Rules of Practice in FAA Civil Penalty Actions, 70460-70465 [06-9508]

Agencies

• Federal Aviation Administration
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 71, Number 233 (Tuesday, December 5, 2006)]
[Rules and Regulations]
[Pages 70460-70465]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 06-9508]


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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 13

[Docket No. FAA-2006-26477]


Rules of Practice in FAA Civil Penalty Actions

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule; technical amendment.

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SUMMARY: We are amending the procedural regulations governing the FAA's 
administrative assessment of civil penalties for violations of certain 
provisions of the Federal aviation statute and the Federal hazardous 
materials. We are also amending the FAA's procedural regulations 
governing non-civil penalty enforcement matters. These change are 
necessary to update the regulations and to reflect statutory changes. 
The intended effect of these changes is to ensure that regulated 
parties have current and correct procedural information.

DATES: This rule is effective on December 5, 2006.

FOR FURTHER INFORMATION CONTACT:  Vicki Sherman Leemon, Office of the 
Chief Counsel, Adjudication Branch, AGC-439, 800 Independence Avenue, 
SW., Washington, DC 20591; telephone 202/385-8227.

SUPPLEMENTARY INFORMATION:

Background

    The Administrator of the FAA may impose a civil penalty not 
exceeding specified amounts on a person, other than an individual 
acting as a pilot, flight engineer, mechanic or repairman, only after 
notice and an opportunity for hearing on the record under 49 U.S.C. 
46301(d)(7)(A). The Administrator's authority to assess civil penalties 
under 49 U.S.C. 46301(d) extends only to civil penalties that do not 
exceed the maximum amounts specified in 49 U.S.C. 46301(d)(8) as 
follows:
    (a) $50,000, if the violation was committed by a person before 
December 12, 2003 (the date of enactment of Vision 100--Century of 
Aviation Reauthorization Act);
    (b) $400,000 if the violation was committed by a person other than 
an individual or small business concern on or after December 12, 2003;
    (c) $50,000, if the violation was committed by an individual or 
small business concern on or after December 12, 2003.
    To implement this civil penalty assessment authority, we issued 
procedural rules published at 14 CFR 13,16 and 14 CFR Part 13, subpart 
G (14 CFR 13.201-13.235). Section 13.16 of Part 13 includes the 
procedures we follow when notifying a person, other than an individual 
acting as a pilot, flight engineer, mechanic or repairman, about 
alleged violations and proposed civil penalties, and for that person to 
use to request a hearing before a Department of Transportation (DOT) 
administrative law judge. The hearing process is governed by the 
regulations included in 14 CFR 13.16 and 14 CFR part 13, subpart G. 
Under these rules, the Administrator, acting in her capacity as the FAA 
decisionmaker, resolves any appeals of initial decisions rendered by an 
administrative law judge. See 14 CFR 13.16(j), 13.202 (definition of 
FAA decisionmaker), and 13.233(j).
    We use 14 CFR 13.16 and 14 CFR Part 13, subpart G when assessing 
civil penalties not exceeding 49 U.S.C. 46301(d)(8)'s limits for 
violations arising from many different provisions of the Federal 
aviation statute. Specifically, we use these regulations when assessing 
civil penalties for violations of statutory provisions listed in the 
first sentence of 49 U.S.C. 46301(d)(2) or any of their implementing 
regulations. Under the first sentence of 49 U.S.C. 46301(d)(2), the 
Administrator may impose a civil penalty for violations of the 
following statutory provisions of any regulations implementing those 
provisions:
    (a) Chapter 401 (except sections 40103(a) and (d), 40105, 40106(b), 
40116, and 40117) of Title 49;
    (b) Chapter 441 (except section 44109) of Title 49;
    (c) Sections 44502(b) and (c) of Title 49;
    (d) Chapter 447 (except sections 44717 and 44719-44723) of Title 
49;
    (e) Section 46301(b) of Title 49;
    (f) Section 46302 (for a violation relating to section 46504) of 
Title 49;
    (g) Section 46318 of Title 49;
    (h) Section 47107(b) of Title 49.
    Many of the statutory provisions listed in the first sentence of 49 
U.S.C. 56301(d)(2) are aviation safety-related. See e.g., 49 U.S.C. 
chapter 447, entitled ``Safety Regulation,'' and 49 U.S.C. 46301(b) 
prohibiting tampering with smoke detectors; but see e.g., 49 U.S.C. 
47107(b) conditioning the approval of airport development grant 
applications upon the receipt by the FAA of written assurances that 
local taxes on aviation fuel and public airport revenues will only be 
expended for certain purposes.
    The procedural rules in 14 CFR 13.16 and 14 CFR part 13, subpart G, 
also apply when we asses a civil penalty not exceeding 49 U.S.C. 
46301(d)(8)s' limits for violations of certain statutory provisions of 
the Federal aviation statute, or their implementing regulations, not 
listed in the first sentence of 49 U.S.C. 46301(d)(2). Persons who 
violate 49 U.S.C. 47528, 47529 or 47530, or any regulation issued under 
those sections, are subject to a civil penalty. Sections 47528 through 
47530 of Title 49 prohibit the operation of certain aircraft when those 
aircraft do not comply with the Stage 3 noise levels (see 14 CFR part 
91, subpart I). Section 47531 of Title 49 provides that a person 
violating one of those statutory provisions or implementing regulations 
is subject to the same civil penalty amounts and procedures under 
chapter

