[Federal Register Volume 79, Number 155 (Tuesday, August 12, 2014)]
[Rules and Regulations]
[Pages 46964-46968]
[FR Doc No: 2014-18294]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 13

[Docket No.: FAA-2014-0505; Amdt. No. 13-36]
RIN 2120-AK43

Orders of Compliance, Cease and Desist Orders, Orders of Denial,
and Other Orders

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Immediate final rule; request for comments.

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SUMMARY: This rulemaking provides the opportunity for an informal
conference with an FAA attorney before an order is issued under the
FAA's regulation covering orders other than certificate action and
civil penalty orders. This change is necessary to provide additional
fairness and process to those persons who are subject to such an order,
and is consistent with the process available in other enforcement
actions. These conferences may result in either a resolution of the
matter or a narrowing of the issues, thereby conserving resources for
respondents and the FAA.

DATES: Effective October 14, 2014.
    Submit comments on or before September 11, 2014.

ADDRESSES: Send comments identified by docket number, FAA-2014-0505
using any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for sending your
comments electronically.
     Mail: Send comments to Docket Operations, M-30; U.S.
Department of Transportation (DOT), 1200 New Jersey Avenue SE., Room
W12-140, West Building Ground Floor, Washington, DC 20590-0001.
     Hand Delivery or Courier: Take comments to Docket
Operations in Room W12-140 of the West Building Ground Floor at 1200
New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.
     Fax: Fax comments to Docket Operations at<PHONE_NUMBER>.
    Privacy: In accordance with 5 U.S.C. 553(c), DOT solicits comments
from the public to better inform its rulemaking process. DOT posts
these comments, without edit, including any personal information the
commenter provides, to www.regulations.gov, as described in the system
of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.dot.gov/privacy.
    Docket: Background documents or comments received may be read at
http://www.regulations.gov at any time. Follow the online instructions
for accessing the docket or Docket Operations in Room W12-140 of the
West Building Ground Floor at 1200 New Jersey Avenue SE., Washington,
DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays.

FOR FURTHER INFORMATION CONTACT: For technical or legal questions
concerning this action, contact Edmund Averman, Office of the Chief
Counsel (AGC-210), Federal Aviation Administration, 800 Independence
Avenue SW., Washington, DC 20591; telephone<PHONE_NUMBER>; email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Good Cause for Immediate Adoption

    Section 553(b)(3)(A) of the Administrative Procedure Act (APA) (5
U.S.C. 553) authorizes agencies to dispense with notice and comment
procedures for rules when the agency for ``good cause'' finds that
those procedures are ``impracticable, unnecessary, or contrary to the
public interest.'' Under this section, an agency, upon finding good
cause, may issue a final rule without seeking comment prior to the
rulemaking.
    The FAA finds that notice and public comment to this immediately
adopted final rule are impracticable, unnecessary, and contrary to the
public interest. This rulemaking provides the opportunity for an
informal conference with an FAA attorney before an order is issued
under Sec.  13.20. Since this change provides additional fairness and
process to those persons who are subject to such an order, this
amendment should not adversely impact those covered by an order. In
fact, these conferences may result in a resolution of the matter or, in
some cases, a narrowing of the issues, thereby conserving resources for
respondents and the FAA. Finally, these conferences are optional.

    Therefore, the FAA has determined that notice and public comment
are unnecessary.

