Formal Complaints Collection

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2120-XXXX New Collection Formal Complaints_11.13.2020_Clean.docx	Supporting Statement A	Uploaded 2020-12-08	Available
Pt. 13.5 Formal Complaints_Privacy Statement.docx	Supplementary Document	Uploaded 2020-11-16	Available
Fed Reg 60-day.pdf	Supplementary Document	Uploaded 2020-10-20	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
244164	Answer	Instruction	New
244158	Complaint	Instruction	New

ICR Details

OMB Control No: 2120-0795	ICR Reference No: 202010-2120-009
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: DOT/FAA	Agency Tracking No:
Title: Formal Complaints Collection
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule	Conclusion Date: 03/09/2021
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/29/2021
Terms of Clearance: OMB files this comment in accordance with 5 CFR 1320.11( c ). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. Prior to publication of the final rule, the agency should provide to OMB a summary of all comments received on the proposed information collection and identify any changes made in response to these comments.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: Formal complaints are voluntary submissions and can be filed by any person at any time. They are typically submitted by either an individual or an organization. Formal complaints must meet the following requirements in 14 CFR § 13.5(b) (as revised in the NPRM): (1) Be submitted in writing and identified as a complaint seeking an appropriate order or other enforcement action; (2) Be submitted to the Federal Aviation Administration, Office of the Chief Counsel; (3) Set forth the name and address, if known, of each person who is the subject of the complaint, with the specific statute, rule, regulation, or order violated; (4) Contain a concise but complete statement of the facts relied upon to substantiate each allegation; (5) State the name, address, telephone number, and email of the person filing the complaint; and (6) Be signed by the person filing the complaint or an authorized representative. Personnel in the FAA Office of the Chief Counsel, Enforcement Division (“FAA Enforcement Division”) receive and review each submission to determine if it complies with § 13.5(b). If it complies, the FAA Enforcement Division sends a copy of the complaint to all the subjects identified in the complaint. The subject of a complaint may file a written answer. The complaint and answer will often include supporting evidence (e.g., log book pages, pictures, emails). FAA reviews the complaint and answer provided. If FAA determines that reasonable grounds exist to support an investigation, it initiates an investigation and notifies the complainant and alleged violators of FAA’s determination in writing. The FAA Enforcement Division may initiate legal action if warranted by the investigation. If, however, FAA determines an investigation is not warranted, it dismisses the complaint, providing its rationale in writing to the complainant and alleged violators. The FAA Enforcement Division maintains the formal complaint docket and gives each complaint a unique docket number. The docket consists of the formal complaint, an answer (if any), and a response from the program office to the parties (i.e. complainant and subjects). If the complaint warrants no investigation, the program office’s response would be a letter advising the parties that there are no grounds for an investigation, and that the complaint is dismissed. If the complaint warrants an investigation, the program office would provide the parties a notification of the investigation and a report of the investigation. While the formal complaint docket is accessible to the public through a FOIA request, it is not accessible via the Internet. AGC-300 retains control over the information in the formal complaint docket and safeguards it from improper access, modification, and destruction, consistent with confidentiality, privacy, and electronic information requirements. The PII stored in the formal complaint docket is not disseminated to the public. Upon a member of the public’s request for materials from the docket, FAA would redact PII in accordance with the Privacy Act and other applicable law.

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Authorizing Statute(s): US Code: 49 USC 46101
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
2120-AL00	Proposed rulemaking	84 FR 3614	02/12/2019

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 47288	08/04/2020
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
Answer
Complaint

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Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: This is a new approval request for an existing collection process. As it currently exists, § 13.5 contains nearly the same information collection process as that proposed in the NPRM. The information collection, as proposed in the NPRM, updates the FAA’s address for receiving formal complaints and requires the email address of the person(s) submitting a formal complaint. However, current § 13.5 does not have a valid OMB control number.

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Annual Cost to Federal Government: $4,846

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 01/29/2021

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