Formal Complaints Collection

Forms and Documents

Document Name	Status
2120-XXXX New Collection Formal Complaints_3-9-21_Clean.docx Supporting Statement A	2021-09-08
Pt. 13.5 Formal Complaints_Privacy Statement.docx Supplementary Document	2020-11-16
Fed Reg 60-day.pdf Supplementary Document	2020-10-20

IC Document Collections

IC ID	Document Title	Status
244164	Answer Instruction	Unchanged
244158	Complaint Instruction	Unchanged

ICR Details

OMB Control No: 2120-0795	ICR Reference No: 202108-2120-003
Status: Received in OIRA	Previous ICR Reference No: 202010-2120-009
Agency/Subagency: DOT/FAA	Agency Tracking No:
Title: Formal Complaints Collection
Type of Information Collection: Existing collection in use without an OMB Control Number	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 01/13/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	14	0
Time Burden (Hours)	56	0
Cost Burden (Dollars)	2,036	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): (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	Final or interim final rulemaking	86 FR 54514	10/01/2021

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 47288	08/04/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 50204	09/07/2021
Did the Agency receive public comments on this ICR? No

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

IC Title	Form No.	Form Name
Answer
Complaint

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	14	0	0	7	7	0
Annual Time Burden (Hours)	56	0	0	28	28	0
Annual Cost Burden (Dollars)	2,036	0	0	2,036	0	0

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 in the final rule. The information collection, as given in the final rule, 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: 01/13/2022

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