Comments Invited

    For the reasons noted above, the FAA is adopting this final rule
without prior notice and public comment. The Regulatory Policies and
Procedures of the Department of Transportation (DOT) (44 FR 1134;
February 26, 1979), provide that, to the maximum extent possible,
operating administrations for the DOT should provide an opportunity for
public comment on regulations issued without prior notice.
    The FAA invites interested persons to participate in this
rulemaking by submitting written comments, data, or views. The agency
also invites comments relating to the economic, environmental, energy,
or federalism impacts that might result from adopting the changes. The
most helpful comments reference a specific portion of this rule,
explain the reason for any recommended change, and include supporting
data. To ensure the docket does not contain duplicate comments, please
send only one copy of written comments, or, if you are filing comments
electronically, please submit your comments only one time.
    The FAA will file in the docket all comments we receive, as well as
a report summarizing each substantive public contact with FAA personnel
concerning this rulemaking. Once the comment period closes, the FAA
will review and dispose of the comments filed in the rulemaking docket.
Because this is a final rule, the FAA will publish a disposition of
comments in the Federal Register. Based on the comments received, the
FAA will state whether it has decided that (i) no action is necessary
other than publishing the disposition of comments in the Federal
Register, or (ii) the FAA should prepare a revised final rule.

Proprietary or Confidential Business Information

    Do not file in the docket information that you consider to be
proprietary or confidential business information. Send or deliver this
information directly to the person identified in the FOR FURTHER
INFORMATION CONTACT section of this document. Mark the information that
is considered proprietary or confidential. If the information is on a
disk or CD ROM, mark the outside of the disk or CD ROM and also
identify electronically within the disk or CD ROM the specific
information that is proprietary or confidential.
    Under 14 CFR 11.35(b), when the FAA is aware of proprietary
information filed with a comment, the agency does not place it in the
docket. The FAA holds it in a separate file to which the public does
not have access, and the agency places a note in the docket that it has
received it. If the FAA receives a request to examine or copy this
information, the FAA treats it as any other request under the Freedom
of Information Act, 5 U.S.C. 552. The FAA processes such a request
under the DOT procedures found in 49 CFR part 7.

Authority for this Rulemaking

    The FAA's authority to issue rules on aviation safety is found in
Title 49 of the United States Code. Subtitle I, Section 106 describes
the authority of the FAA Administrator. Subtitle VII, Aviation
Programs, describes in more detail the scope of the agency's authority.
    This rulemaking is promulgated under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701, ``General
requirements.'' Under that section, the FAA is charged with prescribing
regulations required in the interest of safety for the design and
performance of aircraft; regulations and minimum standards in the
interest of safety for inspecting, servicing, and overhauling aircraft;
and regulations for other practices, methods, and procedures the
Administrator finds necessary for safety in air commerce.

I. Discussion of the Final Rule

    Section 13.20 of 14 CFR part 13 (Orders of compliance, cease and
desist orders, orders of denial, and other orders) applies to a variety
of orders issued by the Administrator to carry out the provisions of
the Federal Aviation Act of 1958, as amended, the Hazardous Materials
Transportation Act, the Airport and Airway Development Act of 1970, and
the Airport and Airway Improvement Act of 1982, or the Airport and
Airway Improvement Act of 1982 as amended by the Airport and Airway
Safety and Capacity Expansion Act of 1987. This section does not apply
to orders issued under the authority of 49 U.S.C. 46301 (assessing
civil penalties) or 49 U.S.C. 44709 (amendments, modifications,
suspensions, and revocations of certain certificates).
    Paragraph (c) of Sec.  13.20 allows, within 30 days after service
of the notice, a person subject to an order to reply in writing or
request a hearing in accordance with subpart D of part 13. This rule
amends that paragraph to add a third option--an opportunity to be heard
in an informal conference with an FAA attorney. The FAA has determined
that this third option offers additional fairness and process to those
persons who would be the subject of an order issued under Sec.  13.20.
In addition, since this opportunity is already available to persons
subject to certificate actions under Sec.  13.19 and civil penalty
actions under Sec. Sec.  13.16 and 13.18, it makes sense to add it to
Sec.  13.20 for consistency and fairness.
    Through the mechanism of the informal conference in these other
contexts, matters are sometimes resolved or the issues are narrowed.
This results in conserving resources, both for respondents and the FAA.
The FAA expects these benefits will also be realized for orders issued
under Sec.  13.20 when the informal conference option is selected.
    This rule also amends paragraph (d) of Sec.  13.20 to provide for
these informal conferences. Paragraph (d) currently allows a person who
files a reply under paragraph (c) to further request a hearing in
accordance with Subpart D of part 13 as to any charges not dismissed or
not subject to a consent order. The option to request a hearing is
expanded to include persons who requested an informal conference.
    Concurrent with the publication of this rule, the FAA is publishing
a final rule entitled ``Repair Stations.'' One of the main purposes of
that rulemaking is to amend the certificate application section to
provide the FAA with the ability to deny an application for a repair
station certificate to an applicant who previously held a repair
station certificate that was revoked or who intends to use certain key
management personnel or other persons who could exercise control over
the repair station's operations and who had materially contributed to
the circumstances that caused a previous repair station revocation.
That action is necessary to provide the FAA with the authority to deny
a repair station certificate to an applicant who has violated part 145
regulations to an extent that revocation of the certificate was
warranted or who intends to use key decision makers who materially
contributed to a prior revocation.
    During the FAA's internal review of the Repair Stations final rule,
the FAA noted that commenters raised due process issues with respect to
how the FAA would determine who these persons were, how it would be
determined that they materially contributed to a prior revocation, and
what process would be afforded them to challenge such determinations.
When considering the commenters' concerns, the FAA noticed that,
although FAA certificate actions and civil penalty actions provide for
the opportunity for an informal conference with an FAA attorney, that
option is not provided to

