1
U.S. DEPARTMENT OF TRANSPORTATION
OFFICE OF HEARINGS
WASHINGTON, D.C.
___________________________________________________________________
In the Matter of Deborah Scherrer, Respondent
Docket No. FAA-2020-0531
(Civil Penalty Matter)
Honorable Douglas M. Rawald
Administrative Law Judge
___________________________________________________________________
FAA’s PRE-HEARING SUBMISSION OF WITNESS LIST AND PROPOSED
EXHIBITS
Pursuant to Judge Rawald’s Order Finalizing Litigation Schedule served on June 29,
2021, the FAA hereby identifies the following witnesses and proposed exhibits.
Witnesses the FAA May Call To Testify:
a. Susan Midnight, Aviation Safety Inspector, Federal Aviation Administration, New
York Certificate Management Office-JetBlue Certificate Management, 990 Stewart
Avenue Garden City, New York 11530; Office: (516) 228-8092 ext. 245 Cell: (631)
867-8763; email:
Susan.A.Midnight@faa.gov : Inspector Midnight may provide
expert testimony including, but not limited to: Her role as an aviation safety
inspector, her review of the information gathered during the investigation of
Respondent’s role as an unruly passenger on August 11, 2019 aboard JetBlue
Airways Flight No. 2168 from Palm Beach International Airport in Palm Beach,
Florida to Westchester County Airport, in White Plains, New York (flight diverted to
Richmond International Airport in Richmond, Virginia), her conclusion that that
Respondent had violated applicable federal aviation regulations and statutes, her
expert opinion regarding the appropriateness of the sanction sought in this matter
based her training and knowledge of the risk to aviation safety present in this case,
and her knowledge of the FAA Orders, FAA Notices, statutes, and regulations,
relevant to this matter.
b. Kyara Hernandez, Flight Attendant, JetBlue Airways Corp., c/o Michael Carbone,
Vice President, Associate General Counsel, JetBlue Airways Corp., 27-01 Queens
Plaza North, Long Island City, NY 11101. Flight Attendant Hernandez may provide
testimony including, but not limited to: her percipient knowledge of Respondent’s
2
behavior and role in the incident on August 11, 2019 aboard JetBlue Airways Flight
No. 2168 resulting in the flight being diverted to Richmond International Airport in
Richmond, Virginia, her role in the creation or completion of documentation
regarding Respondent’s behavior, any conversations with Respondent during the
event, and any JetBlue protocols and procedures relevant to flight crews’ actions in
this matter. It is anticipated that this testimony will support the FAA position that
Respondent’s conduct was in violation of the applicable federal aviation statute(s)
and regulation(s) – 49 U.S.C. § 46318 and 14 C.F.R. § 120.580.
c. Danielle Dixon née Kruguelki, Flight Attendant, JetBlue Airways Corp., c/o Michael
Carbone, Vice President, Associate General Counsel, JetBlue Airways Corp., 27-01
Queens Plaza North, Long Island City, NY 11101. Flight Attendant Dixon may
provide testimony including, but not limited to: her percipient knowledge of
Respondent’s behavior and role in the incident on August 11, 2019 aboard JetBlue
Airways Flight No. 2168 resulting in the flight being diverted to Richmond
International Airport in Richmond, Virginia, her role in the creation or completion of
documentation regarding Respondent’s behavior, any conversations with
Respondent during the event, and any JetBlue protocols and procedures relevant to
flight crews’ actions in this matter. It is anticipated that Ms. Dixon’s testimony will
support the FAA position that Respondent’s conduct was in violation of the
applicable federal aviation statute(s) and regulation(s) – 49 U.S.C. § 46318 and 14
C.F.R. § 120.580.
The FAA reserves the right to call other witnesses for impeachment or rebuttal as may
become necessary at hearing.
Proposed Exhibits:
(C-1) Section B, EIR 2019EA150017
(C-2) Automated Incident Occurrence Complaint Report (AIOC Report)
(C-3) Capt. Adam Garner Flight Report dated August 11, 2019
(C-4) Flight Attendant #1 Kyara Hernandez Inflight Report dated August 11, 2019
(C-5) Flight Attendant #2 Danielle Kruguelki Inflight Report dated August 11, 2019
(C-6) Richmond International Airport Police Report dated August 11, 2019
(C-7) Letter of Investigation
(C-8) Response to Letter of Investigation from Attorney Keegan
(C-9) Passenger witness Christina Dash
(C-10) FAA Order 2150.3C, pages 9-2 – 9-11; 9-16 & 9-29
3
The FAA reserves the right to introduce additional exhibits for impeachment or rebuttal as
may become necessary at hearing.
Respectfully submitted,
Cynthia A. Dominik
Assistant Chief Counsel
for Enforcement
By: ____________________ Date: September 20, 2021
Camille J. Castillo
Attorney
Enforcement Division, Northeast Team
1 Aviation Plaza
Jamaica, NY 11434
Email: Camille.Ca[email protected]
