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14 CFR Ch. I (1–1–18 Edition) 

§ 13.16 

sending a notice of proposed civil pen-
alty to the person charged with a viola-
tion or to the agent for services for the 
person under 49 U.S.C. 46103. A notice 
of proposed civil penalty will be sent to 
the individual charged with a violation 
or to the president of the corporation 
or company charged with a violation. 
In response to a notice of proposed civil 
penalty, a corporation or company may 
designate in writing another person to 
receive documents in that civil penalty 
action. The notice of proposed civil 
penalty contains a statement of the 
charges and the amount of the pro-
posed civil penalty. Not later than 30 
days after receipt of the notice of pro-
posed civil penalty, the person charged 
with a violation shall— 

(1) Submit the amount of the pro-

posed civil penalty or an agreed-upon 
amount, in which case either an order 
assessing civil penalty or compromise 
order shall be issued in that amount; 

(2) Submit to the agency attorney 

one of the following: 

(i) Written information, including 

documents and witness statements, 
demonstrating that a violation of the 
regulations did not occur or that a pen-
alty or the amount of the penalty is 
not warranted by the circumstances. 

(ii) A written request to reduce the 

proposed civil penalty, the amount of 
reduction, and the reasons and any 
documents supporting a reduction of 
the proposed civil penalty, including 
records indicating a financial inability 
to pay or records showing that pay-
ment of the proposed civil penalty 
would prevent the person from con-
tinuing in business. 

(iii) A written request for an infor-

mal conference to discuss the matter 
with the agency attorney and to sub-
mit relevant information or docu-
ments; or 

(3) Request a hearing, in which case a 

complaint shall be filed with the hear-
ing docket clerk. 

(g)  Final notice of proposed civil pen-

alty.  A final notice of proposed civil 
penalty may be issued after participa-
tion in informal procedures provided in 
paragraph (f)(2) of this section or fail-
ure to respond in a timely manner to a 
notice of proposed civil penalty. A final 
notice of proposed civil penalty will be 
sent to the individual charged with a 

violation, to the president of the cor-
poration or company charged with a 
violation, or a person previously des-
ignated in writing by the individual, 
corporation, or company to receive 
documents in that civil penalty action. 
If not previously done in response to a 
notice of proposed civil penalty, a cor-
poration or company may designate in 
writing another person to receive docu-
ments in that civil penalty action. The 
final notice of proposed civil penalty 
contains a statement of the charges 
and the amount of the proposed civil 
penalty and, as a result of information 
submitted to the agency attorney dur-
ing informal procedures, may modify 
an allegation or a proposed civil pen-
alty contained in a notice of proposed 
civil penalty. 

(1) A final notice of proposed civil 

penalty may be issued— 

(i) If the person charged with a viola-

tion fails to respond to the notice of 
proposed civil penalty within 30 days 
after receipt of that notice; or 

(ii) If the parties participated in any 

informal procedures under paragraph 
(f)(2) of this section and the parties 
have not agreed to compromise the ac-
tion or the agency attorney has not 
agreed to withdraw the notice of pro-
posed civil penalty. 

(2) Not later than 15 days after re-

ceipt of the final notice of proposed 
civil penalty, the person charged with 
a violation shall do one of the fol-
lowing— 

(i) Submit the amount of the pro-

posed civil penalty or an agreed-upon 
amount, in which case either an order 
assessing civil penalty or a com-
promise order shall be issued in that 
amount; or 

(ii) Request a hearing, in which case 

a complaint shall be filed with the 
hearing docket clerk. 

(h) Request for a hearing. Any person 

charged with a violation may request a 
hearing, pursuant to paragraph (f)(3) or 
paragraph (g)(2)(ii) of this section, to 
be conducted in accordance with the 
procedures in subpart G of this part. A 
person requesting a hearing shall file a 
written request for a hearing with the 
hearing docket clerk, using the appro-
priate address set forth in § 13.210(a) of 
this part, and shall mail a copy of the 

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