.Kc:;: . (a ) (;^) . Pub . T, . 108-176 , Sec . S03(o)(5) . .?ub.r-titute d "'sectio n 41719' ' lo r ' ' .•!i?i:i.io n 117'IS' ' i n tw o places . Pub . L . 108-176 , Sec . 503(a)(4) , redesignate d par . (4 ) a s (2 ) an d .-itriiel t ou t forme r par . (2 ) whic hrea d a s follows : '' Aperso n operatin g a n aircrat t lo t Lh e hransportotio n o f passenger s o r propert yfo r compensatio n (excep t a n airma n servi/i g ay.i n airman ) i s liabl e t o th e Governmen t fo r a civi l penalt yo f no t mor e tha n Slu.oo o fo r violating —

''(A ) Chapte r 10 1 (c:icep t section s 40103(a ) an d (d) , lOlOb , lOlU6(b) , aoiLC , on d 40117) , sectio n 41."i0 2 (b ) o r (e ) , chapte r 44 7 (excep t section s 44717-44723 ) , o r chapte r 44 9 (excep t secLlon. i 4191)2 , 119113(d) , 44904 , an d 44907-44909 ) o f thi s title ; o r

(B ) a regulal.io n fire.-.erjbc d O r orde r issue d unde r any provi.^5ion i; o whic hclaus e (A l o l hhi; ; par.igrap happlies." ' Subaec . i'aM3) . Pub . L . 108-176 , Sec . •j03(a)(4) , r<;dc::(igrinte d p-ir , (i, ) a.- ; C-l ) an d :.itrucl t ou t forme r par . Ci ) whic hrea d a s follows : ' A civi l penalt yo l noi . mor e l.li.-i n 510,00 0 ma yb e impose d fo r ^Act i violatio n unde r peragrap h(1 ) o f thi s aubsectlu n r=la(.<! d t e

(A ) r.h e transportatio n o f hazardou s material ; (B ) th e registraLio n o r recordatio n unde r chapte r 44 1 o f thi s tlLl e o f a n a.ireraf t no t use d t o provid e ai r transportation ; ''(C ) ( 1 violatio n o f sectio n 'il7lfi(d) , relatin g t o th e limitatio n o n constructio n o r establishmen t o i iandi'illM,

- ' ' (D ) '. < violatio n o i sectio n 44725 , relatin g t o th e sal e disposa l o i life-limjce d oircraf t parts ; o r

(L' ) L L violaLior i o i :;eetio n 41705 , relatin g t o discriminatio n agains t handicappe d individuals." ' Subsec . (a)(4) . Pub . L . 100-17C , Sec . 303(a)(6) , aubsLil.uLc.c J ""paragraph i (1)' " fo r ""paragraph s (1 ) an d (2)'' . Pub . L . 10e-J76 , .See . 503(a)(4) , redesignate d par . (8 ) o S (4) . Forme r par . (4 ) redesignate d (2) . Subsec . (a)(5) . Pub . b . 108-176 , Sec . S03(a)(7) , adde d par , (5) . Forme r par , (5 ) redesignate d (3)
- Eubsec . (a)(6) . Pub . L . 108-176 , Sec . b03(A)(4) , .struc k ou t headin g an d tex t o f pat , (6) , Tex t rea d a a follows : "Notwithstandin g paragrap h (1 ) , th e maximL m

civi l penalt yfo r violatin g sectio n 417X 5 shal l b e ?5,QD 0 instea d o f 51,000." " Subsec . (a)(7) . Pub . 1. . 108-176 , Sec . 503(ai(4) , .iLruc:! : ou t he.id i n g an d r.,-.x i o f p:ir , (7) . Tex t rea d a s follows ; ''Notwithstandin g paragrapu. i (1 ) an d (4) , tr e maxiinuni civi l penalt yfo r violatin g sectio n 4012 7 o r 4171 2 (includin g a reguial:ici n pre:jcribe d o r orde r issue d unde r suc h section ) o r anyothe r regulatio n picrcrjbe d b yth e •'Secretar ytha t i s intende d t o affor d consume r protectio n t o commercia l ai r tian.iportoti.o n pd:>sengcr.i , uhal l b e 52,50 0 ro r eac hviolation,' ' Subsec . (a ; (8) . Pub . 1- . 108-176 , Sec . 503(al(4) , redesignate d par . (6 ) a s (4 1 . Subsec . (d ) (4 ) (Iv ) . Tub , L . 108-176 , Gee . 50 3 lb ) (1) , substitute d ''mor e than—" ' fo r "mor e tha n ?5O,OO0;' ' an d adde d tls . (i ) t o (iii) . Gub.-iec . (d)(8) . Pub . L . liJH-lVfi , .';<T.: . 503(b)(2) , substitute d ""i.i-

- ' ' fo r "'i a .^50,000. " an d adde d subpars . (A ) l. o (C ) . r,ijli.->et: , (i.) . rub . L . 108-176 , Sec . 503(c) , adde d sub.iec . (i) . 

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200 2 —Subsec . (alO) . Pub . L . 10'/-29 6 adde d par . (8) . 2001—subsec . (a)l2) . Pub . L . 107-71 , Sec . 14 0 Id ) (1 ) (C) , in.ierte d ""Unde r Secretar yor' ' befor e ""Administrato r shall"' . Pub . 1 . 107-71 , sec . 140(d)(1)(B) , inserte d afte r firs t sentenc e " Th e Unde r Secr«tor vo f Transportatio n fo r Securit yma yimpoG e a civi l penalt yfo r a violatio n o f chapte r 44 9 (excep t section s 44902 , 44903(d) , 44907(a)-(d ) I D (A) , 4490 7 (d ) (1 ) (C)-(t) , 119UH , an d 44909 ) o r a regulatio n prescribe d o t orde r issue d unde r suc hchapte r 119.' " Pub . I, . 107-71 , Sec . 140(d ) (1 ) (A) , whic hdirecte d amendmen t o f subsec . (d ) (2 ) b yatrilcing ou t '' , chapte r 44 9 (excep t section s 44902 , 44903(d) , 44907(a)-(d ) (1 ) (A ) an d (d ) (1 ) (C)-(f) , 44908 , an d 4490S) , '' , wa s execute d b ystrilcing ou t '" , chapte r 44 9 (excep t section s 44902 , 44903(d) , 44904 , 44907(a)-(d ) (1 ) (A ) an d (d ) (1 ) (C ) - (f) , 44909 , an d 44909),' ' befor e "o r aectio n 46301(b)" , t o reflec t th e probabl e inten t o f Congress . Subsec . (d)(3) , (4) . Pub . L . 107-71 , Sec . 140(d)(2) , substitute d "Unde r Seerefcer yo r Administrator" ' fo r 'Administrator'' . Subsec . (d)(a) . Pub , I. , 107-71 , Sec . 140(d)(3) , .-lubsit i tutc d ''Unde r Secii-^tary , Administrator,' ' fo r ""Administrator'' , Subsec . (111(2) . Pub . T. . 107-71 , Sec . 140(d)(4) , inserte d "th e Unde r Secretar yo f TransporLaLio n fo r Securit ywit hrespec t t o securit ydutie s an d power s deaignat^ d t o b e carrie d ou t b yLh o Unde r Secretar yor' ' afte r ' (or ' " . 20l)0~Sub:.iec , (a)(1)(A) . Pub . L . 106-101 , Sec . Sec . 519(c) , 720(1) , substitute d "subchapte r I T o r II I o f chapte r 421' ' fo r 'subchapte r I I o f chapte r 421' ' an d struc k ou L "'16302 , 46303 , or' ' befor e ''47107(b ) (including' ' . Subsec . (<i)(3)(C) . Pub . L . 106-im , Sec . 50 3 (c) , adde d subpar . (C ) . Subsec . (a)(3)(D) , (E) . Pub . b . 106-181 , Sec . See . S04(b) , 707(b) , adde d subpar.'. . (h ) an d (E ) . Subsec . (M)(Ci) . L'ub . L . 106-181 , Se<: . 7..? 2 (b ) , inserte d headin g an d realigne d margins . Sub.iei; . (.•! ) (7 ) . rub . L . 10 6 IBl , Sec . 222(a) , adde d par . (V ) . Subaec . (d ) (2 ) . Pub . r, . 106-42 4 substitute d •'4S301(b) , 46302 , 46303 , 46310,' ' fo r "'46302 , 16303,'' , Subsec . (d)(7)(A) . Pub , L . 106-181 , Sec . 720(2) , aiDmt i tute d " a penalt yo n a p&rnon' ' fo r '" a penalt yo n a n individual'' . Subsec . (g) . Pub . L . 106-381 , Sec . 720(3) , inserte d '-o r th e Administrator" ' afte r ' 'Secretary"' . 1997—subtecs . (a)(1)(A) , (?,)(A) , (d)(2) , (f ) (1 ) (A ) (i ) . Pub . i. , 105
- 10 2 repeale d Euh . L . 104-264 , Sec . S«c: . 5nZ(i:) , 1220(b) . Se e 199 6 Amendmen t note a below . 199fi—Sub.?ec . (a)(1)(A) . Puh . L . 104-297 , Sec . 5 (77 ) lA ) (i i i ) , (iv) , inserte d '"or" " afte r '"46303,' ' an d struci t ou t " " , o r 41715' ' alte r unde r suc hsection)'' . rub . L . 10 4 287 , ."Se c 5 (77 ) (A ) (ii ) , subsLiLuI.e d "riectiiTi n 44502(b ) O r (c) , irhaptr r 44 7 (excep t section s 4471 7 an d 44719-44'^23 ) , cliapLe r 44 9 (excep t aecticii e 44902 , 44903(d) , 44904 , 4490 7 (a ) - (d ) (1 ) (A ) an d (d ) (1 ) (c ) - (f ) , an d 14905) , o r section" ' lo r "o r an yo f .section s 44'/01(a ) o r (b) , 44702-44716 , 14901 , 44903(b ) o r (c ) , 449ub , 1490S , 44907(d)(1)(B) , 44909(a) , 44912-44915 , 44932-44S.3FI , ' ' . f(fag e 910 ] ] Pub . L . 104-287 , Sec . 5(77 ) (A ) (i) , aubstlLutu d " ctioptc r 41 3 (excep t sectioni ! 1131) 7 >in d 4131 0 (b)-(f ) ) , chapte r 41 5 (excep t aecLion.- ; n.-in?. , 41505 , an d 4liO'/-4150») , chapte r 41 7 (excep t section s 41703 , 41704 , 41710 , 41713 , an d 41714),' " fo x "'anyo f .-lections 41301-41306 , 11300
- n:ilO(.n) , 4.1501 , 41S03 , 41504 , 4150G , 41510 , llijll , 41701 , 4)702 , 41705
- 4I'/04 , 41711 , 41712 , o r 41731-41742 , " . Pub . L . 104-261 , Sec . 1220(b) , whic hdirecte d amendmen t o f subpar . (A ) b yinsertin g '"44718(d),' ' afte r '44716,'' , wa s repeale d b yPub . L . 105-102 . Pub . L . 104-264 , Sec . 502(e ) (1) , whic hdirecte d amendniei: t o f subpar . (A ) b yinsertin g '"44724,' " afte r ' "'1171( ( (d ) , ' " , w.i 3 repeale d byPub . L . 105-102 . Subsec . (a)(2)(A) . Pub . J, . 104-287 , Sec . 5l77i(D) , substitute d ' , sectio n 4450 2 (i3 ) o r (c) , chapl-.e r 44 7 (excep t section s 44717-44723) , o r chapte r 44 9 (excep t section s 44902 , 14903(d) , 44904 , an d 4490'/-44909 ) ' " fo r "'o r an yo f section s 44701(a ) o r (b) , 44702-117 1 f> , 44901 , 44903(b ) o r (c) , 449U1 , 11906 , 44912-4491E , o r 41932-44938'' . Pub . JL . 104-264 , See . b02(e)(2) , whic hdirecte d amendmen t o f subpar . (A ) b yinaerti:i g ''44724,' ' afte r •"44'/16,'' , wa s repeale d b yPub . L . 105-102 . Subsec . (a-(3) . Pub . L . 104-287 , Sec . 5(77)(C) , realigne d margin s o l subpara . (A ) an d (13 ) . Subsec . la, . (5 ) . Pub , L . 104-264 , Sec . HO I (b ) , omende d par . (b ) generally . Prio r t o amendment , par . (5 ) rea d a s iollow.'i : ' ' T p th- i cas e o f a violatio n o f fiectioj ) 47107(b ) o f ehi j title , th e raaxiiiiuin oivi l penalt yfo r a continuin g v i olij^ie r shal l no t e^tccie d 050,000.' ' 