Telephone: (718) 553-3278 desk
(718) 877-9435 mobile
(718) 553-3277 fax
4
CERTIFICATE OF SERVICE
I hereby certify that I have this day served a copy of the FAA’s Pre-Hearing Submission Of
Witness List and Proposed Exhibits via email to:
The Honorable Douglas M. Rawald,
U.S. Administrative Law Judge
Office of Hearings, M-20
U.S. Department of Transportation
1200 New Jersey Avenue, SE (E11-310)
Washington, DC 20590
Email: [email protected]
Jacklyn[email protected]
And
Federal Aviation Administration,
800 Independence Avenue, SW.,
Washington, DC 20591;
Attention: Hearing Docket Clerk, AGC-430,
Wilbur Wright Building - Suite 2W1000
Email: 9-AGC-FAA-HearingDocket@faa.gov
And
John Keegan Jr.
Keegan, Keegan & Strutt PLLC
1133 Westchester Avenue, Suite N202
White Plains, NY 10604
Email: johnkeegan@keegan-law.com
llogel@keegan-law.com
Date: September 20, 2021 __________________________
Camille J. Castillo
C-1
1 of 3
C-1
2 of 3
C-2
1 of 1
C - 3
1 of 2
C - 4
1 of 3
C - 4
2 of 3
C - 4
3 of 3
C - 5
1 of 1
C - 6
2 of 3
C - 6
3 of 3
C - 7
1 of 5
C - 7
2 of 5
C - 7
3 of 5
C - 7
4 of 5
C - 7
5 of 5
C - 8
1 of 2
C - 8
2 of 2
C - 9
1 of 1
&
WKH FDVH (QIRUFHPHQW FRXQVHO FRQVXOWV ZLWK LQYHVWLJDWLQJ RU UHYLHZLQJ RIILFH SHUVRQQHO
UHJDUGLQJ VDQFWLRQ GHWHUPLQDWLRQV LQ QRYHO FDVHV )RU VLJQLILFDQW OHJDO HQIRUFHPHQW DFWLRQV DV
GHVFULEHG LQ FKDSWHU SDUDJUDSK WKH $VVLVWDQW &KLHI &RXQVHO IRU (QIRUFHPHQW RU D GHOHJHH
FRRUGLQDWHV VDQFWLRQ GHWHUPLQDWLRQV ZLWK DSSURSULDWH KHDGTXDUWHUV RIILFLDOV ,I D FDVH LV OLWLJDWHG
HQIRUFHPHQW FRXQVHO SURYLGHV WKH UHDVRQV IRU WKH VDQFWLRQ VHOHFWHG (QIRUFHPHQW FRXQVHO¶V
DQDO\VLV RI WKH VDQFWLRQ LV EDVHG RQ WKH DOOHJDWLRQV LQ WKH FRPSODLQW DQG HYLGHQFH UHODWLQJ WR WKH
YLRODWLRQ LQFOXGLQJ UHOHYDQW IDFWRUV DIIHFWLQJ VDQFWLRQ 7KH VDQFWLRQ DQDO\VLV DOWKRXJK EDVHG LQ
SDUW RQ HYLGHQFH LV SURYLGHG WKURXJK DUJXPHQW E\ HQIRUFHPHQW FRXQVHO DQG LV QRW LWVHOI
HYLGHQFH SUHVHQWHG E\ HQIRUFHPHQW FRXQVHO RU LQYHVWLJDWLYH SHUVRQQHO 7KLV DUJXPHQW PD\ EH
SUHVHQWHG IRU H[DPSOH E\ SUHWULDO PRWLRQ RUDOO\ LQ FORVLQJ IROORZLQJ D KHDULQJ DQGRU E\ EULHI
IROORZLQJ D KHDULQJ
6DQFWLRQV IRU 3XQLWLYH DQG 'HWHUUHQW 3XUSRVHV 7KH )$$ LPSRVHV IL[HGWHUP FHUWLILFDWH
VXVSHQVLRQV DQG FLYLO SHQDOWLHV IRU SXQLWLYH DQG GHWHUUHQW SXUSRVHV 7KH )$$ GRHV QRW W\SLFDOO\
WDNH ERWK W\SHV RI SXQLWLYH DFWLRQ DJDLQVW D FHUWLILFDWH KROGHU IRU WKH VDPH FRQGXFW ,I D FHUWLILFDWH
KROGHU LPSURSHUO\ H[HUFLVHV WKH SULYLOHJHV RI D FHUWLILFDWH LQ VXFK D PDQQHU WKDW OHJDO
HQIRUFHPHQW DFWLRQ LV ZDUUDQWHG D QDWXUDO FRQVHTXHQFH RI WKDW DFW LV WR ORVH WKH SULYLOHJHV IRU D
SHULRG RI WLPH FRPPHQVXUDWH ZLWK WKH YLRODWLRQ %DODQFHG DJDLQVW WKLV SULQFLSOH WKH )$$
FRQVLGHUV WKH DGYHUVH LPSDFW WKDW D FHUWLILFDWH VXVSHQVLRQ FRXOG KDYH RQ WKH SXEOLF 7KXV WKH
)$$ JHQHUDOO\ VXVSHQGV WKH FHUWLILFDWHV KHOG E\ LQGLYLGXDOV IRU YLRODWLRQV FRPPLWWHG E\ WKRVH
LQGLYLGXDOV +RZHYHU WR SUHYHQW WKH GLVUXSWLRQ RI VHUYLFH ZLWK SRWHQWLDO DGYHUVH LPSDFW RQ WKH
SXEOLF WKH )$$ JHQHUDOO\ LPSRVHV FLYLO SHQDOWLHV DJDLQVW FHUWLILFDWHG HQWLWLHV VXFK DV KROGHUV RI
DLU FDUULHU DLUSRUW DQG DLU DJHQF\ FHUWLILFDWHV 7KH DJHQF\ ZLOO QRQHWKHOHVV SXQLWLYHO\ VXVSHQG
WKH FHUWLILFDWH RI DQ\ W\SH RI FHUWLILFDWH KROGHU ZKHQ WKH )$$ GHWHUPLQHV WKDW VDIHW\
FRQVLGHUDWLRQV ZDUUDQW VXFK DFWLRQ
D 6DQFWLRQ 'HWHUPLQDWLRQV %DVHG RQ &RQGXFW 6DQFWLRQ GHWHUPLQDWLRQV DUH EDVHG RQ
FRQGXFW DQG SULPDULO\ IRFXV RQ DFWV WKDW UHVXOW LQ VWDWXWRU\ RU UHJXODWRU\ YLRODWLRQV $ VHSDUDWH
VDQFWLRQ LV GHWHUPLQHG IRU HDFK DFW UHVXOWLQJ LQ D YLRODWLRQ :KHQ D VLQJOH DFW UHVXOWV LQ PXOWLSOH
UHJXODWRU\ YLRODWLRQV WKH )$$ RUGLQDULO\ GRHV QRW FRPSRXQG WKH VDQFWLRQ IRU HDFK YLRODWLRQ
8QGHU 86& D D VHSDUDWH YLRODWLRQ RFFXUV IRU HDFK GD\ WKH YLRODWLRQ FRQWLQXHV
RU LI DSSOLFDEOH IRU HDFK IOLJKW LQYROYLQJ WKH YLRODWLRQ
E 8VH RI 3XQLWLYH 6DQFWLRQ *XLGDQFH 7KH VDQFWLRQ JXLGDQFH LQ WKLV SDUDJUDSK SURYLGHV D
V\VWHPDWLF SURFHVV IRU XVH E\ HQIRUFHPHQW FRXQVHO WR DUULYH DW DQ DSSURSULDWH FLYLO SHQDOW\ ,Q
SHUIRUPLQJ WKLV SURFHVV HQIRUFHPHQW FRXQVHO DUH PLQGIXO WKDW VDQFWLRQ GHWHUPLQDWLRQV DUH QRW
WKH UHVXOW RI D VWULFW PDWKHPDWLFDO IRUPXOD 5DWKHU VDQFWLRQ GHWHUPLQDWLRQV UHVXOW IURP D
MXGJPHQW RI ZKHUH D FDVH OLHV DORQJ D VSHFWUXP RI JUDYLW\ 7KH FLUFXPVWDQFHV RI HDFK FDVH DUH
HYDOXDWHG LQ WHUPV RI WKH QHHGV RI VDIHW\ DQG WKH SXEOLF LQWHUHVW DQG WKLV JXLGDQFH GRHV QRW
VXSSODQW WKH DJHQF\¶V MXGJPHQW RU LWV SURVHFXWRULDO GLVFUHWLRQ LQ GHWHUPLQLQJ VDQFWLRQ
6DQFWLRQ 5DQJH 'HWHUPLQDWLRQ (QIRUFHPHQW FRXQVHO XVHV WKH IROORZLQJ SURFHVV WR
LGHQWLI\ WKH VSHFLILF VDQFWLRQ UDQJH DSSOLFDEOH WR D VLQJOH DFW UHVXOWLQJ LQ D YLRODWLRQ
6WHS 8VH WKH 7DEOH RI 9LRODWLRQV )LJXUH WR LGHQWLI\ WKH VHYHULW\ OHYHO RI WKH
YLRODWLRQ SDUDJUDSK
C - 10
1 of 12
&
6WHS ,GHQWLI\ WKH FXOSDELOLW\ RI WKH YLRODWRU SDUDJUDSK G
6WHS 8VH WKH 6DQFWLRQ 0DWUL[ )LJXUH WR LGHQWLI\ D JHQHUDO VDQFWLRQ UDQJH /RZ
