Formal Complaints Collection

ICR 202108-2120-003

OMB: 2120-0795

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2021-09-08
Supplementary Document
2020-11-16
Supplementary Document
2020-10-20
IC Document Collections
IC ID
Document
Title
Status
244164 Unchanged
244158 Unchanged
ICR Details
2120-0795 202108-2120-003
Received in OIRA 202010-2120-009
DOT/FAA
Formal Complaints Collection
Existing collection in use without an OMB Control Number   No
Regular 01/13/2022
  Requested Previously Approved
36 Months From Approved
14 0
56 0
2,036 0

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.

US Code: 49 USC 46101
  
None

2120-AL00 Final or interim final rulemaking 86 FR 54514 10/01/2021

  85 FR 47288 08/04/2020
86 FR 50204 09/07/2021
No

2
IC Title Form No. Form Name
Answer
Complaint

  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
Yes
Miscellaneous Actions
No
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.

$4,846
No
    Yes
    No
No
No
No
No
Cole Milliard 202 267-3452 [email protected]

  No

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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
01/13/2022


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