[[Page 70461]]

463 as a person violating section 44701(a) or (b) or any of sections 
44702-44716 (which are listed in 49 U.S.C. 46301(D)(2)). When assessing 
civil penalties that do not exceed 49 U.S.C. 46301(d)(8)'s limitations, 
for violations of 49 U.S.C. 47528, 47529 or 47530, we use the 
procedures for notice and opportunity for a hearing on the record 
provided in 14 CFR 13.16 and 14 CFR part 13, subpart G.
    In addition, under the Federal hazardous materials transportation 
statute, 49 U.S.C. 5123, and 49 CFR 1.47(k), the Administrator may 
assess a civil penalty against any person who knowingly violates the 
Federal hazardous materials transportation statute, 49 U.S.C. chapter 
51, or any of its implementing regulations. Section 5123 of Title 49 
does not limit the total civil penalty that the Administrator may 
assess for violations of the Federal hazardous materials transportation 
statute or its implementing regulations. The limitations set forth in 
49 U.S.C. 46301(d)(8) do not apply in hazardous materials cases when 
the Administrator initiates civil penalty actions under the Federal 
hazardous materials transportation statute, 49 U.S.C. 5123, and 14 CFR 
1.47(k). We use 14 CFR 13.16 and 14 CFR part 13, subpart G, when 
assessing civil penalties in cases involving the transportation of 
hazardous materials by air.
    The FAA also issues enforcement orders that do not assess civil 
penalties. For example, we issue cease and desist orders under 14 CFR 
13.20, and orders of compliance under 14 CFR 13.71-13.87. Requests for 
hearing from these proposed orders are filed in the Hearing Docket. The 
procedural rules in 14 CFR part 13, subpart D govern proceedings in 
these cases, in which requests for hearing are filed under 14 CFR 
13.19(c)(5), 13.20(c), 13.20(d), 13.75(a)(2), 13.75(b) or 13.81(e).