0RGHUDWH +LJK RU 0D[LPXP XVLQJ WKH VHYHULW\ OHYHO RI WKH YLRODWLRQ DQG WKH FXOSDELOLW\
RI WKH YLRODWRU SDUDJUDSK H
6WHS 8VH WKH 6DQFWLRQ 5DQJHV 7DEOH )LJXUH WR GHWHUPLQH WKH VSHFLILF VDQFWLRQ
UDQJH XVLQJ WKH JHQHUDO VDQFWLRQ UDQJH DQG WKH W\SH RI YLRODWRU SDUDJUDSK I
$JJUDYDWLQJ DQG 0LWLJDWLQJ )DFWRUV 2QFH WKH DSSOLFDEOH VSHFLILF VDQFWLRQ UDQJH IRU
DQ DFW RI YLRODWLRQ LV LGHQWLILHG HQIRUFHPHQW FRXQVHO FRQVXOWV SDUDJUDSK J EHORZ WR DVVHVV
DJJUDYDWLQJ DQG PLWLJDWLQJ IDFWRUV WR GHWHUPLQH WKH SDUWLFXODU VDQFWLRQ ZLWKLQ WKH UDQJH
DSSOLFDEOH WR WKDW DFW RI YLRODWLRQ (QIRUFHPHQW FRXQVHO EHJLQV ZLWK D VDQFWLRQ DW WKH PLGSRLQW RI
WKH DSSOLFDEOH UDQJH DQG LQFUHDVHV WKH VDQFWLRQ IRU DJJUDYDWLQJ IDFWRUV DQG GHFUHDVHV WKH VDQFWLRQ
IRU PLWLJDWLQJ IDFWRUV ,Q XQXVXDO FLUFXPVWDQFHV D VDQFWLRQ DERYH RU EHORZ WKH LGHQWLILHG
VDQFWLRQ UDQJH PD\ EH ZDUUDQWHG E\ VLJQLILFDQW DJJUDYDWLQJ RU PLWLJDWLQJ IDFWRUV
F 6HYHULW\ /HYHOV 6WHS 6WDWXWHV DQG UHJXODWLRQV HQIRUFHG E\ WKH )$$ VHW WKH PLQLPXP
DFFHSWDEOH OHYHO RI FRQGXFW 7KLV FRQGXFW LV FDWHJRUL]HG LQWR WKUHH OHYHOV WKDW UHSUHVHQW
LQFUHDVLQJO\ VHYHUH GHSDUWXUHV IURP VDIHW\ RU VDIHW\ VWDQGDUGV ZLWK /HYHO UHSUHVHQWLQJ WKH OHDVW
VHYHUH DQG /HYHO UHSUHVHQWLQJ WKH PRVW VHYHUH YLRODWLRQV (QIRUFHPHQW FRXQVHO LGHQWLILHV WKH
DSSOLFDEOH VHYHULW\ OHYHO IRU FRQGXFW XVLQJ WKH 7DEOH RI 9LRODWLRQV )LJXUH DQG WKH JXLGDQFH
IRU WKLV WDEOH LQ SDUDJUDSK EHORZ 7KH OHYHO RI VHYHULW\ VHOHFWHG IRU YLRODWLRQ FRQGXFW LQ WKH
7DEOH RI 9LRODWLRQV UHSUHVHQWV WKH VHYHULW\ RI D JHQHULF YLRODWLRQ 0RUH VHYHUH GHSDUWXUHV DUH
JHQHUDOO\ DVVRFLDWHG ZLWK DQ LQFUHDVHG OLNHOLKRRG RI KDUP WR SHUVRQV RU SURSHUW\ DQG WKHUHIRUH
ZDUUDQW D KLJKHU VHYHULW\ OHYHO 7KH GHWHUPLQDWLRQ RI VHYHULW\ OHYHO IRU D NLQG RI YLRODWLRQ LV
EDVHG RQ WKH )$$¶V H[SHULHQFH DQG H[SHUWLVH
G &XOSDELOLW\ 6WHS 7KH IROORZLQJ GHILQLWLRQV DSSO\ WR WKH FXOSDELOLW\ OHYHOV
UHSUHVHQWHG LQ WKH 6DQFWLRQ 0DWUL[
Careless. $ YLRODWLRQ LV FDUHOHVV ZKHQ WKH YLRODWRU¶V FRQGXFW IDOOV EHORZ WKH VWDQGDUG RI
FDUH H[SHFWHG RI D UHDVRQDEOH SHUVRQ RU FHUWLILFDWH KROGHU LQ WKH VDPH RU VLPLODU
FLUFXPVWDQFHV EXW LV QRW UHFNOHVV RU LQWHQWLRQDO 7KH VWDWXWHV DQG UHJXODWLRQV HQIRUFHG E\
WKH )$$ VHW WKH PLQLPXP DFFHSWDEOH OHYHO RI FRQGXFW $FFRUGLQJO\ DOO YLRODWLRQV DUH DW
OHDVW FDUHOHVV
Reckless. $ YLRODWLRQ LV UHFNOHVV ZKHQ WKH YLRODWRU¶V FRQGXFW GHPRQVWUDWHV D JURVV
GLVUHJDUG IRU RU GHOLEHUDWH LQGLIIHUHQFH WR VDIHW\ RU D VDIHW\ VWDQGDUG
Intentional. $ YLRODWLRQ LV LQWHQWLRQDO ZKHQ WKH YLRODWRU¶V FRQGXFW LV GHOLEHUDWH DQG WKH
YLRODWRU NQRZV WKDW WKH FRQGXFW LV FRQWUDU\ WR VWDWXWH RU UHJXODWLRQ RU LV RWKHUZLVH
SURKLELWHG
C - 10
2 of 12
& &+*
Entity Culpability. $Q HQWLW\ e.g., D FRUSRUDWLRQ RU SDUWQHUVKLS LV OLDEOH IRU YLRODWLRQV FRPPLWWHG
E\ LWV DJHQWV FRQWUDFWRUV DQG HPSOR\HHV $Q HQWLW\¶V OHYHO RI FXOSDELOLW\ IRU D YLRODWLRQ PD\
GLIIHU IURP WKDW RI WKH LQGLYLGXDO ZKR FRPPLWWHG WKH YLRODWLRQ ,Q DVVHVVLQJ DQ HQWLW\¶V
FXOSDELOLW\ IRU D YLRODWLRQ HQIRUFHPHQW FRXQVHO FRQVLGHUV DOO IDFWV DQG FLUFXPVWDQFHV OHDGLQJ XS
WR WKH YLRODWLRQ 7KLV LQFOXGHV FRQVLGHUDWLRQ RI WKH OHYHOV RI SDUWLFLSDWLRQ PDQDJHULDO
UHVSRQVLELOLW\ DQG NQRZOHGJH RI LQGLYLGXDOV LQYROYHG LQ WKH DFWLRQV RU LQDFWLRQV UHVXOWLQJ LQ WKH
YLRODWLRQ DV ZHOO DV DQ\ SULRU QRWLILFDWLRQ WR WKRVH LQGLYLGXDOV WKDW VXFK DFWLRQV PD\ UHVXOW LQ
QRQFRPSOLDQFH
H 7KH 6DQFWLRQ 0DWUL[ 6WHS 7KH 6DQFWLRQ 0DWUL[ DVVLJQV JHQHUDO VDQFWLRQ UDQJHV
IURP /RZ WR 0D[LPXP GHSHQGLQJ RQ WKH VHYHULW\ OHYHO RI WKH DSSDUHQW YLRODWLRQ DQG WKH
FXOSDELOLW\ RI WKH YLRODWRU IRU WKH YLRODWLRQ (QIRUFHPHQW FRXQVHO GHWHUPLQHV WKH VHYHULW\ RI WKH
YLRODWLRQ DQG WKH FXOSDELOLW\ RI WKH YLRODWRU WKHQ XVHV WKH 6DQFWLRQ 0DWUL[ WR LGHQWLI\ WKH
DSSOLFDEOH JHQHUDO VDQFWLRQ UDQJH
)LJXUH 6DQFWLRQ 0DWUL[
&DUHOHVV 5HFNOHVV RU ,QWHQWLRQDO
6HYHULW\ /HYHO
/RZ 0RGHUDWH
6HYHULW\ /HYHO
0RGHUDWH +LJK
6HYHULW\ /HYHO
+LJK 0D[LPXP
I 6DQFWLRQ 5DQJHV 7DEOH 6WHS 7KH 6DQFWLRQ 5DQJHV 7DEOH DVVLJQV VSHFLILF VDQFWLRQ
UDQJHV IRU FLYLO SHQDOWLHV RU FHUWLILFDWH DFWLRQV 2QFH HQIRUFHPHQW FRXQVHO LGHQWLILHV D JHQHUDO
VDQFWLRQ UDQJH /RZ 0RGHUDWH +LJK RU 0D[LPXP XVLQJ WKH 6DQFWLRQ 0DWUL[ FRXQVHO XVHV WKH
6DQFWLRQ 5DQJHV 7DEOH WR LGHQWLI\ WKH VSHFLILF VDQFWLRQ UDQJH IRU WKH FDWHJRU\ RI YLRODWRU
)LJXUH 6DQFWLRQ 5DQJHV 7DEOH
/RZ 0RGHUDWH +LJK 0D[LPXP
,QGLYLGXDO &HUWLILFDWH +ROGHU
GD\V
GD\V
GD\V
GD\V
,QGLYLGXDO $FWLQJ DV DQ $LUPDQ
YLRODWLRQV XQGHU 86&
D$
,QGLYLGXDO YLRODWLRQV XQGHU
86& D$
6PDOO %XVLQHVV RU ,QGLYLGXDO
YLRODWLRQV XQGHU 86&
D EXW QRW
D$
/DUJH %XVLQHVV
6PDOO %XVLQHVV ± &DWHJRU\ ,
YLRODWLRQV XQGHU 86&
D$
C - 10
3 of 12
& &+*
/RZ 0RGHUDWH +LJK 0D[LPXP
6PDOO %XVLQHVV ± &DWHJRU\ ,,
YLRODWLRQV XQGHU 86&
D$
6PDOO %XVLQHVV ± &DWHJRU\ ,,,
YLRODWLRQV XQGHU 86&
D$
6PDOO %XVLQHVV RU ,QGLYLGXDO
YLRODWLRQV XQGHU 86&
D%
,QGLYLGXDO ,QWHUIHULQJ ZLWK D
&UHZPHPEHU ± /DVHU
1$ 1$
,QGLYLGXDO ,QWHUIHULQJ ZLWK D
&UHZPHPEHU
8$6 ,QWHUIHULQJ :LWK :LOGILUH
