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Federal Register / Vol. 86, No. 188 / Friday, October 1, 2021 / Rules and Regulations
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration 14 CFR Part 13
Docket No.: FAA20181051; Amdt. No.:
1340
RIN 2120AL00

Update to Investigative and Enforcement Procedures Federal Aviation Administration FAA, Department of Transportation DOT.
ACTION: Final rule.
AGENCY:

This final rule amends the procedural rules governing FAA
investigations and enforcement actions.
The revisions include updates to statutory and regulatory references, updates to agency organizational structure, elimination of inconsistencies, clarification of ambiguity, increases in efficiency, and improved readability.
DATES: Effective November 30, 2021.
ADDRESSES: For information on where to obtain copies of rulemaking documents and other information related to this final rule, see How To Obtain Additional Information in the SUPPLEMENTARY INFORMATION section of this document.
FOR FURTHER INFORMATION CONTACT: For technical questions concerning this action regarding 14 CFR part 13, subparts A through C, E, and F, contact Cole R. Milliard, Office of the Chief Counsel, AGC300, Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20591;
telephone 202 2673452; email Cole.Milliard@faa.gov, or Jessica E.
Kabaz-Gomez, Office of the Chief Counsel, AGC300, Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20591;
telephone 202 2677395; email Jessica.Kabaz-Gomez@faa.gov. For questions concerning this action regarding 14 CFR part 13, subparts D
and G, contact John A. Dietrich, Office of the Chief Counsel, FAA Office of Adjudication, AGC70, Federal Aviation Administration, 800
Independence Avenue SW, Washington, DC 20591; telephone 202 2673433;
email John.A.Dietrich@faa.gov.
SUPPLEMENTARY INFORMATION:
SUMMARY:

Table of Contents Authority for This Rulemaking I. Overview of Final Rule II. Background A. Statement of the Problem B. Summary of the NPRM

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C. General Overview of Comments III. Discussion of Public Comments and Final Rule A. FAAs Authority B. Service of Formal Complaints C. Date of Service of a Formal Complaint D. FAA Actions Resulting From Formal Complaints E. Administrative Actions F. Consent Orders G. Deposition Authority H. Witness Fees I. Record on Appeal J. Appeals and Judicial Review K. Expedited Proceedings L. Dispute Resolution M. Federal Docket Management System and Use of Email for Filing and Service N. Timing for Responding to Service by Mail O. Valid Service of Documents P. Disqualification/Recusal Q. Motion for a More Definite Statement R. Technological Advances in All Adjudications and Proceedings S. Other Differences Between the NPRM
and the Final Rule T. Redesignation Table IV. Regulatory Notices and Analyses A. Regulatory Evaluation B. Regulatory Flexibility Determination C. International Trade Impact Assessment D. Unfunded Mandates Assessment E. Paperwork Reduction Act F. International Compatibility and Cooperation G. Environmental Analysis V. Executive Order Determinations A. Executive Order 13132, Federalism B. Executive Order 13211, Regulations That Significantly Affect Energy Supply, Distribution, or Use C. Executive Order 13609, Promoting International Regulatory Cooperation D. Executive Order 13771, Reducing Regulation and Controlling Regulatory Costs E. Executive Order 13892, Promoting the Rule of Law Through Transparency and Fairness VI. How To Obtain Additional Information A. Rulemaking Documents B. Comments Submitted to the Docket C. Small Business Regulatory Enforcement Fairness Act
Authority for This Rulemaking FAAs authority to issue rules on aviation safety is in title 49 of the United States Code. Subtitle I, section 106 describes the authority of the Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agencys authority. The Administrator has authority to issue regulations and procedures necessary for safety in air commerce and national security under 49 U.S.C. 44701a5.
The Administrator also has authority to prescribe regulations he considers necessary to carry out Subtitle VII, Part A of title 49 under 49 U.S.C. 40113a.
This rulemaking is promulgated under the authority of numerous
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additional statutes relevant to procedures and other rules covering a wide variety of enforcement actions.
Generally, this rulemaking relies on the duties and powers delegated to the Administrator of FAA under 49 CFR
1.83. It also relies on the power of the Administrator to conduct investigations;
prescribe regulations, standards, and procedures; and issue orders per 49
U.S.C. 4011340114. Sections 46101
46110 of title 49 U.S.C. contain procedures and other requirements governing investigations, enforcement, complaints of violations, service, evidence, regulations and orders, and judicial review. Section 6002 of title 18
U.S.C. is the authority for witness immunity in FAA formal investigations see 14 CFR 13.119.
The Administrators duties and powers related to aviation safety in 49
U.S.C. 44701, and the authority of the Administrator to issue, amend, modify, suspend, and revoke certificates per 49
U.S.C. 4470244703, 4470944710, 44724, 44726, and 46111 also provide authority for this rulemaking. The rulemaking further relies on the Administrators power to impose and collect civil penalties under 49 U.S.C.
46301. The Administrators powers with respect to aircraft maintenance 49
U.S.C. 44713, 44725, aircraft registration 49 U.S.C. 4410344106, aircraft noise levels 49 U.S.C. 47531
47532, airports 49 U.S.C. 47106, 47107, 47111, 47122, and 47306, and hazardous materials 49 U.S.C. 5121
5124 are also part of the authority for this rulemaking. These various authorities prescribe the standards enforced via the procedures provided in part 13.
I. Overview of Final Rule This rulemaking revises subparts A
through G of part 13, which provide procedural rules governing investigations and enforcement actions taken by FAA. It updates statutory and regulatory references, eliminates inconsistencies, clarifies ambiguity, increases efficiency, and improves readability. There are no substantive amendments to subpart B, which addresses administrative actions, or to subpart F, which governs formal factfinding investigations under orders of investigation. This final rule does, however, include substantive amendments to subparts A, C, D, E, and G.
Subpart A addresses FAAs investigative procedures. Amendments include a new re-delegation provision in 13.1, applicable to the whole of part 13; removal of current 13.5e, which addresses complaints filed against
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