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14 CFR Ch. I (1–1–24 Edition) 

§ 13.1 

13.119

Immunity and orders requiring testi-

mony or other information. 

13.121

Witness fees. 

13.123

Submission by party to the investiga-

tion. 

13.125

Depositions. 

13.127

Reports, decisions, and orders. 

13.129

Post-investigation action. 

13.131

Other procedures. 

Subpart G—Rules of Practice In FAA Civil 

Penalty Actions 

13.201

Applicability. 

13.202

Definitions. 

13.203

Separation of functions. 

13.204

Appearances and rights of parties. 

13.205

Administrative law judges. 

13.206

Intervention. 

13.207

Certification of documents. 

13.208

Complaint. 

13.209

Answer. 

13.210

Filing of documents. 

13.211

Service of documents. 

13.212

Computation of time. 

13.213

Extension of time. 

13.214

Amendment of pleadings. 

13.215

Withdrawal of complaint or request 

for hearing. 

13.216

Waivers. 

13.217

Joint procedural or discovery sched-

ule. 

13.218

Motions. 

13.219

Interlocutory appeals. 

13.220

Discovery. 

13.221

Notice of hearing. 

13.222

Evidence. 

13.223

Standard of proof. 

13.224

Burden of proof. 

13.225

Offer of proof. 

13.226

Public disclosure of information. 

13.227

Expert or opinion witnesses. 

13.228

Subpoenas. 

13.229

Witness fees. 

13.230

Record. 

13.231

Argument before the administrative 

law judge. 

13.232

Initial decision. 

13.233

Appeal from initial decision. 

13.234

Petition to reconsider or modify a 

final decision and order of the FAA deci-
sionmaker on appeal. 

13.235

Judicial review of a final decision and 

order. 

13.236

Alternative dispute resolution. 

Subpart H—Civil Monetary Penalty Inflation 

Adjustment 

13.301

Inflation adjustments of civil mone-

tary penalties. 

Subpart I—Flight Operational Quality 

Assurance Programs 

13.401

Flight Operational Quality Assurance 

program: Prohibition against use of data 
for enforcement purposes. 

A

UTHORITY

: 18 U.S.C. 6002; 28 U.S.C. 2461 

(note); 49 U.S.C. 106(g), 5121–5124, 40113–40114, 
44103–44106, 44701–44704, 44709–44710, 44713, 
44725, 44742, 44802 (note), 46101–46111, 46301, 
46302 (for a violation of 49 U.S.C. 46504), 46304– 
46316, 46318–46320, 46501–46502, 46504, 46507, 
47106, 47107, 47111, 47122, 47306, 47531–47532; 49 
CFR 1.83. 

S

OURCE

: Docket No. 18884, 44 FR 63723, Nov. 

5, 1979, unless otherwise noted. 

Subpart A—General Authority to 

Re-Delegate and Investiga-
tive Procedures 

S

OURCE

: Docket No. FAA-2018-1051; Amdt. 

No. 13-40, 86 FR 54526, Oct. 1, 2021, unless oth-
erwise noted. 

§ 13.1

Re-delegation. 

Unless otherwise specified, the Chief 

Counsel, each Deputy Chief Counsel, 
and the Assistant Chief Counsel for En-
forcement may re-delegate the author-
ity delegated to them under this part. 

§ 13.2

Reports of violations. 

(a) Any person who knows of any vio-

lation of 49 U.S.C. subtitle VII, 49 
U.S.C. chapter 51, or any rule, regula-
tion, or order issued under those stat-
utes, should report the violation to 
FAA personnel. 

(b) FAA personnel will review each 

report made under this section to de-
termine whether any additional inves-
tigation or action is warranted. 

§ 13.3

Investigations (general). 

(a) The Administrator may conduct 

investigations; hold hearings; issue 
subpoenas; require the production of 
relevant documents, records, and prop-
erty; and take evidence and deposi-
tions. 

(b) The Administrator has delegated 

the authority to conduct investiga-
tions to the various services and offices 
for matters within their respective 
areas. 

