title-14-part-13-sec13-18

14 CFR Ch. I (1–1–24 Edition)

§ 13.18

the region, may issue an order author-
izing a State or Federal law enforce-
ment officer or a Federal Aviation Ad-
ministration safety inspector to seize
an aircraft that is involved in a viola-
tion for which a civil penalty may be
imposed on its owner or the individual
commanding the aircraft.

(b) Each person seizing an aircraft

under this section places it in the near-
est available and adequate public stor-
age facility in the judicial district in
which it was seized.

Chief Counsel, without delay, sends a
written notice and a copy of this sec-
tion to the registered owner of the
seized aircraft and to each other person
shown by FAA records to have an in-
terest in it, stating the—

(1) Time, date, and place of seizure;
(2) Name and address of the custodian

of the aircraft;

(3) Reasons for the seizure, including

the violations alleged or proven to
have been committed; and

(4) Amount that may be tendered

as—

(i) A compromise of a civil penalty

for the alleged violation; or

(ii) Payment for a civil penalty im-

posed for a proven violation.

(d) The Chief Counsel or Assistant

Chief Counsel for Enforcement imme-
diately sends a report to the United
States Attorney for the judicial dis-
trict in which it was seized, requesting
the United States Attorney to insti-
tute proceedings to enforce a lien
against the aircraft.

(e) The Regional Administrator or

Chief Counsel directs the release of a
seized aircraft when—

(1) The alleged violator pays a civil

penalty or an amount agreed upon in
compromise, and the costs of seizing,
storing, and maintaining the aircraft;

(2) The aircraft is seized under an

order of a court of the United States in
proceedings in rem initiated under 49
U.S.C. 46305 to enforce a lien against
the aircraft;

(3) The United States Attorney Gen-

eral, or the delegate of the Attorney
General, notifies the FAA that the
United States Attorney General, or the
delegate of the Attorney General, re-
fuses to institute proceedings in rem

under 49 U.S.C. 46305 to enforce a lien
against the aircraft; or

(4) A bond in the amount and with

the sureties prescribed by the Chief
Counsel or the Assistant Chief Counsel
for Enforcement is deposited, condi-
tioned on payment of the penalty or
the compromise amount, and the costs
of seizing, storing, and maintaining the
aircraft.

§ 13.18

Civil penalties: Administrative

assessment against an individual
acting as a pilot, flight engineer,
mechanic, or repairman.

(a)

General. (1) This section applies to

each action in which the FAA seeks to
assess a civil penalty by administrative
procedures against an individual acting
as a pilot, flight engineer, mechanic, or
repairman under 49 U.S.C. 46301(d)(5)
for a violation listed in 49 U.S.C.
46301(d)(2). This section does not apply
to a civil penalty assessed for a viola-
tion of 49 U.S.C. chapter 51, or a rule,
regulation, or order issued thereunder.

(2) Notwithstanding the provisions of

paragraph (a)(1) of this section, the
U.S. district courts have exclusive ju-
risdiction of any civil penalty action
involving an individual acting as a
pilot, flight engineer, mechanic, or re-
pairman for violations described in
paragraph (a)(1), or under 49 U.S.C.
46301(d)(4), if:

(i) The amount in controversy is

more than $50,000;

(ii) The action involves an aircraft

subject to a lien that has been seized
by the government; or

(iii) Another action has been brought

for an injunction based on the same
violation.

(b)

Definitions. As used in this part,

the following definitions apply:

(1)

Flight engineer means an indi-

vidual who holds a flight engineer cer-
tificate issued under part 63 of this
chapter.

(2)

Individual acting as a pilot, flight

engineer, mechanic, or repairman means
an individual acting in such capacity,
whether or not that individual holds
the respective airman certificate
issued by the FAA.

(3)

Mechanic means an individual who

holds a mechanic certificate issued
under part 65 of this chapter.

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Federal Aviation Administration, DOT

§ 13.18

(4)

Pilot means an individual who

holds a pilot certificate issued under
part 61 of this chapter.

(5)

Repairman means an individual

who holds a repairman certificate
issued under part 65 of this chapter.

(c)

Delegation of authority. The au-

thority of the Administrator is dele-
gated to the Chief Counsel and each
Deputy Chief Counsel, and the Assist-
ant Chief Counsel for Enforcement, as
follows:

(1) To initiate and assess civil pen-

alties under 49 U.S.C. 46301(d)(5);

(2) To refer cases to the Attorney

General of the United States, or the
delegate of the Attorney General, for
collection of civil penalties; and

(3) To compromise the amount of a

civil penalty under 49 U.S.C. 46301(f).

(d)

Notice of proposed assessment. A

civil penalty action is initiated by
sending a notice of proposed assess-
ment to the individual charged with a
violation specified in paragraph (a) of
this section. The notice of proposed as-
sessment contains a statement of the
charges and the amount of the pro-
posed civil penalty. The individual
charged with a violation may do the
following:

(1) Submit the amount of the pro-

posed civil penalty or an agreed-upon
amount, in which case either an order
of assessment or a compromise order
will be issued in that amount.

(2) Answer the charges in writing by

submitting information, including doc-
uments and witness statements, dem-
onstrating that a violation of the regu-
lations did not occur or that a penalty,
or the amount of the penalty, is not
warranted by the circumstances.

(3) Submit a written request to re-

duce the proposed civil penalty, stating
the amount of reduction and the rea-
sons, and providing any documents
supporting a reduction of the proposed
civil penalty, including records indi-
cating a financial inability to pay.

(4) Submit a written request for an

informal conference to discuss the
matter with an agency attorney and
submit relevant information or docu-
ments.