persons who receive notice of a proposed order under Sec.  13.20. The
FAA believes that an amendment to part 13 is necessary to provide the
informal conference option to all persons subject to an order issued
under Sec.  13.20. This provides a measure of fairness to affected
persons, and because matters are sometimes resolved or the issues
narrowed at the informal conference stage, this amendment has the
potential to conserve resources for both respondents and the FAA.
    To respond to those concerns, the FAA is adding a paragraph to the
``denial authority'' section (Sec.  145.51(f)) in the Repair Station
Final Rule that provides that those persons are subject to an order
under the procedures set forth in Sec.  13.20. That section provides
for notice and the opportunity for a hearing under subpart D of part
13.
    In addition, we are making a minor clarifying change to paragraph
(d). The current rule provides that, if a person files a reply, the
person may request a hearing as to any charges not dismissed as a
result of the agency's consideration of the reply. We are replacing the
word ``dismissed'' with ``withdrawn'' because it more accurately
reflects the role of the agency prior to a hearing. As provided in
Sec.  13.20(f), it is the role of the Hearing Officer at the close of
the hearing to either dismiss the notice or issue an order. This change
also aligns the agency's procedures in other enforcement contexts, for
example, in civil penalty and certificate action matters.

II. Summary of the Costs and Benefits of the Final Rule

    Changes to Federal regulations must undergo several economic
analyses. First, Executive Order 12866 and Executive Order 13563 direct
that each Federal agency shall propose or adopt a regulation only upon
a reasoned determination that the benefits of the intended regulation
justify its costs. Second, the Regulatory Flexibility Act of 1980 (Pub.
L. 96-354) requires agencies to analyze the economic impact of
regulatory changes on small entities. Third, the Trade Agreements Act
(Pub. L. 96-39) prohibits agencies from setting standards that create
unnecessary obstacles to the foreign commerce of the United States. In
developing U.S. standards, this Trade Act requires agencies to consider
international standards and, where appropriate, that they be the basis
of U.S. standards. Fourth, the Unfunded Mandates Reform Act of 1995
(Pub. L. 104-4) requires agencies to prepare a written assessment of
the costs, benefits, and other effects of proposed or final rules that
include a Federal mandate likely to result in the expenditure by State,
local, or tribal governments, in the aggregate, or by the private
sector, of $100 million or more annually (adjusted for inflation with
base year of 1995). This portion of the preamble summarizes the FAA's
analysis of the economic impacts of this final rule.
    Department of Transportation Order DOT 2100.5 prescribes policies
and procedures for simplification, analysis, and review of regulations.
If the expected cost impact is so minimal that a proposed or final rule
does not warrant a full evaluation, this order permits that a statement
to that effect and the basis for it to be included in the preamble if a
full regulatory evaluation of the cost and benefits is not prepared.
Such a determination has been made for this final rule. The reasoning
for this determination follows:
    The amendment to Sec.  13.20 allows for informal conference with
FAA Counsel for those persons subject to orders of compliance, cease
and desist orders, orders of denial, and other orders. This amendment
parallels due process already afforded to persons of other enforcement
