FAA 14 CFR PART 13-2011 Investigative and enforcement procedures《调查和实施规程》.pdf

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1、33 Federal Aviation Administration, DOT Pt. 13 course of action to be taken, we will an-nounce the meeting in the FEDERAL REG-ISTER. We will also consider reopening the comment period. If an inappropriate ex parte contact does occur after the comment period closes, a summary of the contact and a cop

2、y of any material distributed during meeting will be placed in the docket if it could be seen as influencing the rulemaking process. 11. Under what circumstances will FAA reopen the comment period? If we receive an ex parte communication after the comment period has closed that could substantially i

3、nfluence the rule-making, we may reopen the comment period. DOT policy requires the agency to carefully consider whether the substance of the con-tact will give the commenter an unfair ad-vantage, since the rest of the public may not see the record of the contact in the docket. When the substance of

4、 a proposed rule is sig-nificantly changed as a result of such an oral communication, DOT policy and practice re-quires that the comment period be reopened by issuing a supplemental NPRM in which the reasons for the change are discussed. 12. What if I have important information for FAA and the comme

5、nt period is closed? You may always provide FAA with written information after the close of the comment period and it will be considered if time per-mits. Because contacts after the close of the comment may not be seen by other inter-ested persons, if they substantially and spe-cifically influence t

6、he FAAs decision, we may need to reopen the comment period. PART 13INVESTIGATIVE AND ENFORCEMENT PROCEDURES Subpart AInvestigative Procedures Sec. 13.1 Reports of violations. 13.3 Investigations (general). 13.5 Formal complaints. 13.7 Records, documents and reports. Subpart BAdministrative Actions 1

7、3.11 Administrative disposition of certain violations. Subpart CLegal Enforcement Actions 13.13 Consent orders. 13.14 Civil penalties: General. 13.15 Civil penalties: Other than by adminis-trative assessment. 13.16 Civil penalties: Administrative assess-ment against a person other than an in-dividua

8、l acting as a pilot, flight engi-neer, mechanic, or repairman. Adminis-trative assessment against all persons for hazardous materials violations. 13.17 Seizure of aircraft. 13.18 Civil penalties: Administrative assess-ment against an individual acting as a pilot, flight engineer, mechanic, or re-pai

9、rman. 13.19 Certificate action. 13.20 Orders of compliance, cease and desist orders, orders of denial, and other orders. 13.21 Military personnel. 13.23 Criminal penalties. 13.25 Injunctions. 13.27 Final order of Hearing Officer in cer-tificate of aircraft registration pro-ceedings. 13.29 Civil pena

10、lties: Streamlined enforce-ment procedures for certain security vio-lations. Subpart DRules of Practice for FAA Hearings 13.31 Applicability. 13.33 Appearances. 13.35 Request for hearing. 13.37 Hearing Officers powers. 13.39 Disqualification of Hearing Officer. 13.41 Reserved 13.43 Service and filin

11、g of pleadings, mo-tions, and documents. 13.44 Computation of time and extension of time. 13.45 Amendment of notice and answer. 13.47 Withdrawal of notice or request for hearing. 13.49 Motions. 13.51 Intervention. 13.53 Depositions. 13.55 Notice of hearing. 13.57 Subpoenas and witness fees. 13.59 Ev

12、idence. 13.61 Argument and submittals. 13.63 Record. Subpart EOrders of Compliance Under the Hazardous Materials Transportation Act 13.71 Applicability. 13.73 Notice of proposed order of compli-ance. 13.75 Reply or request for hearing. 13.77 Consent order of compliance. 13.79 Hearing. 13.81 Order of

13、 immediate compliance. 13.83 Appeal. 13.85 Filing, service and computation of time. 13.87 Extension of time. Subpart FFormal Fact-Finding Investiga-tion Under an Order of Investigation 13.101 Applicability. 13.103 Order of investigation. 13.105 Notification. 13.107 Designation of additional parties.

14、 VerDate Mar2010 14:10 Mar 01, 2011 Jkt 223043 PO 00000 Frm 00043 Fmt 8010 Sfmt 8010 Y:SGML223043.XXX 223043wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-34 14 CFR Ch. I (1111 Edition) 13.1 13.109 Convening the inv

15、estigation. 13.111 Subpoenas. 13.113 Noncompliance with the investigative process. 13.115 Public proceedings. 13.117 Conduct of investigative proceeding or deposition. 13.119 Rights of persons against self-in-crimination. 13.121 Witness fees. 13.123 Submission by party to the investiga-tion. 13.125

16、Depositions. 13.127 Reports, decisions and orders. 13.129 Post-investigation action. 13.131 Other procedures. Subpart GRules of Practice in FAA Civil Penalty Actions 13.201 Applicability. 13.202 Definitions. 13.203 Separation of functions. 13.204 Appearances and rights of parties. 13.205 Administrat

