§ 11.93 Petitions for reconsideration of rules.

(a) Any interested person may petition the Administrator for a rehearing on, or for reconsideration of, any Airworthiness Directive. Such a petition must be filed, in duplicate, within 30 days after the rule is published in the FEDERAL REGISTER. It must contain a brief statement of the complaint and an explanation as to how the rule is contrary to the public interest.

(b) If the petitioner requests the consideration of additional facts, he must state their nature and purpose and the reason they were not presented at the hearing or in writing within the allotted time.

(c) The Administrator does not consider repetitious petitions.

(d) Unless the Administrator orders otherwise, the filing of a petition under this section does not stay the effect of a rule or order.

1

Subpart A-Investigative Procedures 1 § 13.1 Reports of violations.

(a) Any person who knows of a violation of the Federal Aviation Act of 1958, or of any regulation or order issued under it, may report it to appropriate personnel of an FAA regional or district office.

(b) Each report made under this section is investigated by FAA personnel. The results of that investigation are the basis for determining the enforcement action that the FAA will take. [Doc. No. 1242, 27 F.R. 9589, Sept. 28, 1962] § 13.3 Investigations.

(a) Under section 313 of the Federal Aviation Act of 1958 (49 U.S.C. 1354), the Administrator may conduct public hearings or investigations and take evidence and depositions, issue subpoenas, and compel testimony in the manner provided in section 1004 of the Act (49 U.S.C. 1484).

(b) For the purpose of investigating alleged violations of the Act, or any regulation or order issued under it, the Administrator's authority under sections 313 and 1004 has been delegated to the General Counsel, the Deputy General Counsel, each Associate General Counsel, and each Regional Counsel.

[Doc. No. 1242, 27 F.R. 9589, Sept. 28, 1962, as amended by Amdt. 13-6, 33 F.R. 14401, Sept. 25, 1968]

Subpart B-Administrative Actions 1 § 13.11 Administrative disposition of certain violations.

(a) If it is found that a violation of the Federal Aviation Act of 1958, or an order or regulation issued under it, does not require legal enforcement action, a Flight Standards inspector or other appropriate official may issue a safety compliance notice including a letter of reprimand to the violator if appropriate, or a letter of correction that confirms de

132 F.R. 7585, May 24, 1967.

(a) Under section 901 of the Federal Aviation Act of 1958 (49 U.S.C. 1471), a person who violates any provision of Title III, V, VI, or XII of that Act, or any regulation or order issued under one of those titles, is subject to a civil penalty of not more than $1,000 for each violation.

(b) The Administrator may compromise any civil penalty. If a civil penalty is contemplated and it is considered advisable to compromise it, the General Counsel or the Regional Counsel concerned sends a letter to the person charged with the violation, advising him of the charges against him and the law, regulation, or order that he is charged with violating, and offering to compromise the penalty. The person charged with the violation may present, to the official who signed the letter, any oral or written material or information in answer to the charges, explaining, mitigating, or denying the violation, or showing extenuating circumstances. Material or information so presented is considered in making the final determination as to probable liability for a civil penalty, or the amount for which it will be compromised.

(c) If the person charged with the violation offers to compromise for a specific amount, he shall send a certified check or money order for that amount, payable to the Federal Aviation Administration. The General Counsel or the Regional Counsel concerned may accept or refuse it.

(d) If the compromise amount is accepted, the person charged with the violation is notified, by letter, that the acceptance is full settlement of the civil penalty for the violation.

132 F.R. 7585, May 24, 1967.

(a) Under section 903 of the Federal Aviation Act of 1958 (49 U.S.C. 1473), a State or Federal law enforcement officer, or a Federal Aviation Administration safety inspector, authorized in an order of seizure issued by the Regional Director of the region, or Area Manager of the area in which the aircraft is located, may summarily seize an aircraft that is involved in a violation for which a civil penalty may be imposed on its owner or operator.

(b) Each person seizing an aircraft under this section shall place it in the nearest available and adequate public storage facility in the judicial district in which it was seized.

(c) The Regional Director or Area Manager without delay, sends a written notice and a copy of this section, to the registered owner of the seized aircraft, and to each other person shown by FAA records to have an interest 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 believed, or judicially determined, 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 imposed by a Federal court for a proven violation.

(d) The Regional Counsel of the region in which an aircraft is seized under this section immediately sends a report to the United States District Attorney for the judicial district in which it was seized, requesting him to institute proceedings to enforce a lien against the aircraft.

(e) The Regional Director or Area Manager directs the release of a seized aircraft whenever

(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 Federal Court in proceedings in rem to enforce a lien against the aircraft, or the United States Attorney for the judicial district concerned notifies the FAA that he refuses to institute those proceedings; or

(3) A bond in the amount and with the sureties prescribed by the Assistant Administrator is deposited, conditioned on payment of the penalty, or the compromise amount, and the costs of seizing, storing, and maintaining the aircraft. [Doc. No. 1242, 27 F.R. 9590, Sept. 28, 1962, as amended by Doc. No. 8084, 32 F.R. 5769, Apr. 11, 1967; Amdt. 13-6, 33 F.R. 14401, Sept. 25, 1968] § 13.19

Certificate action.