This Rulemaking

    1. We are updating 14 CFR 13.16 and 14 CFR part 13, subpart G in 
this rulemaking as follows.
    a. The Applicability of 14 CFR 13.16 and 14 CFR part 13, subpart G.
    In October 2004, we amended the civil penalty assessment procedure 
in 14 CFR part 13, including 14 CFR 13.16 and 14 CFR part 13, subpart 
G. 69 FR 59490, October 4, 2004. We explained in the preamble that we 
were amending section 13.16 to update the list of statutory provisions 
authorizing the FAA to assess civil penalties. 69 FR at 59493. We 
revised section 13.16 when assessing ``a civil penalty against a person 
other than an individual acting as a pilot, flight engineer, mechanic 
or repairman for a violation cited in 49 U.S.C. 46301(d)(2) or 47531.'' 
69 FR at 59493 and 59496. We added a new section 13.16(c) for the 
administrative assessment of civil penalties against all persons for 
violations of 49 U.S.C. chapter 51, the Federal hazardous materials 
transportation statute. Further, we amended 14 CFR 13.201(a) to explain 
that 14 CFR part 13, subpart G applies to all civil penalty actions 
initiated under 14 CFR 13.16 in which a person requests a hearing.
    The revision of section 13.16(a)--regarding the use of 14 CFR 
13.16's procedures in civil penalty actions for violations cited in 49 
U.S.C. 46301(d)(2) or 47531--appeared in the 2005 volume of the Code of 
Federal Regulations. However, the phrase ``or 47531'' did not appear in 
section 13.16(a) when the 2006 volume of the Code of Federal 
Regulations was printed. We reiterate here that we use the procedures 
in 14 CFR 13.16 (and 14 CFR part 13, subpart G when a hearing is 
requested) when assessing civil penalties for violations of the 
statutory provisions cited in 49 U.S.C. 47531 or of any implementing 
rules, regulations or orders.
    We are also amending section 13.16(a), as well as certain 
regulations in subpart G, to clarify that we use the procedures set 
forth in section 14 CFR 13.16 and part 13, subpart G, for violations of 
provisions of the Federal aviation statute listed in the first sentence 
of 49 U.S.C. 46301(d). The first sentence of 49 U.S.C. 46301(d)(2) 
authorizes the FAA Administrator to assess civil penalties for 
violations offering provisions of the Federal aviation statute. The 
second sentence sets forth the civil penalty assessment authority of 
the Secretary of Homeland Security.
    b. Judicial review of final agency orders assessing a civil penalty 
for violations of the Federal aviation statute, the Federal hazardous 
materials transportation law, or any implementing rules, regulations or 
orders.
    Judicial review of final agency orders assessing civil penalties 
for violations of the Federal aviation statute and its implementing 
regulations is available in the appropriate Federal court of appeals 
under 49 U.S.C. 46110. Under 49 U.S.C. 46110, a person affected by an 
order issued by the Administrator of the FAA under part A or part B, or 
section 114(l) or (s) of the Federal aviation statute, may file a 
petition for review of that order in the United States Court of Appeals 
for the District of Columbia Circuit or in the United States court of 
appeals for the circuit in which the person resides or has that 
person's principal place of business. Under 49 U.S.C. 46110(a), the 
petition for review must be filed not later than 60 days after the 
issuance of the order, unless a Federal court finds that reasonable 
grounds exist for the late-filing.
    Judicial review of civil penalty orders issued under the Federal 
aviation statute is also provided under the following:
     49 U.S.C. 46301(d)(7)(D)(iii) providing that judicial 
review of any order assessing a civil penalty for a violation of 49 
U.S.C. 47107(b) or any grant assurance under that section for misuse of 
public airport revenues may be obtained only under 49 U.S.C. 46110;
     49 U.S.C. 46301(g) providing that ``[a]n order of the * * 
* Administrator imposing a civil penalty may be reviewed judicially 
only under section 46110 of this title.''
     49 U.S.C. 47532 (and 49 CFR 1.47(s)) providing that an 
action taken by the Administrator under 49 U.S.C. 47528, 47529 or 47530 
regarding the operation of certain aircraft not in compliance with 
stage 3 noise levels is subject to judicial review as provided under 49 
U.S.C. 46110.
    Before the enactment of the Safe, Accountable, Flexible, Efficient 
Transportation Act: A Legacy for Users (SAFETEA-LU) in 2005, the 
Federal hazardous materials transportation law, 49 U.S.C. chapter 51, 
was silent on the issue of judicial review of an order assessing a 
civil penalty. As a result, final agency orders assessing civil 
penalties in cases involving the transportation by air of hazardous 
materials were subject to review in the appropriate United States 
district court under 5 U.S.C. 701, et seq., and 28 U.S.C. 1331.
    SAFETEA-LU added a new section 5127 to the Federal hazardous 
materials transportation statute, 49 U.S.C. 5127, pertaining 
specifically to judicial review of final orders. Section 5127 of Title 
49 now provides that a person aggrieved by a final agency action 
involving the transportation of hazardous materials may file a petition 
for review in the United States Court of Appeals for the District of 
Columbia Circuit or in the court of appeals of the United States in the 
circuit which the party resides or has the party's principal place of 
business. Thus, under SAFETEA-LU, persons aggrieved by a final order 
issued by the Administrator arising from the transportation by air of a 
hazardous materials may petition the appropriate Federal court of 
appeals for review.
    Under the new 49 U.S.C. 5127, a petitioner must file the petition 
for review no later than 60 days after the action ``becomes final.'' 49 
U.S.C. 5127 (emphasis added.) Decisions and orders