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Sub.iec . (e.)(l)(A) . Pub . L . 104-287 , Sec . 5(77 ) (Cr ) (ii ) , (iii) , struc k ou t ""or' ' befor e 'subchapte r 11' ' an d inserte d '" , o r aeetio n 44909' ' befor e ''o f thi s title' ' . Pub . L . 104-287 , Sec . .5 (77 ) (u ) (i) , substitute d '"chapte r 41 3 (excep t section s 4130 7 an d 41310(b)-(f)) , chapte r 41 5 (excep t section s 41502 , 41505 , an

d 4i;i07-415D9) , ehnptc r 4) 7 (excep t section s 41703 , 41704 , 41710 , 41713 , en

d 41714),' " fo r "an yo f .•ieetien

? 4)301-41306 , 4130 8 41110(a) , 41501 , 41503 , 41504 , 41506 , 41510 , 41S11 , 41701 , 41702 , 41705
- 11709 , 41,71.1 , 41712 , o r 41731-41742," . Subsec . (CI ) (2 ) . Pub . L . 104-287 , S&c . S(77)(E| , robsticute d "'sectio n 44502(b ) o r (c) , chapte r 44 7 (excep t section s 4471 7 an d 44719
- 44723) , chapte r 44 9 (excep t eection t 4490Z , 11903(d) , 44904 , 44907(a)
- (d)(1)(A ) an

d (d ) (1 ) (C ) •~(f) , 44908 , an d 44909 ) , o r section" " I'o r 'o r an yol ' seetior s 44701(a ) o r (b ) , 41702-44716 , 44901 , 44903(b ) o r (c ) , 44905 , 44906 , 44907(d)(1)(B) , 44912-44915 , 44932-4493B,"" , Pub . I. . 104-264 , Sec . 1220(b) , whic hdirecte d amendmen t o f par . (2 ) b yinsertin g "44Via(d),' ' afte r ''44716,'" , wa s repeale d b yPub . L . 105-102 , rub . L . 104-264 , Sec . 502(c)(1) , whic hdirecte d ainisiidmen t o f p.:ir . (2 ) b yiciaercin g ""44724," ' afte r ' 1171 0 Cd),'' , wa s repeale d b yPub . L . 105-102 . Subsec . (f ) (1 ) (A ) (i ) . I'ub . L . 104-28'/ , Sec . .•:(77)(>-) , substitute d • ".'loetio

n 44502(b ) o r (c) , chapte r 44 7 (excep t section s 44V1 7 an d 11719
- 44723) , O r chap(:e r 44 9 (excep t section s 44902 , 44903(d) , 44904 , 4490 7 (a)-(d ) (1 ) (A ) an d (d ) (1 ) (C ) - (f) , 44908 , an d 14909)" " fo r "o r an y o f section s 44701(a ) o r lb) , 447U2-44716 , 44901 , 44S03(b ) o r (e) , 14905 , 44906 , 44907(d)(1)(D) , 44912-44915 , o r 44932-44936'" . Pub . t , 104-264 , Sec . 1220(b) , whic hdirecte d amendmen t o f cl . (i ) b yinsertin g ' 4471 8 (d),' ' afte r '"44716,"' , wa; j repeale d b yrub . L . 105-102 . Pub . L . i04-2fil . Sec . 50,':(c)(l) , whic hdirecte d amendmen t o f cl . (i ) b yinsertin g '"44724,' " sitisr "11718(d),'' , wa s repeale d b yPut . L . 105-102 . 1994—SubS'BC . (a)(1)(A) . Pub . i . 103-429 , Sec . 6(60 ) (A) , .lulj.i t i ture d "anyo t secLion!- . 41301-41306' ' fo r "sectio n 41301-41306' ' an d ""anyo i seccioii a 44701(a)' ' fo r ""sectio n 1470 1 (a ) '' , Pub . L . 103-305 , Sec . 207(c)(1) , inserte d ' , o r 11715' ' befor e ''o f thi s title'" . Pub . L . 103-305 , Sec . 112ic ) (1 ) (A ) , substitute d '46303 , 47107(b ) (includin g an yassuranc e mad e unde r suc hsection)" " fo r 'o r 4(7.103'" . subsec . (al (2 ) (A ) . Pub . L . 103-129 , .i^ee . e(60)(«) , substitute d "an y o f aection s 44701la)' ' fo r "'sectio n 44701(d)'' . i'ubxec . (.11(4) . Pub . L . i03~30t . Sec . 207(c ) (21 , inserte d ' (ol.hrs r tha n a violatio n o l .-.ectio n 4)71.5)' " afte r '"th e violation' " i n tw o places . Subsec . ia,i(5) . Pub . i. . 103-305 , Sec . 11 2 (c ) (1 ) (R ) , .Kidc d p,-.ir , (5) . sub.iei: . (.i;(6) . rub . I . lOa-ao."? , Sec , 207(c)(3) , adde d par . (6) . Subaec . (c:(l)(M . Pub . t, . 103-42D , Sec . 6(60 ) (C) , substitute d "'any o f section s 41.'!01-41306 " ' fo r "'sectio n 11301-41306'' . subsec . (3)12) . Pub . L . 103-429 , Sec . 6(60)0) , substitute d 'an yol ' section s 4470 1 ;a)" " fo r '"sectio n 44701(a)'' . Pub . L . 103-305 . Sec . Ii2(c)(2) , aubsLir.utti d "45303 , o r 47107(b ) (a: ; furthci r define d b yth e Secretar yunde r sectio n 47lu7(i ) an d includin g anyassuranc : mad e unde r sectio n 47107(b))' ' fo r 'o r 46303"" . Subsec . (d ) (7 ) (y ) . pub . L . 103-30.': , .'^er. . 1) 2 (c)(3) , adde d subpar . (15 ) . Subaec . (f: ) (1 ) (A ) (i ) . Pub . L . 103-429 , Sec . 6((J0)(B) , SUbBLiLu(.c:< i '"an yo f section s 44701(a)' ' To r ""sectio n 44701(a|'' . Effectiv e Dat e o f 2D0 3 Amendmen t Amendmen t b yPub . L . 108-17 6 applicabl e onl yt o fisca l year s beginnin g afte r Sept . 30 , 2003 , excep t a s oLherwis u specificall y provided , se e sectio n 3 o i Pui> . T. . 108-176 , se t ou t a s a not e unde r sectio n 10 6 ol ' thi s title . Effectiv e Datr : o f 2 00 2 Amendmen t AiiiKndmen t b yTub . L . 107^29 6 effectiv e S O day a alte r Nyv . 25 , 2002 , se e sectio n 4 o l Pub . L . 107-29^ , se t ou t a. i a n Rffectiv e Uat e not e unde r sectio n 10 1 o f Titl e 6 , Oorac'jtl c Security . bffectiv e Dat e o l 200 0 Air,endment Amendmen t b yPub . L . 106-18 1 applicabl e onl yl. y(i!;eal year s b<:yiiinin

g .-.iftc r Sept . 30 , 1999 , sc c sectio n 3 o l Pub . L . lOfi-lSl , se t ou t a s a nol.. : uriH,: r aectio n 10 6 o f thi s title . 

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Eri'eeuiv e Dat e o r 199 7 Amendmen t Pub . L . 105-102 , Sec . 3(c) , Nov . 20 , 1997 , 11 1 Stat . 2211, , provide d tha t th e amondmen t mad e b ysectio n 3(c)(4 ) i s effectiv e uct . 9 , 1996 . Amendmen t b yPub . L . 105-10 2 effectiv e a s i f include d i n th e provision.- : o f th e Ac t t o whic hth e omendmen t relates , se e sectio n 3(f ) o f Pub . L . 105-102 , se t ou t a.- ? a iiol. e unde r rtecl.Jon 1() 6 o f thi.' i title . Effectiv e Dat e o f 199 6 Amendment s Amendmen t b yPub . L , 104-28 7 effocti.v o Jul y5 , 1994 , se e sectio n 8(1 ) o f Pub . L . 104-287 , se t ou t a s a not e unde r sectio n 530 3 o f thi s title . Amendmen t b ysectio n 502(c ) o f Pub . L . 104-26 4 applicabl e t o an yai r carrie r hirin g a n individua l a s a pilo t whos e app)icatio n wa s firs t received ) b yth e carrie r o n o r afte r th e 120t hda yfollowin g Oct . 9 , 1996 , ae e flection 502(d ) o f Pub . T, . 101-264 , se t ou t a a a not e unde r sectio n 3030 5 o f thi s title . Excep t a s otherwis e specificall yprovided , amendmen t b yPub . L . 104
- 26 4 applii;nbl e onl yt o fisca l year s bsginnin g afte r Sept . 30 , 1996 , an d no t t o b e construe d a s afiectin g fund s mad e availabl e lo r a liisca l y»:a r endin g befor e Oct . 1 , 1996 , se e sectio n 3 o f Pub . L . 104-264 , se t ou t aa a not e unde r sectio n 10 6 o f thi." : title . Effectiv e Dat e o f 199 4 Amendment s Amendmen t b yPub . L . 103-42 9 eifectiv e Jul yb , 1994 , .le e .rKsci.lo

n 9 o r Pub . L . 103-429 , se t ou t a s a not e unde r sectio n 32 1 o f thi a title . Amendmen t b ysectio n 207(c ) o f Pub . L . 103-30 5 effecriv e Feb
- 1 , 199b , se e secl.ioi i 20 7 (d ) o f Pub , 1. . 103-305 , se t ou t a s a n Effectiv e I^ate not e unde r sectio n 41'/1 9 o l thi: j L i Lie . Saving s Provisio n Pub . r. . 102-345 , Sec . 2(c) , Aug . 26 , 1992 , 10 6 Stat . .92.'i , providit d that : ''Notwit'hatendin g subsection s (a ) un d (b ) o f thi. 7 section , .:)ef^rion

s 90 1 (a ) (3 ) an d 90 5 o f th e Federa l Aviatio n Ac t o l iSbl i |Pub . L . eL:-726 j a s I n i.-.n-iiei

- o " Jul y51 , 1992 , .shal l continu e i n effec t o n an d afte r suc hdat 9 [[P,-i<7 e 917] ]
o f enactmen t wic hrespec t t o vlolaLiOu S o f Lli c Federa l Aviatio n A::r . o f 195 8 occurrin g befor e suc hdat e o f enactment." ' TraiiSfe r o £ Functiun: ! fo r transfia r o f iuncLiouK , per»oiin<7l , nr.^.atr. , an d liabilitie s o f th e Transportatio n Securit yAdminiatrotio n o f th e uopartmen t o f TrnnMportation , includin g th e function s o f th e Secretar yo l Transportation , an d <J 1 I.IH : Undis r .^<;eretar yo f Trc^noportatio n fo r Security , relatin g thereto , t o th e Secretar yo l Homelan d S<;<:uril.y , anri fo r treatmen t o f relate d references , se e section s 203(2) , 551(d) , 55. 1 (d) , an d 55' ' o f Titl e 6 , Domeati c Security , an d th e Departmen t o f Homelon d Securit yReorganizatio n Ela n o f Novembe r 2b , 2002 , a s modified , se t ou t a s a ntit e unde r sectio n 54 2 o f Titl e 6 .



## htip://(hvebgate4.access.gpo.gov/cgi-bin/TFXTgate.cgi?WAlSdoclD=35138286284+0+1-1.. . 4/15/201 0 660/iLOi a SW Q < • VV d StLSSGtSO S XV d to:i? L 0L03/LL/3 0

### 10/01/0 7 21503 B Chapte r7 . Sanctio n Guidanc e Policie s
1 . Purpose
. Thi s chapte rprovide s (h e FA As policie s To r(jeieiininin g a n appropri^ji e baiiciio n onct : FA Aentorccme/i i personne l decid e tha i lega l enforcemcn i aciio n i s appropnai e Thi s chapte r corH^in s th e genera l pohc yth e FA Aintend s t o appl yi n selectin g th e type s o fsanctions , range s o f sanction,' ; wnhi n thos e types , an d specifi csanctio n amount s t o impos e i n lega l enforccmen i aciion i fo rtypica l vioLation s afth e FAA s statut e an d rejjiilations
. Thi s guidanc e covci. s th e parameter s bot h fo rselectin g sanction s an d fo rnu.idifyin g sanction s duriiij ^ lh e informa l procedure s Th e guidanc e u i thi s clwpie ri.s applie d i n adjudication s unde r4 9 i) S C § § 44106 , '<47()9.14710
. 44726 . '1'4924 , 461 1 I , 46301 . an d 701 1 • ? HaZ'jrdou N material s sancii(,i n guidanc e aru l policie s ar e addresse d i n Appendi xC 2 , (Tcnerj j Guidelines
. a . Certificat e Suspensio n Actio n an d Civi J Penalt yAction : SaoclioiL s fo rPunitiv e an d Delef t cn i Purposes
.