17、ive law judges. 13.206 Intervention. 13.207 Certification of documents. 13.208 Complaint. 13.209 Answer. 13.210 Filing of documents. 13.211 Service of documents. 13.212 Computation of time. 13.213 Extension of time. 13.214 Amendment of pleadings. 13.215 Withdrawal of complaint or request for hearing

18、. 13.216 Waivers. 13.217 Joint procedural or discovery sched-ule. 13.218 Motions. 13.219 Interlocutory appeals. 13.220 Discovery. 13.221 Notice of hearing. 13.222 Evidence. 13.223 Standard of proof. 13.224 Burden of proof. 13.225 Offer of proof. 13.226 Public disclosure of evidence. 13.227 Expert or

19、 opinion witnesses. 13.228 Subpoenas. 13.229 Witness fees. 13.230 Record. 13.231 Argument before the administrative law judge. 13.232 Initial decision. 13.233 Appeal from initial decision. 13.234 Petition to reconsider or modify a final decision and order of the FAA deci-sionmaker on appeal. 13.235

20、Judicial review of a final decision and order. Subpart HCivil Monetary Penalty Inflation Adjustment 13.301 Scope and purpose. 13.303 Definitions. 13.305 Cost of living adjustments of civil monetary penalties. Subpart IFlight Operational Quality Assurance Programs 13.401 Flight Operational Quality As

21、surance program: Prohibition against use of data for enforcement purposes. AUTHORITY: 18 U.S.C. 6002; 28 U.S.C. 2461 (note); 49 U.S.C. 106(g), 51215128, 4011340114, 4410344106, 4470244703, 4470944710, 44713, 4610146111, 46301, 46302 (for a violation of 49 U.S.C. 46504), 4630446316, 46318, 4650146502

22、, 4650446507, 47106, 47107, 47111, 47122, 47306, 4753147532; 49 CFR 1.47. SOURCE: Docket No. 18884, 44 FR 63723, Nov. 5, 1979, unless otherwise noted. Subpart AInvestigative Procedures 13.1 Reports of violations. (a) Any person who knows of a viola-tion of the Federal Aviation Act of 1958, as amende

23、d, the Hazardous Mate-rials Transportation Act relating to the transportation or shipment by air of hazardous materials, the Airport and Airway Development Act of 1970, the Airport and Airway Improvement Act of 1982, the Airport and Airway Im-provement Act of 1982 as amended by the Airport and Airwa

24、y Safety and Ca-pacity Expansion Act of 1987, or any rule, regulation, or order issued there-under, should report it to appropriate personnel of any FAA regional or dis-trict office. (b) Each report made under this sec-tion, together with any other informa-tion the FAA may have that is rel-evant to

25、the matter reported, will be reviewed by FAA personnel to deter-mine the nature and type of any addi-tional investigation or enforcement ac-tion the FAA will take. Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 1317, 53 FR 33783, Aug. 31, 1988 13.3 Investigations (general). (a) Under

26、 the Federal Aviation Act of 1958, as amended, (49 U.S.C. 1301 et seq.), the Hazardous Materials Transpor-tation Act (49 U.S.C. 1801 et seq.), the Airport and Airway Development Act of 1970 (49 U.S.C. 1701 et seq.), the Air-port and Airway Improvement Act of 1982 (49 U.S.C. 2201 et seq.), the Airpor

27、t VerDate Mar2010 14:10 Mar 01, 2011 Jkt 223043 PO 00000 Frm 00044 Fmt 8010 Sfmt 8010 Y:SGML223043.XXX 223043wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-35 Federal Aviation Administration, DOT 13.5 and Airway Imp

28、rovement Act of 1982 (as amended, 49 U.S.C. App. 2201 et seq., Airport and Airway Safety and Capac-ity Expansion Act of 1987), and the Regulations of the Office of the Sec-retary of Transportation (49 CFR 1 et seq.), the Administrator may conduct investigations, hold hearings, issue subpoenas, requi

29、re the production of relevant documents, records, and prop-erty, and take evidence and deposi-tions. (b) For the purpose of investigating alleged violations of the Federal Avia-tion Act of 1958, as amended the Haz-ardous Materials Transportation Act, the Airport and Airway Development Act of 1970, t

30、he Airport and Airway Im-provement Act of 1982, the Airport and Airway Improvement Act of 1982 as amended by the Airport and Airway Safety and Capacity Expansion Act of 1987, or any rule, regulation, or order issued thereunder, the Administrators authority has been delegated to the various services

31、and or offices for mat-ters within their respective areas for all routine investigations. When the compulsory processes of sections 313 and 1004 (49 U.S.C. 1354 and 1484) of the Federal Aviation Act, or section 109 of the Hazardous Materials Transpor-tation Act (49 U.S.C. 1808) are invoked, the Admi