[[Page 70462]]

in hazardous materials cases issued by the Administrator under 14 CFR 
13.233(j)(2) (on appeal to the Administrator from a decision of an 
administrative law judge) and under 14 CFR 13.234(g) (on petition for 
reconsideration, rehearing or modification), are final when they are 
served. Therefore, a person filing a petition for review of an order 
issued under 14 CFR 13.233(j)(2) or 13.234(g) in a civil penalty case 
involving the transportation of hazardous materials must do so no later 
than 60 days after the Administration's decision is served. (See 14 CFR 
13.235.)
    Judicial review in civil penalty cases is discussed in the Federal 
Aviation Regulations at 14 CFR 13.16 and 13.235. Currently, section 
13.16(m)(1) provides that a party may file a petition for review of a 
final agency order in cases under the Federal aviation statute in the 
appropriate United States court of appeals under 49 U.S.C. 46110(a), 
46301(d)(6) and 46301(g). Section 13.16(m)(2) provides that in cases 
under the Federal hazardous materials transportation law, a party may 
seek judicial review of a final agency order in an appropriate United 
States district court under 5 U.S.C. 703 and 704 and 28 U.S.C. 1331.
    Section 13.235 of the Federal Aviation Regulations also deals with 
the issue of judicial review of a final agency decision in civil 
penalty cases. Unlike 14 CFR 13.16(m), section 13.235 does not 
distinguish between cases arising under the Federal aviation statute 
and cases arising under the Federal hazardous materials transportation 
statute. It is stated in 14 CFR 13.235: ``A person may seek judicial 
review of a final decision and order of the Administrator as provided 
in section 1006 of the Federal Aviation Act of 1958, as amended 
[currently 49 U.S.C. 46110].'' Currently, section 13.235 does not 
include references to sections 5127, 46301(d)(7)(D)(iii), 46301(g), or 
47532 of Title 49, which also provide for judicial review of final 
agency orders involving certain violations of the Federal hazardous 
materials transportation statute and the Federal aviation statute.
    We are amending 14 CFR 13.16(m) and 14 CFR 13.235 to incorporate 
SAFETEA-LU's changes regarding judicial review of final agency 
decisions in hazardous materials cases, as now set forth in 49 U.S.C. 
5127, as well as to include references to other statutory provisions 
for judicial review. In this rulemaking, we are dividing section 13.235 
into four paragraphs for the sake of clarity. New paragraph (a) 
provides that in cases under the Federal aviation statute, a party may 
seek judicial review of a final decision and order of the 
Administrator, as provided in 49 U.S.C. 46110(a), and as applicable, in 
49 U.S.C. 46301(d)(7)(D)(iii), 46301(g), or 47532. New paragraph (b) 
explains that judicial review in cases under the Federal hazardous 
materials transportation statute is under 49 U.S.C. 5127. New paragraph 
(c) provides that parties seeking review of a final agency order may 
file a petition for review in the United States Court of Appeals for 
the District of Columbia Circuit or in the United States court of 
appeals for the circuit in which the party resides or has its principal 
place of business. New paragraph (d) explains that the party seeking 
review must file the petition for review no later than 60 days after 
service of the Administrator's final decision and order.
    Since the passage of SAFETEA-LU, there is no need to divide 14 CFR 
13.16(m) into paragraphs (1) and (2) because review is now available in 
the appropriate Federal court of appeals for civil penalty orders 
arising from violations of the Federal aviation statute and the Federal 
hazardous materials transportation law. The new section 13.16(m) 
provides that a party may seek judicial review of a final decision and 
order of the Administrator involving a violation of the Federal 
