FAA ENFORCEMENT ACTION RESPONSE

RESPONSE TYPE

Select the type of FAA correspondence you are responding to:

☐ Letter of Investigation (LOI)
☐ Notice of Proposed Certificate Action (NOPCA)
☐ Notice of Proposed Civil Penalty (NOPCP)
☐ Emergency Order (Suspension/Revocation)
☐ Reexamination Request (709 Ride)
☐ Administrative Action (Warning/Letter of Correction)

RESPONDENT INFORMATION

Full Legal Name: [________________________________]

Certificate Type: ☐ Private ☐ Commercial ☐ ATP ☐ CFI ☐ Mechanic ☐ Repair Station

Certificate Number: [________________________________]

Mailing Address: [________________________________]

City: [________________] State: [____] Zip: [__________]

Phone: [________________________________]

Email: [________________________________]

FAA ACTION DETAILS

FAA Office: [________________________________]

FAA Case Number: [________________________________]

FAA Contact/Inspector: [________________________________]

Date of FAA Correspondence: [__/__/____]

Date Received: [__/__/____]

Response Deadline: [__/__/____]

PART I - RESPONSE TO LETTER OF INVESTIGATION (LOI)

Understanding the LOI

A Letter of Investigation (LOI) is the FAA's notification that an investigation is underway. You are NOT required to respond, but any response becomes part of the record.

Response Options

☐ Option A: No Response
- You have no obligation to respond
- May prevent self-incrimination
- FAA will proceed based on available evidence

☐ Option B: Acknowledgment Only

☐ Option C: Request for Information

☐ Option D: Full Written Response

SAMPLE LOI RESPONSE - ACKNOWLEDGMENT ONLY

[Date]

Via [Certified Mail/Email]

[FAA Inspector Name]
[FAA Office]
[Address]
[City, State ZIP]

Re: Letter of Investigation dated [__/__/____]
Case Number: [________________]

Dear [Inspector Name]:

I acknowledge receipt of your Letter of Investigation dated [__/__/____].

☐ I respectfully decline to provide a statement at this time.

☐ I intend to seek legal counsel before providing any response.

☐ Please direct all future correspondence to my attorney:
[Attorney Name]
[Address]
[Phone]
[Email]

Sincerely,

[________________________________]
[Name]
[Certificate Number]

SAMPLE LOI RESPONSE - REQUEST FOR EIR

[Date]

Via [Certified Mail/Email]

[FAA Inspector Name]
[FAA Office]
[Address]

Re: Request for Enforcement Investigative Report
Case Number: [________________]

Dear [Inspector Name]:

Pursuant to the Pilot's Bill of Rights (Public Law 112-153) and 49 U.S.C. 44703(d), I hereby request the following materials related to the above-referenced investigation:

1. A copy of the Enforcement Investigative Report (EIR), including all releasable documents and evidence;

2. Any statements, recordings, or documents obtained during the investigation;

3. A list of any witnesses interviewed;

4. Any flight data, radar data, or ATC recordings;

5. Any photographs, videos, or other physical evidence;

6. Any other documents or materials upon which the FAA intends to rely.

Please provide these materials within the timeframe required by law.

Sincerely,

[________________________________]
[Name]
[Certificate Number]

PART II - RESPONSE TO NOPCA/NOPCP

Understanding the Notice

NOPCA (Certificate Action): FAA proposes to suspend or revoke your certificate

NOPCP (Civil Penalty): FAA proposes to assess a monetary penalty

Response Options (14 CFR 13.16)

☐ A. Accept the proposed action/penalty

☐ B. Submit written material or information that may explain, mitigate, or deny the violation

☐ C. Request an Informal Conference with an FAA attorney

☐ D. Combination - Submit written response AND request informal conference

☐ E. No response - FAA will issue final order

Response Deadline

CRITICAL: Response typically due within [____] days (check your notice)

SAMPLE RESPONSE TO NOPCA

[Date]

Via Certified Mail, Return Receipt Requested

[Regional Counsel]
Federal Aviation Administration
[Office Address]
[City, State ZIP]

Re: Notice of Proposed Certificate Action
Case Number: [________________]
Certificate Holder: [Name]
Certificate Number: [________________]

Dear Sir or Madam:

I am in receipt of the Notice of Proposed Certificate Action dated [__/__/____], alleging violation(s) of [regulatory citations] and proposing a [____]-day suspension of my [type] pilot certificate.