32、nistrators authority has been delegated to the Chief Counsel, the Deputy Chief Counsel, each Assistant Chief Counsel, each Regional Counsel, the Aeronautical Center Counsel, and the Technical Center Counsel. (c) In conducting formal investiga-tions, the Chief Counsel, the Deputy Chief Counsel, each

33、Assistant Chief Counsel, each Regional Counsel, the Aeronautical Center Counsel, and the Technical Center Counsel may issue an order of investigation in accordance with Subpart F of this part. (d) A complaint against the sponsor, proprietor, or operator of a Federally- assisted airport involving vio

34、lations of the legal authorities listed in 16.1 of this chapter shall be filed in accord-ance with the provisions of part 16 of this chapter, except in the case of com-plaints, investigations, and proceedings initiated before December 16, 1996, the effective date of part 16 of this chapter. Doc. No.

35、 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 1317, 53 FR 33783, Aug. 31, 1988; 53 FR 35255, Sept. 12, 1988; Amdt. 1319, 54 FR 39290, Sept. 25, 1989; Amdt. 1327, 61 FR 54004, Oct. 16, 1996; Amdt. 1329, 62 FR 46865, Sept. 4, 1997 13.5 Formal complaints. (a) Any person may file a complaint wi

36、th the Administrator with respect to anything done or omitted to be done by any person in contravention of any provision of any Act or of any regula-tion or order issued under it, as to mat-ters within the jurisdiction of the Ad-ministrator. This section does not apply to complaints against the Ad-m

37、inistrator or employees of the FAA acting within the scope of their em-ployment. (b) Complaints filed under this sec-tion must (1) Be submitted in writing and iden-tified as a complaint filed for the pur-pose of seeking an appropriate order or other enforcement action; (2) Be submitted to the Federa

38、l Avia-tion Administration, Office of the Chief Counsel, Attention: Enforcement Dock-et (AGC10), 800 Independence Avenue, S.W., 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 provi

39、sions of the Act or regulation or order that the complainant believes were vio-lated; (4) Contain a concise but complete statement of the facts relied upon to substantiate each allegation; (5) State the name, address and tele-phone number of the person filing the complaint; and (6) Be signed by the

40、person filing the complaint or a duly authorized rep-resentative. (c) Complaints which do not meet the requirements of paragraph (b) of this section will be considered reports under 13.1. (d) Complaints which meet the re-quirements of paragraph (b) of this sec-tion will be docketed and a copy mailed

41、 to each person named in the complaint. VerDate Mar2010 14:10 Mar 01, 2011 Jkt 223043 PO 00000 Frm 00045 Fmt 8010 Sfmt 8010 Y:SGML223043.XXX 223043wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-36 14 CFR Ch. I (1111

42、 Edition) 13.7 (e) Any complaint filed against a member of the Armed Forces of the United States acting in the perform-ance of official duties shall be referred to the Secretary of the Department concerned for action in accordance with the procedures set forth in 13.21 of this part. (f) The person n

43、amed in the com-plaint shall file an answer within 20 days after service of a copy of the com-plaint. (g) After the complaint has been an-swered or after the allotted time in which to file an answer has expired, the Administrator shall determine if there are reasonable grounds for inves-tigating the

44、 complaint. (h) If the Administrator determines that a complaint does not state facts which warrant an investigation or ac-tion, the complaint may be dismissed without a hearing and the reason for the dismissal shall be given, in writing, to the person who filed the complaint and the person named in

45、 the com-plaint. (i) 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. Each person named in the complaint shall be advised which official has been d

46、elegated the respon-sibility under 13.3(b) or (c) for con-ducting the investigation. (j) If the investigation substantiates the allegations set forth in the com-plaint, a notice of proposed order may be issued or other enforcement action taken in accordance with this part. (k) The complaint and othe

47、r plead-ings and official FAA records relating to the disposition of the complaint are maintained in current docket form in the Enforcement Docket (AGC10), Of-fice of the Chief Counsel, Federal Avia-tion Administration, 800 Independence Avenue, S.W., Washington, D. C. 20591. Any interested person ma

48、y examine any docketed material at that office, at any time after the docket is estab-lished, except material that is ordered withheld from the public under appli-cable law or regulations, and may ob-tain a photostatic or duplicate copy upon paying the cost of the copy. (Secs. 313(a), 314(a), 601 th

49、rough 610, and 1102 of the Federal Aviation Act of 1958 (49 U.S.C. 1354(a), 1421 through 1430, 1502); sec. 6(c), Dept. of Transportation Act (49 U.S.C. 1655(c) Doc. No 1314, 44 FR 63723, Nov. 5, 1979; as amended by Amdt. 1316, 45 FR 35307, May 27, 1980; Amdt. 1319, 54 FR 39290, Sept. 25, 1989 13.7 Records, documents and reports. Each record, document and report that the Federal Aviation Regulations require to be maintained, exhibited o