aviation statute or the Federal hazardous materials transportation law. 
It explains that review is in the United Court of Appeals for the 
District of Columbia Circuit or the courts of appeals of the United 
States for the circuit in which the party resides or has the party's 
principal place of business. It refers the reader to 14 CFR 13.235 for 
references to the provisions in Title 49 of the United States Code for 
judicial review.
    Currently, section 13.16(m)(1) cites 49 U.S.C. 46301(d)(6), as well 
as 49 U.S.C. 46110 and 46301(g), as authority for the availability of 
judicial review in an appropriate Federal court of appeals. Section 
46301(d)(6) of Title 49 provides for judicial review of orders of the 
National Transportation Safety Board in civil penalty cases under 49 
U.S.C. 46301(d)(5) against individuals acting as pilots, flight 
engineers, mechanics or repairment. (See 14 CFR 13.18(h)). Section 
13.16, however, deals with orders of the FAA Administrator in civil 
penalty proceedings against persons other than individuals acting as 
pilots, mechanics, flight engineers or repairmen. Consequently, we are 
not including a reference to 49 U.S.C. 46301(d)(6) in the new 14 CFR 
13.16(m) or in the amended section 13.235.
    We are amending the authority section of 14 CFR part 13 to include 
the statutory provisions added to Title 49 regarding the transportation 
of hazardous materials by SAFETEA-LU.
    c. Current Hearing Docket Address. Last year, we amended 14 CFR, 
part 13, subpart G, to provide the new address of the FAA Hearing 
Docket. 70 FR 8236, February 18, 2005. Since publishing that notice, 
the offices in the Wilbur Wright Building, in which the Hearing Docket 
is now located, have been re-numbered. Under the current room number 
system, the Hearing Docket is located in Suite 2W1000. We are updating 
the suite number for the Hearing Docket in this rulemaking.
    d. FAA Civil Penalty Adjudication Web site. Also, by notice 
published on February 18, 2005, we amended section 13.210 by adding 
paragraph (e), which included information about the FAA civil penalty 
adjudication Web site. The FAA's Web site recently has been revised. 
The FAA civil penalty adjucation Web site is now located at the 
following address: https://faa.gov/about/office_org/headquarters_
offices/agc/pol_adjudication/AGC400/Civil_Penalty. This technical 
amendment provides the current Internet address for the FAA civil 
penalty adjudication Web site, as well as more complete description of 
the information available on the Web site.
    e. Definition of Complaint. As defined in 14 CFR 13.202, a 
``complaint'' is a document that is filed by the agency attorney after 
a hearing is requested under 14 CFR 13.16. In 2004, we redesignated the 
paragraphs in 14 CFR 13.16 about requests for hearing as 14 CFR 
13.16(f)(3) and (g)(2)(ii). 69 FR at 59496. Now, we are amending the 
definition of ``complaint'' in section 13.202 to replace references to 
the former paragraph numbers about requests for hearing with the 
current citations, 14 CFR 13.16(f)(3) and (g)(2)(ii).
    f. Recodification of the FAA;s Governing Statute and the Hazardous 
Materials Transportation Act. In 1994, Congress recodified into 
positive law the Federal Aviation Act of 1958, as amended, the 
Hazardous Materials Transportation Act, and other pieces of 
transportation law. We amended the authority sections for the Federal 
Aviation Regulations, including Part 13, to reflect the recodification, 
by final rule published on December 28, 1995 (60 FR 67254). Now, we are 
amending 14 CFR 13.202 (definitions of ``complaint'' and ``order 
assessing civil penalty''), 13.218(f)(1), 13.219(a), 13.228(c), and 
13.235 to replace out-of-date statutory references with citations to 
the Federal aviation statute, and to the Federal hazardous materials 
transportation statute.