actions (i.e. Sec.  13.16 and Sec.  13.18--civil penalty actions, and
Sec.  13.19--certificate actions). Since the amendment provides
voluntary opportunity for issues to be resolved, or at least narrowed,
prior to a formal hearing, a positive net benefit is realized.
    Since the expected outcome will be a minimal impact with positive
net benefits, a regulatory evaluation was not prepared.
    The FAA has, therefore, determined that this final rule is not a
``significant regulatory action'' as defined in section 3(f) of
Executive Order 12866, and is not ``significant'' as defined in DOT's
Regulatory Policies and Procedures.

III. Regulatory Notices and Analyses

A. Regulatory Flexibility Determination

    The Regulatory Flexibility Act of 1980 (Pub. L. 96-354) (RFA)
establishes ``as a principle of regulatory issuance that agencies shall
endeavor, consistent with the objectives of the rule and of applicable
statutes, to fit regulatory and informational requirements to the scale
of the businesses, organizations, and governmental jurisdictions
subject to regulation.'' To achieve this principle, agencies are
required to solicit and consider flexible regulatory proposals and to
explain the rationale for their actions to assure that such proposals
are given serious consideration.'' The RFA covers a wide-range of small
entities, including small businesses, not-for-profit organizations, and
small governmental jurisdictions.
    Agencies must perform a review to determine whether a rule will
have a significant economic impact on a substantial number of small
entities. If the agency determines that it will, the agency must
prepare a regulatory flexibility analysis as described in the RFA.
However, if an agency determines that a rule is not expected to have a
significant economic impact on a substantial number of small entities,
section 605(b) of the RFA provides that the head of the agency may so
certify and a regulatory flexibility analysis is not required. The
certification must include a statement providing the factual basis for
this determination, and the reasoning should be clear.
    This final rule provides a positive net benefit to persons subject
to orders the opportunity to have informal conference with FAA Counsel
prior to a formal hearing. Thus, this rule affects persons, not small
entities.
    If an agency determines that a rulemaking will not result in a
significant economic impact on a substantial number of small entities,
the head of the agency may so certify under section 605(b) of the RFA.
Therefore, as provided in section 605(b), the head of the FAA certifies
that this rulemaking will not result in a significant economic impact
on a substantial number of small entities.

B. International Trade Impact Assessment

    The Trade Agreements Act of 1979 (Pub. L. 96-39), as amended by the
Uruguay Round Agreements Act (Pub. L. 103-465), prohibits Federal
agencies from establishing standards or engaging in related activities
that create unnecessary obstacles to the foreign commerce of the United
States. Pursuant to these Acts, the establishment of standards is not
considered an unnecessary obstacle to the foreign commerce of the
United States, so long as the standard has a legitimate domestic
objective, such as the protection of safety, and does not operate in a
manner that excludes imports that meet this objective. The statute also
requires consideration of international standards and, where
appropriate, that they be the basis for U.S. standards. The FAA has
assessed the potential effect of this final rule and determined that it
offers the same positive net benefit to all persons regardless of
nationality and thus has a neutral trade impact.

