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
VerDate Sep<11>2014
09:06 Jun 28, 2024
Jkt 262046
PO 00000
Frm 00049
Fmt 8010
Sfmt 8010
Y:\SGML\262046.XXX
262046
jspears on DSK121TN23PROD with CFR
40
14 CFR Ch. I (1–1–24 Edition)
§ 13.7
law, and may obtain a copy upon pay-
ing the cost of the copy.
§ 13.7
Records, documents, and re-
ports.
Each record, document, and report
that FAA regulations require to be
maintained, exhibited, or submitted to
the Administrator may be used in any
investigation conducted by the Admin-
istrator; and, except to the extent the
use may be specifically limited or pro-
hibited by the section which imposes
the requirement, the records, docu-
ments, and reports may be used in any
civil penalty action, certificate action,
or other legal proceeding.
Subpart B—Administrative Actions
S
OURCE
: Docket No. FAA-2018-1051; Amdt.
No. 13-40, 86 FR 54527, Oct. 1, 2021, unless oth-
erwise noted.
§ 13.11
Administrative disposition of
certain violations.
(a) If, after an investigation, FAA
personnel determine that an apparent
violation 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, does not require legal enforce-
ment action, an appropriate FAA offi-
cial may take administrative action to
address the apparent violation.
(b) An administrative action under
this section does not constitute a for-
mal adjudication of the matter, and
may take the form of—
(1) A Warning Notice that recites
available facts and information about
the incident or condition and indicates
that it may have been a violation; or
(2) A Letter of Correction that states
the corrective action the apparent vio-
lator has taken or agrees to take. If
the apparent violator does not com-
plete the agreed corrective action, the
FAA may take legal enforcement ac-
tion.
Subpart C—Legal Enforcement
Actions
S
OURCE
: Docket No. FAA-2018-1051; Amdt.
No. 13-40, 86 FR 54527, Oct. 1, 2021, unless oth-
erwise noted.
§ 13.13
Consent orders.
(a) The Chief Counsel, each Deputy
Chief Counsel, and the Assistant Chief
Counsel for Enforcement may issue a
consent order to resolve any matter
with a person that may be subject to
legal enforcement action.
(b) A person that may be subject to
legal enforcement action may propose
a consent order. The proposed consent
order must include—
(1) An admission of all jurisdictional
facts;
(2) An express waiver of the right to
further procedural steps and of all
rights to legal review in any forum;
(3) An express waiver of attorney’s
fees and costs;
(4) If a notice or order has been
issued prior to the proposed consent
order, an incorporation by reference of
the notice or order and an acknowledg-
ment that the notice or order may be
used to construe the terms of the con-
sent order; and
(5) If a request for hearing or appeal
is pending in any forum, a provision
that the person will withdraw the re-
quest for hearing or notice of appeal.
§ 13.14
[Reserved]
§ 13.15
Civil penalties: Other than by
administrative assessment.
(a) The FAA uses the procedures in
this section when it seeks a civil pen-
alty other than by the administrative
assessment procedures in § 13.16 or
§ 13.18.
(b) The authority of the Adminis-
trator to seek a civil penalty, and the
ability to refer cases to the United
States Attorney General, or the dele-
gate of the Attorney General, for pros-
ecution of civil penalty actions sought
by the Administrator is delegated to
the Chief Counsel, each Deputy Chief
Counsel, and the Assistant Chief Coun-
sel for Enforcement. This delegation
applies to cases involving one or more
of the following:
(1) An amount in controversy in ex-
cess of:
(i) $400,000, if the violation was com-
mitted by a person other than an indi-
vidual or small business concern; or
(ii) $50,000, if the violation was com-
mitted by an individual or small busi-
ness concern.
VerDate Sep<11>2014
09:06 Jun 28, 2024
Jkt 262046
PO 00000
Frm 00050
Fmt 8010
Sfmt 8010
Y:\SGML\262046.XXX
262046
jspears on DSK121TN23PROD with CFR