U . S .D E P A R T M E NOTF T R A N S P O R T A T I O N
F E D E R AA
L V IATION
ADMINISTRATION
National
Policy
EffectiveDate:
10t01t07
S U B J : F A A C o m p l i a n c ea n d E n f o r c e m e n P
t roqram
This order containspolicies,procedures,
and guidelinesfor the FederalAviation Administration's
complìanceand enforcementprogram.The order also articulatesthe FAA's philosophyfor using
various remedies, inclr,rdingeducation,corrective action, informal action, remedial training,
administrativeaction,and legal enforcementaction,to addressnoncompliance
with statutoryand
regulatoryrequi¡ements
enforcedby the FAA. It providesfor the public a written statementof the
policy guidancefor imposingsanctions
Administrator's
for violationsof suchrequirements.
The order is used at all levels by agencypersonnelwho are engagedin the investigation,repofting,
andprocessing
of enforcement
actions.It appliesto all officeswith regulatoryresponsibilities.
This revisionof the ordercomprehensively
updatespolicies,procedures,
guidance,and assignments
of
responsibility.
It reorganizes
the orderin a mannermore usefulfor agencypersonneland is available
electronicallyto agencypersonneland the public.The revisionamendsagencysanctionguidanceto
conform to statutorychangesresultingfrom Vision lO0Centuryof Aviation ReauthorizationAct and
guidanceinto the agency'scomplianceand enforcement
incorporates
programorder on policiesand
programsthat have developedsincethe last comprehensive
order revisionin 1988.Those include
policiesrelatingto the FAA's exerciseof its authorityto administratively
assesscivil penaltiesand
guidanceon the agency's
voluntarysafetyprograms.
A workgroup of agencypersonnelfrom the field and headquarters
with extensiveexperiencein
statutoryand regulatoryenforcementreviewedthe agency'spolicies.and programsin this area to
producethis comprehensive
revisionof the agencyorderon its compliance
andenforcement
program.
RobertA. Stu
ActingAdmin
Distribution:
A-W-l;A-W(AT/PS/SM)-2;A-W
(PP/AM/SF/
-2;Z-X
GCIFS/IA/VS)-3
(A
T/AF/CS)
(AS/AM/cC/FS)-3
;A-XYZ
;
A-Y (AM/ARIGC)-3;A-Z (AM/AN/GC)-3
;A-FAC/FACIFCS-O;
A-F AF/FAT/FIA-O(LTD);ZFS-325
InitiatedBy: AGC-300
10t01t07
2150.38
safetybelt,and, if installed,shoL¡lder
harnessproperly
secureddLrringmovementon the surface,takeoff,or
landin
ratinga portableelectronicdevice
Drinkinsalcoholic
notservedbv carrier
4. DUI/DWI PROGRAM, FALSIFICATION OF DRUG CONVICTIONS AND AIRMAN
MEDICAL CERTIFICATE VIOLATIONS
Fie. B-4-a. Sanctionsrelatedto DUI/DWI Prosram
CertificateAction
Civil Penalty
( I ) Intentionallyfalseor fraudulententry on medical
certificateapplicationregardinga DUI convictionor
administrative
actionunder14 C.F.R.Q 67.403(a)11)
(2) Making an incorrect statementon a medical
certifìcateapplicationregardinga DUI conviction or
administrativeactionunder
l 4 C . F . R .$ 6 7 . a 0 3 ( c ) ( l )
Revocationof all
airman and medical
certifìcates
Indefinite Suspension
(pending correction
of applicationand
determinationof
qualification)or
Revocationof
medicalcertificate
l5- to 45-day
Suspension
of all pa"'
61 certificates
(3) Failureto reporta motor vehicleaction(MVA)
u n d e rl 4 C . F . R .$ 6 l . l 5 ( e )
(4) Two MVAs arisingfrom separateincidentswithin 3
years,and repoftedboth under
1 4C . F . R$. 6 1 . 1 5 ( d )
(5) ThreeMVAs arisingfrom separateincidentswithin
3 y e a r su n d e rI 4 C . F . R .I 6 1. l 5 ( d )
Fig. B-4-b. Airman Medical Certificate Violations
(1) Intentionallyfalseor fraudulentstatementon an
applicationfor a medicalceftificateor on a requestfor
any specialissuance
or SODA under
l 4 C . F . R .$ 6 7 . 4 0 3 ( a X l )
(2) Intentionallyfalseor fraudulententry in a record
that is kept,madeor usedto show complianceunder
90- to 120-day
Suspension
of all part
61 certificates
Revocationof all part
61 ceftificates
Civil Penaltv
t
Certificate Action
Revocationof all
airmanand medical
ceftificates
r 4 c.F.R.Q67.403h)(2\
Revocationof all
airmanand medical
ceftificates
(3) Reproduction
of a medicalcertificate
for fraudulent
purposeunder
14C.F.R.6 67.403(aX3)
Revocation
of all
airmanandmedical
ceftificates
(4) Alterationof medicalcertificateunder
Revocationof all
airmanand medical
cer-tificates
l4 C.F.R.
$ 67.a03(a)(a)
Fig. B-4-b. Airman MedicalCertificateViolations
cont.
B-29
Civil Penalty
CertificateAction