[Code of Federal Regulations]
[Title 14, Volume 1]
[Revised as of January 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 14CFR13.18]

[Page 41-42]
 
                     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 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.

[[Page 42]]

    (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]