(a) Under section 609 of the Federal Aviation Act of 1958 (49 U.S.C. 1429), the Administrator may reinspect any civil aircraft, aircraft engine, propeller, appliance, air navigation facility, or air agency, and may re-examine any civil airman.

(b) If, as a result of such a re-inspection, re-examination, or other investigation made by him, the Administrator determines that the public interest and safety in air commerce requires it, he may issue an order amending, suspending, or revoking, all or part of any type certificate, production certificate, airworthiness certificate, airman certificate, air carrier operating certificate, air navigation facility certificate, or air agency certificate.

(c) Before issuing an order under paragraph (b) of this section, the General Counsel or the Regional Counsel concerned advises the certificate holder of the charges or other reasons upon which the Administrator bases the proposed action, and except in an emergency, allows the holder to answer any charges and to be heard as to why the certificate should not be amended, suspended, or revoked. The holder may, by checking the appropriate box on the form that is sent to him with the Notice of Proposed Certificate Action, elect to

(1) Admit the charges and surrender his certificates;

(2) Answer the charges in writing; (3) Request an opportunity to be heard in an informal conference with the FAA counsel; or

(4) Request a formal hearing. Except as provided in § 13.35 (b), unless the holder returns the form and, where required, an answer or motion, with a postmark of not later than 15 days after the date he received the notice, the order of the Administrator is issued as proposed. If the holder has requested an informal conference with the FAA counsel, he may after that conference also request a formal hearing in writing with a postmark of not later than 10 days after the close of the conference. After considering any information submitted by the holder the General Counsel or the Regional Counsel concerned issues the order of the Administrator, except that if the holder has made a valid request for a formal hearing initially or after an informal conference, Subpart D of this Part governs further proceedings.

(d) Any person whose certificate is affected by an order issued under this section may appeal to the National Transportation Safety Board. If the certificate holder files an appeal with the Board, the Administrator's order is stayed unless he advises the board that an emergency exists and safety in air commerce requires that the order become effective immediately. If he so advises the Board, the order remains effective and the Board shall finally dispose of the appeal within 60 days after the date of the advise.

[Doc. No. 1242, 27 F.R. 9590, Sept. 28, 1962, as amended by Amdt. 13-1, 28 F.R. 6064, June 14, 1963; Doc. No. 8084, 32 F.R. 5769, Apr. 11, 1967; Amdt. 13-5, 32 F.R. 7585, May 24, 1967; Amdt. 13-6, 33 F.R. 14401, Sept. 25, 1968]

§ 13.21 Military aircraft.

If a report made under this Part indicates that, while performing his official duties, a member of the armed forces, or a civilian employee of the Department of Defense who is subject to the Uniform Code of Military Justice (10 U.S.C. Ch. 47), has violated the Federal Aviation Act of 1958, or a regulation or order issued under it, the General Counsel or the Regional Counsel concerned sends a copy of the report to the appropriate military authority for such disciplinary action as that authority considers appropriate and a report to the Administrator thereon. [Doc. No. 1242, 27 F.R. 9590, Sept. 28, 1962, as amended by Amdt. 13-6, 33 F.R. 14401, Sept. 25, 1968]

§ 13.23 Criminal penalties.

(a) Sections 902 and 1203 of the Federal Aviation Act of 1958 (49 U.S.C. 1472 and 1523), provide criminal penalties for any person who knowingly and willfully violates specified provisions of that Act or any regulation or order issued under those provisions.

(b) If an inspector or other employee of the FAA becomes aware of a possible violation of any criminal provision of that Act (except a violation of section 902 (i) through (m) which is reported directly to the Federal Bureau of Investigation), he shall report it to the Office of the General Counsel or the Regional Counsel concerned. If appropriate, that office refers the report to the Department of Justice for criminal prosecution of the offender. If such an inspector or other employee becomes aware of a possible violation of a Federal statute that is within the investigatory jurisdiction of another Federal Agency, he shall immediately report it to that agency according to standard Agency practices. [Doc. No. 1242, 27 F.R. 9590, Sept. 28, 1962] Subpart D-Rules of Practice for Hearings in FAA Certificate Proceedings 1 § 13.31

Applicability.

Any party to a proceeding under this subpart may appear and be heard in person or by attorney.

[Doc. No. 1242, 27 F.R. 9591, Sept. 28, 1962] § 13.35 Request for hearing.

(a) If the certificate holder elects to have a formal hearing, either after he receives the Notice of Proposed Certificate Action or after an informal conference with the FAA counsel, he shall submit his answer to the allegations in the notice, or file a motion under § 13.49, together with his request for a formal hearing as provided in § 13.19(c).

(b) If the certificate holder submits a request for formal hearing, and his answer or motion, after the 15- or 10-day period provided in § 13.19(c), but before an order is issued, the FAA counsel sends

132 F.R. 7585, May 24, 1967.

it to the Hearing Officer. If, in the opinion of the Hearing Officer, there was good cause for the failure to submit a timely request for hearing, or answer or motion, he may, in his discretion, entertain the motion or order a hearing. If he does not do so, the General Counsel or Regional Counsel issues the order of the Administrator.