( I j Ciciieia l If a cenificai cholde rimproperl yexercise s (h e firivdcge s o fa ccnifKaie , a natura l cons'tquenc co ftha t act i s t o h>.s e lh e privitejjc s fo ra peri(; d o ftun e conimensiirji e wit h th e violatio n Balance d agains t (hi s principle , however , th e FA Aconsider s th e advers e impnc t tha t a certificat e suspensio n coul d hav e o n th e public
. Thus , th e agenc ygenerall ysu.spcnd s th e certificate s o findividua l ceniflcat e holder s fo rviolations
. However , th e FA Au.suall yuko s civi l penalt yactio n agains t ai rcirrrer.' ; an d airport s becaus e suc h acli(;n s d o iio i di.";Aij) t service , whic h ma yadversel yaffcc i th e public
. Nevcnhelcss , wfic n th e FA Adetermine s tha t safet y coii.sidcration s warran t it , th e agenc ywil l suspen d th e cciiiricai e ofaii ytyp e o fcertificat e holde i I n n o cas e wil l (h e FA Atak e eivi j penall yactio n alun e whe n remedia l lega l actio n i. s necessary o rappropriat e (2 ) Us e o fbolf i punitiv e certificat e actio n an d civi l penalt yaciio n fo rth e sam e violation s Th e FA Agenerall ydoc s no t tak e civi l penall yactio n an d punitiv e certificat e actio n (tha t IS , cenificat csuspensio n fo ra fixed perio d o flime ) agains t a eenifi^t cholde rfo rth e sam e conduct
. Ifunusua l circumsiancc s warran t deviatio n fro m thi s practice , regal counse l consul t ! • wit h (h e Assistan t Chie fCounse l fo rEnforcemen t (AGC-300 ) befor e initiatin g th e actions
. (3 ) Chang e i n typ e o fpropoitc d sanctio n Th e initia l enforcemen t aciio n reflect s th e agency' s t>est assessmen t o fth e appropriat e sanctio n fo rth e violation s alleged
. Afle rinitiatin g th e action , lega l counse l ordinaril ydoe s no t chang e th e typ e o fsanctio n unles s additiona l faccj o r circumsuince s ar cpresente d t o th e FA Atha t warran t a change
. I fth e actio n wa s coordinate d unde rchapte r6 . paragrap h 3 . wit h AGC-.30 0 befor e initiation , the n lega l counse l coordinate s an y chang e i n th e typ e o fsanctio n wit h AGC-30 0 befor e makin g (h e change
. b
. Lega l Sanction s fo rRemedia l Purposes , ( I ) Indefinit e certificat e .siispensio n pendin g complianc e o rdemonstratio n o f qualification
. Suspensio n actio n i s appropnat e wher e ilicr e i s a nee d tetnpciranl y( o 

### 7- 1 

# R- a EXHIBI Tn VV j snSGGtSO S XVd SO: n OLOS/LL/9 0 660/810 0 su a - ^^ ^10/01/0 7 2150.3 B

.su.spen d th e privilege s o fth e certificat e o rratin g pendin g demonstratio n o fqualificatio n o r coiiipliai»c e wit h staiulor yo rregulator yrequircmonis , FA Agenerall yuse s remedia l suspensio n whe n a n individua l doe s no t volunwril ysurrende rhi s o rhe rcertificat e pendin g reexamination
. Sci i chapte r5 , (2 ) (Cenificat e revocatio n - general
. Th e FA Arevoke s a certificat e whe n a cenificat e holde rlack s th e qualification.' ; t o hol d th e certificat e Th e cenificai e holder' s continue d exercis e o fth e privilege s o fth e certificat e i n suc h circumstance s woul d b o contrar yt o safet ym ai r commerc e o rai rtransportatio n an d th e publi cinterest
. Revocatio n i s appropriat e wheneve ra certificat e holder' s conduc t demonstrate s a lac k o fth e technica l proficienc yo ra jac k o flh e degre e o fcare , judgment , o rresponsibility , require d o fth e holde ro fsuc h a certificate
. Order s o f revocatio n ar e issue d o n a n emergenc yba.si. ^ whe n th e conificat e holde rlack s qualificatio n an d i s reasonabl yabl e as a practica l matte rt o exercis e th e privilege s o fth e ecnificato
. Lega l counse l doc s no t alleg e a lac k o fqualification s t o avoi d dismissa l o fcharge s unde r4 9 C F.R
. § 821..13 . th e NTSB' s stal e complain t rul e (3 ) Cenificat e fevocaiu)i i - individuals
. Th e FA Agenerall yrevoke s a n mdividuaT s certificat e o rratin g wheneve rh e o rsh e demonstrate s a lac k o fwiUmgne.s.' s o rabilit yt o compl y consi.stenil ywit h statutor yo rregulator yrequircinenis
. Alac k o fwillingnes s o \

abilit yt o compl y ma yb e demonstrate d b ysuc h thing s as repeate d o rdeliberat e violation s o rb yviolation s tha t involv e grossl ycareles s o i reckles s conduct
. Fve n a singl e violatio n ma yb e sufficien t t o warran t a conclusio n a n mdivKhia l lack s qualification s Th e FA Aordinaril yrevoke s al l certificate s o fa ficrso n wh o conimii s a violtttioi i involvin g intcniion-a l falsification
. (4 ) Ccitifical e revocatio n - entities
. Revocatio n i s normall yappropriat e whe n a cenificate-holdin g entit ydelibciatel yo rHagrantl yviolate s th e statut e o rregulation s o rfalsifie s records
. Revocatio n als o i s generall yappropriat e whe n th e certificat e holdc i ha s con'uriite d th e sam e o rsimila rviolation s i n th e recen t pas t demonstiatiii g a lac k o fqualification , o rwhe n th e certificat e holde rn o longe rhas , an d doe s no t obtai n i n a reasonabl e time , th e personne l o r equipmen t t o conduc t it s operatio n i n ful l complianc e wit h statutor yan d regulator yrequirements
. (5 ) Mandator ycertificat e revocation
. Unde r4 9 U.S.C
. § 44710 , th e FA Ai s require d t o revok e th e cenificate s o fan yairma n wh o ha s bee n convicte d o fviolatin g certai n federa l o rstat e statute s relatin g t o a controlle d substanc e whe n a n airplan e wa s use d i n th e commissio n o fth e offens e an d th e airma n serve d a s a n airman , o i wa s aboar d th e aircraft , i n connectio n witl i commissio n o fth e offens e o rth e facilitatio n o fth e commissio n o fth e ofTense
. tve n whe n ther e ha s bee n n o conviction , revocatio n i s require d whe n a n ainna n ha s knowingl ycarrie d ou t a n activit ypunishabl e unde rthes e crimina l statutes . Th e Administrato rma ywaiv e th e revocatio n i f a la wenforcemen t office rrequest s th e waive ran d th e Administrato rdecide s th e waive rwj H facililai e la wenforcemen t purposes . Se e 4 9 U S.C
. § 44710(0
. Unde r4 9 U.S.C
. § 44106 , lh e F A Aals o mus t revok e th e registratio n certificat e o fan yairplan e use d i n iJi e commissio n o fsuc h a n OfTens e whe n th e us e wa s permitte d b yth e owne ro fth e aircraf t wit h knowledg e tha t i t woul d b e use d fo rsuc h purpose . Unde r4 9 U.SC
. § 44726 , th e FA Anius i revok e th e certificate s o fan y certificat e holde ro ra n individua l wh o ha s a controllin g o rownershi p interes t i n th e holde rwh o wa s convicte d o fa violalio n o ffedera l la wrelatin g t o th e installation , production , repair , o rsal e o fa counterfei t o rfraudulently-represente d aviatio n pa n o rmaiena l o rknowmgly , an d wit h th e 7- 2



### 6e0/6L0i a SW O ^ VV d StLSeetSO S XV d SO:t L OLOS/Ll/9 010/01/0 7 21503 B

inten t t o defi'aud , carrie d ou t o rfacilitate d a n activit ypunishabl e unde rsuc h a la wTIi c Administrato rma ywaiv e tha i sanctio n t o facilitat e la wenforcemen t purpose s o ramend , rathe r tha n revoke , a certificat e unde rcertai n circumstance s Se c4 9 U S.C
. § § 44726( 0 an d (g)
. (6 ) Mandator ycertificat e actio n fo rsecurit yconcerns . Unde r4 9 U S.C
. § 46 1 11 , th e Adminisiraio ri s require d t o issu e a n orde ramending , modifying , suspending , o rrevokin g an y FAA-issue d certificat e i fth e Administrato ri s notifie d b yth e Unde r.Secretaryo fBorde ran d Transportatio n Securit y(DTS ) o fth e Depanmen i o fHomelan d Securit y(DHS ) tha i th e cenificai e holde rposes , o ri s suspecte d o fposing , a ris k o fai rpirac yo rterroris m o ra threa t t o airlin e o rpassenge r.safety
. Unde r4 9 U.S.C , § 44924 , th e Administrato ri s required , a t th e reques t o flh e Unde rSecretary ' o fBTS
. t o suspen d o rrevok e foreig n repai rstatio n certificate s i n connectio n wit h securit yaudits
. 3 . Applicabilit yan d Exclusions
. Th e sanctio n guidanc e tabl e (table ) i n Appendi xB provide s type s o fsanction s an d genera l range s o fsanctio n amount s fo rviolaiion s o f4 9 U.S C stibtitl e Vl l an d 14C.FK.part s 1-19 9 an d 4 9 U.S.C
. subiitl e IX
. chapte r70 1 an d 1 4 CF. R chapte rII I Onc e th e agenc yha s determine d liia i lega l enforcemen t actio n i s warrante d fo ra violation , FA A enforceiTien t personne l us e di e tabl e an d paragiap h 4 o fthi s chapter , a s wel l as an yothe r sanctio n guidanc e i n thi s order , t o deteimin e a propose d sanction
. Th e matter s descril^e d i n chapte r7 . subparagraph s 3a.- d ar e .soni ctype s o fagenc yactio n tha t fal l outsid e lh e scop e o f paragrap h 3 an d th e tabl e a . Deci$ion.< ; <

o Tak e Administrativ e Actio n (Warnin g Notice s o rLetlcr. vo f Correction)
. A n adtninistrativ cactio n doe s no t constitut e eiilie ra fomia l adjudicatio n o f(h e inciden t o ra finding ofviolation
. I o rtha i reason . FA Ainvestigativ e personne l d o no t propos e i t sanctio n usin g th e table
. b
. Th e FiVA' s Exercis e o fProsecutoria l Discretion
. Th e decisio n whethe rt o prosecut e a particula rcas e i s base d o n a revie wo fth e evidenc e an d relevan t polic yan d litigaiio n consideration s Th e agenc yexercise s broa d discretio n i n bot h th e initia l decisio n t o bnn g a lega l enforcemen t aciion
. an d i n an ylate rdetenninatio n t o compromis e o rsettl e a cas e base d o n variou s considerations
. Th e FA,A' s discretio n i n thes e area s i s absolut e an d presume d t o b e immun e fro m review
. Heckle rv . Chancy , 47 0 U.S
. 821 , 83 1 (1985)
. c . Hazardou s Mafcrial s Violations
. Action s involvin g violation s o flh e federa l hazardou s material s transportatio n law , 4 9 U.S. C chapte r5 I , o rth e Departmen t o fTransponation' s Hazardou s Material s Regulations , 4 9 CF.R
. pan s 10 6 throug h 185 , Enforcemen t sanctio n guidanc e fo rihe.s e violation s i s foun d i n Appendi xC
. d
. Violatfon s b yMember s o fth e ll.S
. Arnae d Forces , Th e FA Ai s require d t o forwar d report s o fthes e violation s l o th e Secretar yo fth e dcpantncn t concerne d unde r4 9 U.S.C
. § 46101(b) , wheneve rth e violato ri s actin g i n th e pertormanc e o fofTicia l duties
. Th e FAA , however , cake s remedia l aciio n i n additio n t o referrin g a repor t whe n th e violator , whethe ro rno t

7- 3

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### 10/01/0 7 2150.3 B

actin g i n th e performanc e o fofficia l miliuvr yduties , hold s a n FA Acenificaie , an d th e violator' s qualification s ar e at issue
. Th e FA Ama ytak e punitiv e actio n agains t a membe ro fth e U.S
. Arme d Force s fo ra violatio n committe d whe n th e membe ri s no t performin g officia l duties
. 4 . Mitigatin g o rAggravatin g Factor s an d Flements
. Th e factor s i n chapte r7 , subparagraph s 4. a throug h m hav e bee n develope d ove ryear s o fpolic ymakin g an d cas e adjudication
. The y hav e prove n usefii l an d appropriat e fo rdeterminin g th e seriousnes s o fa violatio n an d fo r selectin g a n appropnat e sanction , tleirient s fo revaluatin g an d weighin g eac h facto rar e als o described
. Thes e factor s an d element s provid e a framewor k fo rdeterminin g sanction s fo r violation s specificall yliste d i n th e tabl e a s wel l as ihos e no t specificall yliste d Al ) th e factor s an d elemenis , however , ma yno t appl yt o eac h violation
. Onl ythos e factor s an d element s iha i ar e relevan t t o a violatio n ar e considere d i n clekrmiining a sanctio n fo rth e violation
. Thi s lis t o f factor s an d element s i s no t intende d t o b e exhaustive ; othe rfactor s ma yb e relevan t a s well
. a . Natur e o fth e Violation
. Thre e elemeni s defin e th e natur e o fa violation : first, whethe r th e violatio n wa s operationa l o rnon-opeiaiional , second , whethe rth e violatio n involve d carclcs. s o rreckles s conduct , an d third , whethe rth e violatio n involve d an yspecia l aggiavaiin g o r mitigatin g factor s (1 ) Individual s Whe n a n individua l wh o hold s a certificat e improperl yexercise s th e privilege s o ftha t certificate , th e naixira l consequenc e o ftha t ac t shoul d b e los s o fprivilege s fo ra perio d o ftim e commensurat e wit h th e violatio n Th e FAA , therefore , primaril yose s cenificai e action s t o enforc e operationa l regulation s again.'i t individual s wh o hol d certificates
. Th e potentia l 'advers e impac t tha t certificat e aciio n ma yhav e o n a n individual s livelilioo d doe s no i alte rthi s principl e Noii-operaiiona l violnticjii. s ma ywarran t a differen t typ e o fsanction
. (2 ) Entitie s Th e I'A Aordinaril ytake s civ d penalt yactio n agains t a ceriificate-holdin g entit y(fo rexample , a n ai rcarrier ) whe n i t detcmn'ne s ther e woul d b e a substantia l advers e im|)ac t o n th e publi cinteres t fro m disrupte d servic e b ytha i certificat e holde ran d th e impac t i s no t outweighe d b ysafet yconsideration s Rve n whe n a subsuntia l advers e impac t woul d occur , whe n ther e i s a nee d t o preven t continuin g violation ? o rothe regregiou s coiiduc t b yan y certificat e holder , whe n an ycertificat e holde i lack s qualification , o rther e i s a reasonabl e basi.s ' l o questio n th e qualification s o fan ycertificat e holdei , th e FA Atake s remedia l action , fo rexample , revocatio n o rindefinit e suspension , as necessar y (3 ) Careles s o rreckles s conduc t Violation s tha t involv e careles s o rreckles s conduc t i n violatio n o f1 4 CF. R § 91.1 3 ma ywarran t mor e sever e sanctions
. Carelessnes s connote s conduc t tha t fall s belo wth e standar d o fcar e o rprudenc e expecte d o fa reasonabl e person , o r holde ro fth e relevan t certificate , actin g unde rth e sam e o rsimila rcircumstance s Recklessnes s cormote s conduc t tha t demonstrate s a gross , o reve n callou s o rflagrant , disregar d fo rsafety
. Aircraf t operation s tha t d o no t otherwis e resul t i n a violatio n o fa specifi cregulatio n shoul d b e evaluate d i n ligh t o fthes e standard s t o determin e whethe rthe ycon.siiuit e careles s o rreckles s operation s i n violatio n o f1 4 C F, R § 91,13 . Wlic n a perso n operate s a n aircraf t i n violatio n of a specifi cregulatio n othe rtha n 1 4 CF.R
. § 91.13 , however , tha t violatio n constitute s a careles s o r reckles s operatio n i n an d o fitself
. I n thes e cases , th e misconduc t ma yals o resul t i n a violatio n o f1 4 CF.R
. § 91.1 3 i fi t actuall yo rpoicntiall yendanger s th e live s o rpropert yofothcrs
. 7- 4



### eso/Lso ®

sw

o ^ VV d snges^so s xv d so- n oioe/u/a o10/01/0 7 2150.3 B

Whe n calculatin g th e amoun t o fsanctio n base d o n thi s factor , a distinctio n generall yi s draw n betwee n instance s wher e | 4 CF.R
. § 91.1 3 i s a n independen t violatio n an d thos e wher e i t i s residua l t o anothe rviolation
. Whe n a 1 4 CF.R
. § 91.1 3 violatio n i s residua l only , a highe r sanctio n generall yi s no t warrante d unles s th e conduc t i s als o reckless
. b - Whethe rth e Violatio n wa s Inadverten t an d No t Deliberate
. If a violatio n i s deliberat e o rno i inadvertent , a sanctio n a t th e uppe ren d o fth e rang e o rexceedin g th e rang e fo r tha t typ e ofviolatio n generall yi s appropriate , Adeliberat e violatio n generall ywarrant s a sanctio n tha t i.s mor e sever e tha n on e tha t i s jus t no t inadvenen t ( I ) No t deliberat e Thi s elemen l mean s a lac k o fth e degre e o fdeliberatio n foun d i n intentiona l miscondut:!
. Deliberat e o rinicntiona l misconduc t i s a n aggiavatin g circLinisianc e an d include s deliberat e conduc t tha t lead s t o a violatio n as wel l a s circurnsiance. s indicatin g inten i t o commi t a violatio n {?. ) Iriadvenence
. A n ac i i s inadverten t whe n i t i s th e resul l o fbot h iiiatieniio n an d lac k o fpurposefu l choice
. Fo rexample , a n inadverten l ac t occur s whe n a pilo t flics at a n incorrec t afiitud e becau.s e h e o rsh e misrea d th e aircraft' s insti"umen(s ; howcvei , i t i s no t a n inadvenen t act whe n a pilo t flies at a n incorrec t altitud e as a resul l o fchoosin g no t t o consul t th e aircraft' s inslruineni s o rchoosin g no t l o us e othe ravailabl e n^ean s l o verif yaltitude
. Th e tes t l o b e applie d i s whethe rth e conduct , no t th e factua l o rlega l coasequences , i s inadvenen t an d unintende d f-'erguyo n vNciliona l Transportcticj n Safet yBoard
. 67 8 F.2 d 8 2 1 . 828-82 9 (9i h Ci r1982)
. c . Certificat e Holder' s Leve l o fFJxperiencc
. (1 ) Leve l o fexperienc e lefer s primaril yt o th e typ e o fcenificai e an d rati[i[.; s hel d ((o i example , student , privaic , commercial , airlin e transpor t pilot , o rcenifie d flight instructor) , an d th e numbe ro fhour s flown, b yth e certificat e holder
. Certificat e holder s wit h greate rlevel s o f experienc e ma yb e hel d t o a highe rstandard
. Thus , fo rexample , commercia l pilot s ma yb e hel d t o a highe rstandar d tha n privat e pilot s an d airlin e transpor t pilot s ma yb e hel d t o a n eve n highe r standar d tha n conuncrcia l pilots , (2 ) I n determinin g a n appropriat e sanction , th e FA Ama yconside rth e th e certificat e holder' s aciio n deviate d from th e degre e o fcar e an d diligenc e n < o f a perso n wit h th e certificat e holder' s leve l o fexperience
. Asignifican t de ^ degre e o fcar e an d diligenc e expecte d o flh e holde ro ftha t certificat e ma ywa j exien l t o whic h normall yexpecte d eviaiio n fro m th e degre e o fcar e an d diligenc e expecte d o flh e holde ro ftha t certificat e ma ywarran t a mor e aggravate d sanction
. 

### d . Attitud e o f

th e Violator . ( I ) Agoo d complianc e attitud e i s th e nor m an d doe s no t warran t a reductio n i n sanction
. Aprio rviolatio n histor yma ysugges t tha t a perso n ha s a poo rcomplianc e disposition , whic h i s a n aggravatin g factor
. Furthermore , a pei^jo n wh o commit s a n ac t o romissio n contrar yt o statutor yo rregulator yrequirement s afte rreceivin g nofic e throug h a prio radministrativ e actio n o rcounselin g tha t suc h conduc t i s i n violatio n o fthos e requirement s migh t wel l b e regarde d as havin g a poo rcomplianc e disposition
. I n evaluatin g complianc e disposition , th e FA Adoc s no t 7- 5



### 6eo/3SO @ SW O ^ VV d SVL9e6V20 2 XVd 50' ^ OlOS/U/S O

### 10/01/0 7 2150.3 8

vie w a nallege dviolato r

a s havin g apoo r

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

o alette r o f investigation , choose s t

o b e represente dby counsel , o r contest s th e violation . (2 ) Inassessin g the anitud e o f a nallege dviolator , th e FA Ama y conside r

the declaratio n o f a nemergenc y t

o air traffi c control . Whena

nemergenc y i s genuin e an dno t o f the person' s ow nmaking , th e emergenc y i s exculpator y under 14 CF.R . § 91.3(b) , However , thi s situatio nis distinc t fro mth e situatio nwher e adeclaratio no f emergenc y i s not

exculpatory bu

t i s afactor

tha t might b e appropriat e to conside r i ndeicmiinin g sanction . I nemergenc y situations , the FA A view s declarin g a

nemergenc y to ai

r traffi c contro l a s asigno f goo djudgmen t

andaconstructiv e altitud e Whena

nemergenc y i s ofaperson' s ownrnaking , ihai person' s declaratio no f a n emergenc y may be considere dmitigatin g i ndeterminin g th

e .sanctio nt

o be impose dfo

r an y violation s committed , i

nmuc hthe same wa

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

Hazard . (1 ) Th e degre e o f

hazardma

y be mcrea,s'e

da s aresuli o f

theinterplay o f

the operational environrnen i (for

example , weather

conditions , congeste dvs . sparsel y populate dareas ) andthe naciir e o f the threa t to safet y (t o th e lif e o r propcn y o f

another , includin g thos e i nthe aircraf

t bein g operated , t

o other aircraft , o

r to person s o

r property o

nth e surface ) tha

t the misconduc t present s The safely threa t i s base donthe reasonabl y foreseeabl e consequence s o f the misconduct . Fo r

example , operatin g 50 0 fee t belo w th e minimu maltitud e pose s agreate r hazard tlva noperatin g 10

0 fee t below . Similarly , if

a naircraf t operato r fail s to compl y wu ha

n air^oftliincs s directiv e b

y operatin g 1 0 hour s pas t arequire dinspection , th e ilegre e o f

liarardi s probabl y not

a s grea t as whenth e aircraf

i i. s operate d10

0 hour s beyon dthe require dAn di l i s no t mitigatin g whenaviolatio ndoc s not result i nacmal hfliin ; tha

i i.s

- simpl y fortuitou. s (2 ) Th e sanctio nrange s reflect the degre e o f

dange r normall y inheren t

i na naverag e violatio nof aregulation , wiihou t aggravatin g circumstances . A s discusse di nchapter 7 , subparagrap h5,b. , a

nincreas e i

nth e degre e o f

ha2ar dma y fon nthe basi s fo

r exceedin g the sanction-ranges . For

example , th e rang e fo

r a nunauthorize dlo w flight doe s not assume extrem e departure s fromrequire daltitudes , fo r example , flying a

nairplan e over

acrowde dassembly o f person s a t 5 0 feel f . Actio nTake nb y Etnploye r o r Othe r Authority . Thi s factor

ordinaril y involve s the followin g elements : whether th e allege dviolator' s employe r ha s take ndisciplinary actio nand whetlie r crimina l prosecutio ni s involved . (1 ) Employmen t

discipline . Where the violatio nwoul dnormall y call fo r acertai ntyp e o f enforcemen t

aciion , the FAAlaice s tha i actio nregardles s o f

any actio ntakenb

y the violator' s employer . Generally , th e FAAdoe s no t credi t a nemployer' s disciplinar y actio ntowardaperio d o f suspensio nlh e FA

Aimpose s agains i the violator' s certificat e becaus e o f th e different purpose s o f

government-ordered , a s contraste dwit hemployer-ordered , actions . (2 ) Criminal prosecution . Whe narisin g ou

t o f th e sam e conduct , local , sute , or federa l prosecutio ndoe s no

t preclud e th e FA

Afro mtakin g appropriat e remedial enforcement action ; no r 7- 6

6eo/eSO 0 SH O ^ VV dSHSeei^SO S XV dSO:t- L0L0S/LL/8 010/01/0 7 2150,3 8

doe s i t preclud e ih e FA Afro m takin g appropriat e punitiv e enforcemen t action
. Fo rcase s wher e federal , state , o rloca l authoritie s prosecut e criminally , th e FA Agenerall ydoe s tak e remedia l enforcemen t actio n i ftha t i s warrante d despit e th e crimina l prosecution
. However , th e FA Adoe s no t generall ytak e punitiv e lega l enforcemen t actio n fo rth e sam e conduct , unles s i t believe s th e crimina l sanction s ar e no t sufficien t t o provid e a n adequat e deterren t fo rfutur e violation s b yth e violato ran d other s similarl ysituated , o rwhe n th e FA Awant s t o establis h a violatio n histor y record
. I fth e FA Adecide s t o procee d wit h a punitiv e civi l enforcemen t actio n i n additio n t o th e cnmma l prosecuuon , i t generall yconsider s th e cnmina l penaltie s incurre d i n thos e proceeding s i n determinin g th e appropriat e amoun t o fsanctio n t o b e sough t i n th e FAA' s punitiv e enforcemen t aciion
. g . Us e o ffl Certiricate
. I hi s facto rrelate s t o th e natur e o rkin d o factivit yo roperatio n involve d at lh e tim e th e violatio n wa s coirimitted
. Whethe i th e certificat e holde rwa yengage d i n student , private , commercial , o rairlin e activit ybear s o n th e sevent yo fth e sanction
. Ai rcarrier s ar e hel d t o th e highes t standar d o fcare . Likewise , personne l engage d M I ai rtransportatio n ar e hel d t o th e highes t safel ystandard
. h
. Viulntio n History
. ( I ) Aviolation-fre e histor yi s th e expecte d norm , no t th e exeeprioi i and , therefore , i s no t a mitigatin g facto rSanctio n range s i n th e tabl e generall yrepresen t th e norma l rang e o fsanctio n fo ra single , first-time, inadvenen t violation
. Give n th e expecte d norm , a prio rviolatio n recor d ca n b e evidenc e of a poo rcomplianc e dispositio n o rof a patter n o fdisregar d fo rth e FAA s regulations , whic h ar e aggravatin g factors
. A s a result , a violatio n histor yca n justif yimposin g a sanctio n a t th e highe ren d o fth e norma l rang e o ra sanctio n beyon d th e norma l range , I l migh t als o justif yrevocatio n rathe rtha n suspensio n i fth e parte m o fviolatio n reflect s a lac k o f qualification
. I n addition , a violatio n histor ymigh t justif ya certificat e suspensio n i fpreviousl y issue d civi l penaltie s hav e no t produce d th e desire d deterren t effec t I n decidin g whethe ra violatio n histor yjustifie s aggravatin g th e sanctio n o rchangin g th e usua l typ e o fsanction , th e F A Aconsider s th e lengt h o flim e tha t ha s elapse d berwce n violations , whethe rth e violation s involve d th e sam e o rsimila rregulations , an d whethe rth e violation s ar e factuall ysimilar
. (2 ) Th e followin g action s consiimi e violatio n histor ywhe n ihc yinvolv e regulator y violation s an d becom e final: order s o famendment , modification , suspension , o rrevocatio n o fa n FA Acertificate ; order s assessin g a civi l penalty ; findings o fviolatio n containe d i n a consen t order , orde ro fcomplianc e o rdenial ; an d finding s o fviolatio n mad e b ya federa l court . I n addition , a part yma yagre e as par t o fa settlemen t tha t th e FA Ama yconside rallege d violation s as findings ofviolatio n fo rfutur e .sanctio n dctemiination s L Decisiona l Law
. Decision s o fdi e FA Adecisionmake rrepresen t th e FA A Administrator' s positio n o n issue s ansin g i n civi l penalt yassessmen t actions , includin g issue s regardin g sanctions
. Th e polic yi n thi s orde rals o represent s th e Administrator' s positio n o n sanction s i n lega l enforcemen t actions
. T o th e exten t tha t thi s documen t conflict s wit h FA A decisionmake rdecision s publishe d befor e thi s document' s issuance , th e saitclio n guidanc e polic y i n thi s orde rsupersede s thos e decisions
. However , FA Adecisionmake rdecision s publishe d afte r

7- 7

6^0/1.20 0 SJ^ O ^ VV d SnseGt30 3 XV d 30: n 0L03/LL/9 010/01/0 7 2150.3 8 th e issuanc e o fthi s documen t tha i conflic t wit h th e polic yi n thi s orde rsupersed e thi s documen t an d ar ccontrolling , j
. Abilit y( 0 Absor b Sanction
. Sanction s shoul d b e deterrent
. Whil e punitiv e sanction s shoul d no t b e undul yharsh , the yshoul d b e substantia l enoug h t o preven t violator s fro m profitin g fro m thei rviolations , tha t is , th e sanctio n shoul d b e hig h enoug h t o remov e an yprofi t incentiv e fo rviolations
. Penaltie s shoul d neve rb e pen-nitte d t o b e a cos t o fdoin g business
. Ai rcarriers , i n particular , ar e require d b yla wt o hav e th e financial wherewitha l t o operat e accordin g t o establishe d safet ystandards
. Whil e th e FA Adoe s no t allo wfinancial circumstance s l o excus e an yviolation , i t doe s conside ra earner' s .si/. e an d financia l strengt h i n choosin g th e appropriat e sanctio n amount . Th e differenc e i n th e penaltie s fixed i n th e la wfo rlarg e an d smal l busines s concern s recognize s thi s fac t Acivi l penalt ytha i ma yb e a mer e cos t o fdoin g bujiiies. \ l o a majo rai rcarrie rmigh t compe l a smal l ai rcarrie rt o g o ou t o fbusiness
. Therefore , th e FA Ause s ai rcarrie rsi^ e a s on e mean s o fensurin g a relativel yequivalen t deterren t effec t o n eac h ai r carrie rtha t violate s th e sam e FA Aregulatio n lh e resultin g classificatio n o fai rcarrier s b ysiz e an d range.' , o fcivi l penaltie s ar e .se t fori h i n pa n on e o fth e table
. Fo ral l entitie s an d individuals , (h e FA Aconsider s abilit yt o pa ya civi l penalt yan d th e effec t a civi l penalt ywil l hav e o n a person' s abilit yt o continu e i n busines s l o th e exicn i i t know s suc h information , k
. Consistenc yo fSanction
. On e o fth e agency' s goal s i s t o achiev e relaiiv cconsistenc yi n imposin g simila rsanction s fo rsimila rviolations
. Th e FA Apursue s thi s objectiv e t o assur e fairnes s an d s o th e sanction' s impac t ha s a n equivalen t degre e o fdeterren t o rdisciplinar yvalu e l o other s similarl ysitxiate d Thi s goa l ma yno t alway s b e achieved , however , becaus e o fth e inherentl ysubjectiv e natur e o fth e exercis e o fludginen l i n settin g sanction. s L Whethe rth e Violatio n wn s Kcporte d Voluntarily
. (1 ) Th e FA Aha s program s iha t allo wperson s t o repor t volunlaril yapparen t violation s an d receiv e lesse renforccmen i actio n provide d certai n criteri a ar e met . Thes e program s includ e th e aviatio n safet yreportin g program , th e voluntar ydisclosur e reportin g program , an d th e aviatio n safict yactio n progra m Beside s thes e progran-LS , th e FA Ama ygrai u specia l enforcemen t consideratio n unde rcertai n circumstance s t o a perso n who , inciden t t o hi s o rhe rrepor t o f another' s violations , volunianl ydisclose s hi s o rhe row n participatio n i n th e Siim e o rrelate d violations
. Thi s specia l enforcemen t consideratio n ma yrang e fro m mitigatin g th e sanctio n t o dcicrminin g tha t n o enforcemen t actio n i. s required
. (2 ) If a perso n i s no t covere d unde ron e o fthes e program s bu t nonetheles s voluntaril y report s a n apparen t violatio n t o th e FA Abefor e th e FA Adiscover s it , take s immediat e actio n t o correc t th e noncompliance , an d work s wit h th e FA Ao n slop s t o preclud e recurtenc e o flh e apparen t violation , th e FA Ama yconside rsuc h action s i n mitigatin g th e sanctio n fo rth e violatio n Ol
. Correctiv e Action
. Th e FA Aconsider s correctiv e actio n a mitigatin g facto ri n determinin g sanctio n provide d th e correctiv e actio n exceed s th e minimu m regulator yo rstatutor y requirements
. Th e amoun t o fcredi t give n i n settin g a sanctio n depend s o n (h e exten t an d limin g o flh e correctiv e aciion , tha t is , ho wextensiv e wa s th e correctiv e aciio n an d ho wquickl ywa s i t taken , Implementin g no wprocedure s tha t ar e abov e thos e require d unde rth e FAA' s regulation s 

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1 0 preven t finurcviolation s ordin-aril yi s considere d a miiigaiin g facto ri n determinin g a n appropriat e sanction
. Correctiv e actio n take n afte rth e allege d violato rfirst become s awar e of a deficienc ybu t befor e FA Adiscover yo fth e violatio n ordinaril ywarrant s greate rmitigatio n tha n correctiv e aciio n tha t i s take n onl yafte rth e allege d violato rreceive s noiic e o fth e FAA' s enforcemen t action
. Correctiv e actio n take n b ya n allege d violato rtha t simpl ybring s tha t perso n int o complianc e wit h th e statutor yo rregulator yrequirement s i s no t considere d i n mitigatio n o f sanction
. T o mitigai e a sanctio n base d o n suc h correctiv e actio n ivoul d pu t a t a n economi c disadvantag e competitor s wh o hav e expende d th e resource s necessar yl o maintai n compliance , 5 . Us e o fth e Tabl fo fSanctions
. a . General
. Sanctio n determination s ar e no t accomplishe d throug h a .siric i matheinaiica l formula , rather , sanctio n determination s resul t fro m a judgmen t o fwher e a cas e lie s alon g a spectru m o fgravity
. Ultimately , th e circumstance s o feac h cas e ar cevaluate d i n tcmi s o fth e need s o fsafet yan d th e publi cinterest
. b
. SingJe
. First-time , Inadverten t Violation.N
. (1 ) Far ! I I o fth e tabl e specifie s bot h th e norma l type ; o fsanctio n (certificat e actudi
. civi l penalt yaction , o rovhe i type ) an d th e norma l range s withi n thos e type s th e FA Aordinaril yseek s t o impos e i n a lega l enforcemen t actio n fo ra single , first-time violatio n tha t i s generall y inadverten t (th e tabl e include s range s o fsanction s fo rsevera l violation s tha t usuall yare intentional , fo rexample , interferenc e wit h a crew-member , smokin g o n a n aircraft)
. I n addition , ih ctabl e generall yreflect s a presuitiptio n tha t th e allege d violato rwant s t o compl ywit h di e laiA
. an d t o remed yan ynonct)mplianc e an d tha t th e allege d violatoi , therefore , ha. s a constructiv e atiin.ide , (2 ) Fo rfactor s b , d , o rh o fparagrap h 4 (tha t is , in'adverten t an d no i deliberat e conduct , attitude , an d violatio n history) , lh e FA Adoe s no t normall ydeviat e fro m di e range s liste d i n th e tabl e solel ybase d o n th e inadvertenc e o fth e violatio n o ro n th e allege d violator' s goo d reputation , pas t publi cservice , violation-fre e history , o rconstructiv e attitude
. An ymitigatin g circumsuincc s are t o b e foun d i n th e fact s an d circumstance s o fth e violatio n itself
. (3 ) Applyin g range s withi n a sanctio n type . I n detemiinin g where , withi n eac h range , a sanctio n shoul d b e imposed , th e FA Agenerall yconsider s factor s a , c , e , f , g , i , j , k , an d m o f paragrap h 4 (tha t is , natur e o fth e violation , leve l o fexperience , degre e o fhazard , actio n b y employe ro rothe rauthority , us e o fcertificate , decisiona l law , abilit yt o absor b sanction , consistenc yo fth e sanctio n wit h simila rcases , correctiv e action) , t o th e exten t the yar e applicabl c o rrelevant
. Whe n detemiinin g a specifi csanctio n amoun t withi n a range , FA Aenforcemen t personne l begi n wit h a n amoun t i n th e middl e o fth e rang e an d increas e iha l amoui^ i lowar d lh e highe ren d o fIh e rang e fo raggravatin g factor s o rdecreas e tha i amoun t towar d th e lowe ren d o f th e rang e fo rmitigatin g factor?
. (4 ) Deviatin g from range s withi n a sanctio n type . Th e FA Amigh t impos e sanction s belo wth e norma l range s base d o n justifiabl e mitigatio n unde rfactor s j , [ , an d i n o fparagrap h 4 (tha t is , th e abilit yt o absor b th e sanction , voluntar yreporting , correctiv e action)
. Th e FA Ama y 

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impos e sanction s abov e th e norma l range s whe n th e followin g circumstances , relatin g t o factor s b , d , e , an d h o fparagrap h 4 ar e present , th e violatio n i s othe rtha n inadvertent"* , th e violato rha s a violatio n history , th e violatio n involve s a significan t degre e o fhazard , o rth e violato rha s a poo rcomplianc e disposition
. Th e range s als o ma yb e exceede d whe n th e cas e involve s multipl e violations
. {Se e chapte r7 , paragraph s 6 an d 7)
. c . Type s o fSanction
. (1 ) General
. Th e FA Aordinaril ydoe s no t initiat e punitiv e civi l penall yan d punitiv c certificat e action s (tha i is , fixed-penod certificat e suspensions ) agains t a certificat e holde rfo rih c sam e offense
. Whil e electin g t o impo.s e on e sanctio n i s no t a lega l ba rt o a concurren : proceedin g t o impos e another , pursuin g bot h action s .solel yfo rpunitiv e purposes " usuall yi s no t necessary . Th e FA Atake s remedia l an d punitiv e action s i n th e sam e case , however , whe n warranted
. (2 ) Selectin g type s o fsanctions
. Lxcep i i n exceptiona l circumstances , th e FA Ause s th e typ e o fsanctio n recommende d i n th e table , lh e FA Amus t impos e an ysanctio n mandate d b y sianit e (fo rexample , revocatio n unde r4 9 U S C (j<( 44106(b) , 44710(b) , an d 44726(b ) unles s waive d b yth e AdmmislraU)r ) 6 - Genera l Guidanc e o n IVliiltipI e Act s o rMultipl e Violations
. a . Descriptio n o fMultipl e Violations
. Lnfoicemcn t action s ofte n involv e multipl e violations : multipl e violation s of a singl e regulation ; a .singl e violatio n o fmultipl e reg\ilation.s , o rmultipl e violation s o fmultipl e regulations
. I n addition , unde r4 9 U S.C'
. § 46Jui(a)(2)
. if a violatio n i s a con(inuin g one , eac h da yth e viol;nio n continues , o reac h Hijih t lo rwhic h th e violatio n wa s committed , eynsiiiute i a separal cofTense
. b
. Genera l Sanctio n Guidance
. Multipl e violation s ordinaril yresul t i n hig h sanctio n amounts . Suc h sanctio n amount s ordinaril yar e no t determine d b ysimpl yaddin g u p th e individua l penaltie s fo rmultipl e vitiUtion s se t fort h i n (h e table , however
. Simpl yaddin g u p th e individua l penaltie s fo reac h violatio n coul d resul t i n compoundin g a sanctio n i n a disproportionatel yhars h manne rfo rth e conduc t involved
. Conversely , multipl e violation s ma y b e s o Seriou s i n thei rconsequence s fo rsafet yan d th e publi cinteres t as t o requir e a penalt y greate rtha n th e su m o fth e recommende d amoun t o fpenalt yprovide d fo ri n th e tabl e fo reac h violation
. c . Singl e Ac t o fNoocomplianc e Resultin g i a Multipl e VioiatioDS
. Whe n a singl e instanc e o fnoncotnplianc e result s i n multipl e violation s o fgenera l an d specifi cregulation s involvin g (h e sam e o rsimila rconduct , th e FA Aordinaril ydoe s no t compoun d th e sanctio n t o retlec i (h e amoun t o fsanctio n recommende d ij n th e tabl e fo reac h regulator yviolation
. I n calculatin g th e amoun t o fsanctio n fo rmultipl e violations , FA Aenforcemen t personne l conside r Whe n th e violatio n \

s on e tha t i s generall yinliercntl ydcliberai c(e.g. , intcrfereoccwit U crewmeitibc ro rsmokin g violation.'!) , facto rb
. i s tio l con,'!idered m detemiinin g whethe rth e sanctio n shoul d b e abov e di e rang e m th e tabic
. Th e ranges i n th e tabi cfo rsuch violation.' ; alrud yhav e take n int o consideratio n th e inherentl ydeliberat e natur e o f ih cviolatio a 

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th e totalit yo fcircumstance s relatin g t o th e multipl e violations , includin g th e allege d violator' s degre e o fculpability , an d whethe rth e allege d violato rha d lakc n steps , althoug h unsuccessful , t o preven t th e violations
. d
. Typ e o fLega l Enforcemcn i Action
. Wher e thi s guidanc e designate s th e typ e o flega l enforcemen t aciio n fo ra singl e violation , th e FA Aordinaril yselect s th e sam e typ e o fsanctio n to rmultipl e violation s of a simila rnature . Th e seriousnes s o fmultipl e violations , however , rna y requir e changin g wha t i s normall ya civi l penalt yaciio n l o a ceriificat e actio n or , somciirnes
. a punitiv e certificat e suspensio n to" a remedia l revocatio n action
. 7 . Specia l Consideration s fo rNumervu s Multipl e Violatioii. > Resultin g Fro m a n Initia l Ac t o rOmission
. T o determin e penaltie s fo i numerou s muliipl e viofation s tha i resul t fro m a n iniiia l ac t o romission , th e FA Aapplie s th e specia l consideration s an d guidanc e i n chapte r7 , subparagraph s 7.a . throug h e . Thes e case s involve - suc h a hig h numbe ro fmultipl e vioLuion s tha t i fFA Aenforccmen i pcYsonne l wer e simpl yt o ad d th e lecommende d amount s o fpenalt yfo reac h fligh t o rda y'ha t constitute s a separat e violation , th e resultin g sanciio n amoun t coul d b e (hsproportiotialel yhars h fi)rth e ini.sconduc i involved , i n a n averag e case . a . Determinin g Propose d Penally
. T o deicmim ca n appropiiai e civi l penalt ym a eas e involvin g numerou. s multipl e violation s resultin g fro m a n initia l ac t o romissio n (fo rexample , a n aircraf t operate d o n a doze n o rmor e fiights afte rbein g improperl yreturne d t o service) , FA A enforccmen i personne l (1 ) Identif yeac h initia l ac t o roini.ssio n tha i cau.^c d o rresulte d i n th e multipl e violation s (fo rexample , imprope rmaintenanc e plu s imf)fope rretur n t o service ; faikir e t o maintai n a qualit y contro l system ) (2 ) Consul t th e tabl e i n Appendi xB an d th e genera l guidanc e i n chapie r7 , paragrap h 4 , o n aggravatin g an d mitigatin g factor s t o determin e th e amoun t o fpenalt yappropriat e fo reac h initia l ac t o romissio n tha i cause d o rresulte d i n th e multipl e violation s (fo rexample , i n airworthines s cases , a penalt yfo rth e ac t o fimprope rmaimcnanc e o i inspection ; i n manufacturin g cases , a penalt yfo rth e ac t o ffailin g t o maiiit:ii n a qualit ycontro l system)
. (3 ) Determin e th e amoun t o fpenalt yfo rth e numerou s multipl e violation s b yapplyin g th e guidanc e i n chapte r7 , subparagraph s 7 b
. throug h d O fparticula rimporiiinc e i n determinin g a n appropriat e sanctio n fo rnumerou s multipl e violation s i s th e degre e o fth e allege d violator' s culpabilit yfo rth e multipl e violaiion.s
. Alowe rdegre e o fculpabilit yi s presen t whe n th e allege d violato rneithe rkne wno rwa s likel yt o discove rth e continuin g violations
. Fo rexample , onc e imprope rmaintenanc e wa s don e ther e wer e n o sign s o fi t fro m suc h thing s as discrepancie s reporte d b yth e crew , an d n o inspection s tha i woul d hav e le d t o it s discover ywer e scheduled
. A mor e significan t degre e o fculpabilit yi s presen t whe n factor s suc h as th e followin g ar cpresent :

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

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

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• th e allege dviolato r

'was no t followin g maintenanc e o r inspectio nprocedure s th e FA Aha dapprove do r

accepted ; • th e leve l o f

th e allege dviolator' s organizatio nthat wa s awar e ol" . o r

involve di n th e noncomplianc e include dmanagemen t (for example , managemen t

implemente dpolicie s that contribute dt o th e violations) , althoug hanallege dviolator' s culpability doe s no t requir e managemen t

involvement ; • tli e allege dviolato r

ha s ahistory o f

similar violation s o r

ahistory o f

systemi c deficiencies . Kno"wing an dxvillfiil violation s connot e th e highes t degre e o f

culpability . (4 ) Ad dth e penaltie s arrive dat for th e initial violatio nto th e penall y for th e multipl e violations . b . Limitation s o nTota l Civi l Penalt y Amount s fo r Numerou s Multipl e Violations . (1 ) I na naverag e cag e involvin g numerou s inadvertent , multipl e violation s resultin g from a.'tingle ac t

o r omission , tha t

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

7 , subparagraph s 7.c . o r 7.d. , th e total civi l penalty for th e multipl e violation s ordinaril y fall s withi nth e range s provide din eithe r Figur e 7- 1 o r

7-2 . Th e grou p classificaUon s are define di npar t Io f Appendi x B . (2 ) Th e terr

nisolate di

nFigure s 7- 1 an d7- 2 typicall y describe s asingl e instanc e o f a n employee' s failure to follo w aslululory o r regulatory requirement , contrary t o th e company' s ow npractic e o r

procedure . Aeas e ma

y involv e anumbe r

o f isolate dan dunrelate dviolations . Eac hgrou p o f

th e multipl e violation s resultin g fromeachisolate dviolatio nordinaril y i s subjec t lo lh e isolated , iniKJvcrtcn t range s i nFigure s 7- 1 or 7-2 . (3 ) Inadverten t

failure s are considere dsyxiuni c if the y ar e repetitiv e o r

otherwis e dettionstrat e a

nunderlyin g dellcienc y inth e allege dviolator' s system , practices ; or procedures . $y.stemi c failure s generall y warran t mot e substantia l penaltie s an dindicat e anee dfor correctiv e aciion . (4 ) Th e aggravatin g or miiigaiin g factor s an delement s i nchapte r 7 , paragrap h4 . ar e considere dto ticlcrmin c anappropriat e civi l penalty 'withinth e applicabl e rang e i nFigur e 7- 1 o r 7-2 , for Lh e muhipl c violaiion s rcsuUin g fromth e initial ac t o r omission . O f

particular importanc e i s anevaluatio no f ih c seriousnes s o f

th epotentia l hazar dcause dby th e violatio nand th e degre e o f

culpability o f

th e allege dviolato r

for th e multipl e violations .

7-1 2

6eo/6soi a SW Q VV d 

## stLseetgo s xvd to-v\ . OLOS/LL/8 0

## 10/01/0 7 2150.3 B

figur e 7-1 . Rnngc s o f

Penaltie s fo r

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

Larg e Busines s $200,000

- $400,00 0 $300,000

- .$500,00 0 Grou p I



## Small Busines s $100,000

- $300,00 0 $200,000

- $400,00 0 Grou p I I

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

- $300,00 0 $250,000

- $400,00 0 Grou p I Io r

Par t 12 5 Smal l 

## Busines s $100,000

- $200,00 0 $150,000

- $300,00 0 (irou p II I

$75,000

- $150,00 0 $100,000

- $200,00 0 Grou p I V

$50,000

- $100,00 0 $7.S,000

- $150,00 0 

### Figur e 7-2 . Range s o f

Penaltie s fo r

Ai r Agencies , Airports , Manufacturer s 

## 1 Typ e o f Violation s TnadverLiint, Isolate d Violation. 4 Inadvertent , Systemi c Violation s Air

Agenc y 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 Airport

Operato r Larg e Bii,sines s $200,000

- $400,00 0 $300,000

- $500,00 0 Airport

Operato r Smal l Bu.'jines s $100,000

- $300,00 0 $200,000

- $400,00 0 Manufacturin g

Lar^ e Busine.s. s $200,000

- .$400,00 0 $300,000

- $500,00 0 Manufacturin g

Smal l Hu.vines s $100,000

- $300,00 0 $200,000

- $400,00 0 Iiidividual

$50,000

- $100,00 0 S75,000

- $150,00 0



### c . PtiUiiltic s Outsid e th e Ranges . (1 ) Penaltie s lower

thanth e ranges . I

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

culpability i s minimal , th e degre e o f potentia l hazar di s extremely low , an dther e are n o other aggravatin g circumstances . (2 ) Penaltie s highe r

tha nth e ranges . I t

may b e appropriat e to selec t acivi l penalty highe r tha nth e ranges , u p to th e .statutor y maxirnums ;

• If th e allege dviolato r

wa s significantl y culpabl e inpcnnittin g th e initial ac t o r omission ; • I f th e violation s involv e significan t safet y risks ; • I f ther e 'was anabsenc e o f

correctiv e actio nby th e allege dviolato r ove r ane.xtendc d perio do f tinie ; • Where it

i s neces.sar

y to provid e a

neconomi c disincentiv e for regulatory noncompliance ; or . • I f th e allege dviolato r

ha s apoo r

complianc e dispositio no r history . d . Intentiona l Violations . Whe nther e i s sub,stantia l andreliabl e evidenc e that th e allege d violato r kne w o f tji e violation s resultin g fromth e initial ac t or onu's.sionan dallowe dthe mt n 7-1 3