[[Page 70463]]

    2. We are updating other sections of Part 13 of the Federal 
Aviation Regulations, as follows:
    a. Civil penalties, generally, under 14 CFR 13.14.
    Section 13.14(a) of the Federal Aviation Regulations, 14 CFR 
13.14(a) explains that a person who violates certain provisions of the 
Federal aviation statute or any implementing rule, regulation, or 
order, is subject to a civil penalty not exceeding the amount specified 
in 49 U.S.C. chapter 463 for each violation. Section 13.14(a) should 
include those sections listed in the first sentence of 49 U.S.C. 
46301(d)(2) and in 49 U.S.C. 47531.
    Currently, 14 CFR 13.14(a)(6) provides that a person is subject to 
a civil penalty for a violation of 49 U.S.C. 46301(b), 46302, 46303, 
46318 or 46319. Section 13.14(a)(6) needs revision in three respects. 
First, under 49 U.S.C. 46301(d)(2), the Secretary of Homeland 
Security--not the Administrator of the FAA--has the authority to assess 
civil penalties for violations of 49 U.S.C. 46303. Consequently, a 
reference to 49 U.S.C. 46303 does not belong in 14 CFR 13.14(a)(6).
    Second, under 49 U.S.C. 46319(c), a public agency is liable for a 
civil penalty of $10,000 for each day that an airport remains closed 
without having given the FAA the notice required under 49 U.S.C. 
46319(a). Congress, however, failed to specify in 49 U.S.C. 46301(d)(2) 
or anywhere else in the Federal aviation statute, that the 
Administrator has the authority to assess a penalty for violations of 
49 U.S.C. 46319. As a result, a reference to 49 U.S.C. 46319 should not 
be included in 14 CFR 13.14(a)(6). In this rulemaking, we are deleting 
the reference to 49 U.S.C. 46319.
    Third, the Administrator of the FAA has the authority to assess 
civil penalties for violations of 49 U.S.C. 46302 for a violation 
relating to 49 U.S.C. 46504, and the Secretary of Homeland Security has 
the authority to assess civil penalties for other violations of 49 
U.S.C. 46302. For this reason, we are adding a parenthetical after 
``section 46302'' in 14 CFR 13.14(a)(6) as follows: ``(For a violation 
relating to 49 U.S.C. 46504.)'' As a result of these changes, 14 CFR 
13.14(a)(6), as amended by this rulemaking, will read: ``Any person who 
violated any of the following statutory provisions, or any rule, 
regulation or order issued thereunder is subject to a civil penalty * * 
* (6) Sections 46301(b), 46302 (for a violation relating to 49 U.S.C. 
46504), or 46318.'' We are also adding the parenthetical ``(for a 
violation relating to 49 U.S.C. 46504)'' after ``49 U.S.C. 46302'' in 
the statutory authority section of Part 13.
    The Administrator may assess a civil penalty for a violation of 49 
U.S.C. 47107(b) under the first sentence of 49 U.S.C. 46301(d)(2). We 
inadvertently omitted 49 U.S.C. 47107(b) when we drafted 14 CFR 13.14. 
We are correcting that omission in this rulemaking by adding a new 
section 13.14(a)(7), regarding a violation of 49 U.S.C. 47017(b). We 
are redesignating the current section 13.14(a)(7) as section 
13.14(a)(8).
    We also did not include 49 U.S.C. 47107 in the authority section of 
Part 13. We are correcting that oversight in this rulemaking.
    b. Providing the correct address for the Hearing Docket in the 
procedural rules in 14 CFR part 13, subpart D.
    Under Part 13 of the Federal Aviation Regulations, we also issue 
enforcement orders not involving the assessment of civil penalties. For 
example, under 14 CFR 13.20, we issue cease and desist orders and 
orders of denial, and under 14 CFR 13.71-13.87, we issue orders of 
compliance and orders of immediate compliance involving the 
transportation of hazardous materials by air. If a recipient of a 
proposed order (or an order of immediate compliance) requests a hearing 
under 14 CFR 13.19(c)(5), 13.20(c), 13.20(d), 13.75(a)(2), 13.75(b) or 
13.81(e), the proceedings are governed by the rules contained in 14 CFR 
part 13, subpart D (14 CFR 13.31-13.63).
    In proceedings conducted under 14 CFR part 13, subpart D, the 
parties should file documents, including the request for hearing and 
the pleadings, in the Hearing Docket. See 14 CFR 13.35 and 13.43. The 
address of the Hearing Docket is provided in 14 CFR 13.35, which is the 
rule pertaining to requests for hearing. Section 13.35 sets forth the 
Hearing Docket's old address. The Hearing Docket's current street 
address is as follows: Federal Aviation Administration, 600 
Independence Avenue, SW., Wilbur Wright Building--Suite 2W1000, 
Washington, DC 20591; Attention: Hearing Docket Clerk, AGC-430. When a 
party hand-delivers or sends documents by commercial expedited courier 
(e.g., Federal Express or United Parcel Service), the party should use 
the street address.
    The Wilbur Wright Building, in which the Hearing Docket is located, 
does not have a mailroom. Documents delivered by the U.S. Postal System 
must be sent to, and processed by, the mailroom located in the FAA 
headquarters building, at 800 Independence Avenue, SW. When sending 
documents to the Hearing Docket by U.S. mail or U.S. certified mail, 
the following mailing address should be used (instead of the street 
address): Federal Aviation Administration, 800 Independence Avenue, 
SW., Washington, DC 20591; Attention: Hearing Docket Clerk, AGC-430, 
Wilbur Wright Building--Suite 2W1000. We are amending 14 CFR 13.35 to 
include the correct street and mailing addresses for the Hearing 
Docket.

Procedure Matters

    In general, under the Administrative Procedure Act, 5 U.S.C. 553, 
agencies must publish regulations for public comment and give the 
public at least 30 days notice before adopting regulations. There is an 
exception to these requirements if the agency for good cause finds that 
notice and public procedure are impracticable, unnecessary, or contrary 
to the public interest. In this case, the FAA finds that notice and 
comment requirements are unnecessary due to the administrative nature 
of the changes. The public interest is served by revising section 13.16 
and section 13.235 immediately to inform parties in hazardous materials 
civil penalty cases of the availability of judicial review in the 
appropriate Federal court of appeals under SAFETEA-LU. It is in the 
public interest that the revisions to 14 CFR 13.35 and 13.210 take 
effect promptly so that parties filing documents in proceedings under 
either subpart D or subpart G of part 13 of the Federal Aviation 
Regulations use the Hearing Docket's correct street or mailing address. 
Also, it is in he public interest that the Rules of Practice correctly 
state the Internet address for the FAA civil penalty adjudication Web 
site. The editorial amendments to bring the citations to the Federal 
Aviation Act of 1958, as amended, and to the Hazardous Materials 
Transportation Act into conformity with the recodification of the 
transportation laws and Part 13's revised authority citation will be 
helpful to the public and do not warrant notice and comment. The 
amendments set forth in this notice do not affect the rights or duties 
of any regulated entity.