(5) Request that an order of assess-

ment be issued so that the individual
charged may appeal to the National
Transportation Safety Board.

(e)

Failure to respond to notice of pro-

posed assessment. An order of assess-
ment may be issued if the individual
charged with a violation fails to re-
spond to the notice of proposed assess-
ment within 15 days after receipt of
that notice.

(f)

Order of assessment. An order of as-

sessment, which imposes a civil pen-
alty, may be issued for a violation de-
scribed in paragraph (a) of this section
after notice and an opportunity to an-
swer any charges and be heard as to
why such order should not be issued.

(g)

Appeal. Any individual who re-

ceives an order of assessment issued
under this section may appeal the
order to the National Transportation
Safety Board. The appeal stays the ef-
fectiveness of the Administrator’s
order.

(h)

Judicial review. A party may seek

judicial review only of a final decision
and order of the National Transpor-
tation Safety Board under 49 U.S.C.
46301(d)(6) and 46110. Neither an initial
decision, nor an order issued by an ad-
ministrative law judge that has not
been appealed to the National Trans-
portation Safety Board, nor an order
compromising a civil penalty action,
may be appealed under any of those
sections.

(i)

Compromise. The FAA may com-

promise any civil penalty imposed
under this section at any time before
referring the action to the United
States Attorney General, or the dele-
gate of the Attorney General, for col-
lection.

(1) When a civil penalty is com-

promised with a finding of violation, an
agency attorney issues an order of as-
sessment.

(2) When a civil penalty is com-

promised without a finding of viola-
tion, the agency attorney issues a com-
promise order of assessment that
states the following:

(i) The individual has paid a civil

penalty or has signed a promissory
note providing for installment pay-
ments;

(ii) The FAA makes no finding of vio-

lation; and

(iii) The compromise order will not

be used as evidence of a prior violation

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14 CFR Ch. I (1–1–24 Edition)

§ 13.19

in any subsequent civil penalty pro-
ceeding or certificate action pro-
ceeding.

(j)

Payment. (1) An individual must

pay a civil penalty by:

(i) Sending a certified check or

money order, payable to the Federal
Aviation Administration, to the FAA
office identified in the order of assess-
ment; or

(ii) Making an electronic payment

according to the directions specified in
the order of assessment.

(2) The civil penalty must be paid

within 30 days after service of the order
of assessment, unless an appeal is filed
with the National Transportation Safe-
ty Board. In cases where an appeal is
filed with the National Transportation
Safety Board, or a petition for review
is filed with a U.S. court of appeals, the
civil penalty must be paid within 30
days after all litigation in the matter
is completed and the civil penalty is af-
firmed in whole or in part.

(k)

Collection of civil penalties. If an

individual does not pay a civil penalty
imposed by an order of assessment or
other final order, the Administrator
may take action provided under the
law to collect the penalty.

§ 13.19

Certificate actions appealable

to the National Transportation
Safety Board.

(a) This section applies to certificate

actions by the Administrator that are
appealable to the National Transpor-
tation Safety Board.

(1) Under 49 U.S.C. 44709(b) the Ad-

ministrator may issue an order amend-
ing, modifying, suspending, or revoking
all or part of any type certificate, pro-
duction certificate, airworthiness cer-
tificate, airman certificate, air carrier
operating certificate, air navigation fa-
cility certificate, or air agency certifi-
cate if as a result of a reinspection, re-
examination, or other investigation,
the Administrator determines that the
public interest and safety in air com-
merce requires it, if a certificate hold-
er has violated an aircraft noise or
sonic boom standard or regulation pre-
scribed under 49 U.S.C. 44715(a), or if
the holder of the certificate is con-
victed of violating 16 U.S.C. 742j–1(a).

(2) The authority of the Adminis-

trator to issue orders under 49 U.S.C.

44709(b)(1)(A) and (b)(2) is delegated to
the Chief Counsel, each Deputy Chief
Counsel, and the Assistant Chief Coun-
sel for Enforcement.

(b) The agency attorney will issue a

notice before issuing a non-imme-
diately effective order to amend, mod-
ify, suspend, or revoke a type certifi-
cate, production certificate, airworthi-
ness certificate, airman certificate, air
carrier operating certificate, air navi-
gation facility certificate, air agency
certificate, or to revoke an aircraft
certificate of registration because the
aircraft was used to carry out or facili-
tate an activity punishable under a law
of the United States or a State related
to a controlled substance (except a law
related to simple possession of a con-
trolled substance), by death or impris-
onment for more than one year, and
the owner of the aircraft permitted the
use of the aircraft knowing that the
aircraft was to be used for the activity.

(1) A notice of proposed certificate

action will advise the certificate holder
or aircraft owner of the charges or
other reasons upon which the Adminis-
trator bases the proposed action, and
allows the holder to answer any
charges and to be heard as to why the
certificate should not be amended, sus-
pended, modified, or revoked.

(2) In response to a notice of proposed

certificate action described in para-
graph (b)(1) of this section, the certifi-
cate holder or aircraft owner, within 15
days of the date of receipt of the no-
tice, may—

(i) Surrender the certificate and

waive any right to contest or appeal
the charged violations and sanction, in
which case the Administrator will
issue an order;

(ii) Answer the charges in writing by

submitting information, including doc-
uments and witness statements, dem-
onstrating that a violation of the regu-
lations did not occur or that the pro-
posed sanction is not warranted by the
circumstances;

(iii) Submit a written request for an

informal conference to discuss the
matter with an agency attorney and
submit relevant information or docu-
ments; or

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