(c) The Administrator delegates to 

the Chief Counsel, each Deputy Chief 
Counsel, and the Assistant Chief Coun-
sel for Enforcement the authority to: 

(1) Issue orders; 
(2) Conduct formal investigations; 
(3) Subpoena witnesses and records in 

conducting a hearing or investigation; 

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39 

Federal Aviation Administration, DOT 

§ 13.5 

(4) Order depositions and production 

of records in a proceeding or investiga-
tion; and 

(5) Petition a court of the United 

States to enforce a subpoena or order 
described in paragraphs (c)(3) and (4) of 
this section. 

(d) A complaint against the sponsor, 

proprietor, or operator of a federally 
assisted airport involving violations of 
the legal authorities listed in § 16.1 of 
this chapter must be filed in accord-
ance with the provisions of part 16 of 
this chapter. 

§ 13.5

Formal complaints. 

(a) Any person may file a complaint 

with the Administrator with respect to 
a violation by a person of any require-
ment under 49 U.S.C. subtitle VII, 49 
U.S.C. chapter 51, or any rule, regula-
tion, or order issued under those stat-
utes, as to matters within the jurisdic-
tion of the Administrator. This section 
does not apply to complaints against 
the Administrator or employees of the 
FAA acting within the scope of their 
employment. 

(b) Complaints filed under this sec-

tion must— 

(1) Be submitted in writing and iden-

tified as a complaint seeking an appro-
priate order or other enforcement ac-
tion; 

(2) Be submitted to the Federal Avia-

tion Administration, Office of the Chief 
Counsel, Attention: Formal Complaint 
Clerk (AGC–300), 800 Independence Ave-
nue SW, Washington, DC 20591; 

(3) Set forth the name and address, if 

known, of each person who is the sub-
ject of the complaint and, with respect 
to each person, the specific provisions 
of the statute, rule, regulation, or 
order that the complainant believes 
were violated; 

(4) Contain a concise but complete 

statement of the facts relied upon to 
substantiate each allegation; 

(5) State the name, address, tele-

phone number, and email of the person 
filing the complaint; and 

(6) Be signed by the person filing the 

complaint or an authorized representa-
tive. 

(c) A complaint that does not meet 

the requirements of paragraph (b) of 
this section will be considered a report 
under § 13.2. 

(d) The FAA will send a copy of a 

complaint that meets the requirements 
of paragraph (b) of this section to the 
subject(s) of the complaint by certified 
mail. 

(e) A subject of the complaint may 

serve a written answer to the com-
plaint to the Formal Complaint Clerk 
at the address specified in paragraph 
(b)(2) of this section no later than 20 
days after service of a copy of the com-
plaint. For purposes of this paragraph 
(e), the date of service is the date on 
which the FAA mailed a copy of the 
complaint to the subject of the com-
plaint. 

(f) After the subject(s) of the com-

plaint have served a written answer or 
after the allotted time to serve an an-
swer has expired, the Administrator 
will determine if there are reasonable 
grounds for investigating the com-
plaint, and— 

(1) If the Administrator determines 

that a complaint does not state facts 
that warrant an investigation or ac-
tion, the complaint may be dismissed 
without a hearing and the reason for 
the dismissal will be given, in writing, 
to the person who filed the complaint 
and the subject(s) of the complaint; or 

(2) If the Administrator determines 

that reasonable grounds exist, an infor-
mal investigation may be initiated or 
an order of investigation may be issued 
in accordance with subpart F of this 
part, or both. The subject(s) of a com-
plaint will be advised which official has 
been delegated the responsibility under 
§ 13.3(b) or (c), as applicable, for con-
ducting the investigation. 

(g) If the investigation substantiates 

the allegations set forth in the com-
plaint, the Administrator may take ac-
tion in accordance with applicable law 
and FAA policy. 

(h) The complaint and other records 

relating to the disposition of the com-
plaint are maintained in the Formal 
Complaint Docket (AGC–300), Office of 
the Chief Counsel, Federal Aviation 
Administration, 800 Independence Ave-
nue SW, Washington, DC 20591. Any in-
terested person may examine any dock-
eted material at that office at any time 
after the docket is established, except 
material that is required to be with-
held from the public under applicable 

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