List of Subjects in 14 CFR Part 13

    Administrative practice and procedure, Air transportation, Aviation 
safety, Hazardous materials transportation, Investigations, Law 
enforcement, Penalties.

The Amendments

0
Accordingly, the Federal Aviation Administration amends part 13 of the 
Federal Aviation Regulations as follows:

[[Page 70464]]

PART 13--INVESTIGATIVE AND ENFORCEMENT PROCEDURES

0
1. Revise the authority citation for part 13 to read as follows:

    Authority: 18 U.S.C. 6002; 28 U.S.C. 2461 (note); 49 U.S.C. 
106(g), 5121-5128, 40113-40114, 44103-44106, 44702-44703, 44709-
44710, 44713, 46101-46111, 46301, 46302 (for a violation of 49 
U.S.C. 46504), 46304-46316, 46318, 46501-46502, 46504-46507, 47106, 
47107, 47111, 47122, 47306, 47531-47532; 49 CFR 1.47.


0
2. Amend Sec.  13.14 by revising Sec.  13.14(a)(6), redesignating the 
current Sec.  13.14(a)(7) as new Sec.  13.14(a)(8), and adding a new 
Sec.  13.14(a)(7), to read as follows:


Sec.  13.14  Civil penalties: General.

    (a) * * *
    (6) Sections 46301(b), 46302 (for a violation of 49 U.S.C. 46504), 
or 46318;
    (7) Section 47107(b); or
* * * * *

0
3. Revise Sec.  13.16(a) and Sec.  13.16(m) to read as follows:


Sec.  13.16  Civil Penalties: Administrative assessment against a 
person other than an individual acting as a pilot, flight engineer, 
mechanic, or repairman. Administrative assessment against all persons 
for hazardous materials violations.

    (a) The FAA uses these procedures when it assesses a civil penalty 
against a person other than an individual acting as a pilot, flight 
engineer, mechanic, or repairman for a violation cited in the first 
sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or any 
implementing rule, regulation or order.
* * * * *
    (m) A party may seek review only of a final decision and order of 
the FAA decisionmaker involving a violation of the Federal aviation 
statute or the Federal hazardous materials transportation law. Judicial 
review is in the United States Court of Appeals for the District of 
Columbia Circuit or the United States court of appeals for the circuit 
in which the party resides or has the party's principal place of 
business as provided in Sec.  13.235 of this part. Neither an initial 
decision or an order issued by an administrative law judge that has not 
been appealed to the FAA decisionmaker, nor an order compromising a 
civil penalty action, may be appealed under any of those sections.
* * * * *

0
4. Amend Sec.  13.35 by revising paragraph (a), redesignating current 
paragraphs (b) and (c) as (c) and (d), and adding a new paragraph (b), 
to read as follows:


Sec.  13.35  Request for hearing.

    (a) A request for hearing must be made in writing and filed in the 
Hearing Docket.
    (1) If delivery is in person, or by expedited courier service. A 
person delivering the request for hearing in person or sending the 
request for hearing by commercial expedited courier (for example, 
Federal Express or United Parcel Service), should use the following 
address: Federal Aviation Administration, 600 Independence Avenue, SW., 
Wilbur Wright Building--Suite 2W1000, Washington, DC 20591; Attention: 
Hearing Docket Clerk, AGC-430.
    (2) If delivery is by U.S. Mail: If the request for hearing is sent 
by U.S. Mail, then it should be addressed as follows: Federal Aviation 
Administration, 800 Independence Avenue, SW., Washington, DC 20591: 
Attention: Hearing Docket Clerk, AGC-430, Wilbur Wright Building--Suite 
2W1000.
    (b) The request for hearing must describe the action proposed by 
the FAA, and must contain a statement that a hearing is requested. A 
copy of the request for hearing and a copy of the answer required by 
paragraph (c) of this section must be served on the official who issued 
the notice of proposed action.
* * * * *

0
5. Amend Sec.  13.202 by revising the definition of ``complaint'' and 
the first sentence of the definition of ``order assessing civil 
penalty'' to read as follows:


Sec.  13.202  Definitions

* * * * *
    Complaint means a document issued by an agency attorney alleging a 
violation of a provision of the Federal aviation statute listed in the 
first sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or of 
the Federal hazardous materials transportation statute, 49 U.S.C. 5121-
5128, or a rule, regulation, or order issued under those statutes, that 
has been filed with the Hearing Docket after a hearing has been 
requested under Sec.  13.16(f)(3) or (g)(2)(ii) of this part.
* * * * *
    Order assessing civil penalty means a document that contains a 
finding of a violation of a provision of the Federal aviation statute 
listed in the first sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 
47531, or of the Federal hazardous materials transportation statute, 49 
U.S.C. 5121-5128, or a rule, regulation or order issued under those 
statutes, and may direct payment of a civil penalty. * * *
* * * * *

0
6. Amend Sec.  13.210 by revising paragraphs (a)(1) and (2) and (e)(2) 
to read as follows:


Sec.  13.210  Filing of documents.

    (a) * * *
    (1) If delivery is in person, or via expedited courier service: 
Federal Aviation Administration, 600 Independence Avenue, SW., Wilbur 
Wright Building--Suite 2W1000, Washington, DC 20591; Attention: Hearing 
Docket Clerk, AGC-430.
    (2) If delivery is via U.S. Mail: Federal Aviation Administration, 
800 Independence Avenue, SW., Washington, DC 20591; Attention: Hearing 
Docket Clerk, AGC-430, Wilbur Wright Building--Suite 2W1000.
* * * * *
    (e) * * *
    (2) Decisions and orders issued by the Administrator in civil 
penalty cases, indexes of decisions, contact information for the FAA 
Hearing Docket, and the administrative law judges, the rules of 
practice, and other information is available on the FAA civil penalty 
adjudication Web site at: https://faa.gov/about/office_org/
headquarters_offices/agc/pol_adjudication/AGC400/Civil_Penalty.


0
7. Amend Sec.  13.218 by revising the third sentence of paragraph 
(f)(1) to read as follows:


Sec.  13.218  Motions.

* * * * *
    (f) * * *
    (1) * * * A motion to dismiss the complaint for insufficiency must 
show that the complaint fails to state a violation of a provision of 
the Federal aviation statute listed in the first sentence in 49 U.S.C. 
46301(d)(2) or in 49 U.S.C. 47531, or any implementing rule, 
regulation, or order, or a violation of the Federal hazardous materials 
transportation statute, 49 U.S.C. 5121-5128, or any implementing rule, 
regulation or order.


0
8. Amend Sec.  13.219 by revising the second sentence of paragraph (a) 
to read as follows:


Sec.  13.219  Interlocutory appeals.

    (a) * * * A decision or order of the FAA decisionmaker on the 
interlocutory appeal does not constitute a final order of the 
Administrator for the purposes of judicial appellate review as provided 
in Sec.  13.235 of this subpart.
* * * * *

[[Page 70465]]


0
9. Revise Sec.  13.228(c) to read as follows:


Sec.  13.228  Subpoenas.

* * * * *
    (c) Enforcement of subpoena. Upon a showing that a person has 
failed or refused to comply with a subpoena, a party may apply to the 
local federal district court to seek judicial enforcement of the 
subpoena in accordance with 49 U.S.C. 46104 in cases under the Federal 
aviation statute.

0
10. Revise Sec.  13.235 to read as follows:


Sec.  13.235  Judicial review of a final decision and order.

    (a) In cases under the Federal aviation statute, a party may seek 
judicial review of a final decision and order of the Administrator, as 
provided in 49 U.S.C. 46110(a), and, as applicable, in 49 U.S.C. 
46301(d)(7)(D)(iii), 46301(g), or 47532.
    (b) In cases under the Federal hazardous materials transportation 
statute, a party may seek judicial review of a final decision and order 
of the Administrator, as provided in 49 U.S.C. 5127.
    (c) A party seeking judicial review of a final order issued by the 
Administrator may file a petition for review in the United States Court 
of Appeals for the District of Columbia Circuit or in the United States 
Court of Appeals for the circuit in which the party resides or has its 
principal place of business.
    (d) The party must file the petition for review no later than 60 
days after service of the Administrator's final decision and order.

    Issued in Washington, DC, on November 28, 2006.
Rebecca MacPherson,
Assistant Chief Counsel for Regulations.
[FR Doc. 06-9508 Filed 12-4-06; 8:45 am]
BILLING CODE 4910-13-M