6XSSUHVVLRQ /DZ (QIRUFHPHQW RU
(PHUJHQF\ 5HVSRQVH 8QGHU
86&
3DVVHQJHUV WDPSHULQJ ZLWK VPRNH
GHWHFWRU
3DVVHQJHUV VPRNLQJ 1$ 1$
3DVVHQJHU VH[XDO DVVDXOW RU WKUHDW
RI VH[XDO DVVDXOW RI FUHZ PHPEHU RU
RWKHU LQGLYLGXDO RQ DLUFUDIW RU
SRVLQJ LPPLQHQW WKUHDW WR VDIHW\ RI
DLUFUDIW RU WKH FROOHFWLYH VDIHW\ RI
RWKHU LQGLYLGXDOV XQGHU 86&
1$ 1$
3DVVHQJHU SK\VLFDO DVVDXOW RU WKUHDW
RI SK\VLFDO DVVDXOW RI FUHZ PHPEHU
RU RWKHU LQGLYLGXDO RQ DLUFUDIW XQGHU
86&
1$
3DVVHQJHUV RWKHU YLRODWLRQV
&RPPHUFLDO 6SDFH
Individual Certificate Holder, Individual Acting as an Airman, and Individual
L $Q ³,QGLYLGXDO &HUWLILFDWH +ROGHU´ LV DQ LQGLYLGXDO ZKR KROGV D SLORW IOLJKW
LQVWUXFWRU IOLJKW HQJLQHHU DLUFUDIW GLVSDWFKHU PHFKDQLF PHFKDQLF ZLWK LQVSHFWLRQ DXWKRUL]DWLRQ
UHSDLUPDQ SDUDFKXWH ULJJHU DLU WUDIILF FRQWURO WRZHU RSHUDWRU IOLJKW QDYLJDWRU UHPRWH SLORW RU
JURXQG LQVWUXFWRU FHUWLILFDWH 7KH WHUP ³,QGLYLGXDO &HUWLILFDWH +ROGHU´ GRHV QRW LQFOXGH D IOLJKW
DWWHQGDQW FHUWLILFDWH RI GHPRQVWUDWHG SURILFLHQF\
C - 10
4 of 12
& &+*
LL ³,QGLYLGXDO $FWLQJ DV DQ $LUPDQ´ LV DQ LQGLYLGXDO ZKR DFWV DV D SLORW IOLJKW
LQVWUXFWRU IOLJKW HQJLQHHU DLUFUDIW GLVSDWFKHU PHFKDQLF PHFKDQLF ZLWK LQVSHFWLRQ DXWKRUL]DWLRQ
UHSDLUPDQ SDUDFKXWH ULJJHU DLU WUDIILF FRQWURO WRZHU RSHUDWRU IOLJKW QDYLJDWRU RU UHPRWH SLORW
UHJDUGOHVV RI ZKHWKHU KH RU VKH DFWXDOO\ KROGV RQH RI WKHVH FHUWLILFDWHV
LLL $Q ³,QGLYLGXDO´ LV VRPHRQH ZKR LV QHLWKHU DQ ,QGLYLGXDO &HUWLILFDWH +ROGHU QRU
DQ ,QGLYLGXDO $FWLQJ DV DQ $LUPDQ DQG LQFOXGHV SDVVHQJHUV IOLJKW DWWHQGDQWV DQG YLVXDO
REVHUYHUV IRU VPDOO 8$6 RSHUDWLRQV
3XUVXDQW WR 86& &RQJUHVV KDV SURYLGHG D PHFKDQLVP IRU LQIODWLRQ
DGMXVWPHQWV IRU FLYLO SHQDOWLHV 8QGHU WKH VWDWXWH WKH DGMXVWHG FLYLO SHQDOW\ PD[LPXPV FDQQRW EH
DSSOLHG XQOHVV WKH\ DUH LPSOHPHQWHG E\ UHJXODWLRQ 7KH DGMXVWHG FLYLO SHQDOW\ PD[LPXPV DUH
OLVWHG LQ &)5 H[FHSW IRU FRPPHUFLDO VSDFH YLRODWLRQV IRU ZKLFK WKH DGMXVWHG FLYLO
SHQDOW\ PD[LPXP LV LQ &)5 D :LWK WKH H[FHSWLRQ RI ³3DVVHQJHU SK\VLFDO DVVDXOW
RU WKUHDW RI SK\VLFDO DVVDXOW RI FUHZ PHPEHU RU RWKHU LQGLYLGXDO RQ DLUFUDIW XQGHU 86&
´ WKH KLJK HQG RI WKH 0D[LPXP FLYLO SHQDOW\ UDQJHV OLVWHG LQ WKH 6DQFWLRQ 5DQJHV 7DEOH
FRUUHVSRQGV WR WKH DSSOLFDEOH PD[LPXP DXWKRUL]HG SHQDOWLHV DV RI WKH UHJXODWRU\ DGMXVWPHQW RI
-XO\ 5HJDUGOHVV RI WKH PD[LPXPV OLVWHG LQ 6DQFWLRQ 5DQJHV 7DEOH WKH DSSOLFDEOH FLYLO
SHQDOW\ PD[LPXP IRU D YLRODWLRQ LV WKH PD[LPXP WKDW ZDV OLVWHG LQ &)5 RU
D RQ WKH GDWH RI WKH YLRODWLRQ
7KH )$$ LV DXWKRUL]HG WR DVVHVV D PD[LPXP FLYLO SHQDOW\ XQGHU 86&
D$ RI DV DGMXVWHG DJDLQVW VRPHRQH RWKHU WKDQ DQ LQGLYLGXDO RU VPDOO
EXVLQHVV FRQFHUQ DQG DV DGMXVWHG DJDLQVW DQ LQGLYLGXDO RU VPDOO EXVLQHVV FRQFHUQ IRU
YLRODWLQJ WKH SURYLVLRQV LQ 86& D$ RU UHJXODWLRQV DXWKRUL]HG XQGHU WKRVH
SURYLVLRQV 8QGHU 86& D$ WKH )$$ LV DXWKRUL]HG WR DVVHVV D SHQDOW\ RI
DV DGMXVWHG IRU YLRODWLRQV RI WKH SURYLVLRQV LQ 86& D$L RU
UHJXODWLRQV DXWKRUL]HG XQGHU WKRVH SURYLVLRQV DJDLQVW D VPDOO EXVLQHVV FRQFHUQ RU DQ LQGLYLGXDO
H[FHSW DQ LQGLYLGXDO DFWLQJ DV DQ DLUPDQ ,I WKH YLRODWLRQ LV RI D SURYLVLRQ RU UHJXODWLRQ
DXWKRUL]HG E\ WKDW SURYLVLRQ WKDW LV UHIHUHQFHG LQ ERWK 86& D$ DQG
D$L WKH RQO\ WLPH WKH FLYLO SHQDOW\ LV OLPLWHG WR DV DGMXVWHG LV ZKHQ WKH
YLRODWLRQ LV E\ DQ LQGLYLGXDO DFWLQJ DV DQ DLUPDQ see )HG 5HJ 0D\
:KHQ DQ DFW UHVXOWLQJ LQ D YLRODWLRQ ZRXOG EH FRYHUHG E\ PRUH WKDQ RQH URZ LQ WKH
6DQFWLRQ 5DQJHV 7DEOH VXFK DV LQWHUIHULQJ ZLWK D FUHZPHPEHU DQG SK\VLFDO DVVDXOW RU WKUHDW RI
SK\VLFDO DVVDXOW RI FUHZ PHPEHU RU RWKHU LQGLYLGXDO RQ DLUFUDIW XQGHU 86&
ZKLFKHYHU URZ ZRXOG SURGXFH WKH KLJKHU VDQFWLRQ UDQJH IRU WKDW DFW DSSOLHV
J 0LWLJDWLQJ DQG $JJUDYDWLQJ )DFWRUV 7KH IROORZLQJ IDFWRUV DUH XVHG WR GHWHUPLQH WKH
DSSURSULDWH SHQDOW\ ZLWKLQ D VSHFLILF VDQFWLRQ UDQJH 1RW DOO IDFWRUV ZLOO DSSO\ WR DOO FDVHV 7KH
OLVW RI IDFWRUV EHORZ LV QRW H[KDXVWLYH DQG RWKHU IDFWRUV PD\ EH UHOHYDQW DV ZHOO (QIRUFHPHQW
FRXQVHO VHOHFWV D VDQFWLRQ IRU D VLQJOH DFW E\ VWDUWLQJ DW WKH PLGGOH RI WKH UDQJH ZLWK DJJUDYDWLQJ
IDFWRUV LQFUHDVLQJ WKH VDQFWLRQ ZLWKLQ WKH UDQJH DQG PLWLJDWLQJ IDFWRUV UHGXFLQJ WKH VDQFWLRQ
ZLWKLQ WKH UDQJH ,Q FHUWDLQ FLUFXPVWDQFHV DJJUDYDWLQJ IDFWRUV PD\ LQGLFDWH D ODFN RI
TXDOLILFDWLRQV UHTXLULQJ UHPHGLDO DFWLRQ DV GLVFXVVHG LQ SDUDJUDSK EHORZ $Q DSSDUHQW YLRODWRU
C - 10
5 of 12
& &+*
KDV WKH EXUGHQ RI SURYLQJ WKH DSSOLFDELOLW\ RI DQ\ JLYHQ PLWLJDWLQJ IDFWRU WKH )$$ GRHV QRW KDYH
WKH EXUGHQ RI SURYLQJ WKH QRQH[LVWHQFH RI D PLWLJDWLQJ IDFWRU
Degree of Hazard. 7KH VHYHULW\ OHYHO IRU YLRODWLRQ FRQGXFW LQ WKH 7DEOH RI 9LRODWLRQV
UHSUHVHQWV D JHQHULF YLRODWLRQ RI WKDW W\SH (DFK YLRODWLRQ KRZHYHU UHSUHVHQWV LWV RZQ XQLTXH
FLUFXPVWDQFHV 7KH GHJUHH RI KD]DUG PD\ EH D PLWLJDWLQJ RU DJJUDYDWLQJ IDFWRU 7KH GHJUHH RI
KD]DUG LV DIIHFWHG E\ WKH SUHFLVH QDWXUH RI WKH FRQGXFW IRUPLQJ WKH YLRODWLRQ e.g WKH H[WHQW RI
WKH GHYLDWLRQ IURP DQ DOWLWXGH UHTXLUHPHQW RU WKH H[WHQW RI WKH RYHUIOLJKW RI D UHTXLUHG LQVSHFWLRQ
