Task:

M1.2.1 Conduct a Violation Investigation

8/13/21

Function:       1.0 Investigations

Duty:              1.2 Enforcement Investigation

Previous Task Analysis:

1995 Hughes Task #1.2.1

1985 Allen Corp Task #1.4.5

Difficulty:          5

Importance:      5

Frequency:        3

Criticality:    Y

Time:

Job Aid:        N

SAS Activity Codes

Specialty

3731

3732

3733

3765

 

 

S

O

M

E

F

A

C

T

5731

5732

5733

5765

 

 

 

 

P

 

 

P

 

 

Legal References:

49 U.S.C. § 44709      Amendments, Modifications, Suspensions, and Revocations of Certificates

49 U.S.C. § 46301      Civil Penalties

49 U.S.C. § 46306      Registration Violations Involving Aircraft Not Providing Air Transportation

49 U.S.C. § 46310      Reporting and Recordkeeping Violations

49 U.S.C. § 46312      Transporting Hazardous Material

49 U.S.C. § 46315      Lighting Violations Involving Transporting Controlled Substances by Aircraft Not Providing Air Transportation

Purpose:

To conduct a violation investigation in accordance with FAA Order 2150.3, FAA Compliance and Enforcement Program.

Significant Interfaces:

Airman

Operator

Certificate Holder

Air Agency

Contract Service Provider

Responsible Flight Standards Investigating Office

Responsible Flight Standards Reviewing Office

Responsible Safety Assurance and Safety Standards Offices

FAA Enforcement Counsel

Procedural Guidance (current editions):

Pertinent 14 CFR Parts

14 CFR Part 13           Investigative and Enforcement Procedures

Order 1380.51             Program Tracking and Reporting Subsystem

Order 2150.3               FAA Compliance and Enforcement Program

Order 8020.11             Aircraft Accident and Incident Notification, Investigation, and Reporting

Order 8900.1               Flight Standards Information Management System (FSIMS)

Other                           Office Procedures Manual

NOTE: Ensure you have the most current information. The Flight Standards Information Management System (FSIMS) may be used to obtain current guidance.

Forms:

FAA Form 2150-5      Enforcement Investigative Report

Job Task Performance Steps and Knowledge:

1           Initiate investigation of alleged violation.

K:         Order 2150.3, Chap. 4

             Order 8900.1, Vol. 14, Chap. 1, Sec. 2

1.1.       Develop action plan to ensure thorough and timely investigation.
K:         Order 2150.3, Chap. 4
Order 8900.1, Vol. 14, Chap. 1, Sec. 2
1.2.       Open Safety Assurance System (SAS) Module 5 or Activity Recording (AR) record, as appropriate.
K:         Order 8900.1, Vol. 10, Appendix 10-1 or
Order 8900.1, Vol. 10, Chap. 6, Sec. 2
Order 8900.1, Vol. 14, Chap. 1, Sec. 2

2           Determine what regulation was violated.

K:         Order 8900.1, Vol. 14, Chap. 1, Sec. 2

             Order 8900.1, Vol. 14, Chap. 2, Sec. 2

2.1.       Determine enforceability of regulation.
K:         Order 2150.3, Chap. 4
Order 8900.1, Vol. 14, Chap. 2, Sec. 2
2.2.       Determine if other regulations incorporated by reference have been violated.
K:         Order 2150.3, Chap. 4
Order 8900.1, Vol. 14, Chap. 2, Sec. 2

3           Send Letter of Investigation to alleged violator.

K:         Order 2150.3, Chap. 4

             Order 8900.1, Vol. 14, Chap. 1, Sec. 2

             Order 8900.1, Vol. 14, Chap. 1, Sec. 3

4           Gather supporting facts.

K:         Order 2150.3, Chap. 4

             Order 8900.1, Vol. 14, Chap. 1, Sec. 2

4.1.       Determine elements of regulation that must be proven.
K:         Order 2150.3, Chap. 4
Order 8900.1, Vol. 14, Chap. 2, Sec. 2
4.2.       In determining a violation, answer the questions: who, what, when, where, how and why.
K:         Order 2150.3, Chap. 4
Order 8900.1, Vol. 14, Chap. 2, Sec. 2

5           Analyze results of fact finding and supporting evidence.

5.1.       If facts do not support violation, complete sections A and B of FAA Form 2150-5, Enforcement Investigative Report (EIR); issue “No Action” letter to alleged violator.
K:         Order 2150.3, Chaps. 4, 5, and 6
Order 8900.1, Vol. 14, Chap. 2, Sec. 3
5.2.       If facts support violation, initiate EIR.
K:         Order 2150.3, Chaps. 4, 5, and 6
Order 8900.1, Vol. 14, Chap. 2, Sec. 2
5.3.       If facts support administrative action, initiate EIR.
K:         Order 2150.3, Chaps. 4, 5, and 6
Order 8900.1, Vol. 14, Chap. 2, Sec. 2
Order 8900.1, Vol. 14, Chap. 2, Sec. 3
5.4.       If facts support criminal action, coordinate with FAA Security and FAA enforcement counsel.
K:         14 CFR § 13.23
Order 2150.3, Chaps. 4, 6, and 8
Order 8900.1, Vol. 14, Chap. 1, Sec. 1

6           Prepare EIR.

K:         Order 2150.3, Chaps. 4 and 6

             Order 8900.1, Vol. 14, Chap. 2, Sec. 2

6.1.       Submit EIR for review.
K:         Order 2150.3, Chaps. 2 and 6
eEIR Process Documents at:
https://avssp.faa.gov/avs/afsteams/NationalTeams/EIR/eEIRTransfers/Pages/docs.aspx

7           Document task.

K:         Order 8900.1, Vol. 10, Appendix 10-1 or

             Order 8900.1, Vol. 10, Chap. 6, Sec. 2

             Order 8900.1, Vol. 14, Chap. 1, Sec. 2

7.1.       Close SAS Module 5 or SAS AR record.
K:         Order 8900.1, Vol. 10, Appendix 10-1 or
Order 8900.1, Vol. 10, Chap. 6, Sec. 2
Order 8900.1, Vol. 14, Chap. 1, Sec. 2

8           Future activities.

8.1.       Follow-up on requests from Safety Assurance or Safety Standards divisions, FAA enforcement counsel, etc.
K:         Order 8900.1, Vol. 14, Chap. 1, Sec. 2
Order 8900.1, Vol. 14, Chap. 2, Secs. 4 and 5