40 

14 CFR Ch. I (1–1–19 Edition) 

§ 13.7 

mailed to each person named in the 
complaint. 

(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 named 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 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 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 delegated 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 other plead-

ings and official FAA records relating 
to the disposition of the complaint are 
maintained in current docket form in 
the Enforcement Docket (AGC–10), Of-
fice of the Chief Counsel, Federal Avia-
tion Administration, 800 Independence 
Avenue, S.W., Washington, D. C. 20591. 
Any interested person may 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 through 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. 13–14, 44 FR 63723, Nov. 5, 1979, as 
amended by Amdt. 13–16, 45 FR 35307, May 27, 
1980; Amdt. 13–19, 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 or 
submitted to the Administrator may be 
used in any investigation conducted by 
the Administrator; and, except to the 
extent the use may be specifically lim-
ited or prohibited by the section which 
imposes the requirement, the records, 
documents and reports may be used in 
any civil penalty action, certificate ac-
tion, or other legal proceeding. 

Subpart B—Administrative Actions 

§ 13.11

Administrative disposition of 

certain violations. 

(a) If it is determined that a viola-

tion or an alleged violation of the Fed-
eral Aviation Act of 1958, or an order or 
regulation issued under it, or of the 
Hazardous Materials Transportation 
Act, or an order or regulation issued 
under it, does not require legal enforce-
ment action, an appropriate official of 
the FAA field office responsible for 
processing the enforcement case or 
other appropriate FAA official may 
take administrative action in disposi-
tion of the case. 

(b) An administrative action under 

this section does not constitute a for-
mal adjudication of the matter, and 
may be taken by issuing the alleged vi-
olator— 

(1) A ‘‘Warning Notice’’ which 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’’ which 

confirms the FAA decision in the mat-
ter and states the necessary corrective 
action the alleged violator has taken 
or agrees to take. If the agreed correc-
tive action is not fully completed, legal 
enforcement action may be taken. 

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