DQG RWKHU IDFWRUV SRWHQWLDOO\ LPSDFWLQJ WKH YLRODWLRQ LQFOXGLQJ WKRVH LQ WKH RSHUDWLRQDO
HQYLURQPHQW e.g. WUDIILF FRQJHVWLRQ ZHDWKHU FRQGLWLRQV 7KH GHJUHH RI KD]DUG LV EDVHG RQ WKH
UHDVRQDEO\ IRUHVHHDEOH FRQVHTXHQFHV RI WKH PLVFRQGXFW :KHWKHU WKH YLRODWLRQ UHVXOWV LQ DFWXDO
KDUP RU ZKHWKHU D PLVVHG LQVSHFWLRQ ZRXOG KDYH GHWHFWHG D SUREOHP LV IRUWXLWRXV DQG LV
QHLWKHU PLWLJDWLQJ QRU DJJUDYDWLQJ $FWXDO KDUP KRZHYHU FRXOG VHUYH DV HYLGHQWLDU\ VXSSRUW IRU
D GHWHUPLQDWLRQ DV WR WKH UHDVRQDEO\ IRUHVHHDEOH FRQVHTXHQFHV RI YLRODWLRQ FRQGXFW $V QRWHG LQ
SDUDJUDSK D EHORZ LQ XQXVXDO FLUFXPVWDQFHV WKH GHJUHH RI KD]DUG SUHVHQWHG PD\ ZDUUDQW
VHOHFWLRQ RI D GLIIHUHQW VHYHULW\ OHYHO WKDQ WKH OHYHO LGHQWLILHG LQ WKH WDEOH
Violation History. $ YLRODWLRQ KLVWRU\ LV DQ DJJUDYDWLQJ IDFWRU $ YLRODWLRQIUHH
KLVWRU\ LV WKH H[SHFWHG QRUP QRW D PLWLJDWLQJ IDFWRU
L $ YLRODWLRQ KLVWRU\ RIWHQ MXVWLILHV LPSRVLQJ D VDQFWLRQ DW WKH KLJKHU HQG RI WKH
QRUPDO UDQJH $ VLJQLILFDQW YLRODWLRQ KLVWRU\ VXFK DV PXOWLSOH FDUHOHVV YLRODWLRQV LQ WKH SDVW ILYH
\HDUV RU D SULRU YLRODWLRQ LQYROYLQJ UHFNOHVV RU LQWHQWLRQDO FRQGXFW PD\ ZDUUDQW D VDQFWLRQ DERYH
WKH LGHQWLILHG VDQFWLRQ UDQJH ,W PLJKW DOVR MXVWLI\ UHYRFDWLRQ UDWKHU WKDQ VXVSHQVLRQ LI WKH SDWWHUQ
RI YLRODWLRQ UHIOHFWV D ODFN RI TXDOLILFDWLRQ $ YLRODWLRQ KLVWRU\ PLJKW MXVWLI\ D FHUWLILFDWH
VXVSHQVLRQ DJDLQVW DQ HQWLW\ LI SUHYLRXVO\ LVVXHG FLYLO SHQDOWLHV KDYH QRW SURGXFHG WKH GHVLUHG
GHWHUUHQW HIIHFW ,Q GHFLGLQJ WKH H[WHQW DQG QDWXUH RI WKH DJJUDYDWLRQ DSSOLHG WKH )$$ FRQVLGHUV
VXFK IDFWRUV DV WKH OHQJWK RI WLPH WKDW KDV HODSVHG EHWZHHQ YLRODWLRQV ZKHWKHU WKH YLRODWLRQV
LQYROYHG WKH VDPH RU VLPLODU UHJXODWLRQV DQG ZKHWKHU WKH YLRODWLRQV DUH IDFWXDOO\ VLPLODU
LL 7KH IROORZLQJ DFWLRQV FRQVWLWXWH D YLRODWLRQ KLVWRU\ ZKHQ WKH\ LQYROYH VWDWXWRU\ RU
UHJXODWRU\ YLRODWLRQV DQG KDYH EHFRPH ILQDO RUGHUV RI DPHQGPHQW PRGLILFDWLRQ VXVSHQVLRQ RU
UHYRFDWLRQ RI DQ )$$ FHUWLILFDWH UDWLQJ DXWKRUL]DWLRQ DSSURYDO OLFHQVH RU SHUPLW RUGHUV
DVVHVVLQJ D FLYLO SHQDOW\ ILQGLQJV RI YLRODWLRQ FRQWDLQHG LQ D FRQVHQW RUGHU RUGHU RI FRPSOLDQFH
RU GHQLDO DQG ILQGLQJV RI YLRODWLRQ PDGH E\ D IHGHUDO FRXUW ,Q DGGLWLRQ D SDUW\ PD\ DJUHH DV SDUW
RI D VHWWOHPHQW RI D FDVH LQLWLDWHG E\ D FLYLO SHQDOW\ OHWWHU WKDW WKH )$$ PD\ FRQVLGHU YLRODWLRQV
DOOHJHG LQ WKH FLYLO SHQDOW\ OHWWHU DV ILQGLQJV RI YLRODWLRQ IRU IXWXUH VDQFWLRQ GHWHUPLQDWLRQV
Level of Certificate and Experience. &HUWLILFDWH KROGHUV ZLWK D KLJKHU OHYHO RI
FHUWLILFDWH DV ZHOO DV WKRVH ZLWK PRUH H[SHULHQFH DUH KHOG WR D KLJKHU VWDQGDUG RI VDIHW\ 7KH OHYHO
RI FHUWLILFDWH KHOG DQG DPRXQW RI H[SHULHQFH VHUYH RQO\ DV DJJUDYDWLQJ IDFWRUV 1RWH WKDW LQ
DGGLWLRQ WR VHUYLQJ DV DQ DJJUDYDWLQJ IDFWRU WKH OHYHO RI FHUWLILFDWH KHOG E\ D YLRODWRU DQG WKH
YLRODWRU¶V RYHUDOO H[SHULHQFH PD\ EH UHOHYDQW LQ DVVHVVLQJ ZKHWKHU D YLRODWLRQ URVH WR WKH OHYHO RI
UHFNOHVV RU LQWHQWLRQDO FRQGXFW
C - 10
6 of 12
& &+*
L +ROGHUV RI D KLJKHU OHYHO RI FHUWLILFDWH DUH KHOG WR D KLJKHU VWDQGDUG )RU H[DPSOH
FRPPHUFLDO SLORWV DUH KHOG WR D KLJKHU VWDQGDUG WKDQ SULYDWH SLORWV DQG DLUOLQH WUDQVSRUW SLORWV DUH
KHOG WR DQ HYHQ KLJKHU VWDQGDUG WKDQ FRPPHUFLDO SLORWV 6LPLODUO\ D PHFKDQLF ZKR LV WKH KROGHU
RI DQ LQVSHFWLRQ DXWKRUL]DWLRQ LV KHOG WR D KLJKHU VWDQGDUG WKDQ D PHFKDQLF ZKR LV QRW $LU FDUULHU
FHUWLILFDWH KROGHUV DQG WKHLU SHUVRQQHO DUH KHOG WR WKH KLJKHVW VWDQGDUG RI VDIHW\
LL &HUWLILFDWH KROGHUV ZLWK PRUH H[SHULHQFH DUH KHOG WR D KLJKHU VWDQGDUG )RU
H[DPSOH D SLORW ZLWK KRXUV ZLOO EH KHOG WR D KLJKHU VWDQGDUG WKDQ D SLORW ZLWK KRXUV $
FRPPHUFLDO RSHUDWRU WKDW KDV KHOG LWV FHUWLILFDWH IRU WHQ \HDUV ZLOO EH KHOG WR D KLJKHU VWDQGDUG
WKDQ D QHZO\ FHUWLILFDWHG RSHUDWRU
Compliance Disposition of Violator. 7KH DWWLWXGH RI D YLRODWRU LV ODUJHO\ DFFRXQWHG IRU
LQ WKH GHWHUPLQDWLRQ RI WKH YLRODWRU¶V FXOSDELOLW\ +RZHYHU D YLRODWRU PD\ GHPRQVWUDWH D SRRU
FRPSOLDQFH GLVSRVLWLRQ WKURXJK DFWV RU RPLVVLRQV SULRU WR RU IROORZLQJ WKH YLRODWLRQ ,Q VXFK D
FLUFXPVWDQFH D SRRU FRPSOLDQFH GLVSRVLWLRQ LV DQ DJJUDYDWLQJ IDFWRU $FWV GHPRQVWUDWLQJ D SRRU
FRPSOLDQFH GLVSRVLWLRQ PD\ LQFOXGH D KLVWRU\ RI QRQFRPSOLDQFH WKDW KDV QRW UHVXOWHG LQ D
YLRODWLRQ KLVWRU\ )RU H[DPSOH D YLRODWRU PD\ HYLGHQFH D SRRU FRPSOLDQFH DWWLWXGH ZKHQ WKH
YLRODWRU KDV EHHQ SUHYLRXVO\ QRWLILHG WKURXJK FRPSOLDQFH RU DGPLQLVWUDWLYH DFWLRQ WKDW FRQGXFW
VLPLODU WR WKDW DW LVVXH LQ WKH FXUUHQW FDVH ZDV LQ YLRODWLRQ RI WKH UHJXODWLRQV )XUWKHU NQRZLQJO\
SURYLGLQJ IDOVH RU PLVOHDGLQJ LQIRUPDWLRQ WR )$$ LQYHVWLJDWRUV HYLGHQFHV D SRRU FRPSOLDQFH
GLVSRVLWLRQ $ UHIXVDO WR SURYLGH UHFRUGV DV UHTXLUHG XQGHU )$$ UHJXODWLRQV GXULQJ DQ
LQYHVWLJDWLRQ PD\ DOVR VKRZ D SRRU FRPSOLDQFH GLVSRVLWLRQ ,Q HYDOXDWLQJ FRPSOLDQFH
GLVSRVLWLRQ WKH )$$ GRHV QRW YLHZ D YLRODWRU DV KDYLQJ D SRRU DWWLWXGH EHFDXVH WKH YLRODWRU GRHV