C. Unfunded Mandates Assessment

    Title II of the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-
4) requires each Federal agency to prepare a written statement
assessing the effects of any Federal mandate in a proposed or final
agency rule that may result in an expenditure of $100 million or more
(in 1995 dollars) in any one year by State, local, and tribal
governments, in the aggregate, or by the private sector; such a mandate
is deemed to be a ``significant regulatory action.'' The FAA currently
uses an inflation-adjusted value of $151 million in lieu of $100
million. This final rule does not contain such a mandate; therefore,
the requirements of Title II of the Act do not apply.

D. Paperwork Reduction Act

    The Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)) requires
that the FAA consider the impact of paperwork and other information
collection burdens imposed on the public. The FAA has determined that
there is no new requirement for information collection associated with
this final rule.

E. International Compatibility and Cooperation

    (1) In keeping with U.S. obligations under the Convention on
International Civil Aviation, it is FAA policy to conform to
International Civil Aviation Organization (ICAO) Standards and
Recommended Practices to the maximum extent practicable. The FAA has
reviewed the corresponding ICAO Standards and Recommended Practices and
has identified no differences with these regulations.
    (2) Executive Order 13609, Promoting International Regulatory
Cooperation, promotes international regulatory cooperation to meet
shared challenges involving health, safety, labor, security,
environmental, and other issues and to reduce, eliminate, or prevent
unnecessary differences in regulatory requirements. The FAA has
analyzed this action under the policies and agency responsibilities of
Executive Order 13609, and has determined that this action would have
no effect on international regulatory cooperation.

F. Environmental Analysis

    FAA Order 1050.1E identifies FAA actions that are categorically
excluded from preparation of an environmental assessment or
environmental impact statement under the National Environmental Policy
Act in the absence of extraordinary circumstances. The FAA has
determined this rulemaking action qualifies for the categorical
exclusion identified in Chapter 3, paragraph 312d and involves no
extraordinary circumstances.

IV. Executive Order Determinations

A. Executive Order 13132, Federalism

    The FAA has analyzed this final rule under the principles and
criteria of Executive Order 13132, Federalism. The agency determined
that this action will not have a substantial direct effect on the
States, or the relationship between the Federal Government and the
States, or on the distribution of power and responsibilities among the
various levels of government, and, therefore, does not have Federalism
implications.

B. Executive Order 13211, Regulations That Significantly Affect Energy
Supply, Distribution, or Use

    The FAA analyzed this final rule under Executive Order 13211,
Actions Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use (May 18, 2001). The agency has determined that it
is not a ``significant energy action'' under the executive order and it
is not likely to have a significant adverse effect on the supply,
distribution, or use of energy.

V. How To Obtain Additional Information

A. Rulemaking Documents

    An electronic copy of a rulemaking document may be obtained by
using the Internet--
    1. Search the Federal eRulemaking Portal (http://www.regulations.gov);
    2. Visit the FAA's Regulations and Policies Web page at http://www.faa.gov/regulations_policies/ or
    3. Access the Government Printing Office's Web page at: http://www.gpo.gov/fdsys/.
    Copies may also be obtained by sending a request (identified by
notice, amendment, or docket number of this rulemaking) to the Federal
Aviation Administration, Office of Rulemaking, ARM-1, 800 Independence
Avenue SW., Washington, DC 20591, or by calling<PHONE_NUMBER>.

B. Comments Submitted to the Docket

    Comments received may be viewed by going to http://www.regulations.gov and following the online instructions to search the
docket number for this action. Anyone is able to search the electronic
form of all comments received into any of the FAA's dockets by the name
of the individual submitting the comment (or signing the comment, if
submitted on behalf of an association, business, labor union, etc.).

C. Small Business Regulatory Enforcement Fairness Act

    The Small Business Regulatory Enforcement Fairness Act (SBREFA) of
1996 requires FAA to comply with small entity requests for information
or advice about compliance with statutes and regulations within its
jurisdiction. A small entity with questions regarding this document,
may contact its local FAA official, or the person listed under the FOR
FURTHER INFORMATION CONTACT heading at the beginning of the preamble.
To find out more about SBREFA on the Internet, visit http://www.faa.gov/regulations_policies/rulemaking/sbre_act/.