Pursuant to 14 CFR 13.16, I hereby:

☐ Request an Informal Conference to discuss this matter
☐ Submit the following written response

STATEMENT OF FACTS:

[Provide your factual account of the events in question]
[________________________________]
[________________________________]
[________________________________]

RESPONSE TO SPECIFIC ALLEGATIONS:

Allegation 1: [State the allegation]

Response: ☐ Deny ☐ Admit ☐ Admit in part

[Explanation:]
[________________________________]
[________________________________]

Allegation 2: [State the allegation]

Response: ☐ Deny ☐ Admit ☐ Admit in part

[Explanation:]
[________________________________]
[________________________________]

AFFIRMATIVE DEFENSES:

☐ NASA ASRS Report Filed
I filed an Aviation Safety Reporting System (ASRS) report within 10 days of this incident. Pursuant to 14 CFR 91.25 and Advisory Circular 00-46E, I am entitled to a waiver of any suspension.

• ASRS Report Number/Date: [________________________________]
• The violation was inadvertent and not deliberate
• This is my first use of ASRS protection in five years
• No accident occurred
• No criminal activity involved

☐ Stale Complaint
The FAA's action is untimely under the Pilot's Bill of Rights.

☐ Regulatory Ambiguity
[Explain why regulation is unclear]

☐ Emergency Authority
PIC emergency authority under 14 CFR 91.3 justified the action.

☐ Other: [________________________________]

MITIGATING FACTORS:

☐ [____] years of safe flying with no prior violations
☐ [__________] total flight hours
☐ Immediate corrective action taken: [________________________________]
☐ Additional training completed: [________________________________]
☐ No safety incident occurred
☐ Cooperation with investigation
☐ Other: [________________________________]

RELIEF REQUESTED:

Based on the foregoing, I respectfully request:

☐ Dismissal of all charges
☐ Reduction of charges to [________________________________]
☐ Administrative action (Warning Notice/Letter of Correction) in lieu of certificate action
☐ Reduction of suspension period to [____] days
☐ Reduction of civil penalty to $[__________]
☐ Other: [________________________________]

Thank you for your consideration of this response.

Respectfully submitted,

[________________________________]
[Printed Name]
[Certificate Number]
[Date]

Enclosures:
☐ ASRS Report identification strip
☐ Training records
☐ Flight records
☐ Supporting documentation
☐ [________________________________]

PART III - REQUEST FOR INFORMAL CONFERENCE

Sample Informal Conference Request

[Date]

[Regional Counsel]
Federal Aviation Administration
[Address]

Re: Request for Informal Conference
Case Number: [________________]

Dear Sir or Madam:

Pursuant to 14 CFR 13.16(c), I hereby request an Informal Conference to discuss the Notice of Proposed [Certificate Action/Civil Penalty] dated [__/__/____].

Preferred Conference Dates/Times:
1. [________________________________]
2. [________________________________]
3. [________________________________]

Conference Format Preferred:
☐ In-person at [________________________________]
☐ Telephone
☐ Video conference

Attendees:
- Respondent: [Name]
- Attorney (if applicable): [Name, Contact Info]
- Other: [________________________________]

I understand that a request for informal conference does not stay any response deadlines unless specifically agreed by the FAA.

Sincerely,

[________________________________]

PART IV - RESPONSE TO EMERGENCY ORDER

Critical Information for Emergency Orders

WARNING: Emergency orders are effective immediately upon receipt. