U.S. DEPARTMENT OF TRANSPORTATION ,.,.- . 

OFFICE OF HEARINGS -^ ' ^ ^^''^ 

FEDERAL AVIATION ADMINISTRATIOh^c ^ n!s ^Q nOC'^'~ T 

Federal Aviation Administration 

Complainant 

Vs 

AirTran Airways, Inc. 

Respondent 

FAA Docl<et No. CP10SO0002 

Judge Isaac D. Benkin 

RESPONDENT'S REQUEST FOR AN EXTENSION OF TIME TO 

FILE A DOCUMENT 

AND. IF GRANTED. 

RESPONDENT'S RESPONSE TO THE COURT'S PREHEARNG 

ORDER OF MAY 19. 2010 

AirTran Ain/vays, inc (Respondent) hereby requests an extension of time to file its 

response to the Court's prehearing order of March 12, 2010. Respondent was under 

the erroneous belief that the hearing date in this matter was to be continued due to a 

conflict that Complainant's attorney had with a hearing before a NTSB Administrative 

Law Judge, which was resolved when a new attorney for the Complainant filed a Notice 

of Appearance on June 1, 2010 (see correspondence from NTSB ALJ William R. 

Mullins which is enclosed as Attachment "A"). 

In accordance with paragraph 5 of the Court's March 12, 2010 prehearing order, 

Respondent's counsel, on June 1, 2010, requested the concurrence of Complainant's 

counsel (Mr. Robert B. Dixon) to Respondent's request for an extension of time. On 

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June 1, 2010 Mr. Dixon advised Respondent that he did not object and concurred with 

an extension of time to June 3, 2010. 

If Respondent's request for an extension of time to file its response to the Court's 

prehearing order of May 19, 2010 is granted by the Court, then Respondent, through its 

undersigned counsel, submits the following response to the Courts Prehearing Order: 

WITNESS LIST 

Respondent intends to call the following witness to testify at the hearing; 

Mr. Jeffrey Miller 

Vice President of Flight Operations and FAR Part 119 Director of Operations 

AirTran Ainvays, Inc. 

9955 AirTran Blvd 

Oriando, FL 32827 

Mr. Miller will provide testimony concerning: 

• the events that resulted in the reported violation of §121.467 of the 

Federal Aviation Regulations in July of 2008. 

• the compliance history of Respondent with respect to §121.467 prior to 

and subsequent to the reported violation that occurred in July of 2008. 

• Respondent's compliance disposition and attitude, both generally and 

also in response to the reported violation of §121,467 in July of 2008. 

• the nature of the reported violation of §121.467 that occurred in July of 

2008. 

• the presence of mitigating or aggravating factors associated with the 

reported violation of §121,467 that occurred in July of 2008. 

• Respondent's corrective action to prevent a reoccurrence of the events 

that resulted in the reported violation of §121.467 in July of 2008. 

• Respondent's financial performance since 2005. 

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• Relevant provisions contained in FAA Order 2150.3B and 49 U.S. Code 

. Chapter 46301. 

EXHIBIT LIST 

Respondent intends to offer into evidence the following exhibits: 

• Proposed Exhibit R-1. 49 U.S. Code Chapter 46301 

• Proposed Exhibit R-2. FAA Order2150.38, Chapter 7 

• Proposed Exhibit R-3. Respondent's P&L Trend 2005-2009 

Copies of the above described Exhibits are attached in accordance with the prehearing 

order. 

Respondent also may offer other exhibits or evidence as appropriate to rebut or 

impeach evidence sponsored by or testimony provided by Complainant's witnesses 

which cannot be anticipated at this time. 

Respectfully submitted this 3rd day of June, 2010 

Stephen J. Kolski 

Florida Bar Number 01034082 

Executive Vice President Corporate Affairs 

AirTran Airways, Inc. 

9955 AirTran Blvd, 

Orlando, FL 32827 

Phone: (407)318-5108 

FAX: (407) 318-5109 

Email; Steve.Kolski(a)AirTran.com 

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FAA Docket No. CP10SO0002 

(Civil Penalty Action) 

CERTIFICATE OF SERVICE 

I hereby certify that on this date a copy of Respondents request for an extension of time 

to file a document and, if granted, Respondent's response to the Court's Prehearing 

Order of May 19, 2010 was provided on this 3"^ day of June, 2010 as follows: 

ORIGINAL & ONE COPY (VIA U.S. MAIL) TO: 

Federal Aviation Administration 

800 Independence Ave, S.W. 

Washington, DC 20591 

Attention: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building - Suite 2W1000 

ONE COPY (VIA FAX AND U.S. MAIL) TO: 

Robert B. Dixon, Attorney 

Complainant's Counsel 

Office of the Regional Counsel, ASO-7 

Southern Region 

Federal Aviation Administration 

P.O. Box 20636 

Atlanta, GA 30320 

TEL: 494-305-5200 

FAX 404-305-5223 

Robert.B. Dixon@faa,gov 

ONE COPY (VIA FAX AND U.S. MAIL) TO: 

The Honorable Isaac D. Benkin, Administrative Law Judge 

Office of Hearings, M-20 

U.S. Department of Transportation 

1200 New Jersey Avenue, S E 

East Building Ground Floor, Room El2-320 

Washington, D.C. 20590 

TEL: At1:orney 202-366-2139 

Legal Assistant 202-366-2132 

FAX: 202-366-7536 

Stephen J. Ko 

June 3^^2010 

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MfiY-24-2Qir3 09:4-4 FROM: 8176527668 70:914073185901 p. 1^3 

ArTTAOVHEtoJ AOffice of Administrative Law Judges 

NTSB Circuit 3 - Judge Geraghty 

NTSB Circuit 4 - Judge Mullins 

Judges' Assistant -Anne Smith 

^^jv BO«^ 624 Six Rags Drive, Suite 150 

Arlington, Texas 76011 

Phone: (817) 652-7860 FAX: (817) 652,7868 

<t,:^''(W'^ ^ 

TO: f^j^.,j^. . ^r-iUk ] 

DEPT: J^^r Tr^ 

Date; . 

Number of Pages Excluding This Page: 

FROM': S^f ^u/hiyj ^ 

MESSAGE 

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I-MM LA^^^jf c 

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MAY-24-2010 09:44 FROM: 8175527868 70:914073163901 P.5^3 

^ 

SERVED MAY 5, 2010 

UNITED STATES OF AMERICA 

NATIONAL TRANSPORTATION SAFETY BOARD 

OFFICE OF ADMINISTRATIVE LAW JUDCES 

J. I^NDOLPH BABBITT 

Acting Administrator 

Federal Aviation Administration, 

Complainant, 

* Docket No.: SE-18818 

WILLIAM F. KOCH, * JUDGE MULLINS 

Respondent. * 

SERVICE: BY FAX & REGULAR MAIL 

RASHAWN GEORGE, ESQ. 

FAA/SOUTHERN REGION 

P.O. BOX20636 

ATLANTA. GA 30320 

KATHLEEN YODICE, ESQ. 

YODICE ASSOCIATES 

601 PENNSYLVANIA AVE. NW 

SUITE 875, SOUTH BLDG. 

WASHINGTON, DC 20004 

ORDER DENYING REQUEST FOR CONTINUANCE 

The Administrator has requested a continuance of the Hearing date now set 

for June 16, 2010, In St. Paul, MN. The undersigned has two other hearings scheduled in 

St. Paul, MN that week. 

Counsel for Respondent has objected to this request. 

Administrator's Counsel has stated, as grounds for the continuance, a 

conflict with another hearing scheduled on June 15, 2010, with Judge Isaac D. Benkin, 

ALJ with the Department of Transportation, in Orlando, FL. Because of the other settings 

in St. Paul, MN, that week and in the interest of judicial economy, the undersigned spoke 

by telephone with Judge Benkin on May 4, 2010, and he graciously agreed to continue 

his matter which was the only hearing he had in Orlando that week. He did request that 

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Mfiy-24-2010 09!44 FRDM: 8176527868 TD:914073185901 P.3-'3 

Counsel for the Administrator and Air Tran contact his office with proposed dates to 

reschedule that hearing, 

Therefore, the request to continue this matter now set for June 16, 2010, in 

St. Paul, MN, Is denied. 

AND IT IS SO ORDERED. 

ENTERED this s"" day of May 2010 at Arlington, Texas 

WILLIAM R. MULLINS 

ADMINISTRATIVE LAW JUDGE 

COURTESY COPY: 

JUDGE ISAAC D. BENKIN 

OFICE OF HEARINGS, M-20 

U. S. DEPT. OF TRANSPORTATION 

1200 NEW JERSEY AVE., SE 

EAST BLDG. GROUND FLR. RM E12-320 

WASHINGTON. DC 20590 

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Fage 1 or lu 

From nhif. U.S. Code Online via GPO Access 

[www,gpoaccess.gov] 

[taws in effect as c t Jnaudi:/ 3, ZOQT] 

[CITE: 4905C16301) 

^n\e ^ B.-1 

[Page 911-917) 

TITLE 49—TRANSPORTATION 

SOBTITLE VII--AVIATION PROGKftbI$ 

tARl A—AI R COMMERCE AND SAFF-Tt 

subpart iv--6nLorcfcm<'nt «nd penalties 

CHAPTER 4 63 —PENALTIES 

Sec. 46301. Civil penolties 

(a} G&UKXHI Pon.jlty.— (1) A peraon is liable to the United States 

Governmenc for « civil penalty ol ftul. mcin: hh-in S2.'5,000 (or 51,100 il 

t.hf,: person ia an individual or small business cooo^nrj (ui vicil.it-inrf--

(A) t:h,-iptor 401 (except sections 40]03(o) and (d) , lOLCS, 40116, 

and 40117), chapter 411, cihuptcr 41.3 (except sections 41307 and 

41310 (b) - (1=) ), chapter 415 (except aeetions IL-JOJ, 41505, and 41S07-

41509), chapter 411 (exceph .'.cccions 41''03, 41704, 41710, 41713, and 

41714), chapter 419, suichapter II o: III of chjiptcr 421, chapter 

44 1 (except section 44109), section 44502(b) or (c), cliophr.r 4 47 

(except .':c;t:tJon3 44717 and 44719-4472:^), chaptot 449 (except 

sections 44902, 449();i(d), 44904, 44907 (a) • (d) (1) (A) and (d)(1)(C)-

(I'l , and 4<i90e), sectxon 4V1(JV(1;) (iinjUidinrx any aaaurance made 

under such section), or section 471J3 01 Lhi.i l.ic.lc; 

(D) .-^ regulation prescribed or order issued under ai*iy pi(>v.i:>ion 

to which clauKu (A) of this paragraph appli«s; 

(C) an y term of a cei'LlIictit<; or permit issued under section 

41102, 41103, or 41302 of this title; or 

(D) a rt-gulation or Lhe United -States tostai Service undftr thic 

port, 

(2l A separate violation occur>: iindr.r rbj .7 subsection for each drty 

tho violotion (other than 5 viol«-cion or secLluii 4IVli)) coTitinue.'S or, if 

appiio-abli;, fc.r r-och flight Involving the violation lothei i.h<iii .1 

violation of section 117191. 

(3) Renalry for diversion ot avial.ion r<:vi.-.rn.w.-3.--The amount of a 

i;ivi.l p<.-ri;.iltv assessed under this section for a i-iiiial.ion cjC .•itHiTion 

47107 (bl of Liiis Litlc (or any assurance made und«i: such section) 01 

Section 47133 of this LlLlc may he increased above the otlKirwl^e 

applicable maximum amount under this section l.t> un .amount not to exceed 

3 times r.hr amount of revsnuKs th.jt ore used in violation u£ :;u<r.h 

section. 

(4) ftviation security violations.—Notwithstanding pdroqrsph (1) of 

this aub.-i<;t:l-.'ion, the roaxlmum civil pc.-nslty for violating cliapl.nr •149 ot 

another requirement under t(ii.7 tixJe administered by the Under Secretary 

of Transportation for Security ahali l>-: 510,000; except that the maxiKnan 

i:jvil p<-.ncilrv Shall be 525,000 in the case 01 a peiruri opc.r.irinrr an 

aircratt lor Lli- i-.r,-inoportation a t passengers or property tor 

compensation (eiccept an indlvid^i.-il serving as an airinani . 

(5) Penalties applicable to individuol!; .u,nd small business 

t^oncern.-? , — 

(A) An individual (except *n firman serving as an airnian) or 

sinoll business concern is liable to the (Sovernmcnt. for a civil 

penalty oi i-iot more than ?10,000 for violotinj— 

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

40106(bl, 40116, and 401171, .icKtion 44502 (b) or (c) , chapter 

4<7 (except sections 44717-44723), 01 chupt.-.r 449 (except 

aectionii 44902, 44303(d), 44904, and 44907-44909) oi Lhi.-; title; 

or 

(ii; a regulni.ion pr^-scribed or order issued under any 

provision to which cliufie (i) ,ippl.ic3. 

(B) A c_vj 1 penalty of not more: than S10,000 may be impoatd fcjr 

each violation under p/iragroph (1) comndtced by nn individual or 

small business concern related to — 

(i) the tr.-insportation of hazardous matnri.iT; 

(ii) the registration or reeord-Ttion under chapter 441 of an 

aircraft not used to provide air i.ran.-iportstion; 

(•ii]) a violation of section 44716 (d), ii;i,il.i iiq xo the 

iimil.nl.ion on construction or ».:stablishment of laiiLliJ J 1 K; 

(iw) a viol;4tion of section 44725, relating to the saift 

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disposal of Ijfe-limited aircraft parts; or 

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

to discrimination. 

(C) Notwithstanding paragraph (1), tht; moxi.mum civil penalty for 

a violation of section 

I(Page 912]] 

41719 committed by an individual or small busirKys concern shall be 

55,0(10 iristead of ?1,000-

(D) NoLwixhstanding paragraph 11), the maximuro civil penalty i'or 

a violation of section 417]7. (including a regulation prescribed or 

order issuod under such section) or any other regulation prescribed 

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

intendud to afford consomer protection to commercial air 

ttansportacion passengers shall be S2,500 lor c:arh violation. 

(b) Smolce .Alarm Dfcvir:i^ Penalty. — (1) A passenger may not tamper 

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

nil aircraft providing air transportation or inUraxtate nir 

transportation. 

(2) An individual violating Lhi;< subsection is liable to the 

Government for a civil penalty of not mure ch/in S7.,000. 

(c) )?rocedi.iEal Requirements. — (1) The Secretary of Transportation 

may impose a civil penalty for the following violations only after 

notice and an opportunity £'or a hearing: 

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

411, chapter 413 (eiccfepl. .'•.e<.:tions 41307 and 41310 (b) - (f) ) , chapter 

41S (except a^ictiona 41502, 41bU5, and 11.507-41509), chapter 417 

(Axcrpt se'Jtions 41703, 41704, 41710, 41713, and livi-l), chapter 

419, subehdpLer TT of chapter 421, or .lection 4490S of this l.ir.li;. 

(B) a violation oi a re<julation prescribed or order issued under 

any provision to which clause (A) o£ Lhin paragraph applies. 

(C) 0 violation or any term of a certilicaLti ui pf:rmit issued 

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

(D) a violation undei aLib.ic:<;tion (a) (1) of this secrien related 

to the trarisportfltion of hazardous material. 

(2) The Secretary aliolX give written nci;lc<-. of the finding of a 

violation ixi\i l.hc. civil penalty under paragraph (II or Lhi.'^ -Milj.iection. 

(d1 AdminiE traLivc. Imposition of Fsnaltiaa.--(1) In this 

subssction--

(ft) '"flight engineer'' means an imJividii.-il who holds a flighr 

engineftv <>• i l-i ficcite issued under part 63 of titJc \^ , r.iKio- of 

Federal KegulaLion.-.. 

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

cerhificate issued under part 05 of title 14, (".<jde of federal 

regulations. 

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

issued under parr 51 of title 14, Code of Federal Regulations. 

(0) •• repairman"' merin.5 an i.ndivldual who hold.<i a repairman 

certificate issued under part 61 oi Lil.lc-. 1-1, Code of Federal 

Ragulationa. 

(2) The Administrator of the Fedeial Aviation administration may 

impose a civ^i.) penalty ror a violation or chapLei 401 ("xcept sections 

40103(a) and (d) , 40105, 40106(b), 4011(3, and 40117), chapL.n 441 

(B3:ccpt section 44109), rieetjon 44S02(b) or (c) , chapter 447 (excapi. 

sections 44717 and 447i9-4472Sl or .•joction 46301(b), 46302 (for a 

violation relating to section 46S04), 16318, or 47107(b) (as further 

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

assurance made under section 47107(b)1 of this title or a regulsfion 

prescribed or order issued under any of those provi .-jions. The Secretary 

of Homeland secirity may irapoae a civi.l penalty for a violation of 

chapter 449 (except »eci-.jon;.i 44902, 44903(d), 44907 (a) - (d) (1) (A) , 

44907(d)(1)(C) (f), 44906, and 44909), 4<5302 \1\ (except for a violation 

relating l-.n section 46S04I , 4(!303,\1\ or a reyulai-.ion prescribed or 

order issued undei .sueh chapter 449. The Secretary ot Homc:J.inci Security 

or ?idmini9tcator shall give written notice of the finding of a vlolaLion 

•ind the penalty. 

\ 1\ 30 in original. Probably should be preceded by ''aEctiot''. 

(3) In a t-'ivii action to colKict a civil penalty imposed by the 

Secretary of Homeland security or Administrator under this subsoctioo, 

the issues of liabiliLy and the amount of the penalty may not br: 

reexamined. 

(4) Notwithetanding paragraph (2) of i.hio subsection, t.he district 

coui I..-, iir the United Ltate-f have exclusive j m i.-.uii ctlon of a civil 

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action invo.lvi.ng a penalty the Secretary of Homeland Security oi 

Administrator Initintes if — 

(A) the amount in controversy is more than--

(1) ?SO,000 if the violation was comuLiLted by any person 

before the date of enactment of the vision 100--Century of 

Aviation Reauthorization Act,-

(ii) 5400, 000 if the violation was committed by a per;;on 

other than an individual ot small business concern on or alter 

that Jact-.; yr 

(iii) fSO/Ouo if the violation was committed by an 

indiv].dual or small business c;aii<:<:rn on or after that date; 

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

.•;eme violation has been brought: 

(C) the action involves an aircraft subj'jct to a lien that has 

been seized by the Government,- or 

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

i-.he .tninr; violation. 

(5) (A) The AdiainlatraLcii may i :;3ue an order imposing a penalty under 

this subsection against an individual airting as a pilot, flight 

ennineer, mechanic, or repairman only after advising Llit individual of 

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

penalty and providing the individual an opportunity to answer the 

charges and b« heard about why i.lie order shall not be issued. 

(B) An inCLividual acting as a pilot, Ilight engineer, mechanic, or 

repairm.in may appeal an order ijnpo.^5in<j a penalty under this subaection 

to the Rational Transportation Safety Board. After notice and an 

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

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

suspension ot revocation of a cerLllli:ai.e. 

(C) When conducting a hearing under this paragraph, thfe Board i.-; not 

bound by iindinga <:/•" fact of the Administrator but is bound by all 

validly adopted interpreLaLion.i of laws and regulations the 

Administrator carries out and of written agency policy guidjincc 

availabJe (.<> r.he public related to sanctions to be imposed under this 

section unleaa the Board f^inds an interpretaLion Ls arbitrary, 

captieiou.^, or otherwise not according Lo l.iw. 

((Page 913 11 

(P)) Whirn an individual i'iles an appeal with the Board under rhis 

paragraph, i.lin order of the Administrator is stayed. 

(C) An individual KUII.-I i ,irii;i,:il l y affected by an order of the Board 

under paragraph (5) of this subsection, ut I.IH- Administrator when the 

?id]ni n i lit r.-iter :li5cides that an order of the board undet parogiapli (.•)) 

will have a 3l3nii'i<:.iiir ;idv«ir.'3e impact on carrying out this part, may 

obtain judicial review of the oidtsr uiLd<:r section 4S110 of this title. 

The Administrator shall be made a party to the judicial re:vi<:w 

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

by 2ub.-:hanr.i a), evidence, 

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

individual acting as a piltil-., f 1 i.qht engineer, mechanic, or repairman) 

orl.y after notice aud an opportunity lor a hearing on rhi? record. 

(B) Tn on /ippeal from a decision of an adminiatraLive law -jiidrie as 

the raeulL oi a h<iarH.n<j under subparagraph (A) of this paragraph, the 

Administrator shall consider onl y win^thc-r--

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

reliable, probative, and substantial evidence; 

(ii) eiitih conclusion of law is made accocding to applicable law, 

precedent, and publlcr policy; and 

(iii) the judge committed a pre-judlcia!) error that supports the 

appeal. 

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

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

violation occurs. 

(D) in the case of a violation ol aecLion 47107(1>) of this title or 

any .•j.'.v.nurance made under such section— 

(i) .1 r.:ivil penalty shall not be assessed against an i.iidi vidvia I; 

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

subsection (f); and 

(iii) judicial review ol any order assessing a civil penalty ra;iy 

be obtained only pursuont to section 46110 of this title. 

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

Board m/iy impose under this subsection is — 

(A) ?irU,on(i if the violation was committed by any person bel'<ire 

the date of enacLment of the vision 100••••Century of Aviation 

Reauthorization Act; 

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(D) 5400,000 if the violation was coiiniitin.d by a person other 

than an Individual or small business concern on or arter that date; 

or 

(C) $iiOrQOO if the violation was committed by an individual or 

small business concern on or after that date. 

(9) This subsection app]ir;.s only to a violation occurring arter 

August 25, 19&2. 

(c) Ponalty Considerations.—In determining the amount of a civil 

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

transportatiot of hazardous maLeriai, the Secretory shall consider-' 

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

violaticin; 

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

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

the ability i-.o continue doing business; and 

(3) other matters that ju.tticc requires. 

(f) Compromise and Setoff. — (1) (A) i'ha Secretary may ;;oiiipr:>rii se -zhe 

amount of a civil penalty imposed for violating— 

(i) I'jhflpter 401 (except sections 40103 (s) and (d) , 40105, 40116, 

and 40117), chapter •111 (<:x(:t:p[ ::;cction 44109), section 44502(b) or 

(c), chapter 447 (except sections 44'n7 and 4a7'l9-44723), or chapter 

449 (except sections i4902 , 44903(d), 44904, 44907(a)-(d)(1)(A) end 

(d) (1) (O-d) , 44900, and 44909) of this title; or 

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

to which clause (i) of thlo subparagraph applies. 

(B) The roatal Service may compromise the amount of a eivil penalty 

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

(2) I'he (iovernment may deduct the amount of a civil penalty imposed 

or compromised under this subsection iroici auicjwnr.^ it owes the person 

liable for the penalty. 

(g) Judi(:i,:il Review.--An order of the Secretary or the AdminiaLrator 

imposing a civil penalty m.^y be reviewed judicially only under section 

46110 of this title. 

(h) Nonapplicatioc. — (1) 'Ihis section does noT. apply to the 

following when performing official duties: 

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

(B) a i;ivi l.ian employee of the Deportment of Defense subject, l.o 

the [Jni fej:7n Code ol Military .Tiistice. 

("2) Thi'. appropriate military authority is responsible Lor (.aking 

necessary disciplinary at:i:ier and submitting to the Secretary (or the 

Under Secretary of Vransportaclon lor Si^c-uril^v wii.fi respect to security 

dui.io:; .iTid powers designated to be carried out by Lhe Under .'ii:(:rr.;t.3ry or 

the AdminieLral.or with respect to aviation safety duties and power;; 

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

action talcen. 

(il Small Business Concern Defined.—In this secLlcn, the term 

''small busine±:£^ concern'' has the meaning gj.ven that term in section 3 

of the Small business Act (15 (J.S.C. 632). 

(Pub. L. 103-272, sec. L( = ), July .5, 1994, 106 Stat. 123J; f ub. 1. 103-

305, title I, -lee. 112(c), tiLle II, See, ?07(c), Aug. 23, 1994, 100 

.•^l-.at. 1575, ISeS; Pub. L, 105-429, Sec. 6(6u), OrA-.. 31, 1994, 109 Stat. 

4365; Pub. L. ^.01-2t)^, title V, sec. .SC2(c), title vm , sei;. IJ(J1(li), 

title ,XIJ', Se c 1220(b), Oct. 9, 1996, 110 Stat. 3263, 3271, 3286; fub. 

L. 104-287, Sec. 5(77), Oct. 11, 1996, 110 .'li-.ah. 3396; Tub. L. 105-102, 

Sei. 3(c)(4), Kov. 20, 199'/, 111 3tat- 2215; Pub. L. 106-iai, ritle II, 

Sec. 222, title V, See. Sec. 503(c), S04(b), 519(c), title Vll, 

S&c. se c 707(b), 720, Apr. 5, 2000, 114 Stat. 102, 133, 134, 149, 158, 

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

107-71, title I, Sec. 140 (d) (1) - (4) , Nov, 19, 2001, 115 Stat. 6*?,; Puis. 

L. 107-296, title XVI, Sec. 1602, Nov. 2i, 200^, 116 Stat. 2312; Pub. L. 

H)((-]7<i, title V, Sec. 503(fl)-(c), Dec. 12, 2003, 117 Stat. 2557, 2558; 

tub. L. 104-41.8, title IV, Sec. 4027(a), Dec, 17, 2004, 116 SLat. 117^7.) 

f[rage D141 1 

Historica l end Iftevision Note s 

Pub . L. l(33--?,73 

R6vi-><:d Sectio n Sourc 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, 102 Stat . 1434 , 

49 App.:140 5 (las t esnc&MjK) . Autj. ?3 , 1958, rub . L. (I5-72C, Sec . 

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

sentence.-) leaa subchapter 

VII) . 

•19 App. ;l«i.^.">(c) (1 ) . 

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

46301(CI 49 Apu. :1471(o) (1) (3d, 5th 

sentences less subchapter 

VII) . 

49 App, ;1551(b) (1) (E) . 

4630:(d) (1) 49 App. : 1471 (a) (3) IH) . 

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

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

4 6301 (dp (31 4 9 hpp. :] 4 71 („) Ci) (A) , 

4 6301(d) (4) 49 App.: 14 71 (a) (i) (C) . 

46.MI (d) (;>) 4 9 App.: 1471 (a) (3) (D) (i)-(iv) . 

4fi301(dl(0) Iij App. :1471 (;>) (3)(Dj(v) (less 

Administr'aLur under .•;iibc)i. 

VIJ.) , 

46301 (d) I'n 49 App.; 1171 (a I (3) (j:) . 

46301(d)(8) 49 App.:1471(a)(3)(G). 

16301 (d) (9) 49 App. :147Ha) (3) (!'') . 

40301(e) 49 App.:1471(a) (1) (4th 

seuL>:iK:r. l.<:.i.-. .iiibchaptfr vn ) , 

46301. (f) 49 App. ; 1471 (a) (2) (related Lo 

subchap'Tcr 111, V, VI, or XII, 

Sec. 1501, 1514, or 

lbl5(< o {7.) (B), ahd L'osta l 

Service) . 

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

163(11 (g) 49 App.:1471(a ) (1) (6t h 

sentenc e les s .'jubchapte r vii ) , 

49 Hpp.:)551(b)(1)(E) . 

46301(h ) 49 App. :]4V1 (a) (1 ) ( Us t 

sentence less eubchapLer VTT) 

49 App.:15Sl(bl (1) (f;) . 

505 (last sentence], 72 Stat. 774, 

Aug. 23, 1958. tub. 1. 85-726, Sec. 

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

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

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

5, 1974, rub. L. 93-366, ."Sec. 107, 88 

Stat. 411; Jan. ^ , 1975, Pub. L. 93-

633, Sec, 113(b), 88 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), 101 Stat. 

1988, Pub. L. 100-690, 

102 Stat. 4429. 

Oct. 15, 1966, Pub. L. 

ft(c)(1), 80 Stat. 938; 

Pub. L. 97-419, See. 

2444. 

Aug. 23, 19&e, Pub. L. 

731, Sec. 404(d)(2); 

1987, Pub. L. 10U-20X, 

101 Stat. 1329-383. 

99 Stat. 225,-

100-223, .Sec. 

1519; Nov. IS, 

.5cc. 7208(a), 

fl9-670. Sec. 

Jan. 12, 1983, 

7(b), 96 Stat. 

05-726, 72 Stat. 

added Dec. 22, 

•Sec 328 (a). 

Aug. 23, 1958, Pub. 1. 85-726, 72 Scat. 

731, Sec. 16Dl(b)(1)(E); added Oct. 

4, 1984, Pub. L. 96-443, Sec:. 3(e), 

06 Stat. 1704. 

a\iq. 23, :95e, rub. L. 65-726, 72 Stat. 

731, Sec. 90: (01) (3) (less (D) (V) 

(relate d t o AdiiiinisLraLOr unde r titl e 

VID) ; adde d Oov, 10, 1988 , Pub . L. 

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

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

102-3-45, Sec . 2(a) , 106 Stat . 923 ; 

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

208 , IOC Stat , 4995 . 

Slov. 18, 1988, Pub. L. 100 690. Sec , 

7714 , -mil. Shat . 1434 . 

Aug. 2.3, 195P, Pub. t,. 85-726, Sec. 

9Ul(a)(2) (i:ulal.<:d ho |-i r Ic Til, V, 

VI, or Xll, Sec. 1101, 1114, or 

lllSle) (2)(D), end fostmaster 

S<:n<-.r.-il ) , 72 Stat. 784; July 10, 19C2, 

Pub. L. bV-bia, Sei:. 12, 76 £tat. 

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

9b-5(J4, Sec. .35(b), 92 Stat. 1740; 

Dec. 30, 1597, Pub. L. 100-223, Sec. 

204 Id) . 101 Stai.. 1519. 

In this section, the word ' pre.ferib?d'' is added for coneisLency in 

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

words ''united states Postal Service"' and ''I'ostal Service'' are 

subfltltutftd loi "Postmaster General'' because or .'.ecciori 4(a) of the 

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

Jn subsections (a)(1)(C) and (c) , Lin; woidci 'condition, or 

limitation'' are omitted as aurplu.<^. 

In subsection (a)(2), before clause (A), tl'ifc word.-i ' occnrrinq .jftr.r 

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December 30, 1987'' are omH.i:i:d a:.; obsolete. 

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

'engaged in'" for consistency in the revised fi-tle. 

In Subsection (b)(2), the word>i "'in accordance with section 1471 of 

this Appendix'' ate omitted as surplus. 

In <iub.iecl-.i.on (c)(1), before clause (A), the words '"or hiti 

delegate"' are omitted because of 4D:322(b). The word 'impose'' is 

substituted £c r ' "assessed'' for con.-ii;-.! <-.ney. The words ''amount of any 

.•meti'' aro omitted as surplus. 

In subsec:! inn (d), the uord "'impose'' is substituted for ''.ir.ncsa' ' 

for consistency. 

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

definitions apply"" are omitted as surplu.i. 

In subsection (d) (2), the text of section 7211 of tho Anti-Drug 

Abuse Act of 1998 (Public Law 100-690, 102 Stat 4434) is oiiiitt'id as 

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

because of 49:322(b). 

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

i'or clarity. 

in subsection (d)(5)(B) and (•/)(AI, the-, words 'in accordance with 

.iei;tion 554 of title 5'" arfi omitted for conaisLKney in the revised 

title and because ::>:.'i.si .-ipplies to a hearing on che record unless 

otherwise stated. 

Tn subsection (d)(5)(B), the words 'oonslsLenL with this 

subsection'' arc omitted as surplus. 

In suhsection (d) (5)(C), the word ''Administrator"' i.i substituted 

for "Federal Aviation Administration'" because of 49;106(b> and (gl. 

In subsection (d)(7jiB), before clause (i) , the word.-; ''as the 

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

for clarity. 

In .'•.ub.s(:::rion (el, before clause (1), the words ''civil peiiali:y 

under subsection (a) I'A) of this section relatec r.o transportation of 

hazardous material'' are 6ubBLitu(:<:ci for such penalty'" for clarity. 

In clause (1), the word 'committed'' i^; omi l-.t<-d as surplus. 

Tn .?iib3ection (f) (21 , the word 'imposed"' is sub.-; titiired for 'when 

finally determined or fixed by order of the Doerd'' for consistency. T1L« 

word-r "'agreed upon'' are omitted as surplus. 

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

• • assesijing" ' --or conaiatency. 

Tn subsection (h)(2). the words "with respect thereto"' az e omitted 

as surplus. The word ''Administrator'" in -icction 901(a)(1) ol Lhe 

Federal Aviation Act ol IS.'in (Public Law 85-726, 72 StaL. 703) is 

retained on authority of 49:106(g). 

Pui). I.. ]0:i-i;i9 

Tia.i anKiiidii 49:46301la) (1) (A) and (2) (A) . (c)(i)(A), (d)(2) 

(f) (1) (A) (ij to correci; erroneous crosa-rererence:;. 

fuh. L. 104-287, .';<:e. 5(77| (A) and (B) 

Thfi.-ie .iinenri 45:46301 (a) (1) (A) aud (2) (A) -co Correct errors in the: 

codification eDaoLitd by .•lecfton I of the Act of July 5, 1994 (Public Law 

103-272, lOO Stat. 1231), to iii<:liid<: in th<~ eross-reference sections 

enacted after i:he cutoff date for the codiiicaLioii ol title 49 os 

enacted by seci ion 1 of the Act (Public Law 103-272, 108 Stat. •/4^), and 

to ma)te it easier to inciuiie future sections in the cross-rpference by 

restating it in terms of chapters. 

Pub. L. 104-287, Sec. .•;(77) (C) 

Thi.i mak<r.r. f conforming amendment to 49:46301 (a) (3). 

Pub. 1,. 104-287, Hec. L, (77) (D) - (R) 

These amend 19:4630l (c) (1) (A), (d)(2), and (f) (1) (A) (i) t o correc t 

errors m the codificatio n enacLisd hjy 5<-ction 1 

UPage 91B]] 

Oi the At.:t. of July 5, 1994 (Public Law 103-272, 109 Stat. 123]), to 

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

for the Codification of title 19 o'^ cnocted by section 1 of the Act 

(Public Law 103-272, lOB Star.. 74.S) , anct to ma)cf it easier to include 

future aections in the cross-referer]f:>-. by rcrit.iring .it in terras of 

(:li.:»fTte r s -

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Heferences in Text 

The date of enactment of the vision 100--Century of Aviation 

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

01 enacljnent cf Pub. L. 108-176, which was approved Dec. 12, 2003. 

Araenoments 

2004—Subsec. (d)(2). Pub. L. 108-438, Sec. 4027 (a) (1) - (3), 

substituted ''16302 (for a v.iolation relating to section 46504),'' for 

•"46302, 46303,'', '"The Secretary ol Homeland Sncurity may' ' for "The 

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

(except ror a violation relating to section 46504), 16303,'' for 

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

under Secretary or"'. 

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

"Secretory of Homeland Security or"' lor 'Under Sectetaty or''. 

Subsec. (d)(4). Pub. L. 108-458, Sec. 4027(a)(3), autj.ii.il.iii.ed 

" •Sef:r<-.Kary of KomelLind Security or'' for 'Under Secretary or'' in 

introductory provLHioiiM. 

Subsec. (d) (4) (A) . Pub, L. 10a-4SH, See. 40-''.7 (p) (4), realigned 

margins. 

Z003~Subsec. (a)(1). Pub. I... 108-176, Sec. 503(a)(1), eubstituLed 

•'?2S,0D0 (Or S3,100 if the person is an individual or small business 

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

S-ubsec. (a)(1)(A). Pub. L. 108-176, Sec. S03(a)(2), (3), struck out 

'or'' before 'section 47107(b)'' and aubytituted ''section), or 

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

Sul.Kc:;:. (a) (;^) . Pub. T,. 108-176, Sec. S03(o)(5). .?ub.r-tituted 

"'section 41719'' lor ' ' .•!i?i:i.ion 117'IS'' in two places. 

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

.-itriielt out former par. (2) which read as follows: '' A person operating 

an aircratt lot Lhe hransportotion of passengers or property for 

compensation (except an airman servi/ig ay .in airman) is liable to the 

Government for a civil penalty of not more than Slu.ooo for violating— 

''(A) Chapter 101 (c:icept sections 40103(a) and (d), lOlOb, 

lOlU6(b), aoiLC, ond 40117), section 41."i02 (b) or (e) , chapter 447 

(except sections 44717-44723) , or chapter 449 (except secLlon.i 

4191)2, 119113(d), 44904, and 44907-44909) of this title; or 

(B) a regulal.ion fire.-.erjbcd Or order issued under any 

provi.^5ion i;o which clause (Al ol hhi;; par.igraph applies."' 

Subaec. i'aM3). Pub. L. 108-176, Sec. •j03(a)(4), r<;dc::(igrinted p-ir, 

(i,) a.-; C-l) and :.itruclt out former par. Ci) which read as follows: ' A 

civil penalty ol noi. more l.li.-in 510,000 may be imposed for ^Acti violation 

under peragraph (1) of this aubsectlun r=la(.<!d te 

(A) r.he transportation of hazardous material; 

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

tlLle of an a.ireraft not used to provide air transportation; 

''(C) (1 violation of section 'il7lfi(d), relating to the 

limitation on construction or establishment oi iandi'illM,-

' ' (D) '.< violation oi section 44725, relating to the sale 

disposal oi life-limjced oircraft parts; or 

(L') LL violaLiori oi :;eetion 41705, relating to discrimination 

against handicapped individuals."' 

Subsec. (a)(4). Pub. L. 100-17C, Sec. 303(a)(6), aubsLil.uLc.cJ 

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

Pub. L. 10e-J76, .See. 503(a)(4), redesignated par. (8) oS (4). 

Former par. (4) redesignated (2). 

Subsec. (a)(5). Pub. b . 108-176, Sec. S03(a)(7), added par, (5). 

Former par, (5) redesignated (3)-

Eubsec. (a)(6). Pub. L. 108-176, Sec. b03(A)(4), .struck out heading 

and text of pat, (6), Text read aa follows: "Notwithstanding paragraph 

(1) , the maximLm civil penalty for violating section 417X5 shall be 

?5,QD0 instead of 51,000."" 

Subsec. (a)(7). Pub. 1.. 108-176, Sec. 503(ai(4), .iLruc:!: out he.idi ng 

and r.,-.xi of p:ir, (7). Text read as follows; ''Notwithstanding paragrapu.i 

(1) and (4), tre maxiinuni civil penalty for violating section 40127 or 

41712 (including a reguial:icin pre:jcribed or order issued under such 

section) or any other regulation picrcrjbed by the •'Secretary that is 

intended to afford consumer protection to commercial air tian.iportoti.on 

pd:>sengcr.i, uhall be 52,500 ror each violation,'' 

Subsec. (a; (8). Pub. 1-. 108-176, Sec. 503(al(4), redesignated par. 

(6) as (41 . 

Subsec. (d) (4) (Iv) . Tub, L. 108-176, Gee. 503 lb) (1), substituted 

''more than—"' for "more than ?5O,OO0;'' and added tls. (i) to (iii). 

Gub.-iec. (d)(8). Pub. L. liJH-lVfi, .';<T.:. 503(b)(2), substituted ""i.i--

'' for "'ia .^50,000." and added subpars. (A) l.o (C) . 

r,ijli.->et:, (i.). rub. L. 108-176, Sec. 503(c), added sub.iec. (i). 

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2002 — Subsec. (alO). Pub. L. 10'/-296 added par. (8). 

2001—subsec. (a)l2). Pub. L. 107-71, Sec. 140 Id) (1) (C), in.ierted 

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

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

" The Under Secr«torv of Transportation for Security may impoGe a civil 

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

44907(a)-(d) ID (A), 44907 (d) (1) (C)-(t), 119UH, and 44909) or a 

regulation prescribed ot order issued under such chapter 119.'" 

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

subsec. (d) (2) by atrilcing out '', chapter 449 (except sections 44902, 

44903(d), 44907(a)-(d) (1) (A) and (d) (1) (C)-(f), 44908, and 4490S), '', 

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

44903(d), 44904, 44907(a)-(d) (1) (A) and (d) (1) (C) - (f), 44909, and 

44909),'' before "o r aection 46301(b)", to reflect the probable intent 

of Congress. 

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

"Under Seerefcery or Administrator"' for 'Administrator''. 

Subsec. (d)(a). Pub, I., 107-71, Sec. 140(d)(3), .-lubsiti tutcd ''Under 

Secii-^tary, Administrator,'' for ""Administrator'', 

Subsec. (111(2). Pub. T.. 107-71, Sec. 140(d)(4), inserted "the Under 

Secretary of TransporLaLion fo r Security with respect to security duties 

and powers deaignat^d to be carried out by Lho Under Secretary or'' 

after ' (or' ". 

20l)0~Sub:.iec, (a)(1)(A). Pub. L. 106-101, Sec. Sec. 519(c), 720(1), 

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

of chapter 421'' and struck ouL "'16302, 46303, or'' before ''47107(b) 

(including'' . 

Subsec. (<i)(3)(C). Pub. L. 106-im, Sec. 503 (c), added subpar. (C) . 

Subsec. (a)(3)(D), (E). Pub. b. 106-181, Sec. See. S04(b), 707(b), 

added subpar.'.. (h) and (E) . 

Subsec. (M)(Ci). L'ub. L. 106-181, Se<:. 7..?2 (b) , inserted heading and 

realigned margins. 

Sub.iei;. (.•!) (7) . rub. L. 106 IBl, Sec. 222(a), added par. (V) . 

Subaec. (d) (2) . Pub. r,. 106-424 substituted •'4S301(b), 46302, 

46303, 46310,'' for "'46302, 16303,'', 

Subsec. (d)(7)(A). Pub, L. 106-181, Sec. 720(2), aiDmti tuted " a 

penalty on a p&rnon'' for '"a penalty on an individual''. 

Subsec. (g). Pub. L. 106-381, Sec. 720(3), inserted '-or the 

Administrator"' after ' 'Secretary"'. 

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

102 repealed Euh. L. 104-264, Sec. S«c:. 5nZ(i:), 1220(b). See 1996 

Amendment notea below. 

199fi—Sub.?ec. (a)(1)(A). Puh. L. 104-297, Sec. 5 (77) lA) (ii i) , (iv), 

inserted '"or"" after '"46303,'' and strucit out " " , or 41715'' alter 

under such section)''. 

rub. L. 104 287, ."Sec 5 (77) (A) (ii) , subsLiLuI.ed "riectiiTin 44502(b) 

Or (c), irhaptrr 447 (except sections 44717 and 44719-44'^23) , cliapLer 449 

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

(d) (1) (c) - (f) , and 14905), or section"' lor "or any of .sections 

44'/01(a) or (b), 44702-44716, 14901, 44903(b) or (c) , 449ub, 1490S, 

44907(d)(1)(B), 44909(a), 44912-44915, 44932-44S.3FI, ' ' . 

f(fage 910] ] 

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

sectioni! 1131)7 >ind 41310 (b)-(f) ), chapter 415 (except aecLion.-; n.-in?., 

41505, and 4liO'/-4150»), chapter 417 (except sections 41703, 41704, 

41710, 41713, and 41714),'" fox "'any of .-lections 41301-41306, 11300-

n:ilO(.n), 4.1501, 41S03, 41504, 4150G, 41510, llijll, 41701, 4)702, 41705-

4I'/04, 41711, 41712, or 41731-41742, " . 

Pub. L. 104-261, Sec. 1220(b), which directed amendment of subpar. 

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

105-102. 

Pub. L. 104-264, Sec. 502(e) (1), which directed amendniei:t of subpar. 

(A) by inserting '"44724,'" after ' "'1171(( (d) , ' ", w.i3 repealed by Pub. L. 

105-102. 

Subsec. (a)(2)(A). Pub. J,. 104-287, Sec. 5l77i(D), substituted ', 

section 44502 (i3) or (c), chapl-.er 447 (except sections 44717-44723), or 

chapter 449 (except sections 44902, 14903(d), 44904, and 4490'/-44909) ' " 

for "'or any of sections 44701(a) or (b), 44702-1171 f>, 44901, 44903(b) 

or (c), 449U1, 11906, 44912-4491E, or 41932-44938''. 

Pub. JL. 104-264, See. b02(e)(2), which directed amendment of subpar. 

(A) by inaerti:ig ''44724,'' after •"44'/16,'', was repealed by Pub. L. 

105-102. 

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

subpara. (A) and (13) . 

Subsec. la,. (5) . Pub, L. 104-264, Sec. HOI (b) , omended par. (b) 

generally. Prior to amendment, par. (5) read as iollow.'i: ' ' Tp th-i case 

of a violation of fiectioj) 47107(b) of ehij title, the raaxiiiiuin oivil 

penalty for a continuing vi olij^ier shall not e^tccied 050,000.'' 

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Sub.iec. (e.)(l)(A). Pub. L. 104-287, Sec. 5(77) (Cr) (ii) , (iii), struck 

out ""or'' before 'subchapter 11'' and inserted '", or aeetion 44909'' 

before ''of this title'' . 

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

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

41505, and 4i;i07-415D9), ehnptcr 4)7 (except sections 41703, 41704, 

41710, 41713, end 41714),'" for "any of .•ieetien? 4)301-41306, 41308 

41110(a), 41501, 41503, 41504, 41506, 41510, 41S11, 41701, 41702, 41705-

11709, 41,71.1, 41712, or 41731-41742,". 

Subsec. (CI) (2) . Pub. L. 104-287, S&c. S(77)(E|, robsticuted 

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

44723), chapter 449 (except eectiont 4490Z, 11903(d), 44904, 44907(a)-

(d)(1)(A) and (d) (1) (C) •~(f), 44908, and 44909) , or section"" I'or 'or 

any ol' seetiors 44701(a) or (b) , 41702-44716, 44901, 44903(b) or (c) , 

44905, 44906, 44907(d)(1)(B), 44912-44915, 44932-4493B,"", 

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

by inserting "44Via(d),'' after ''44716,'", was repealed by Pub. L. 

105-102, 

rub. L. 104-264, Sec. 502(c)(1), which directed ainisiidment of p.:ir. 

(2) by iciaercing ""44724,"' after ' 11710 Cd),'', was repealed by Pub. L. 

105-102. 

Subsec. (f) (1) (A) (i) . I'ub. L. 104-28'/, Sec. .•:(77)(>-), substituted 

• ".'loetion 44502(b) or (c), chapter 447 (except sections 44V17 and 11719-

44723), Or chap(:er 449 (except sections 44902, 44903(d), 44904, 

44907 (a)-(d) (1) (A) and (d) (1) (C) - (f), 44908, and 14909)"" for "or any 

of sections 44701(a) or lb), 447U2-44716, 44901, 44S03(b) or (e), 14905, 

44906, 44907(d)(1)(D), 44912-44915, or 44932-44936'". 

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

by inserting ' 44718 (d),'' after '"44716,"', wa;j repealed by rub. L. 

105-102. 

Pub. L. i04-2fil. Sec. 50,':(c)(l), which directed amendment of cl. (i) 

by inserting '"44724,'" sitisr "11718(d),'', was repealed by Put. L. 

105-102. 

1994—SubS'BC. (a)(1)(A). Pub. i. 103-429, Sec. 6(60) (A), .lulj.it i tured 

"any ot secLion!-. 41301-41306'' for "section 41301-41306'' and ""any oi 

seccioiia 44701(a)'' for ""section 14701 (a) '', 

Pub. L. 103-305, Sec. 207(c)(1), inserted ', or 11715'' before ''of 

this title'". 

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

(including any assurance made under such section)"" for 'or 4(7.103'". 

subsec. (al (2) (A) . Pub. L. 103-129, .i^ee. e(60)(«), substituted "any 

of aections 44701la)'' for "'section 44701(d)''. 

i'ubxec. (.11(4). Pub. L. i03~30t. Sec. 207(c) (21, inserted ' (ol.hrsr 

than a violation ol .-.ection 4)71.5)'" after '"the violation'" in two 

places. 

Subsec. ia,i(5). Pub. i.. 103-305, Sec. 112 (c) (1) (R) , .Kidcd p,-.ir, (5). 

sub.iei:. (.i;(6). rub. I. lOa-ao."?, Sec, 207(c)(3), added par. (6). 

Subaec. (c:(l)(M. Pub. t,. 103-42D, Sec. 6(60) (C), substituted "'any 

of sections 41.'!01-41306" ' for "'section 11301-41306''. 

subsec. (3)12). Pub. L. 103-429, Sec. 6(60)0), substituted 'any ol' 

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

Pub. L. 103-305. Sec. Ii2(c)(2), aubsLir.uttid "45303, or 47107(b) 

(a:; furthcir defined by the Secretary under section 47lu7(i) and 

including any assuranc: made under section 47107(b))'' for 'o r 46303"". 

Subsec. (d) (7) (y) . pub. L. 103-30.':, .'^er.. 1)2 (c)(3), added subpar. 

(15) . 

Subaec. (f:) (1) (A) (i) . Pub. L. 103-429, Sec. 6((J0)(B), SUbBLiLu(.c:<i 

'"any of sections 44701(a)'' Tor ""section 44701(a|''. 

Effective Date of 2D03 Amendment 

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

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

provided, see section 3 oi Pui>. T.. 108-176, set out as a note under 

section 106 ol' this title. 

Effective Datr: of 2 002 Amendment 

AiiiKndment by Tub. L. 107^296 effective SO daya alter Nyv. 25, 2002, 

see section 4 ol Pub. L. 107-29^, set out a.i an Rffective Uate note 

under section 101 of Title 6, Oorac'jtlc Security. 

bffective Date ol 2000 Air,endment 

Amendment by Pub. L. 106-181 applicable only l.y (i!;eal years 

b<:yiiining .-.iftcr Sept. 30, 1999, scc section 3 ol Pub. L. lOfi-lSl, set 

out as a nol..: uriH,:r aection 106 of this title. 

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Eri'eeuive Date or 1997 Amendment 

Pub. L. 105-102, Sec. 3(c), Nov. 20, 1997, 111 Stat. 2211,, provided 

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

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

provision.-: of the Act to which the omendment relates, see section 3(f) 

of Pub. L. 105-102, set out a.-? a iiol.e under rtecl.Jon 1()6 of thi.'i title. 

Effective Date of 1996 Amendments 

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

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

title. 

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

carrier hiring an individual as a pilot whose app)ication was first 

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

1996, aee flection 502(d) of Pub. T,. 101-264, set out aa a note under 

section 30305 of this title. 

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

264 applii;nble only to fiscal years bsginning after Sept. 30, 1996, and 

not to be construed as afiecting funds made available lor a liiscal y»:ar 

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

a note under section 106 of thi.": title. 

Effective Date of 1994 Amendments 

Amendment by Pub. L. 103-429 eifective July b, 1994, .lee .rKsci.lon 9 

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

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

199b, see secl.ioii 207 (d) of Pub, 1.. 103-305, set out as an Effective 

I^ate note under section 41'/19 ol thi:j Li Lie. 

Savings Provision 

Pub. r.. 102-345, Sec. 2(c), Aug. 26, 1992, 106 Stat. .92.'i, providitd 

that: ''Notwit'hatending subsections (a) und (b) of thi.7 section, 

.:)ef^rions 901 (a) (3) and 905 of the Federal Aviation Act ol iSbli |Pub. L. 

eL:-726j as In i.-.n-iiei- o" July 51, 1992, .shall continue in effect on and 

after such dat9 

[[P,-i<7e 917]] 

of enactment wich respect to vlolaLiOuS of Llic Federal Aviation A::r. of 

1958 occurring before such date of enactment."' 

TraiiSfer o£ Functiun:! 

for transfiar of iuncLiouK, per»oiin<7l, nr.^.atr., and liabilities of the 

Transportation Security Adminiatrotion of the uopartment of 

TrnnMportation, including the functions of the Secretary ol 

Transportation, and <J1 I.IH: Undisr .^<;eretary of Trc^noportation for 

Security, relating thereto, to the Secretary ol Homeland S<;<:uril.y, anri 

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

55.1 (d), and 55'' of Title 6, Domeatic Security, and the Department of 

Homelond Security Reorganization Elan of November 2b, 2002, as modified, 

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

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Chapter 7. Sanction Guidance Policies 

1. Purpose. This chapter provides (he FAA s policies Tor (jeieiinining an appropri^jie baiiciion 

onct: FAA entorccme/ii personnel decide thai legal enforcemcni aciion is appropnaie This chapter 

corH^ins the general pohcy the FAA intends to apply in selecting the types of sanctions, ranges of 

sanction,'; wnhin those types, and specific sanction amounts to impose in legal enforccmeni aciioni 

for typical vioLations afthe FAA s statute and rejjiilations. This guidance covci.s the parameters 

both for selecting sanctions and for nu.idifying sanctions duriiij^ lhe informal procedures The 

guidance ui this clwpier i.s applied in adjudications under 49 i)S C §§ 44106, '<47()9.14710. 

44726. '1'4924, 4611 I, 46301. and 7011 •? HaZ'jrdouN materials sancii(,in guidance arul policies are 

addressed in Appendix C 

2, (Tcnerjj Guidelines. 

a. Certificate Suspension Action and CiviJ Penalty Action: SaoclioiLs for Punitive and 

Deleft cni Purposes. 

(I j Ciciieial If a cenificaic holder improperly exercises (he firivdcges of a ccnifKaie, a 

natural cons'tquencc of that act is to h>.se lhe privitejjcs for a peri(;d of tune conimensiirjie with 

the violation Balanced against (his principle, however, the FA A considers the adverse impnct 

that a certificate suspension could have on the public. Thus, the agency generally su.spcnds the 

certificates of individual ceniflcate holders for violations. However, the FAA u.sually ukos civil 

penalty action against air cirrrer.'; and airports because such acli(;ns do iioi di.";Aij)t service, which 

may adversely affcci the public. Nevcnhelcss, wficn the FAA determines that safety 

coii.sidcrations warrant it, the agency wil l suspend the cciiiricaie ofaiiy type of certificate holdei 

In no case will (he FAA take eivij penally action alune when remedial legal action i.s necessary 

or appropriate 

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

violations The FAA generally docs not take civil penally action and punitive certificate action 

(that IS, cenificatc suspension for a fixed period of lime) against a eenifi^t c holder for the same 

conduct. Ifunusual circumsianccs warrant deviation from this practice, regal counsel consult ! • 

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

(3) Change in type of propoitcd sanction The initial enforcement aciion reflects the 

agency's t>est assessment of the appropriate sanction for the violations alleged. Afler initiating 

the action, legal counsel ordinarily does not change the type of sanction unless additional faccj or 

circumsuinces arc presented to the FAA that warrant a change. If the action was coordinated 

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

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

b. Legal Sanctions for Remedial Purposes, 

( I) Indefinite certificate .siispension pending compliance or demonstration of 

qualification. Suspension action is appropnate where ilicre is a need tetnpciranly (o 

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.su.spend the privileges of the certificate or rating pending demonstration of qualification or 

coiiipliai»ce with staiulory or regulatory requircmonis, FAA generally uses remedial suspension 

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

Scii chapter 5, 

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

holder lacks the qualification.'; to hold the certificate The cenificaie holder's continued exercise 

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

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

certificate holder's conduct demonstrates a lack of the technical proficiency or a jack of lhe 

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

revocation are issued on an emergency ba.si.^ when the conificate holder lacks qualification and is 

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

docs not allege a lack of qualifications to avoid dismissal of charges under 49 C F.R. § 821..13. 

the NTSB's stale complaint rule 

(3) Cenificate fevocaiu)ii - individuals. The FAA generally revokes an mdividuaTs 

certificate or rating whenever he or she demonstrates a lack of wiUmgne.s.'s or ability to comply 

consi.stenily with statutory or regulatory requircinenis. A lack of willingness o\ ability to comply 

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

involve grossly careless oi reckless conduct. Fven a single violation may be sufficient to warrant 

a conclusion an mdivKhial lacks qualifications The FAA ordinarily revokes all certificates of a 

ficrson who conimiis a violtttioii involving intcniion-al falsification. 

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

cenificate-holding entity delibciately or Hagrantly violates the statute or regulations or falsifies 

records. Revocation also is generally appropriate when the certificate holdci has con'uriited the 

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

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

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

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

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

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

offense and the airman served as an airman, oi was aboard the aircraft, in connection witli 

commission of the offense or the facilitation of the commission of the ofTense. tve n when there 

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

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

a law enforcement officer requests the waiver and the Administrator decides the waiver wjH 

facililaie law enforcement purposes. See 49 U S.C. § 44710(0. Under 49 U.S.C. § 44106, lhe 

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

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

be used for such purpose. Under 49 U.SC. § 44726, the FAA niusi revoke the certificates of any 

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

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

of a counterfeit or fraudulently-represented aviation pan or maienal or knowmgly, and with the 

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intent to defi'aud, carried out or facilitated an activity punishable under such a law TIic 

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

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

(6) Mandatory certificate action for security concerns. Under 49 U S.C. § 461 11, the 

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

FAA-issued certificate i f the Administrator is notified by the Under .Secretary of Border and 

Transportation Security (DTS) of the Depanmeni of Homeland Security (DHS) thai the 

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

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

request of lhe Under Secretary' of BTS. to suspend or revoke foreign repair station certificates in 

connection with security audits. 

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

types of sanctions and general ranges o f sanction amounts for violaiions of 49 U.SC stibtitle Vl l 

and 14C.FK.part s 1-199 and 49 U.S.C. subiitle IX. chapter 701 and 14 CF.R chapter III 

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

enforceiTient personnel use die table and paragiaph 4 of this chapter, as well as any other 

sanction guidance in this order, to deteimine a proposed sanction. The matters descril^ed in 

chapter 7. subparagraphs 3a.-d are .sonic types of agency action that fall outside lhe scope of 

paragraph 3 and the table 

a. Deci$ion.<; <o Take Administrative Action (Warning Notices or Letlcr.v of 

Correction). An adtninistrativc action does not constitute eiilier a fomial adjudication of (he 

incident or a finding ofviolation. I or thai reason. FAA investigative personnel do not propose it 

sanction using the table. 

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

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

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

enforcement aciion. and in any later detennination to compromise or settle a case based on 

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

immune from review. Heckler v. Chancy, 470 U.S. 821, 831 (1985). 

c. Hazardous Mafcrials Violations. Actions involving violations of lhe federal hazardous 

materials transportation law, 49 U.S.C chapter 5 I, or the Department of Transponation's 

Hazardous Materials Regulations, 49 CF.R. pans 106 through 185, Enforcement sanction 

guidance for ihe.se violations is found in Appendix C. 

d. Violatfons by Members of the ll.S. Arnaed Forces, The FAA is required to forward 

reports o f these violations lo the Secretary of the dcpantncnt concerned under 49 U.S.C. 

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

however, cakes remedial aciion in addition to referring a report when the violator, whether or not 

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acting in the performance of official miliuvry duties, holds an FAA cenificaie, and the violator's 

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

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

4. Mitigating or Aggravating Factors and Flements. The factors in chapter 7, subparagraphs 

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

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

selecting an appropnate sanction, tleirients for evaluating and weighing each factor are also 

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

violations specifically listed in the table as well as ihose not specifically listed Al) the factors 

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

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

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

a. Nature of the Violation. Three elemenis define the nature of a violation: first, whether 

the violation was operational or non-opeiaiional, second, whether the violation involved carclcs.s 

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

mitigating factors 

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

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

period of time commensurate with the violation The FAA, therefore, primarily oses cenificaie 

actions to enforce operational regulations again.'it individuals who hold certificates. The 

potential 'adverse impact that certificate aciion may have on an individuals liveliliood does noi 

alter this principle Noii-operaiional violnticjii.s may warrant a different type of sanction. 

(2) Entities The I'AA ordinarily takes civd penalty action against a ceriificate-holding 

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

im|)act on the public interest from disrupted service by thai certificate holder and the impact is 

not outweighed by safety considerations Rven when a subsuntial adverse impact would occur, 

when there is a need to prevent continuing violation? or other egregious coiiduct by any 

certificate holder, when any certificate holdei lacks qualification, or there is a reasonable basi.s' lo 

question the qualifications of any certificate holdei, the FAA takes remedial action, for example, 

revocation or indefinite suspension, as necessary 

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

violation of 14 CF.R § 91.13 may warrant more severe sanctions. Carelessness connotes 

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

holder of the relevant certificate, acting under the same or similar circumstances Recklessness 

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

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

evaluated in light o f these standards to determine whether they con.siiuite careless or reckless 

operations in violation of 14 C F,R § 91,13. Wlicn a person operates an aircraft in violation ofa 

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

reckless operation in and of itself. In these cases, the misconduct may also result in a violation 

of 14 CF.R. § 91.13 if it actually or poicntially endangers the lives or property ofothcrs. 

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

between instances where |4 CF.R. § 91.13 is an independent violation and those where it is 

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

sanction generally is not warranted unless the conduct is also reckless. 

b- Whether the Violation was Inadvertent and Not Deliberate. Ifa violation is 

deliberate or noi inadvertent, a sanction at the upper end of the range or exceeding the range for 

that type ofviolation generally is appropriate, A deliberate violation generally warrants a 

sanction that i.s more severe than one that is just not inadvenent 

( I ) Not deliberate This elemenl means a lack of the degree of deliberation found in 

intentional miscondut:!. Deliberate or inicntional misconduct is an aggiavating circLinisiance and 

includes deliberate conduct that leads to a violation as well as circurnsiance.s indicating inteni to 

commit a violation 

{?.) Iriadvenence. An aci is inadvertent when it is the resull of both iiiatieniion and lack 

of purposeful choice. For example, an inadvertenl act occurs when a pilot flics at an incorrect 

afiitude becau.se he or she misread the aircraft's insti"umen(s; howcvei, it is not an inadvenent act 

when a pilot flies at an incorrect altitude as a resull o f choosing not to consult the aircraft's 

inslruinenis or choosing not lo use other available n^eans lo verify altitude. The test lo be applied 

is whether the conduct, not the factual or legal coasequences, is inadvenent and unintended 

f-'erguyon v Ncilional Transportcticjn Safety Board. 678 F.2d 82 1. 828-829 (9ih Cir 1982). 

c. Certificate Holder's Level of FJxperiencc. 

(1) Level of experience lefers primarily to the type of cenificaie and rati[i[.;s held ((oi 

example, student, privaic, commercial, airline transport pilot, or cenified flight instructor), and 

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

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

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

standard than conuncrcial pilots, 

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

the certificate holder's aciion deviated from the degree of care and diligence n< 

o f a person with the certificate holder's level of experience. A significant de^ 

degree of care and diligence expected of lhe holder of that certificate may waj 

exienl to which 

normally expected 

eviaiion from the 

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

aggravated sanction. 

d. Attitude of the Violator. 

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

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

an aggravating factor. Furthermore, a pei^jon who commits an act or omission contrary to 

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

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

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

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

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

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

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

own making, the emergency is exculpatory under 14 CF.R. § 91.3(b), However, this situation is 

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

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

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

altitude When an emergency is ofa person's own rnaking, ihai person's declaration of an 

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

violations committed, in much the same way ii is considered mitigating ifa person voluntarily 

reports a violation. 

e. Degree of Hazard. 

(1) The degree of hazard may be mcrea,s'ed as a resuli of the interplay of the operational 

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

naciire of the threat to safety (to the life or propcny of another, including those in the aircraft 

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

presents The safely threat is based on the reasonably foreseeable consequences of the 

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

tlvan operating 100 feet below. Similarly, if an aircraft operator fails to comply wuh an 

air^oftliincss directive by operating 10 hours past a required inspection, the ilegree of liarard is 

probably not as great as when the aircrafi i.s operated 100 hours beyond the required And il is 

not mitigating when a violation docs not result in acmal hfliin; thai i.s- simply fortuitou.s 

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

violation ofa regulation, wiihout aggravating circumstances. As discussed in chapter 7, 

subparagraph 5,b., an increase in the degree of ha2ard may fonn the basis for exceeding the 

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

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

persons at 50 feel 

f. Action Taken by Etnployer or Other Authority. This factor ordinarily involves the 

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

whetlier criminal prosecution is involved. 

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

of enforcement aciion, the FAA laices thai action regardless of any action taken by the violator's 

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

of suspension lhe FAA imposes againsi the violator's certificate because of the different 

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

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

prosecution does not preclude the FAA from taking appropriate remedial enforcement action; nor 

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

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

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

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

criminal sanctions are not sufficient to provide an adequate deterrent for future violations by the 

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

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

cnmmal prosecuuon, it generally considers the cnminal penalties incurred in those proceedings 

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

enforcement aciion. 

g. Use of fl Certiricate. I his factor relates to the nature or kind of activity or operation 

involved at lhe time the violation was coirimitted. Whethei the certificate holder way engaged in 

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

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

held to the highest safely standard. 

h. Viulntion History. 

( I ) A violation-free history is the expected norm, not the exeeprioii and, therefore, is not 

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

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

can be evidence of a poor compliance disposition or ofa pattern of disregard for the FAA s 

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

sanction at the higher end of the normal range or a sanction beyond the normal range, Il might 

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

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

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

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

F AA considers the length of lime that has elapsed berwcen violations, whether the violations 

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

(2) The following actions consiimie violation history when ihcy involve regulatory 

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

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

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

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

as findings ofviolation for future .sanction dctemiinations 

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

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

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

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

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

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

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the issuance o f this document thai conflict with the policy in this order supersede this document 

and arc controlling, 

j . Abilit y (0 Absorb Sanction. Sanctions should be deterrent. While punitive sanctions 

should not be unduly harsh, they should be substantial enough to prevent violators from profiting 

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

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

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

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

any violation, it does consider a earner's .si/.e and financial strength in choosing the appropriate 

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

concerns recognizes this fact A civil penalty thai may be a mere cost o f doing bujiiies.\ lo a 

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

air carrier si^e as one means of ensuring a relatively equivalent deterrent effect on each air 

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

and range.', of civil penalties are .set forih in pan one of the table. For all entities and individuals, 

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

person's ability to continue in business lo the exicni it knows such information, 

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

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

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

lo others similarly sitxiated This goal may not always be achieved, however, because of the 

inherently subjective nature of the exercise of ludginenl in setting sanction.s 

L Whether the Violation wns Kcported Voluntarily. 

(1) The FAA has programs ihat allow persons to report volunlarily apparent violations 

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

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

aviation saficty action program Besides these progran-LS, the FAA may graiu special enforcement 

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

another's violations, volunianly discloses his or her own participation in the Siime or related 

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

dcicrmining that no enforcement action i.s required. 

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

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

correct the noncompliance, and works with the FAA on slops to preclude recurtence of lhe 

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

violation 

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

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

requirements. The amount of credit given in setting a sanction depends on (he extent and liming 

o f lhe corrective aciion, that is, how extensive was the corrective aciion and how quickly was it 

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

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10 prevent finurc violations ordin-arily is considered a miiigaiing factor in determining an 

appropriate sanction. Corrective action taken after the alleged violator first becomes aware ofa 

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

corrective aciion that is taken only after the alleged violator receives noiice o f the FAA's 

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

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

sanction. To mitigaie a sanction based on such corrective action ivould put at an economic 

disadvantage competitors who have expended the resources necessary lo maintain compliance, 

5. Use of the Tablf of Sanctions. 

a. General. Sanction determinations are not accomplished through a .sirici matheinaiical 

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

spectrum of gravity. Ultimately, the circumstances of each case arc evaluated in tcmis of the 

needs o f safety and the public interest. 

b. SingJe. First-time, Inadvertent Violation.N. 

(1) Far! II of the table specifies both the normal type; of sanction (certificate actudi. civil 

penalty action, or ovhei type) and the normal ranges within those types the FAA ordinarily seeks 

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

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

intentional, for example, interference with a crew-member, smoking on an aircraft). In addition, 

ihc table generally reflects a presuitiption that the alleged violator wants to comply with die laiA. 

and to remedy any nonct)mpliance and that the alleged violatoi, therefore, ha.s a constructive 

atiin.ide, 

(2) For factors b, d, or h of paragraph 4 (that is, in'advertent and noi deliberate conduct, 

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

table solely based on the inadvertence of the violation or on the alleged violator's good 

reputation, past public service, violation-free history, or constructive attitude. Any mitigating 

circumsuinccs are to be found in the facts and circumstances of the violation itself. 

(3) Applying ranges within a sanction type. In detemiining where, within each range, a 

sanction should be imposed, the FAA generally considers factors a, c, e, f, g, i, j , k, and m of 

paragraph 4 (that is, nature of the violation, level of experience, degree of hazard, action by 

employer or other authority, use of certificate, decisional law, ability to absorb sanction, 

consistency of the sanction with similar cases, corrective action), to the extent they are applicablc 

or relevant. When detemiining a specific sanction amount within a range, FAA enforcement 

personnel begin with an amount in the middle of the range and increase ihal amoui^i loward lhe 

higher end of Ihe range for aggravating factors or decrease thai amount toward the lower end o f 

the range for mitigating factor?. 

(4) Deviating from ranges within a sanction type. The FAA might impose sanctions 

below the normal ranges based on justifiable mitigation under factors j , [, and in of paragraph 4 

(that is, the ability to absorb the sanction, voluntary reporting, corrective action). The FAA may 

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impose sanctions above the normal ranges when the following circumstances, relating to factors 

b, d, e, and h of paragraph 4 are present, the violation is other than inadvertent"*, the violator has 

a violation history, the violation involves a significant degree of hazard, or the violator has a 

poor compliance disposition. The ranges also may be exceeded when the case involves multiple 

violations. {See chapter 7, paragraphs 6 and 7). 

c. Types of Sanction. 

(1) General. The FAA ordinarily does not initiate punitive civil penally and punitivc 

certificate actions (thai is, fixed-penod certificate suspensions) against a certificate holder for ihc 

same offense. While electing to impo.se one sanction is not a legal bar to a concurren: 

proceeding to impose another, pursuing both actions .solely for punitive purposes" usually is not 

necessary. The FAA takes remedial and punitive actions in the same case, however, when 

warranted. 

(2) Selecting types of sanctions. Lxcepi in exceptional circumstances, the FAA uses the 

type of sanction recommended in the table, lhe FAA must impose any sanction mandated by 

sianite (for example, revocation under 49 U S C (j<( 44106(b), 44710(b), and 44726(b) unless 

waived by the AdmmislraU)r) 

6- General Guidance on IVliiltipIe Acts or Multiple Violations. 

a. Description of Multiple Violations. Lnfoicemcnt actions often involve multiple 

violations: multiple violations ofa single regulation; a .single violation of multiple reg\ilation.s, 

or multiple violations of multiple regulations. In addition, under 49 U S.C'. § 46Jui(a)(2). if a 

violation is a con(inuing one, each day the viol;nion continues, or each Hijiht lor which the 

violation was committed, eynsiiiutei a separalc ofTense. 

b. General Sanction Guidance. Multiple violations ordinarily result in high sanction 

amounts. Such sanction amounts ordinarily are not determined by simply adding up the 

individual penalties for multiple vitiUtions set forth in (he table, however. Simply adding up the 

individual penalties for each violation could result in compounding a sanction in a 

disproportionately harsh manner for the conduct involved. Conversely, multiple violations may 

be so Serious in their consequences for safety and the public interest as to require a penalty 

greater than the sum of the recommended amount o f penalty provided for in the table for each 

violation. 

c. Single Ac t of Noocompliance Resulting ia Multipl e VioiatioDS. When a single 

instance o f noncotnpliance results in multiple violations o f general and specific regulations 

involving (he same or similar conduct, the FAA ordinarily does not compound the sanction to 

retleci (he amount o f sanction recommended ijn the table for each regulatory violation. In 

calculating the amount of sanction for multiple violations, FAA enforcement personnel consider 

When the violation \s one that is generally inliercntly dcliberaic (e.g., intcrfereocc witU crewmeitibcr or smoking 

violation.'!), factor b. is tiol con,'!idered m detemiining whether the sanction should be above die range m the tabic. 

The ranges in the tabic for such violation.'; alrudy have taken into consideration the inherently deliberate nature of 

ihc violatioa 

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the totality of circumstances relating to the multiple violations, including the alleged violator's 

degree of culpability, and whether the alleged violator had lakcn steps, although unsuccessful, to 

prevent the violations. 

d. Type of Legal Enforcemcni Action. Where this guidance designates the type of legal 

enforcement aciion for a single violation, the FAA ordinarily selects the same type of sanction 

tor multiple violations of a similar nature. The seriousness of multiple violations, however, rnay 

require changing what is normally a civil penalty aciion lo a ceriificate action or, somciirnes. a 

punitive certificate suspension to"a remedial revocation action. 

7. Special Considerations for Numervus Multiple Violatioii.> Resulting From an Initial Act 

or Omission. To determine penalties foi numerous muliiple viofations thai result from an iniiial 

act or omission, the FAA applies the special considerations and guidance in chapter 7, 

subparagraphs 7.a. through e. These cases involve- such a high number of multiple vioLuions that 

if FAA enforccmeni pcYsonnel were simply to add the lecommended amounts of penalty for each 

flight or day 'hat constitutes a separate violation, the resulting sanciion amount could be 

(hsproportiotialely harsh fi)r the ini.sconduci involved, in an average case. 

a. Determining Proposed Penally. To deicmimc an appropiiaie civil penalty m a ease 

involving numerou.s multiple violations resulting from an initial act or omission (for example, an 

aircraft operated on a dozen or more fiights after being improperly returned to service), FAA 

enforccmeni personnel 

(1) Identify each initial act or oini.ssion thai cau.^cd or resulted in the multiple violations 

(for example, improper maintenance plus imf)foper return to service; faikire to maintain a quality 

control system) 

(2) Consult the table in Appendix B and the general guidance in chapier 7, paragraph 4, 

on aggravating and mitigating factors to determine the amount of penalty appropriate for each 

initial act or omission thai caused or resulted in the multiple violations (for example, in 

airworthiness cases, a penalty for the act of improper maimcnance oi inspection; in 

manufacturing cases, a penalty for the act of failing to maiiit:iin a quality control system). 

(3) Determine the amount of penalty for the numerous multiple violations by applying 

the guidance in chapter 7, subparagraphs 7 b. through d Of particular imporiiince in determining 

an appropriate sanction for numerous multiple violations is the degree o f the alleged violator's 

culpability for the multiple violaiion.s. A lower degree of culpability is present when the alleged 

violator neither knew nor was likely to discover the continuing violations. For example, once 

improper maintenance was done there were no signs of it from such things as discrepancies 

reported by the crew, and no inspections thai would have led to its discovery were scheduled. A 

more significant degree o f culpability is present when factors such as the following arc present: 

• the initial act or omission was entered in records that should have led to 

immediate detection and correction; 

• the initial act or omission remained undetected and continued through required 

inspections or checks designed to reveal such discrepancies; 

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• the alleged violator 'was not following maintenance or inspection procedures the 

FAA had approved or accepted; 

• the level of the alleged violator's organization that was aware ol". or involved in 

the noncompliance included management (for example, management implemented policies that 

contributed to the violations), although an alleged violator's culpability does not require 

management involvement; 

• tlie alleged violator has a history of similar violations or a history of systemic 

deficiencies. 

Kno"wing and xvillfiil violations connote the highest degree of culpability. 

(4) Add the penalties arrived at for the initial violation to the penally for the multiple 

violations. 

b. Limitations on Total Civil Penalty Amounts for Numerous Multiple Violations. 

(1) In an average cage involving numerous inadvertent, multiple violations resulting from 

a .'tingle act or omission, that is, not one that is covered by chapter 7, subparagraphs 7.c. or 7.d., 

the total civil penalty for the multiple violations ordinarily falls within the ranges provided in 

either Figure 7-1 or 7-2. The group classificaUons are defined in part I of Appendix B. 

(2) The terrn isolated in Figures 7-1 and 7-2 typically describes a single instance of an 

employee's failure to follow a slululory or regulatory requirement, contrary to the company's 

own practice or procedure. A ease may involve a number of isolated and unrelated violations. 

Each group of the multiple violations resulting from each isolated violation ordinarily is subject 

lo lhe isolated, iniKJvcrtcnt ranges in Figures 7-1 or 7-2. 

(3) Inadvertent failures are considered syxiunic if they are repetitive or otherwise 

dettionstrate an underlying dellciency in the alleged violator's system, practices; or procedures. 

$y.stemic failures generally warrant mote substantial penalties and indicate a need for corrective 

aciion. 

(4) The aggravating or miiigaiing factors and elements in chapter 7, paragraph 4. are 

considered to ticlcrminc an appropriate civil penalty 'within the applicable range in Figure 7-1 or 

7-2, for Lhe muhiplc violaiions rcsuUing from the initial act or omission. Of particular 

importance is an evaluation of ihc seriousness of the potential hazard caused by the violation and 

the degree of culpability of the alleged violator for the multiple violations. 

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figure 7-1. Rnngcs of Penalties for Air Carriers, Commercial Operators, Part 125 Operators 

Type of 

Violations 

Inadvertent, 

Isolated 

Violations 

Inadvertent, 

Systemic 

Violations 

Group I 

Large 

Business 

$200,000-

$400,000 

$300,000-

.$500,000 

Group I 

Small 

Business 

$100,000-

$300,000 

$200,000-

$400,000 

Group II 

or Part 

125 Large 

Business 

$150,000-

$300,000 

$250,000-

$400,000 

Group II or 

Part 125 

Small 

Business 

$100,000-

$200,000 

$150,000-

$300,000 

(iroup III 

$75,000-

$150,000 

$100,000-

$200,000 

Group IV 

$50,000-

$100,000 

$7.S,000-

$150,000 

Figure 7-2. Ranges of Penalties for Air Agencies, Airports, Manufacturers 

1 Type of 

Violations 

TnadverLiint, 

Isolated 

Violation.4 

Inadvertent, 

Systemic 

Violations 

Air 

Agency 

Large 

Business 

$150,000-

$300,000 

$250,000-

$400,000 

Air 

Agency 

Small 

Business 

$100,000-

$200,000 

$150,000-

$300,000 

Airport 

Operator 

Large 

Bii,siness 

$200,000-

$400,000 

$300,000-

$500,000 

Airport 

Operator 

Small 

Bu.'jiness 

$100,000-

$300,000 

$200,000-

$400,000 

Manufacturing 

Lar^e Busine.s.s 

$200,000-

.$400,000 

$300,000-

$500,000 

Manufacturing 

Small Hu.viness 

$100,000-

$300,000 

$200,000-

$400,000 

Iiidividual 

$50,000-

$100,000 

S75,000-

$150,000 

c. PtiUiiltics Outside the Ranges. 

(1) Penalties lower than the ranges. It may be appropriate to select a civil penally amount 

below the ranges in Figures 7-1 or 7-2 if the degree of culpability is minimal, the degree of 

potential hazard is extremely low, and there are no other aggravating circumstances. 

(2) Penalties higher than the ranges. It may be appropriate to select a civil penalty higher 

than the ranges, up to the .statutory maxirnums; 

• If the alleged violator was significantly culpable in pcnnitting the initial act or omission; 

• If the violations involve significant safety risks; 

• If there 'was an absence of corrective action by the alleged violator over an e.xtendcd 

period of tinie; 

• Where it is neces.sary to provide an economic disincentive for regulatory noncompliance; 

or. 

• If the alleged violator has a poor compliance disposition or history. 

d. Intentional Violations. When there is sub,stantial and reliable evidence that the alleged 

violator knew of tjie violations resulting from the initial act or onu's.sion and allowed them tn 

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occur, the ranges set forth in Figures 7-1 and 7-2 do not apply. For example, operation of an 

aircraft when there is evidence the operator knew the aircraft or flight wa.s not in compliance 

witli statutoiy or regulatory requirements, yet deliberately operated it anyway, is most serious, 

and apart from civil penalties, requires consideration of remedial ccrtilicate action. For multiple 

violations in these circumstances, any civil penalties sought may be up to the statutory maximum 

penalty for each violation, regardless of the number of violations. 

e. Civil Complaints. The guidance in chapter 1, paragraph 7 does not limit the amount of 

civil penalties that may be sought in a civil complaint filed in D-S. district court. 

8. Moclification. 

a. Type of Sanction, t^xcept when the FAA exercises its prosecutorial discretion lo settle 

an enforcement action, the I'AA generally does not modily orders suspending or revoking a 

certificate to provide for a civil penally. The FAA also generally does not modify orders 

assessing a civil penalty to provide for a certificate action. The FAA modifies tiie type of 

sanction only in tho.se cases involving exlraordinaiy circumstances (beyond the normal 

aggrav^iting or mitigating factors and elements li.sted in chapter 7, paragraph 4). New tacts 

discovered after the original order has been issued may provide a basis for modifying the amount 

of sanction, but would not ordinarily provide a basis for modifying lhe type of sanction. 

However, if newly discovered facts raise new issues, such as ihc alleged violator's qualifications 

to hold a certificate, or if they implicate a siatutorily-mandalcd penally, the FA A modifies the 

type of sanction. 

b. Amount of Sanctiou. The FAA docs not apply the factors listed in chapter 7, paragraph 

4. in a niaiuier that would double their effect, Onct the FAA has fairly considered the relevant 

mitigating and aggravating circumstances, it generally docs not modify the amount of sanction. 

The FAA modifies the amount of sanction normally only when new inforntiation indicates the 

factors or elements were not fairly applied, or when other clear and compelling reasons are 

articulated, 

9. Special Emphasis Enforcement Programs. At times special situations arise ihat dictate the 

need for more effective enforcement action through increased sanctions or other rnca.sui'es in a 

particular regulated area or segment of industry. When these circumstances arise, (he I'AA may 

set up a special emphasis enforcement program, designed lo focus on a particular area of 

noncompliance on a national or local geographical basis. 

10. Small Entities. 

a. General. 

(1) Under the Small Business Regulatory Enforcement baimess Act of 1996 (SBREFA), 

the FAA is required to have a policy or program lo provide for the reduction, and under 

appropriate circumstances waiver, of civil penalties for statutory or regulatory violations by 

small entities. Under the law, such a policy is to contain certain conditions. Those suggested by 

Congress are: requiring the stnall entity to correct the violation within a reasonable correction 

period; limiting the applicability to violations discovered through participation in a compliance 

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assistance or audit program operated or supported by the agency; excluding small entities that 

have been subject to multiple enforcement actions by the agency; excluding violations involving 

willful or criminal conduct; excluding violations that pose serious health, safety or 

environmental threats; and requiring a good faith effort to comply with the law. The SBREFA 

also provides that under appropriate circiimstaiices, the FAA may consider ability to pay in 

determining the penalty lo assess a small entity. 

(2) Congress intended tliat agencies have the discretion to develop the limits of their 

enforcement policies for small entities and the specific circumstances under which penalty 

reductions or waivers would be granted. Because the statute requires an agency, subject to the 

requirements and limitations of other statutes, to place conditions or exclusions on its 

enforcement policy under SDRF-FA, it does not appear Congress intended agencies to reduce or 

waive penalties solely because an alleged violator is a siuall entity. Rather, the statute 

contemplates that certain criteria be met before an agency reduces or waives a penally againsi a 

small entity. Although the SBREFA imposes a requirement on agencies to establish penalty 

reduction and waiver programs for small entities. Congress recognized that some agencies 

already have forrnal or informal policies or programs that would meet this requirement. 

b. FAA's Policy under the SBREFA. 

(1) The FAA' S compliance and enforcement prograrn includes several policies that meet 

the requirements of, and are consistent with the intent of, SBREFA. Taken together, these 

policies constitute the FAA'S policy mandated by SBREFA. 

(2) Under the FAA's compliance and enforcement program, for example, l'"A A 

investigative personnel have the discretion lo address alleged violations by any person, 

including small entilics, with lesser enforcement aciion than a civil pcrr.ilty, l.h.it is, 

administralivc aciion, provided the criteria in chapter 5 are met. There are two forms of 

administrative action: a warning notice and a letter of correction. A warning notice brings to the 

attention of the regulated person or entity the facts and circumstances that indicate that a 

violation has occurred, identifies the regulatory provision at issue, and requests future 

compliance. A letter of coirection is similar but is intended for use when there is an agreement 

with the regulated party that corrective action acceptable to the FAA has, or within a reasonable 

period will be, taken. Administrative actions arc less onerous than a waiver of penalty in that 

they neither carry a sanction nor result in a finding ofviolation. 

(3) Under the agency's voluntaty disclosure reporting program, the FAA takes 

administrative action instead of civil penalty action again.st rnost regulated entities, including 

small entities that voluntarily report certain apparent violations to the FAA, complete corrective 

action satisfactory to the FAA to prevent their recurieiice, and meet certain other criteria. 

(4) The FAA's sanction policies have historically provided for reductions of civil 

penalties in appropriate cases based on the mitigating factors listed in chapter 7, subparagraph 4., 

which include ability to pay and whether a penalty would prevent the entity from continuing in 

business. 

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(5) For air carriers and commercial operators, the F/VA also takes company size into 

consideration in determining the appropriate amount of civil penalty. The sanction ranges in Part 

I. Definitions and Abbreviations of the table for single, inadvertent, first-time violations by U.S. 

air ciinicrs and U.S. coinmercial operators differentiate among various sizes of such entities as a 

means of providing a relatively equivalent deterrent for the same violation against each air 

carrier and commercial operator. While the FAA has not specified such sanction ranges for other 

certificate holding entities, it is the FAA's policy to seek penalties generally relative to the size 

and revenue of the operation for repair stations, manufacturers, airports, and otiier entities 

holding certificates. 

(6) Although the FAA does not reduce or waive the penalty of an alleged violator solely 

because it is a small entity, the FA A appropriately reduces a civil penalty, or elects to take 

administrative aciion rather than legal enforcement action, against a small eiitity if appropriate 

under the policies described in chapter 7, subparagraphs 10.b.(l)-(5). 

c. The Small Business Ombudsman. 

(1) The Small Business and Agriculture Regulatory Enforcement Ombudsman and 10 

Regional Fairness Boards were established to receive comments from small businesses about 

federal agency enforcement actions. The Ombudsman annually evaluates the enforcement 

activities and rates each agency's responsiveness to small business. 

(2) bach FAA employee who conducts an inspection of a small business concern that is 

regulated by the FA A provides the small business concern with an infonnaiion sheet. The 

information sheet informs that entity that it may submit complaints or comments regarding unfair 

FAA regulatory enlbrccnient to ihc National Ombudsman. The information sheet contains the 

following language: 

Our objective is to ensure a fair regulatory enforcement environment. If you feel that you 

have been treated unfairly or unprofessionally, you may contact the FAA by calling the 

FAA's Office of Rulemaking at (202)-267-3404 or by mailing your comments or 

complaints to the Federal Aviation Administration, Office of Rulemaking, 800 

Independence Avenue, S.W., Room 808, Washington, D.C,, 20591. You also have a 

right to contact the Small Business Administration's National Ombudsman at 1- 888-

REG-FAIR (1-888-734-3247), or www.sba.t;ov/onihudsman regarding the fairness of the 

compliance and enforcement activity of the FAA. The FAA strictly forbids retaliatory 

acts by its employees. As such, you should feel confident that you will not be penalized 

for expressing your concerns about tlie FAA's compliance and enforcement activities. 

I I. Remedial Sanctioa Guidance Policy. 

a. General. 

(1) The FAA statute requires the Administrator to promote "safe flight of civil aircraft in 

air commerce " 49 U.S.(I. § 44701(e)- As one means of achieving this goal, the statute 

.'ipecifically authorizes the Admini.'iirator to issue various cettificatcs. These certificates include 

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airman certificates, type certificates, production certificates, airworthiness certificates, air carrier 

operating certificates, airport operating certificates, air agency certificates, and air navigation 

facility certificates. 49 U-S.C. § 44702(a). For most of these certificates, the statute requires the 

Administrator to investigate and make appropriate findings regarding qualifications to hold the 

certificate applied for before the certificate is issued. For example, the Administrator is required 

to investigate and make findings that persons applying for airman certificates are qualified to 

hold those certificates; that aircraft and aircraft engine parts are properly designed and 

matiufflctured, peiform properly, and meet the regulations and minimum staridards prescribed 

before is.suing a type certificate, and so forth. 49 U.S.C, §§ 44702-44706. Once the 

Administrator finds the applicant is qualified for the certificate applied for, the Administrator is 

required to issue lhe certificate in question. 

(2) Because lhe Administrator's responsibility to promote safely in air commerce and air 

transportation is constant, the Administrator must also take appropriate action when the 

Admini-strator finds, or has reason to believe, the certificate holder no longer possesses the 

qualifications required to hold a certificate. Thus, the statute provides that the Administrator 

"may reinspect at any time a civil aircraft, aircraft engine, propeller, appliance, air navigation 

facility, or air agency or reexamine an airman holding a certificate issued under section 44703 of 

this title," and that the Administrator "may issue an order amending, modifying, suspending or 

revoking ,. . any part of a certificate issued under [chapter 447 of the statute] if.,. the 

Administrator decides after conducting a reinspcction, reexamination, or other investigation that 

safety in air commerce or air transportation requires that acfion." 49 U.S.C §§ 44709(a) and (b) 

(1)(A). 

(3) Revocation is the appropriate remedy for conduct thai demonsirates ihat a certificate 

holder lacks cither the technical proficiency or the degree of care, judgment:, and responsibility, 

required for the certificate and ratings held. The proper standard for revocation is not whether 

specific violations demonstrate a failure to exercise the necessary qualitications of a certificate 

holder, but rather whether the violations dciuonstrate that the holder has never possessed or no 

longer possesses such qualifications. Similarly, suspension until demonstration of qualification 

is appropriate when the agency has reason to believe the certificate holder may lack the required 

competence to hold a ecnifieatc and generally when the ceriificate holder fails or refuses lo be 

reexamined- In cither ease, using Ihc factors normally applied to .'=iclect a sanction in ptmilivc 

suspension cases is neither required nor appropriate. 

b. Misconduct Generally Warranting Revocation. 

(1) The I'AA has concluded that by their nature, some acts of misconduct are so 

egregious as to demonstrate the certificate holder never possessed or no longer possesses the 

qualitications required to hold any airman certificate and other certificates, 'f herefore, such acts 

of misconduct warrant revocation of all airman certificates and other certitlcates held by the 

certificate holder. Such acts include: making a fraudulent or intentionally false statement; 

operating an aircraft while under the influence of alcohol or drugs, or with an alcohol 

concentration of .04 percent or above, or within 8 hours of consuming alcohol, in violation of 

14 CF.R. §91.17(a); operating a civil aircraft within the United States with knowledge that 

narcotic drugs, marijuana, and depressant or stimulant drugs or substances as defined in federal 

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or state stamtes are catried in the aircraft, in violation of 14 C.F.R. § 91.19(a); refusing to .submit 

to a drug or alcohol te.st; and conviction for the violation of any federal or state statute relating 

to the growing, processing, manufacture, sale, disposition, possession, transpoitafion, or 

importation of narcotic drugs, marijuana, depressant or stimulant drugs or sub.stance.s involving 

the use of an aircraft, the exercise of the privileges of the alleged violator's airman certificate to 

further the prohibited conduct, or more than one drug conviction of any kind within the scope of 

14 CF.R. §§ 6l-15(a), 63.12(a), or 65.12(a)-^ 

(2) Except for cases under 49 U.S.C. §§ 44100, 44710, 44726, and 46111, there may be 

unique circumstances for which a sanction other than revocation is waiTanted. Because 

of the serious implications for aviation safety raised by these cases, however, FAA legal counsel 

coordinates any decision to seek a sanciion other llian rcvocafion with the Assistant Chief 

Counsel for Enforcement. In addition, legal counsel documents die basis for that decision in the 

case file, 

c. Intentionally False or Fraudulent Statements. 

(1) In general, the FAA considers the making of intentionally false or fraudulent 

statements so serious an offense that it results in revocation of all certificates held by the 

certificate holder. See, for example. Administrator v. Twoivey, 5 NTSB 1258 (1986), aff'd 

821 F.2d 63 (1st Cir. 1987) (violation of 14 CF.R. § 67.20(a)). Falsification has a serious effect 

on the integrity of the records on which the FAA's safety oversight depends. If the reliability of 

these records is undermined, the FAA's ability to promote aviation safety is compromised, 

(2) The FAA ha.s handled differently one area of intentional falsification - omitting 

informaliuti related to alcohol- or diug-rclatcd convictions, and other similar eonvictions, from 

applicai:ions for airman medical certitication. In FAA Order 2150.3A, (.Aimpliance and 

linforcement (C & E) Bulletin No. 90-2, issued on February 6, 1990, the agency's policy called 

for the following sanctions: revoking the alleged violator's current medical certificate, if any, 

and suspending any airman or ground in.structor certificates for 60 days when the falsification 

involved omitting from the application for medical certification information on a single driving 

while intoxicated or driving under the influence (DUI) conviction; revoking any current medical 

certificate and suspending any airman or ground instructor ccrtiticatcs for 180 days when tlic 

falsitlcation involved omilting information on a single drug conviction for simple possession 

from the appUcalion for medical certification; and revoking any current medical and any airman 

or ground inslructor certificates when the fiilsification involved oinitting information on more 

than one DUX conviction, or a conviction for more than simple possession, or more than t-wo drug 

convictions of any type. 

(3) The FAA has reevaluated the sanction guidance contained in C & E Bulletin 

* A drug convietion within lhe scope of 14 CF.R. §§ 61.15(a), e."!.12(a), or 65.12(a) that docs not involve the use of 

aii aircraft or the exercise of Uie privileges of the alleged violator's certificate also can vvarrsnl revocation in some 

circumstances. Revocation is appropriare where the totality ot the circuinsiauces underlying the conviction indicates 

that the alleged violator lacks the judgment, responsibility, and compliance attitude required of an aimian. This 

detei'min,itioii must be made on a case-by-cise basis. 

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No. 90-2, and has concluded that the sanction guidance for traudulcnt or intentional falsitication 

should be the same regardless of the type of case involved. The FAA has determined that 

falsification in the cases described in C & E Bulletin No. 90-2 has the same potentially adverse 

consequences for aviation safety as does falsification of any other record. In essence, a person 

who fraudulently or intentionally falsifies ihese records demonstrates the same lack of care, 

judgment, and responsibility as a person who falsifies any other aviation safcly-rclatcd records. 

To correct the anomaly created by C & E Bulletin No. 90-2, the FAA rescinds the sancfion 

guidance regarding intcnfionally false or fraudulent statements in that bulletin and withdraws the 

Noiice of Enforcement Policy found at 54 Fed. Reg. 15144 (1989). 

12. General Guidance for Using ihe Sanction Guidance Table for Unruly Passenger 

Conduct Under 49 U.S.C. § 46318. 

a. General Purpose and Policy. 

(1) The table at Appendix B, part II, Figure l3-3-p provides the suggested sanction ranges 

for a single act of unruly conduct by a passenger subject to the provisions of 49 U.S.C. § 46318. 

iS'ce also Crew Interference (Unruly Passengers), chapter 4, paragraph 14. They provide general 

guidance only about how to apply the agency's civil penalty authority under 49 U.S.C. § 46318. 

The sanction guidance tables do not supplant the agency's judgment or its prosecutorial 

discretion in evaluating a particular case for enforcement action. 

(2) Whether a particular passenger's unruly act wartants a sanction within or outside the 

sanction range, or in the exercise of prosecutorial discretion a decision not to proceed wiih 

enforcenient action depends on the totality of the circurnstances in a particular case. Where the 

mitigating and aggravating factors described in chapter 7. paragraph 4 are also present in a 

49 U.S.C. § 46318 case, FAA enforcement personnel applying the sanction ranges at Appendix 

B, part 11, Figure B-3-p consider those factors in selecting an appropriate sanction within or 

outside the range. The variety of conduct subject to 49 U.S.C § 46318 and the varied facts and 

circumstances within which unruly conduci may occur, may also warrant consideration of other 

mitigating and aggravating factors unique to unruly passenger conduct. Some of these additional 

factors ;.trc set forth in chapter 7, subparagraphs 12.b. and c. 

b. Additional Aggravating Factors to C?nnsidcr. In addition to the factors described in 

chapter 7, paragraph 4, 1<~AA enforcement personnel consider other potentially aggravating 

factors in chapter 7, subparagraphs ]2.b.(l)-(7) in the selection of an appropriate sanction within 

or outside the sanction range. 

(1) The severity of the unruly conduct. I'he severity of the conduct may be indicated by 

several factors, including 

• The physical charaetorislics of the individual committing the unruly conduct 

contrasted with those of the victim. 

• The nature of the conduct itself. 

• Tlie extent of any injury inflicted. 

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(2) Whether the unruly conduct occurred when the aircraft was in flight or while 

passengers were boarding or deplaning. Certain unruly conduct that occurs during fiight or on a 

crowded boarded flight may be more aggravating than the same conduct that occurs while 

passengers are deplaning. 

(3) Whether the unruly conduct was directed at a crewmember or a passenger. Because 

a crewmember has safety duties to perform on a flight, unruly conduct against a crevnnember 

may be more aggravating than the same unruly conduci directed at an individual who does not 

have any safety duties to perform on the flight. 

(4) Whether the unruly passenger provoked the situation that resulted in the unruly 

conduct. For instance, a passenger who instigates a confrontation, or a passenger who mixes 

alcohol with prescribed or over-the-counter drugs that the passenger claims precipitated the 

unruly conduct. 

(5) Whether the unruly conduct necessitated that the flight be diverted from its intended 

destination. 

(6) Whether the unruly conduct necessitated that the fiight crew call ahead for law 

enforcement to meet the flight on arrival. 

(7) Whether the unruly conduct was intlicted with malice or in anger. 

c. Additional Mitig-atingFactors to Consider, lhe factors listed in chapter 7, 

subparagraphs 12.c.(l )-(3) may justify a sanction below the sanction range, or in the agency's 

proicculorial discretion, may justify a decision not to prosecute a passenger's unruly conduct. 

(1) Whether the unruly passenger has already served a criminal sentence for the same 

conduct or has already niade monetary restitution in the context of a criminal prosecution for the 

same conduct. 

(2) Whether the passenger's unruly conduct was caused by a diagriosed medical or 

mental condition for which the passenger was receiving medical treatment. 

(3) Whether the unruly conduct was a reasonable response to a provocation by another. 

However, a passenger's use of unreasonable force in response to a provocation by another 

individual on the aircraft would not constitute a mitigating factor. 

d. When to Apply the Sanction Range for Acts Posing an "Imminent Threat" to Safety 

of the Aircraft or Others on Board the Aircraft. 

(1) The sanction range at Appendix B, part IT, Figure B-3-p for an act that poses an 

imminent threat to safety of aircraft or other individuals on the aircraft applies when there is an 

imminent threat lo the safety of the aircraft or to the collective safety of others on board the 

aircraft. For example, a passenger attempting to open an emergency exit door would be an 

imminent threat to the safety of the aircraft. If the imminent threat to safety is directed to 

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specific individuals on the aircraft, then the sanction range for physical assault or threatened 

physical at Appendix B, part II, Figure B-3-p applies. 

(2) In selecting an appropriate sanction within or outside the sanction range for an act 

posing an imminent safety threat, FAA enforcement personnel consider whether the resultant 

imminent threat was the unintended consequence of the passenger's careless or reckless act or 

whether the passenger intended the consequences. The former would justify a sanction toward 

the lov/ end of the range, while the latter would justify a sanction toward the maxirnum range. 

e. Applicable Sanction Ranges for Security Officers or Others .Assigned a Law 

Enforcement Function on a Flight (for example, Federal Air Marshals Assigned to the 

Flight). FAA enforcement personnel apply tlic sanction range applicable lo physical assaults or 

tlireatened physical assaults on crewmembers (Appendix B, part II, Figure B-3-p). 

f. Applying Unruly Passenger Sanction Guidance Tables to Multiple Acts, 

When applying llie table to multiple acts by an unruly passenger, FAA enforcement pcrsoi'mcl 

consider not only the individual unruly acts committed, but also the collective consequences of 

all the unruly behavior. FAA enforcement personnel do not approach the sanction determination 

for multiple acts as a mechanical exercise of multiplying the number of separate acts of unruly 

behavior by a sanction amount in the range for a single act. In.stead, they use the guidance in the 

table and exercise their judgment as to the seriousness ofthe conduct, given the totality of 

circumstances, to determine an appropriate sanction amount that will deter future violations by 

the unruly passenger and others similarly situated. 

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