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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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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. 

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