QRW UHVSRQG WR D OHWWHU RI LQYHVWLJDWLRQ FKRRVHV WR EH UHSUHVHQWHG E\ FRXQVHO RU FRQWHVWV WKH
YLRODWLRQ $ SRVLWLYH FRPSOLDQFH DWWLWXGH LV WKH QRUP DQG LV QRW D PLWLJDWLQJ IDFWRU
Systemic/Isolated Violations 9LRODWLRQV RI D V\VWHPLF QDWXUH ZDUUDQW DJJUDYDWLRQ
6\VWHPLF YLRODWLRQV LQYROYH UHSHDWHG QRQFRPSOLDQFH ZLWK WKH VDPH RU VLPLODU UHJXODWLRQV RU
RWKHUZLVH GHPRQVWUDWH DQ XQGHUO\LQJ GHILFLHQF\ LQ D YLRODWRU¶V V\VWHP SUDFWLFHV RU SURFHGXUHV
6\VWHPLF YLRODWLRQV LQGLFDWH D QHHG IRU FRUUHFWLYH DFWLRQ ,Q FRQWUDVW LVRODWHG YLRODWLRQV LQYROYH D
VLQJOH LQVWDQFH RI IDLOLQJ WR IROORZ D VWDWXWRU\ RU UHJXODWRU\ UHTXLUHPHQW RU PXOWLSOH XQUHODWHG
LQVWDQFHV RI QRQFRPSOLDQFH 7KDW YLRODWLRQV DUH LVRODWHG LV QRW PLWLJDWLQJ
Corrective Action. &RUUHFWLYH DFWLRQ LV D PLWLJDWLQJ IDFWRU ZKHQ LW H[FHHGV UHJXODWRU\
RU VWDWXWRU\ UHTXLUHPHQWV FRUUHFWV WKH XQGHUO\LQJ YLRODWLRQ DQG LV GHVLJQHG WR SUHYHQW IXWXUH
YLRODWLRQV 7KH VLJQLILFDQFH RI FRUUHFWLYH DFWLRQ DV D PLWLJDWLQJ IDFWRU LV GHWHUPLQHG E\ WKH
WLPHOLQHVV RI WKH DFWLRQ e.g. EHIRUH )$$ GLVFRYHU\ RI WKH YLRODWLRQ DIWHU GLVFRYHU\ EXW EHIRUH
OHJDO HQIRUFHPHQW DFWLRQ LV LQLWLDWHG RU DIWHU OHJDO HQIRUFHPHQW DFWLRQ LV WDNHQ DQG KRZ
H[WHQVLYH LW LV 3URPSW FRUUHFWLYH DFWLRQ RUGLQDULO\ ZDUUDQWV JUHDWHU PLWLJDWLRQ WKDQ GHOD\HG
FRUUHFWLYH DFWLRQ 6\VWHPLF FKDQJH LQWHQGHG WR SUHYHQW IXWXUH YLRODWLRQV VKRXOG EH JLYHQ JUHDWHU
PLWLJDWLRQ FRQVLGHUDWLRQ &RUUHFWLYH DFWLRQ WKDW VLPSO\ SODFHV WKH YLRODWRU LQ FRPSOLDQFH ZLWK WKH
UHJXODWLRQV LV QRW D PLWLJDWLQJ IDFWRU
Inadvertence. ,QDGYHUWHQFH D W\SH RI FDUHOHVVQHVV WKDW LQYROYHV OHVVHU FXOSDELOLW\ WKDQ
RWKHU FDUHOHVV YLRODWLRQV LV D PLWLJDWLQJ IDFWRU $ YLRODWLRQ LV LQDGYHUWHQW ZKHQ LW LV WKH UHVXOW RI
ERWK LQDWWHQWLRQ DQG D ODFN RI SXUSRVHIXO FKRLFH $ YLRODWLRQ LV QRW LQDGYHUWHQW LI LW UHVXOWV IURP
C - 10
7 of 12
& &+*
WKH YLRODWRU¶V FRQVFLRXV GHFLVLRQ WR WDNH RU QRW WDNH DQ\ DFWLRQ WKDW FRXOG KDYH SUHYHQWHG WKH
YLRODWLRQ )RU H[DPSOH D YLRODWLRQ LV LQDGYHUWHQW LI D SLORW IOLHV DW DQ LQFRUUHFW DOWLWXGH EHFDXVH
WKH SLORW PLVUHDGV WKH DLUFUDIW¶V LQVWUXPHQWV
Voluntary Reporting of Violations. $ YLRODWRU¶V YROXQWDU\ UHSRUWLQJ RI D YLRODWLRQ
FRPPLWWHG E\ WKH YLRODWRU PD\ EH D PLWLJDWLQJ IDFWRU LI WKH YLRODWRU UHSRUWV WKH YLRODWLRQ EHIRUH
WKH )$$ GLVFRYHUV WKH YLRODWLRQ DQG WKH YLRODWRU ZRUNV ZLWK WKH )$$ WR FRUUHFW WKH
QRQFRPSOLDQFH DQG SUHYHQW LWV UHFXUUHQFH 7KLV PLWLJDWLQJ IDFWRU DOVR DSSOLHV ZKHQ WKH YLRODWRU
GLVFORVHV DQRWKHU SHUVRQ¶V YLRODWLRQ WR WKH )$$ DQG LQ VR GRLQJ GLVFORVHV WKH YLRODWRU¶V RZQ
YLRODWLRQ 7KLV IDFWRU GRHV QRW DSSO\ ZKHQ WKH YLRODWRU LV FRYHUHG E\ D GLVWLQFW )$$ YROXQWDU\
GLVFORVXUH SURJUDP
Criminal Conviction. :KHQ D YLRODWRU KDV EHHQ FULPLQDOO\ FRQYLFWHG IRU WKH VDPH
FRQGXFW WKDW IRUPV WKH EDVLV RI WKH YLRODWLRQ WKH )$$ PD\ FRQVLGHU WKH FULPLQDO FRQYLFWLRQ DQG
WKH SHQDOWLHV LPSRVHG IRU WKDW FRQYLFWLRQ DV D PLWLJDWLQJ IDFWRU 7KH )$$ JHQHUDOO\ WDNHV
UHPHGLDO DFWLRQ LI ZDUUDQWHG GHVSLWH WKH FULPLQDO SURVHFXWLRQ
K (PSOR\PHQW 'LVFLSOLQH $FWLRQV WDNHQ E\ D YLRODWRU¶V HPSOR\HU DUH QRW D
FRQVLGHUDWLRQ LQ GHWHUPLQLQJ ZKHWKHU WR WDNH OHJDO HQIRUFHPHQW DFWLRQ D PLWLJDWLQJ IDFWRU LQ
GHWHUPLQLQJ VDQFWLRQ DQG FUHGLWHG WRZDUGV DQ\ SHULRG RI VXVSHQVLRQ
L *HQHUDO *XLGDQFH RQ 0XOWLSOH $FWV /HJDO HQIRUFHPHQW DFWLRQV RIWHQ LQYROYH PXOWLSOH
DFWV UHVXOWLQJ LQ YLRODWLRQV 2UGLQDULO\ WKH VDQFWLRQ LQ WKHVH FDVHV LV GHWHUPLQHG E\ DGGLQJ WKH
LQGLYLGXDO SHQDOWLHV IRU HDFK DFW +RZHYHU WKLV PD\ SURGXFH D VDQFWLRQ WKDW LV GLVSURSRUWLRQDWHO\
KDUVK IRU WKH FRQGXFW LQYROYHG DQG LQ VXFK FDVHV HQIRUFHPHQW FRXQVHO ZLOO UHGXFH WKH VDQFWLRQ
WR D OHYHO SURSRUWLRQDWH WR WKH IDFWV DQG FLUFXPVWDQFHV RI WKH FDVH ,Q FRQWUDVW VRPH FDVHV PD\ EH
VR VHULRXV DV WR UHTXLUH D VDQFWLRQ JUHDWHU WKDQ WKH VXP RI WKH SHQDOWLHV IRU HDFK DFW RU PD\
LQGLFDWH D ODFN RI TXDOLILFDWLRQ UHTXLULQJ UHPHGLDO DFWLRQ 6RPH SDUWLFXODU FLUFXPVWDQFHV RI
PXOWLSOH DFWV RI YLRODWLRQ DUH JLYHQ VSHFLDO FRQVLGHUDWLRQ DV GHVFULEHG LQ SDUDJUDSK M EHORZ
M 6SHFLDO &RQVLGHUDWLRQ IRU &HUWDLQ 0XOWLSOH $FWV 7R SUHYHQW GLVSURSRUWLRQDWHO\ KLJK
VDQFWLRQV WKH VSHFLDO FRQVLGHUDWLRQ SROLF\ VHWV OLPLWV LQ FDVHV LQYROYLQJ PXOWLSOH DFWV UHVXOWLQJ LQ
PXOWLSOH YLRODWLRQV WKDW VWHP IURP DQ LQLWLDO DFW RU RPLVVLRQ RU E\ FRPSDQLHV WKDW YLRODWH
$QWLGUXJ DQG $OFRKRO 0LVXVH 3UHYHQWLRQ 3URJUDP UHJXODWLRQV 6SHFLDO FRQVLGHUDWLRQ LV JLYHQ
RQO\ IRU FDUHOHVV YLRODWLRQV 6SHFLDO FRQVLGHUDWLRQ LV QRW JLYHQ IRU UHFNOHVV RU LQWHQWLRQDO
YLRODWLRQV 7KH VSHFLDO FRQVLGHUDWLRQ SROLF\ GRHV QRW OLPLW WKH SHQDOW\ DPRXQW WKH JRYHUQPHQW
PD\ VHHN LQ D 86 GLVWULFW FRXUW IRU D FLYLO SHQDOW\ FDVH LQ H[FHVV RI WKH DVVHVVPHQW DXWKRULW\
OLPLWV LQ 86& G
7R GHWHUPLQH WKH DSSURSULDWH SHQDOW\ LQ D FDVH ZKHQ WKH VSHFLDO FRQVLGHUDWLRQ SROLF\
PD\ DSSO\ HQIRUFHPHQW FRXQVHO XVHV WKH OHVVHU RI HLWKHU L WKH VXP RI WKH SHQDOWLHV IRU DOO DFWV
UHVXOWLQJ LQ YLRODWLRQV FDOFXODWHG XQGHU SDUDJUDSK DJ DERYH RU LL WKH VSHFLDO FRQVLGHUDWLRQ