660/060 ® SW O ^ VV d St?LSeet30 S XV di0:t? LOLOe/LL/9 0

### 10/01/0 7 2150.3 B

occur , th e range s se t

fort hinFigure s 7- 1 an d7- 2 d o no t apply . Fo r

example , operatio no f

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

t o r fligh t wa. s no t i ncomplianc e witl i statutoi y o r

regulatory requirements , ye t deliberatel y operate di t

anyway , i s mos t

serious , an dapart fromcivi l penalties , require s consideratio no f remedia l ccrtilicat e action . Fo r multipl e violation s inthes e circumstances , any civi l penaltie s sough t may b e u p to th e statutory maximu m penalt y for

eac hviolation , regardles s o f th e numbe r

o f violations . e . Civi l Complaints . Th e guidanc e i nchapte r 1 , paragrap h7 doe s no t

limi t th e amoun t

of civi l penaltie s tha t

may b e sough t

i nacivi l complain t

filedinD-S . distric t

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

Sanction , t^xcept

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

action , th e I'AAgenerall y doe s no t modil y order s suspendin g o r revokin g a certificat e t o provid e for

acivi l penally . Th e FA Aals o generall y doe s no t modif y order s assessin g acivi l penalty t o provid e for acertificat e action . Th e FA Amodifie s tii e typ e o f sanctio nonl y i

ntho.s e case s involvin g exlraordinai y circumstance s (beyon dth e normal aggrav^itin g o r

mitigatin g factor s an delement s li.stedi nchapte r 7 , paragrap h4) . Ne w tact s discovere dafter

th e origina l orde r

ha s bee nissue dma

y provid e abasi s fo

r modifyin g th e amoun t o f sanction , bu t

woul dno t

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

sanction . However , i f

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

if the y implicat e asiatutorily-mandalc dpenally , th e FA Amodifie s th e typ e o f sanction . b . Amoun t

of Sanctiou . Th e FA Adoc s no t appl y th e factor s liste di nchapte r 7 , paragrap h 4 . i naniaiuier

that woul ddoubl e thei r

effect , Onc t

th e FAAha s fairly considere dth e relevan t mitigatin g an daggravatin g circumstances , i t generall y doc s no t

modif y th e amoun t

o f sanction . Th e FA Amodifie s th e amoun t o f sanctio nnormall y only whe nne w inforntiationindicate s th e factor s o r element s wer e no t

fairl y applied , o r

whe nothe r

clear an dcompellin g reason s are articulated , 9 . Specia l Emphasi s Enforcemen t Programs . A

t time s specia l situation s aris e iha t dictat e th e nee dfor mor e effectiv e enforcemen t actio nthroug hincrease dsanction s or othe r rnca.sui'e s i

na particular regulate dare ao r

segmen t o f industry . Whenthes e circumstance s arise , (h e I'AAma y set up aspecia l emphasi s enforcemen t program , designe dl o focu s o naparticular are ao f noncomplianc e onanationa 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 baimes s Ac t

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

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

statutory o r

regulatory violation s b y smal l entities . Unde r

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

eeO/ieoi a SW a ^ VV d St?LS66tS0 S XV d iO:t L 0L0S/LL/8 0

### 10/01/0 7 2150.3 B

assistanc e o r

audi t progra moperate do r

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

t o multipl e enforcemen t action s by th e agency ; excludin g violation s involvin g willfu l o r criminal conduct ; excludin g violation s that pos e seriou s health , safet y o r environmenta l threats ; an drequirin g agoo dfait heffor t to compl y withth e law . Th e SBREF A als o provide s that

unde r appropriat e circiimstaiices , th e FA Amay conside r

ability t o pa y i

n determinin g th e penalty l o asses s asmal l entity . (2 ) Congres s intende dtliat agencie s hav e th e discretio nt o develo p th e limit s o f thei r enforcemen t

policie s for

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

waiver s woul db e granted . Becaus e th e statute require s a nagency , subjec t

to th e requirement s an dlimitation s o f othe r statutes , t o plac e condition s o r exclusion s o nit s enforcemen t

polic y unde r

SDRF-FA , it

doe s no t appear Congres s intende dagencie s to reduc e o r waiv e penaltie s solel y becaus e a nallege dviolato r

i s asiual l entity . Rather , th e statut e contemplate s tha t

certai ncriteri ab e me t

before a nagenc y reduce s o r

waive s apenall y agains i a smal l entity . Althoug hth e SBREF Aimpose s arequiremen t onagencie s t o establis hpenalty reductio nan dwaive r

program s for

smal l entities . Congres s recognize dtha t som e agencie s alread y hav e forrna

l or informal policie s or

program s that

woul dmee t

thi s requirement . b . FAA' s Polic y unde r th e SBREFA . (1 ) Th e FAA' S 

### complianc e an denforcemen t prograr ninclude s severa l policie s that mee t th e requirement s of

, andare consisten t

wit hth e inten t

of , SBREFA . Take ntogether , thes e policie s constitut e th e FAA' S 

### polic y mandate db y SBREFA . (2 ) Unde r

th e FAA' s complianc e andenforcemen t program , for

example , l'"

AA investigativ e personne l hav e the discretio nlo addres s allege dviolation s by an y person , includin g smal l entilics , withlesse r enforcemen t

aciio nthanacivi l pcrr.ilty , l.h.i t is , administraliv c aciion , provide dth e criteri ainchapte r 5 are met . Ther e ar e tw o form s o f administrativ e action : awarnin g notic e an dalette r o f correction . Awarnin g notic e bring s to th e attentio no f

th eregulate dperso no r

entity th e fact s andcircumstance s tha t indicat e tha t

a violatio nha s occurred , identifie s th e regulatory provisio na t issue , an drequest s futur e compliance . Aletter

o f coirectio ni s similar

but i s intende dfor

us e whe nther e i s a

nagreemen t wit hth e regulate dparty tha t correctiv e actio nacceptabl e to th e FA Ahas , o r withi nareasonabl e perio dwil l be , taken . Administrativ e action s ar c les s onerou s tha nawaive r o f penalty i ntha

t the y neithe r

carry asanctio nno r

resul t i nafindin g ofviolation . (3 ) Unde r

th e agency' s voluntat y disclosur e reportin g program , th e FA Atake s administrativ e actio ninstea do f civi l penalt y actio nagain.st rnos t regulate dentities , includin g smal l entitie s tha t

voluntaril y report

certai napparen t

violation s t o th e FAA , complet e correctiv e actio nsatisfactory t o th e FAAt o preven t thei r recurieiice , an dmee t

certai nothe r

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

civi l penaltie s i

nappropriat e case s base donth e mitigatin g factor s liste dinchapte r 7 , subparagrap h4. , whic hinclud e ability to pay andwhethe r apenalty woul dpreven t th e entity fromcontinuin g in business . 7-1 5

680/SSOi a SW Q < - VV d StLSeSt'SO S XV d L0-\> 1 OL0S/LL/3 0

### 10/01/0 7 2150.3 B (5 ) Fo r air carrier s andcommercia l operators , th e F/V Aals o take s compan y siz e int o consideratio nindeterminin g th e appropriat e amoun t of civi l penalty . Th e sanctio nrange s i nPart I . Definition s an dAbbreviation s o f th e tabl e for

single , inadvertent , first-tim e violation s by U.S . ai r ciinicr s an dU.S . coinmercia l operator s differentiate amon g variou s size s o f suc hentitie s a s a mean s o f providin g arelativel y equivalen t deterren t for th e sam e violatio nagains t eac hai r carrie r andcommercia l operator . Whil e the FA Aha s no t specifie dsuc hsanctio nrange s for othe r certificat e holdin g entities , it i s th e FAA' s polic y t o seek penaltie s generall y relativ e t o th e siz e an drevenu e o f

th e operatio nfor

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

waiv e th e penalty o f

a nallege dviolato r

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

action , agains t

asmal l eiitit

y if appropriat e unde r th e policie s describe dinchapte r 7 , subparagraph s 10.b.(l)-(5) . c . Th e Smal l Busines s Ombudsman . (1 ) Th e Smal l Busines s an dAgricultur e Regulatory Enforcemen t Ombudsma nan 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 Ombudsmanannuall y evaluate s th e enforcemen t activitie s an drate s eac hagency' s responsivenes s to smal l business . (2 ) bac hFA Aemploye e wh o conduct s a ninspectio no f

asmal l busines s concernthat i s regulate dby th e FA Aprovide s th e smal l busines s concernwitha ninfonnaiio nsheet . Th e informatio nshee t

inform s tha t

entity that

it may submi t

complaint s o r

comment s regardin g unfai r FA Aregulatory enlbrccnien t t o ih c Nationa l Ombudsman . Th e informatio nsheet

contain s th e followin g language : Our objectiv e i s t o ensure afair regulatory enforcemen t

environment . I f

yo u feel tha t

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

Rulemakin g at

(202)-267-340 4 or

by mailin g you r

comment s o r complaint s t

o the Federal Aviatio nAdministration , Offic e o f Rulemaking , 80 0 Independenc e Avenue , S.W. , Roo m808 , Washington , D.C, , 20591 . Yo u als o hav e a righ t t o contac t

th e Small Busines s Administration' s Nationa l Ombudsma na t 1

- 888

- REG-FAI R(1-888-734-3247) , o r www.sba.t;ov/onihudsma nregardin g th e fairness o f th e complianc e andenforcemen t activity o f

th e FAA . Th e FAAstrictl y forbid s retaliatory act s by it s employees . A s such , yo u shoul dfeel confiden t that yo u wil l no t

b e penalize d for expressin g you r

concern s abou t

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

e flight o f civi l aircraf

t i n ai r commerc e " 4 9 U.S.(I . § 44701(e)

- A s on e mean s o f achievin g thi s goal , th e statut e .'ipecifically authorize s th e Admini.'iirator t o issu e variou s cettificatcs . Thes e certificate s includ e 7-1 6

660/860 0 SW Q * VVdSt^LSEGtSO S XV diO:t LOLOS/LL/9 0

## 10/01/0 7 2150.3 B

airmancertificates , typ e certificates , productio ncertificates , airworthines s certificates , air carrie r operatin g certificates , airport operatin g certificates , ai r agenc y certificates , an dai r navigatio n facility certificates . 4 9 U-S.C . § 44702(a) . Fo r mos t o f thes e certificates , th e statut e require s th e Administrato r

t o investigat e an dmak e appropriat e findings regardin g qualification s t o hol dth e certificat e applie dfor

before th e certificat e i s issued . Fo r example , th e Administrato r i s require d t o investigat e andmak e finding s tha t person s applyin g for

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

t engin e part s ar e properl y designe dan d matiufflctured , peiformproperly , an dmee t th e regulation s an dminimu mstaridard s prescribe d before is.suing atyp e certificate , an ds o forth . 4 9 U.S.C , § § 44702-44706 . Onc e th e Administrato r

finds th e applican t

i s qualifie dfor

th e certificat e applie dfor , th e Administrato r i s require dto issu e lh e certificat e i nquestion . (2 ) Becaus e lh e Administrator' s responsibility t o promot e safel y i nair commerc e andai r transportatio ni s constant , th e Administrato r mus t als o tak e appropriat e actio nwhe nth e Admini-strato r

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

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

a t any tim e acivi l aircraft , aircraf t engine , propeller , appliance , air navigatio n facility , o r

air agenc y or

reexamin e a

nairmanholdin g acertificat e issue dunder sectio n4470 3 o f thi s title, " an dtha t

th e Administrato r

"ma y issu e anorde r

amending , modifying , suspendin g o r revokin g ,. . any par t

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

decide s after

conductin g areinspcction , reexamination , o r othe r investigatio ntha t safety i nair commerc e o r

ai r transportatio nrequire s that acfion. " 4 9 U.S. C § § 44709(a ) an d(b ) (1)(A) . (3 ) Revocatio ni s th e appropriat e remedy fo r conduc t tha i demonsirate s ihat

acertificate holde r lack s cithe r

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

care , judgment: , andresponsibility , require dfor

th e certificat e andrating s held . Th e prope r standar dfor

revocatio ni s no t

whethe r specifi c violation s demonstrat e afailure t o exercis e th e necessary qualitication s o f acertificat e holder , bu t

rathe r whethe r th e violation s dciuonstrat e that th e holde r

ha s neve r

possesse dor

n o longe r possesse s suc hqualifications . Similarly , suspensio nunti l demonstratio no f qualificatio n i s appropriat e whe nth e agenc y ha s reaso nto believ e th e certificat e holde r ma y lac k th e require d competenc e to hol daecnifieat c an dgenerall y whe nth e ceriificat e holde r fail s o r refuse s l o b e reexamined