List of Subjects in 14 CFR Part 13

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

The Amendment

    In consideration of the foregoing, the Federal Aviation amends
Chapter I of Title 14, Code of Federal Regulations, as follows:

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, 44701-44703, 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.  13.20 by revising paragraphs (c) and (d) to read as
follows:

13.20   Orders of compliance, cease and desist orders, orders of
denial, and other orders

* * * * *
    (c) Within 30 days after service of the notice, the person subject
to the order may''
    (1) Request an opportunity to be heard in an informal conference
with an FAA attorney;
    (2) Reply in writing; or
    (3) Request a hearing in accordance with subpart D of this part.
    (d) If an informal conference is held or a reply is filed, as to
any charges not withdrawn or not subject to a consent order, the person
subject to the order may, within 10 days after receipt of notice that
the remaining charges are not withdrawn, request a hearing in
accordance with subpart D of this part.
* * * * *

    Issued under authority of 49 U.S.C. 106 and 44701 in Washington,
DC, on July 17, 2014.
Michael P. Huerta,
Administrator.
[FR Doc. 2014-18294 Filed 8-11-14; 8:45 am]
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[Federal Register: April 13, 2010 (Volume 75, Number 70)]
[Notices]
[Page 18941]
[DOCID:fr13ap10-110]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Notice of Intent To Request Revision From the Office of
Management and Budget of a Currently Approved Information Collection
Activity, Request for Comments; Notice of Proposed Construction or
Alteration, Notice of Actual Construction or Alteration, Project Status
Report

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice and request for comments.

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SUMMARY: The FAA invites public comments about our intention to request
the Office of Management and Budget (OMB) to approve a current
information collection. 49 U.S.C. Section 44718 states that the
Secretary of Transportation shall require notice of structures that may
affect navigable airspace, air commerce, or air capacity.

DATES: Please submit comments by June 14, 2010.

FOR FURTHER INFORMATION CONTACT: Carla Mauney on<PHONE_NUMBER>, or by
e-mail at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Federal Aviation Administration (FAA)

    Title: Notice of Proposed Construction or Alteration, Notice of
Actual Construction or Alteration, Project Status Report.
    Type of Request: Extension without change of an approved
collection.
    OMB Control Number: 2120-0001.
    Forms(s): 7460-1, 7460-2.
    Affected Public: A total of 70,400 Respondents.
    Frequency: The information is collected on occasion.
    Estimated Average Burden per Response: Approximately 12 minutes per
response.
    Estimated Annual Burden Hours: An estimated 14,596 hours annually.
    Abstract: 49 U.S.C. 44718 states that the Secretary of
Transportation shall require notice of structures that may affect
navigable airspace, air commerce, or air capacity. These notice
requirements are contained in 14 CFR part 77.

ADDRESSES: Send comments to the FAA at the following address: Ms. Carla
Mauney, Room 712, Federal Aviation Administration, IT Enterprises
Business Services Division, AES-200, 800 Independence Ave., SW.,
Washington, DC 20591.
    Comments are invited on: Whether the proposed collection of
information is necessary for the proper performance of the functions of
the Department, including whether the information will have practical
utility; the accuracy of the Department's estimates of the burden of
the proposed information collection; ways to enhance the quality,
utility and clarity of the information to be collected; and ways to
minimize the burden of the collection of information on respondents,
including the use of automated collection techniques or other forms of
information technology.

    Issued in Washington, DC, on April 7, 2010.
Carla Mauney,
FAA Information Collection Clearance Officer, IT Enterprises Business
Services Division, AES-200.
[FR Doc. 2010-8417 Filed 4-12-10; 8:45 am]
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