VDQFWLRQ
Special Consideration Sanction for Multiple Acts Resulting From an Initial Act or
Omission 6SHFLDO FRQVLGHUDWLRQ PD\ EH JLYHQ IRU PXOWLSOH DFWV WKDW YLRODWH UHJXODWLRQV UHVXOWLQJ
C - 10
8 of 12
& &+*
IURP DQ LQLWLDO DFW RU RPLVVLRQ )RU H[DPSOH WKH VSHFLDO FRQVLGHUDWLRQ SROLF\ PD\ DSSO\ ZKHQ DQ
DLU FDUULHU LPSURSHUO\ SHUIRUPHG DLUFUDIW PDLQWHQDQFH DQG WKHQ RSHUDWHG WKH DLUFUDIW QXPHURXV
WLPHV LQ DQ XQDLUZRUWK\ FRQGLWLRQ 7KLV SROLF\ GRHV QRW DSSO\ WR FRPPHUFLDO VSDFH YLRODWLRQV 7R
GHWHUPLQH WKH VSHFLDO FRQVLGHUDWLRQ SHQDOW\ IRU WKHVH FDVHV HQIRUFHPHQW FRXQVHO XVHV WKH
IROORZLQJ SURFHVV
L 'HWHUPLQH D SHQDOW\ IRU WKH LQLWLDO DFW RU RPLVVLRQ LI D YLRODWLRQ XQGHU
SDUDJUDSK DJ DERYH
LL )RU WKH UHVXOWLQJ PXOWLSOH DFWV XVH )LJXUH WR GHWHUPLQH WKH DSSOLFDEOH VDQFWLRQ
UDQJH JLYHQ WKH FDWHJRU\ RI YLRODWRU DQG WKH DSSOLFDEOH VHYHULW\ OHYHO ,I D FDVH LQYROYHV UHVXOWLQJ
PXOWLSOH DFWV ZLWK GLIIHUHQW VHYHULW\ OHYHOV HQIRUFHPHQW FRXQVHO XVHV WKH KLJKHVW RI WKRVH
VHYHULW\ OHYHOV
LLL&RQVLGHU DJJUDYDWLQJ DQG PLWLJDWLQJ IDFWRUV WR GHWHUPLQH WKH DSSURSULDWH SHQDOW\
ZLWKLQ WKH DSSOLFDEOH UDQJH
LY$GG WKH SHQDOW\ IRU WKH LQLWLDO DFW RU RPLVVLRQ LI D YLRODWLRQ WR WKH SHQDOW\ IRU WKH
UHVXOWLQJ PXOWLSOH DFWV
)LJXUH 1XPHURXV 9LRODWLRQV 5HVXOWLQJ )URP D 6LQJOH $FW RU 2PLVVLRQ 6SHFLDO
&RQVLGHUDWLRQ 6DQFWLRQ 5DQJHV 7DEOH
6HYHULW\ /HYHO 6HYHULW\ /HYHO 6HYHULW\ /HYHO
,QGLYLGXDO &HUWLILFDWH +ROGHU GD\V GD\V GD\V
,QGLYLGXDO $FWLQJ DV DQ $LUPDQ
,QGLYLGXDO
6PDOO %XVLQHVV ± &DWHJRU\ ,
6PDOO %XVLQHVV ± &DWHJRU\ ,,
6PDOO %XVLQHVV ± &DWHJRU\ ,,,
/DUJH %XVLQHVV
Special Consideration Sanction for Drug and Alcohol Testing. 6SHFLDO FRQVLGHUDWLRQ
PD\ EH JLYHQ IRU WKH ILYH W\SHV RI GUXJ DQG DOFRKRO WHVWLQJ YLRODWLRQV LQ )LJXUH E\ FRPSDQLHV
WKDW KDYH RU DUH UHTXLUHG WR KDYH DQ $QWLGUXJ DQG $OFRKRO 0LVXVH 3UHYHQWLRQ 3URJUDP 7R
GHWHUPLQH WKH VSHFLDO FRQVLGHUDWLRQ SHQDOW\ IRU WKHVH W\SH RI YLRODWLRQV HQIRUFHPHQW FRXQVHO
XVHV WKH IROORZLQJ SURFHVV
L 8VH )LJXUH WR GHWHUPLQH WKH DSSOLFDEOH VDQFWLRQ UDQJH JLYHQ WKH W\SH RI
YLRODWLRQ DQG WKH VL]H RI WKH YLRODWRU
C - 10
9 of 12
& &+*
LL &RQVLGHU DJJUDYDWLQJ DQG PLWLJDWLQJ IDFWRUV WR GHWHUPLQH WKH DSSURSULDWH SHQDOW\
ZLWKLQ WKH DSSOLFDEOH UDQJH
LLL,I PRUH WKDQ RQH W\SH RI YLRODWLRQ LV SUHVHQW LQ D FDVH GHWHUPLQH ZKHWKHU WR JLYH
VSHFLDO FRQVLGHUDWLRQ VHSDUDWHO\ WR HDFK W\SH
)LJXUH 'UXJ DQG $OFRKRO 7HVWLQJ 6SHFLDO &RQVLGHUDWLRQ 6DQFWLRQ 5DQJHV 7DEOH
&DWHJRU\ ,
6PDOO
%XVLQHVV
&DWHJRU\ ,,
6PDOO
%XVLQHVV
&DWHJRU\ ,,,
6PDOO
%XVLQHVV
/DUJH
%XVLQHVV
7\SH $ 3UH(PSOR\PHQW
SHUIRUPDQFH
7\SH % 3UH(PSOR\PHQW QR
SHUIRUPDQFH
7\SH &
5HWXUQWR'XW\)ROORZ8S
7HVWLQJ
7\SH ' )DLOXUH WR ,QFOXGH LQ
5DQGRP 3RRO
7\SH ( 'UXJ DQG $OFRKRO
5HFRUGV &KHFN SHUIRUPDQFH
N 6DQFWLRQV IRU )DLOXUH WR 6XUUHQGHU :KHQ DQ )$$LVVXHG FHUWLILFDWH LV UHYRNHG
VXVSHQGHG RU GHQLHG e.g. ZKHUH WKH )$$ UHYHUVHV WKH LVVXDQFH RI DQ DLUPDQ PHGLFDO
FHUWLILFDWH WKH FHUWLILFDWH KROGHU RU DSSOLFDQW LV UHTXLUHG WR VXUUHQGHU WKH FHUWLILFDWH WR WKH )$$
)DLOXUH WR GR VR LV D FRQWLQXLQJ YLRODWLRQ WKDW VXEMHFWV WKH YLRODWRU WR D QHZ FLYLO SHQDOW\ HYHU\
GD\ +RZHYHU WKH DSSOLFDEOH UDQJHV IRU IDLOXUH WR VXUUHQGHU RUGLQDULO\ DUH DV IROORZV
IRU DQ LQGLYLGXDO IRU D VPDOO EXVLQHVV DQG
IRU D ODUJH EXVLQHVV
O $ELOLW\ WR $EVRUE 6DQFWLRQ(FRQRPLF ,PSDFW :KLOH WKH )$$ GRHV QRW DOORZ ILQDQFLDO
FLUFXPVWDQFHV WR H[FXVH DQ\ YLRODWLRQ LW FRQVLGHUV D YLRODWRU¶V ILQDQFLDO VWUHQJWK LQ FKRRVLQJ DQ
DSSURSULDWH VDQFWLRQ DPRXQW 7KLV LV WR VRPH H[WHQW WDNHQ LQWR DFFRXQW E\ WKH GLIIHUHQW VDQFWLRQ
UDQJHV DSSOLFDEOH WR GLIIHUHQW NLQGV RI EXVLQHVVHV ,Q DGGLWLRQ WR WKH DSSOLFDWLRQ RI WKHVH UDQJHV
WKH )$$ FRQVLGHUV DQ LQGLYLGXDO RU HQWLW\¶V DELOLW\ WR SD\ D FLYLO SHQDOW\ DQG WKH HIIHFW D FLYLO
SHQDOW\ ZLOO KDYH RQ D SHUVRQ¶V DELOLW\ WR FRQWLQXH LQ EXVLQHVV WR WKH H[WHQW WKH )$$ NQRZV VXFK
LQIRUPDWLRQ &RQVLGHUDWLRQ RI DELOLW\ WR SD\ GRHV QRW MXVWLI\ UHIUDLQLQJ IURP OHJDO HQIRUFHPHQW
DFWLRQ PDNLQJ D ILQGLQJ RI YLRODWLRQ RU LPSRVLQJ D VDQFWLRQ &RQVLGHUDWLRQ RI DELOLW\ WR SD\
ZKLOH D IDFWRU WKDW PD\ PRYH D VDQFWLRQ RXWVLGH RI WKH DSSOLFDEOH UDQJH UHPDLQV RQO\ RQH IDFWRU
± LW LV QRW DQ DEVROXWH GHIHQVH WR WKH LPSRVLWLRQ RI D VDQFWLRQ ,Q DSSURSULDWH FLUFXPVWDQFHV WKH
)
$$ PD\ GHFLGH WR QRW UHGXFH D SHQDOW\ HYHQ LI WKH SHQDOW\ ZLOO KDYH D VLJQLILFDQW LPSDFW RQ D
SHUVRQ¶V DELOLW\ WR FRQWLQXH LQ EXVLQHVV
0DQGDWRU\ &HUWLILFDWH $FWLRQV 6HYHUDO VWDWXWRU\ SURYLVLRQV UHTXLUH WKH )$$ $GPLQLVWUDWRU
WR WDNH FHUWDLQ FHUWLILFDWH DFWLRQV LQ FHUWDLQ VSHFLILHG FLUFXPVWDQFHV
C - 10
10 of 12
& &+*
6SHFLDO (PSKDVLV (QIRUFHPHQW 3URJUDPV $W WLPHV VSHFLDO VLWXDWLRQV DULVH WKDW GLFWDWH WKH
QHHG IRU KHLJKWHQHG OHJDO HQIRUFHPHQW DFWLRQ WKURXJK LQFUHDVHG VDQFWLRQV RU RWKHU PHDVXUHV LQ D
SDUWLFXODU UHJXODWHG DUHD RU VHJPHQW RI LQGXVWU\ :KHQ WKHVH FLUFXPVWDQFHV DULVH WKH )$$ PD\
HVWDEOLVK D VSHFLDO HPSKDVLV HQIRUFHPHQW SURJUDP GHVLJQHG WR IRFXV RQ D SDUWLFXODU DUHD RI
