38
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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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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