- I

ncithe r ease , usin g Ihc factor s normall y applie dto .'=iclec t asanctio ninptmiliv c suspensio ncase s i s neithe r require dno r

appropriate . b . Misconduc t

Generall y Warrantin g Revocation . (1 ) Th e I'AAha s conclude dthat by thei r nature , som e act s o f

misconduc t

are s o egregiou s a s t o demonstrat e th e certificat e holde r never possesse do r

n o longer

possesse s th e qualitication s require dt o hol dan y airma ncertificate an dothe r certificates , ' f

herefore , suc hact s o f misconduc t

warran t revocatio no f

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

naircraf t whil e unde r

th e influenc e o f

alcoho l o r

drugs , o r witha nalcoho l concentratio no f

.04 percen t

o r above , o r

withi n8 hour s o f

consumin g alcohol , inviolatio no f 1 4 CF.R . §91.17(a) ; operatin g acivi l aircraf t withi nth e Unite dState s wit hknowledg e tha t narcoti c drugs , marijuana , an ddepressan t or stimulan t drug s o r substance s a s define di

nfederal 7-1 7

660/1^60 0 SWO < • VV dSt?LSe61?S0 S XV d80:t? LOLOS/LL/9 0

### 10/01/0 7 2150.3 B

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

alcoho l te.st ; an dconvictio nfor th e violatio no f

any federal o r

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

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

drug s o r sub.stance. s involvin g th e us e o f

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

th e allege dviolator' s airmancertificat e t o furthe r th e prohibite dconduct , o r mor e tha non e dru g convictio no f any kin dwithi nth e scop e o f 1 4 CF.R . § § 6l-15(a) , 63.12(a) , o r 65.12(a)- ^ (2 ) Excep t

for case s under

4 9 U.S.C . § § 44100 , 44710 , 44726 , and46111 , ther e may b e uniqu e circumstance s for whic hasanctio nothe r

thanrevocatio ni s waiTanted . Becaus e o f th e seriou s implication s fo r aviatio nsafet

y raise db y thes e cases , however , FA Alegal counse l coordinate s an y decisio nt o seek asanciio nothe r

llianrcvocafio nwithth e Assistan t Chie f Counse l for

Enforcement . I naddition , legal counse l document s di e basi s for tha t decisio ninth e cas e file, c . Intentionall y Fals e o r Fraudulen t

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

fraudulen t statement s s o seriou s a

noffens e tha t

i t result s inrevocatio no f

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

Cir . 1987 ) (violationo f 1 4 CF.R . § 67.20(a)) . Falsificatio nha s aseriou s effec t o nth e integrity o f

th e record s o nwhic hth e FAA' s safet y oversigh t

depends . I

f th e reliability o f thes e record s i s undermined , th e FAA' s ability t o promot e aviatio nsafet y i s compromised , (2 ) Th e FAAha. s handle ddifferently on e are ao f intentiona l falsificatio n- omittin g informaliuti relate dto alcohol

- o r diug-rclatc dconvictions , andothe r similar eonvictions , from applicai:ion s for

airmanmedica l certitication . I nFA AOrde r

2150.3A , (.Aimplianc e an d linforcemen t

( C & E ) Bulleti nNo . 90-2 , issue do nFebruary 6 , 1990 , th e agency' s polic y calle d fo r th e followin g sanctions : revokin g th e allege dviolator' s curren t medical certificate , if

any , an dsuspendin g any airmano r groun din.structor

certificate s for

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

drivin g under

th e influenc e (DUI ) conviction ; revokin g any curren t medica l certificat e an dsuspendin g any airmano r groun dinstructo r

ccrtiticatc s for

18 0 day s whe ntli c falsitlcatio ninvolve domiltin g informatio nonasingl e dru g convictio nfor simpl e possessio n fro mth e appUcalio nfor medical certification ; an drevokin g any curren t medica l an dany airman o r groun dinslructo r

certificate s whe nth e fiilsificationinvolve doinittin g informatio no nmor e tha non e DU

Xconviction , o r

aconvictio nfo

r mor e tha nsimpl e possession , o r mor e tha nt-w

o dru g conviction s o f

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

* Adru g convietionwithi

nlhe scope of

1 4 CF.R . § § 61.15(a) , e."!.12(a) , or 65.12(a ) tha t doc s not involv e the us e o

f aii aircraf t o r the exercis e o f

Ui e privilege s of

the allegedviolator' s certificat e als o ca nvvarrsn l revocatio ni

nsom e circumstances . Revocationi s appropriar e wher e the totalit

y o t th e circuinsiauce s underlying the convictionindicate s tha t the allegedviolator

lacks the judgment , responsibility , an dcomplianc e attitude requiredo f a naimian . Thi s detei'min,itioii mus t

be mad e o nacase-by-cis e basis . 

### 7-1 8

eeO/SSOi a su a * VV d 3t?LSeGtS0 2 XV d 80:i7 L 0103/11/9 0

### 10/01/0 7 2150.3 B

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

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

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

aviatio nsafet

y a s doe s falsificatio no f any othe r

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

intentionall y falsifie s ihes e record s demonstrate s th e sam e lac k o f care , judgment , an dresponsibilit y a s aperso nwh o falsifie s any other aviatio nsafcly-rclatc drecords . T o correc t

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

statement s i

ntha t bulleti nan dwithdraw s th e Noiic e o f Enforcemen t

Polic y foun dat

5 4 Fed . Reg . 15144 (1989) . 12 . Genera l Guidanc e fo r Usin g ih e Sanctio nGuidanc e Tabl e fo r Unrul y Passenge r Conduc t Unde r 4 9 U.S.C . § 46318 . a . Genera l Purpos e an dPolicy . (1 ) Th e tabl e at

Appendi x B , par t

II , Figure l3-3- p provide s th e suggeste dsanctio nrange s fo r asingl e ac t

o f unrul y conduc t

b y apassenge r

subjec t to th e provision s o f

4 9 U.S.C . § 46318 . iS'c e als o Cre w Interferenc e (Unrul y Passengers) , chapte r 4 , paragrap h14 . The y provid e general guidanc e onl y abou t

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

o r it s prosecutoria l discretio ninevaluatin g aparticular cas e for enforcemen t

action . (2 ) Whether

aparticular

passenger' s unrul y ac t

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

i nth e exercis e o f

prosecutoria l discretio nadecisio nno t t o procee dwii h enforcenien t

actio ndepend s o

nth e totality o f

th e circurnstance s i naparticula r case . Wher e th e mitigatin g an daggravatin g factor s describe di nchapte r 7 . paragrap h4 ar e als o presen t i na 4 9 U.S.C . § 4631 8 case , FA Aenforcemen t personne l applyin g th e sanctio nrange s a t Appendi x B , part 11 , Figur e B-3- p conside r thos e factor s inselectin g a nappropriat e sanctio nwithi no r outsid e th e range . Th e variety o f conduc t subjec t to 4 9 U.S. C § 4631 8 an dth e varie dfact s an d circumstance s withi nwhic hunrul y conduc i may occur , ma y als o warran t

consideratio no f

other mitigatin g andaggravatin g factor s uniqu e to unrul y passenge r conduct . Some o f

thes e additiona l factor s ;.tr c se t fort hinchapte r

7 , subparagraph s 12.b . andc . b . Additiona l Aggravatin g Factor s t o C?nnsidcr . I nadditio nt o th e factor s describe di n chapte r 7 , paragrap h4 , 1<~A

Aenforcemen t

personne l conside r

othe r potentiall y aggravatin g factor s i nchapte r

7 , subparagraph s ]2.b.(l)-(7 ) i nth e selectio no f

a nappropriat e sanctio nwithi n o r outsid e th e sanctio nrange . (1 ) Th e severity o f

th e unrul y conduct . I'he severity o f th e conduc t

may b e indicate dby severa l factors , includin g

• Th e physica l charaetorislic s o f the individual committin g th e unrul y conduc t contraste dwit

hthos e o f

th e victim . • Th e natur e o f

th e conduc t

itself . • Tli e exten t

o f any injur y inflicted . 7-1 9



## eeo/asoi asw a< • vv dstiseetso s xv d8o:i? t oios/ii/a o

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

th e unrul y conduc t

occurre dwhe nth e aircraf t wa s i nflight

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

o r o na crowde dboarde dflight

ma y b e mor e aggravatin g tha nth 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 naflight, unrul y conduc t agains t acrevnnembe r ma y b e mor e aggravatin g tha nth e sam e unrul y conduc i directe da t anindividual wh o doe s no t hav e an y safety dutie s t o performo nth e flight. (4 ) Whethe r

th e unrul y passenge r

provoke dthe situatio nthat resulte di

nth e unrul y conduct . Fo r

instance , apassenge r

wh o instigate s aconfrontation , o r apassenge r

wh o mixe s alcoho l wit

hprescribe dor

over-the-counte r

drug s tha t

the passenge r

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

th e unrul y conduc t

necessitate dtha t

th e flight b e diverte dfromit s intende d destination . (6 ) Whethe r

th e unrul y conduc t

necessitate dthat

th e fiight cre w cal l ahea dfor

law enforcemen t

t o mee t th e flight onarrival . (7 ) Whethe r

th e unrul y conduc t

wa s intlicte dwit

hmalic e o r

i nanger . c . Additiona l Mitig-atingFactor s t o Consider , lh e factor s liste dinchapte r 7 , subparagraph s 12.c.( l )-(3 ) ma y justif y asanctio nbelo w the sanctio nrange , o r i nth e agency' s proicculoria l discretion , ma y justif y adecisio nno t

to prosecut e apassenger' s unrul y conduct . (1 ) Whether

th e unrul y passenge r

ha s alread y serve dacriminal sentenc e for th e sam e conduc t or ha s already niad e monetary restitutio ni nth e contex t

o f acriminal prosecutio nfor th e sam e conduct . (2 ) Whethe r

the passenger' s unrul y conduc t wa s cause dby adiagriose dmedica l o r menta l conditio nfor

whic hth e passenge r

wa s receivin g medical treatment . (3 ) Whethe r

th e unrul y conduc t

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

t woul dno t

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

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

IT , Figur e B-3- p for

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

aircraf t or othe r individual s onth e aircraf t applie s whe nther e i s an imminen t threa t l o 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 nboar dth e aircraft . Fo r

example , apassenger

attemptin g t o ope na

nemergenc y exi t

doo r woul db e an imminen t threat t o th e safet

y o f th e aircraft . If

th e imminen t

threa t t o safety i s directe dto 7-2 0

eSO/iSO B SW Q < • VV d StlSSetSO S XV d 80:i? l 0103/11/8 0

### 10/01/0 7 2150.3 B specifi c individual s o nth e aircraft , the nth e sanctio nrang e for physica l assaul t

o r threatene d physica l a t

Appendi x B , par t

II , Figur e B-3- p applies . (2 ) I nselectin g anappropriat e sanctio nwithi no r outsid e th e sanctio nrang e for a nac t posin g animminen t

safety threat , FA Aenforcemen t personne l conside r

whethe r th e resultan t imminen t threat wa s th e unintende dconsequenc e o f th e passenger' s careles s o r reckles s ac t

or whethe r th e passenge r

intende dth e consequences . Th e former woul djustif

y asanctio ntoward th e lov/ en do f th e range , whil e th e latte r woul djustif

y asanctio ntowar dth e maxirnu mrange . e . Applicabl e Sanctio nRange s fo r Securit y Officer s o r

Other s .Assigne daLa w Enforcemen t

Functio no naFligh t

(fo r example , Federa l Ai r

Marshal s Assigne dt o th e Flight) . FAAenforcemen t personne l appl y tli c sanctio nrang e applicabl e l o physica l assault s o r tlireatene dphysica l assault s o ncrewmember s (Appendi x B , par t II , Figur e B-3-p) . f . Applyin g Unrul y Passenge r Sanctio nGuidanc e Table s t o Multipl e Acts , Whe napplyin g lli e tabl e to multipl e act s by a nunrul y passenger , FAAenforcemen t pcrsoi'mc l conside r no t onl y th e individua l unrul y act s committed , bu t als o th e collectiv e consequence s o f al l th e unrul y behavior . FAAenforcemen t personne l do no t

approac hth e sanctio ndeterminatio n for multipl e act s a s amechanica l exercis e o f multiplyin g th e numbe r

o f separat e act s o f

unrul y behavio r by asanctio namoun t

i nth e rang e for

asingl e act . In.stead , the y us e th e guidanc e i nth e tabl e an dexercis e thei r

judgmen t

a s t o th e seriousnes s ofth e conduct , give nth e totality o f circumstances , t o determin e a nappropriat e sanctio namoun t tha t wil l dete r

futur e violation s by th e unrul y passenge r

andother s similarl y situated .

7-2 1

6S0/8S0I S SW O VV d 31?LSS61?30 3 XV d 80:i? L 0L03/U/9 0

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