QRQFRPSOLDQFH RQ D QDWLRQDO RU ORFDO JHRJUDSKLFDO EDVLV 6SHFLDO HPSKDVLV HQIRUFHPHQW
SURJUDPV PD\ GLIIHU IURP WKH JHQHUDO JXLGDQFH SURYLGHG LQ WKLV FKDSWHU
9LRODWLRQV E\ 0HPEHUV RI WKH 86 $UPHG )RUFHV :KHQ D PHPEHU RI WKH 86 $UPHG
)RUFHV DSSDUHQWO\ FRPPLWV D YLRODWLRQ ZKLOH DFWLQJ LQ WKH SHUIRUPDQFH RI RIILFLDO GXWLHV
86& E UHTXLUHV WKH )$$ WR IRUZDUG UHSRUWV RI VXFK YLRODWLRQV WR WKH 6HFUHWDU\ RI
WKH GHSDUWPHQW FRQFHUQHG +RZHYHU WKH )$$ PD\ DOVR WDNH UHPHGLDO DFWLRQ DJDLQVW D PHPEHU
RI WKH 86 $UPHG )RUFHV HYHQ LI WKH LQGLYLGXDO ZDV DFWLQJ LQ SHUIRUPDQFH RI RIILFLDO GXWLHV LI
WKH LQGLYLGXDO¶V DFWLRQV GHPRQVWUDWH RU UDLVH D TXHVWLRQ FRQFHUQLQJ D ODFN RI TXDOLILFDWLRQ WR KROG
DQ )$$LVVXHG FHUWLILFDWH 7KH )$$ GRHV QRW WDNH SXQLWLYH DFWLRQ DJDLQVW D PHPEHU RI WKH 86
$UPHG )RUFHV IRU D YLRODWLRQ FRPPLWWHG ZKHQ WKH PHPEHU LV SHUIRUPLQJ RIILFLDO GXWLHV 7KH
)$$ PD\ WDNH SXQLWLYH RU UHPHGLDO DFWLRQ DJDLQVW D PHPEHU RI WKH 86 $UPHG )RUFHV IRU D
YLRODWLRQ FRPPLWWHG ZKHQ WKH PHPEHU LV QRW SHUIRUPLQJ RIILFLDO GXWLHV
3HQDOWLHV IRU 6PDOO %XVLQHVVHV
D ,QWURGXFWLRQ ,I DQ HQWLW\ PHHWV WKH GHILQLWLRQ RI D small business, WKH )$$ ZLOO
GHWHUPLQH WKH FLYLO SHQDOW\ XVLQJ WKH DSSOLFDEOH UDQJH DV VHW IRUWK LQ )LJXUH RU )LJXUHV
RU LI DSSOLFDEOH /RZHU FLYLO SHQDOW\ PD[LPXPV DSSO\ WR VPDOO EXVLQHVVHV DV FRPSDUHG WR
RWKHU HQWLWLHV
E 'HILQLWLRQ RI 6PDOO %XVLQHVV 7KH WHUP ³VPDOO EXVLQHVV´ DV XVHG LQ WKLV RUGHU PHDQV D
³VPDOO EXVLQHVV FRQFHUQ´ XQGHU 86& L ZKLFK LV GHILQHG XQGHU WKH 6PDOO %XVLQHVV
$FW 86& DV LQWHUSUHWHG E\ WKH 6PDOO %XVLQHVV $GPLQLVWUDWLRQ 6%$ $ VPDOO
EXVLQHVV LV D EXVLQHVV HQWLW\ ³RUJDQL]HG IRU SURILW ZLWK D SODFH RI EXVLQHVV ORFDWHG LQ WKH
86 DQG ZKLFK RSHUDWHV SULPDULO\ ZLWKLQ WKH 86 RU ZKLFK PDNHV D VLJQLILFDQW FRQWULEXWLRQ WR
WKH 86 HFRQRP\ WKURXJK SD\PHQW RI WD[HV RU XVH RI $PHULFDQ SURGXFWV PDWHULDOV RU ODERU´
³ZKLFK LV LQGHSHQGHQWO\ RZQHG DQG RSHUDWHG DQG ZKLFK LV QRW GRPLQDQW LQ LWV ILHOG RI
RSHUDWLRQ´ DQG WKDW PHHWV WKH VL]H VWDQGDUGV VSHFLILHG E\ WKH 6%$ See 86&
&)5 DQG
F 6L]H /LPLWV IRU 6PDOO %XVLQHVVHV 7KH 6%$ GHILQHV VPDOO EXVLQHVV FRQFHUQV LQ WDEOHV
DFFRUGLQJ WR WKH HFRQRPLF DFWLYLW\ RU LQGXVWU\ LQ ZKLFK WKH\ DUH SULPDULO\ HQJDJHG JHQHUDOO\
DFFRUGLQJ WR WKH 1RUWK $PHULFDQ ,QGXVWU\ &ODVVLILFDWLRQ 6\VWHP 1$,&6 DQG QXPEHU RI
HPSOR\HHV RU DQQXDO UHFHLSWV 7KHVH OLPLWV DUH VHW E\ WKH 6%$ DQG FDQ EH IRXQG DW &)5
7KH 6%$ SURYLGHV JXLGDQFH RQ DIILOLDWHV &)5 FDOFXODWLQJ DQQXDO
UHFHLSWV &)5 DQG FDOFXODWLQJ WKH QXPEHU RI HPSOR\HHV &)5
/LPLWV IRU VRPH FRPPRQ DYLDWLRQ HQWLWLHV DUH OLVWHG LQ )LJXUH
C - 10
11 of 12
& &+*
)LJ K 9LRODWLRQV 6SHFLILF WR 3DUW 3LORW 6FKRROV 6HYHULW\
)DLOXUH WR SHUPLW LQVSHFWLRQ RI IDFLOLWLHV HTXLSPHQW SHUVRQQHO UHFRUGV RU
FHUWLILFDWH
6HYHULW\
)DOVH RU PLVOHDGLQJ DGYHUWLVLQJ 6HYHULW\
)DLOXUH WR FDUU\ FKHFNOLVW RU RSHUDWRU¶V KDQGERRN RQ DLUFUDIW 6HYHULW\
,PSURSHU FUHGLWLQJ WR RU JUDGXDWLRQ RI VWXGHQW 6HYHULW\
5HIXVDO WR SHUPLW )$$ WHVW FKHFN RU H[DPLQDWLRQ RI VWXGHQW 6HYHULW\
8QTXDOLILHG RU XQDXWKRUL]HG LQVWUXFWLRQ 6HYHULW\
)DLOXUH WR HVWDEOLVK WUDLQLQJ UHFRUG 6HYHULW\
)DLOXUH WR PDLQWDLQ FXUUHQW DQG DFFXUDWH WUDLQLQJ UHFRUG 6HYHULW\
)DLOXUH WR UHWDLQ WUDLQLQJ UHFRUG 6HYHULW\
)LJ L ,QWHUIHUHQFH ZLWK &UHZPHPEHUV DQG 3DVVHQJHU 9LRODWLRQV 6HYHULW\
8VLQJ D ODVHU WR LQWHUIHUH ZLWK D FUHZPHPEHU 6HYHULW\
,QWHUIHUHQFH ZLWK D FUHZPHPEHU 6HYHULW\
3K\VLFDOO\ DVVDXOW RU WKUHDWHQ WR SK\VLFDOO\ DVVDXOW D IOLJKW RU FDELQ
FUHZPHPEHU XQGHU 86&
6HYHULW\
3K\VLFDOO\ DVVDXOW RU WKUHDWHQ WR SK\VLFDOO\ DVVDXOW D SHUVRQ DVVLJQHG WR
SHUIRUP D ODZ HQIRUFHPHQW IXQFWLRQ RQ D IOLJKW XQGHU 86&
6HYHULW\
3K\VLFDOO\ DVVDXOW RU WKUHDWHQ WR SK\VLFDOO\ DVVDXOW DQ LQGLYLGXDO RWKHU WKDQ D
FUHZPHPEHU XQGHU 86&
6HYHULW\
6H[XDOO\ DVVDXOW RU WKUHDWHQ WR VH[XDOO\ DVVDXOW D IOLJKW RU FDELQ FUHZPHPEHU
RU RWKHU LQGLYLGXDO XQGHU 86&
6HYHULW\
$FWV LQ D PDQQHU WKDW SRVHV LPPLQHQW WKUHDW WR VDIHW\ RI DLUFUDIW RU FROOHFWLYH
VDIHW\ RI RWKHU LQGLYLGXDOV RQ DLUFUDIW XQGHU 86&
6HYHULW\
6PRNLQJ RQ DLUFUDIW 6HYHULW\
7DPSHULQJ ZLWK D VPRNH GHWHFWRU See )LJ
)DLOXUH WR IDVWHQ VHDW EHOWKDUQHVV RU IDLOXUH WR RFFXS\ DSSURYHG VHDW RU
EHUWK ZKHQ UHTXLUHG
6HYHULW\
8QDXWKRUL]HG RSHUDWLRQ RI D SRUWDEOH HOHFWURQLF GHYLFH 6HYHULW\
'ULQNLQJ DOFRKROLF EHYHUDJH QRW VHUYHG E\ FDUULHU 6HYHULW\
)LJ M $LUFUDIW 5HJLVWUDWLRQ 9LRODWLRQV 6HYHULW\
2SHUDWLRQ RI DQ DLUFUDIW WKDW KDV QHYHU EHHQ UHJLVWHUHG 6HYHULW\
2SHUDWLRQ E\ WKH RZQHU RI DQ DLUFUDIW ZLWK DQ LQYDOLG VXVSHQGHG RU
UHYRNHG UHJLVWUDWLRQ
6HYHULW\
2SHUDWLRQ RI DQ DLUFUDIW ZLWK DQ LQYDOLG VXVSHQGHG RU UHYRNHG UHJLVWUDWLRQ
RSHUDWRU RWKHU WKDQ RZQHU
6HYHULW\
2SHUDWLRQ RI DQ DLUFUDIW RQ DQ RWKHUZLVH LQHIIHFWLYH UHJLVWUDWLRQ 6HYHULW\
2SHUDWLRQ ZLWKRXW FHUWLILFDWH RI UHJLVWUDWLRQ UHDGLO\ DYDLODEOH 6HYHULW\
2SHUDWLRQ RQ SLQN FRS\ DIWHU GD\V 6HYHULW\
2SHUDWLRQ RQ SLQN FRS\ RXWVLGH WKH 86 6HYHULW\
C - 10
12 of 12