[Amdt. 13-1, 28 F.R. 6064, June 14, 1963, as amended by Amdt. 13-6, 33 F.R. 14401, Sept. 25, 1968]

§ 13.37

Hearing Officer's powers.

Any Hearing Officer may—

(a) Give notice concerning, and hold, prehearing conferences and hearings; (b) Administer oaths and affirmations;

(c) Examine witnesses;

(d) Rule on claims of privilege against self-incrimination and compel testimony by conferring immunity under section 1004 (i) of the Federal Aviation Act of 1958 (49 U.S.C. 1484);

(e) Issue subpoenas and take depositions or cause them to be taken; (f) Rule on offers of proof;

(g) Receive evidence;

(h) Regulate the course of the hearing;

(i) Hold conferences, before and during the hearing, to settle and simplify issues by consent of the parties;

(j) Dispose of procedural requests and similar matters; and

(k) Issue an order.

(a) In cases sent to the Hearing Offcer, the Notice of Proposed Certificate Action constitutes the statement of the facts upon which the action is proposed.

(b) The certificate holder's Answer must be responsive to the allegations set out in the Notice. Any allegation that is not denied is considered to be admitted. However, allegations other than those identifying an airman, stating the number and type of his certificate and ratings, or identifying an aircraft, its number and type, may be answered by a general denial.

(c) Averments in an Answer, or other pleading, to which no responsive pleading is required, are considered to be denied.

[Doc. No. 1242, 27 F.R. 9591, Sept. 28, 1962, as amended by Amdt. 13-2, 30 F.R. 7223, May 29, 1965]

§ 13.43 Service and filing of pleadings, motions, and documents, other than Answer.

Each pleading, motion, or document, other than an Answer, must at the time of filing, be served on each other party, by delivering a copy to him or by mailing a copy to him at the last address filed with the FAA by the certificate holder as required by this chapter. However, if a party is represented by an attorney, the service shall be made upon him. [Doc. No. 1242, 27 F.R. 9592, Sept. 28, 1962] § 13.45 Amendment of Notice Answer.

and

At any time more than 10 days before the date of hearing, any party may amend his Notice, Answer, or other pleading, by filing the amendment with the Hearing Officer and serving a copy of it on each other party. After that time, he may amend it only in the discretion of the Hearing Officer. If an amendment to an initial pleading has been allowed, the Hearing Officer shall allow the other parties a reasonable opportunity to answer.

[Doc. No. 1242, 27 F.R. 9592, Sept. 28, 1962, as amended by Amdt. 13-1, 28 F.R. 6064, June 14, 1963]

§ 13.47 Withdrawal of Notice or Request for Hearing.

At any time before hearing, the FAA counsel may withdraw the Notice of Proposed Certificate Action and the certificate holder may withdraw his Request for Hearing.

[Doc. No. 1242, 27 F.R. 9592, Sept. 28, 1962] § 13.49 Motions.

(a) Motion to dismiss for insufficiency. A respondent who requests a formal hearing may, in place of his answer, file a motion to dismiss for failure of the allegations in the Notice of Proposed Certificate Action to state a violation of the Act or of this chapter or to show lack of qualification of the respondent. If the Hearing Officer denies the motion, the respondent shall file his answer within 10 days.

(b) Motion to strike stale allegations. If the Notice of Proposed Certificate Action contains an allegation of a violation that occurred more than 6 months before the date of mailing or other service of the Notice, the respondent may move to strike that allegation in any of the following cases:

(1) In any case in which the Notice does not allege lack of qualification of the certificate holder, FAA counsel is required to show by answer filed within seven days of service of the motion that good cause existed for the delay, or that if the allegations are proved, the imposition of a sanction is warranted in the public interest notwithstanding the delay or the reasons therefor. The respondent may file a reply to the answer within the time fixed by the Hearing Officer. The Hearing Officer may require FAA counsel to make his factual allegations of good cause more definite, certain or detailed. A hearing on the

issue of good cause is held only if the respondent raises a genuine, pertinent, and substantial issue of fact. If the Hearing Officer does not find that good cause for the delay existed or that the public interest requires imposition of sanctions, notwithstanding the delay, if the allegations are proved, he orders the stale allegations stricken and proceeds to adjudicate only the remaining portions, if any, of the Notice.

(2) In any case in which the Notice alleges lack of qualification of the certificate holder the Hearing Officer determines first whether an issue of lack of qualification is presented if the stale allegations, standing alone or together with the timely allegations, are true. If the Hearing Officer finds that the issue is not presented, he orders the stale allegations stricken and proceeds to adjudicate the remaining portions, if any, of the Notice. If he finds a qualification issue presented, he proceeds to hearing, advising the respondent that he is to defend against the allegation of lack of qualification to hold his certificate and not only against a proposed remedial sanction.

A motion to strike under this paragraph may be combined with a motion to dismiss any remaining parts of the Notice under paragraph (a) of this section.