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Federal Register / Vol. 86, No. 188 / Friday, October 1, 2021 / Rules and Regulations investigation conducted by the Administrator; and, except to the extent the use may be specifically limited or prohibited by the section which imposes the requirement, the records, documents, and reports may be used in any civil penalty action, certificate action, or other legal proceeding.
3. Revise subpart B to read as follows:
Subpart BAdministrative Actions 13.11 Administrative disposition of certain violations.

a If, after an investigation, FAA
personnel determine that an apparent violation of 49 U.S.C. subtitle VII, 49
U.S.C. chapter 51, or any rule, regulation, or order issued under those statutes, does not require legal enforcement action, an appropriate FAA
official may take administrative action to address the apparent violation.
b An administrative action under this section does not constitute a formal adjudication of the matter, and may take the form of 1 A Warning Notice that recites available facts and information about the incident or condition and indicates that it may have been a violation; or 2 A Letter of Correction that states the corrective action the apparent violator has taken or agrees to take. If the apparent violator does not complete the agreed corrective action, the FAA
may take legal enforcement action.
4. Revise subpart C to read as follows:
Subpart CLegal Enforcement Actions Sec.
13.13 Consent orders.
13.14 Reserved 13.15 Civil penalties: Other than by administrative assessment.
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.
13.17 Seizure of aircraft.
13.18 Civil penalties: Administrative assessment against an individual acting as a pilot, flight engineer, mechanic, or repairman.
13.19 Certificate actions appealable to the National Transportation Safety Board.
13.20 Orders of compliance, cease and desist orders, orders of denial, and other orders.
13.21 through 13.29 Reserved 13.13

Consent orders.

a The Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement may issue a consent order to resolve any matter with
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a person that may be subject to legal enforcement action.
b A person that may be subject to legal enforcement action may propose a consent order. The proposed consent order must include 1 An admission of all jurisdictional facts;
2 An express waiver of the right to further procedural steps and of all rights to legal review in any forum;
3 An express waiver of attorneys fees and costs;
4 If a notice or order has been issued prior to the proposed consent order, an incorporation by reference of the notice or order and an acknowledgment that the notice or order may be used to construe the terms of the consent order;
and 5 If a request for hearing or appeal is pending in any forum, a provision that the person will withdraw the request for hearing or notice of appeal.
13.14

Reserved
13.15 Civil penalties: Other than by administrative assessment.

a The FAA uses the procedures in this section when it seeks a civil penalty other than by the administrative assessment procedures in 13.16 or 13.18.
b The authority of the Administrator to seek a civil penalty, and the ability to refer cases to the United States Attorney General, or the delegate of the Attorney General, for prosecution of civil penalty actions sought by the Administrator is delegated to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement. This delegation applies to cases involving one or more of the following:
1 An amount in controversy in excess of:
i $400,000, if the violation was committed by a person other than an individual or small business concern; or ii $50,000, if the violation was committed by an individual or small business concern.
2 An in rem action, seizure of aircraft subject to lien, suit for injunctive relief, or for collection of an assessed civil penalty.
c The Administrator may compromise any civil penalty proposed under this section, before referral to the United States Attorney General, or the delegate of the Attorney General, for prosecution.
1 The Administrator, through the Chief Counsel, a Deputy Chief Counsel, or the Assistant Chief Counsel for Enforcement sends a civil penalty letter to the person charged with a violation.

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The civil penalty letter contains a statement of the charges; the applicable law, rule, regulation, or order; and the amount of civil penalty that the Administrator will accept in full settlement of the action or an offer to compromise the civil penalty.
2 Not later than 30 days after receipt of the civil penalty letter, the person cited with an alleged violation may respond to the civil penalty letter by i Submitting electronic payment, a certified check, or money order in the amount offered by the Administrator in the civil penalty letter. The agency attorney will send a letter to the person charged with the violation stating that payment is accepted in full settlement of the civil penalty action; or ii Submitting one of the following to the agency attorney:
A Written material or information that may explain, mitigate, or deny the violation or that may show extenuating circumstances; or B A written request for an informal conference to discuss the matter with the agency attorney and to submit any relevant information or documents that may explain, mitigate, or deny the violation; or that may show extenuating circumstances.
3 The documents, material, or information submitted under paragraph c2ii of this section may include support for any claim of inability to pay the civil penalty in whole or in part, or for any claim of small business status as defined in 49 U.S.C. 46301i.
4 The Administrator will consider any material or information submitted under paragraph c2ii of this section to determine whether the person is subject to a civil penalty or to determine the amount for which the Administrator will compromise the action.
5 If the parties cannot agree to compromise the civil penalty, the Administrator may refer the civil penalty action to the United States Attorney General, or the delegate of the Attorney General, to begin proceedings in a U.S. district court to prosecute and collect a civil penalty.
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 General. The FAA uses the procedures in this section 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. 46301d2, or in 49 U.S.C. 47531, or any
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