[Code of Federal Regulations]

[Title 14, Volume 1]

[Revised as of January 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 14CFR13.18]



[Page 40-41]

 

                     TITLE 14--AERONAUTICS AND SPACE

 

CHAPTER I--FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION

 

PART 13_INVESTIGATIVE AND ENFORCEMENT PROCEDURES--Table of Contents

 

                   Subpart C_Legal Enforcement Actions

 

Sec. 13.18  Civil penalties: Administrative assessment against an 

individual acting as a pilot, flight engineer, mechanic, or repairman.



    (a) General. (1) This section applies to each action in which the 

FAA seeks to assess a civil penalty by administrative procedures against 

an individual acting as a pilot, flight engineer, mechanic, or 

repairman, under 49 U.S.C. 46301(d)(5), for a violation listed in 49 

U.S.C. 46301(d)(2). This section does not apply to a civil penalty 

assessed for violation of 49 U.S.C. chapter 51, or a rule, regulation, 

or order issued thereunder.

    (2) District court jurisdiction. Notwithstanding the provisions of 

paragraph (a)(1) of this section, the United States district courts have 

exclusive jurisdiction of any civil penalty action involving an 

individual acting as a pilot, flight engineer, mechanic, or repairman 

for violations described in that paragraph, under 49 U.S.C. 46301(d)(4), 

if:

    (i) The amount in controversy is more than $50,000.

    (ii) The action involves an aircraft subject to a lien that has been 

seized by the Government; or

    (iii) Another action has been brought for an injunction based on the 

same violation.

    (b) Definitions. As used in this part, the following definitions 

apply:

    (1) Flight engineer means an individual who holds a flight engineer 

certificate issued under part 63 of this chapter.

    (2) Individual acting as a pilot, flight engineer, mechanic, or 

repairman means an individual acting in such capacity, whether or not 

that individual holds the respective airman certificate issued by the 

FAA.

    (3) Mechanic means an individual who holds a mechanic certificate 

issued under part 65 of this chapter.

    (4) Pilot means an individual who holds a pilot certificate issued 

under part 61 of this chapter.

    (5) Repairman means an individual who holds a repairman certificate 

issued under part 65 of this chapter.

    (c) Delegation of authority. (1) The authority of the Administrator 

under 49 U.S.C. 46301(d)(5), to initiate and assess civil penalties is 

delegated to the Chief Counsel; the Deputy Chief Counsel for Operations; 

the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, 

Europe, Africa, and Middle East Area Office; the Regional Counsel; the 

Aeronautical Center Counsel; and the Technical Center Counsel.

    (2) The authority of the Administrator to refer cases to the 

Attorney General of the United States, or the delegate of the Attorney 

General, for collection of civil penalties is delegated to the Chief 

Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief 

Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and 

Middle East Area Office; the Regional Counsel; the Aeronautical Center 

Counsel; and the Technical Center Counsel.

    (3) The authority of the Administrator to compromise the amount of a 

civil penalty under 49 U.S.C. 46301(f) is delegated to the Chief 

Counsel; the Deputy Chief Counsel for Operations; the Assistant Chief 

Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and 

Middle East Area Office; the Regional Counsel; the Aeronautical Center 

Counsel; and the Technical Center Counsel.

    (d) Notice of proposed assessment. A civil penalty action is 

initiated by



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sending a notice of proposed assessment to the individual charged with a 

violation specified in paragraph (a) of this section. The notice of 

proposed assessment contains a statement of the charges and the amount 

of the proposed civil penalty. The individual charged with a violation 

may do the following:

    (1) Submit the amount of the proposed civil penalty or an agreed-on 

amount, in which case either an order of assessment or a compromise 

order will be issued in that amount.

    (2) Answer the charges in writing.

    (3) Submit a written request for an informal conference to discuss 

the matter with an agency attorney and submit relevant information or 

documents.

    (4) Request that an order be issued in accordance with the notice of 

proposed assessment so that the individual charged may appeal to the 

National Transportation Safety Board.

    (e) Failure to respond to notice of proposed assessment. An order of 

assessment may be issued if the individual charged with a violation 

fails to respond to the notice of proposed assessment within 15 days 

after receipt of that notice.

    (f) Order of assessment. An order of assessment, which assesses a 

civil penalty, may be issued for a violation described in paragraph (a) 

of this section after notice and an opportunity to answer any charges 

and be heard as to why such order should not be issued.

    (g) Appeal. Any individual who receives an order of assessment 

issued under this section may appeal the order to the National 

Transportation Safety Board. The appeal stays the effectiveness of the 

Administrator's order.

    (h) Exhaustion of administrative remedies. An individual 

substantially affected by an order of the NTSB or the Administrator may 

petition for review only of a final decision and order of the National 

Transportation Safety Board to a court of appeals of the United States 

for the circuit in which the individual charged resides or has his or 

her principal place of business or the United States Court of Appeals 

for the District of Columbia Circuit, under 49 U.S.C. 46110 and 

46301(d)(6). Neither an order of assessment that has not been appealed 

to the National Transportation Board, nor an order compromising a civil 

penalty action, may be appealed under those sections.

    (i) Compromise. The FAA may compromise any civil penalty action 

initiated under this section, in accordance with 49 U.S.C. 46301(f).

    (1) An agency attorney may compromise any civil penalty action where 

an individual charged with a violation agrees to pay a civil penalty and 

the FAA agrees to make no finding of violation. Under such agreement, a 

compromise order is issued following the payment of the agreed-on amount 

or the signing of a promissory note. The compromise order states the 

following:

    (i) The individual has paid a civil penalty or has signed a 

promissory note providing for installment payments;

    (ii) The FAA makes no finding of violation; and

    (iii) The compromise order will not be used as evidence of a prior 

violation in any subsequent civil penalty proceeding or certificate 

action proceeding.

    (2) An agency attorney may compromise the amount of any civil 

penalty proposed or assessed in an order.

    (j) Payment. (1) An individual must pay a civil penalty by:

    (i) Sending a certified check or money order, payable to the Federal 

Aviation Administration, to the FAA office identified in the order of 

assessment, or

    (ii) Making an electronic funds transfer according to the directions 

specified in the order of assessment.

    (2) The civil penalty must be paid within 30 days after service of 

the order of assessment, unless an appeal is filed with the National 

Transportation Safety Board. The civil penalty must be paid within 30 

days after a final order of the Board or the Court of Appeals affirms 

the order of assessment in whole or in part.

    (k) Collection of civil penalties. If an individual does not pay a 

civil penalty imposed by an order of assessment or other final order, 

the Administrator may take action provided under the law to collect the 

penalty.



[Amdt. 13-32; 69 FR 59497, Oct. 4, 2004]



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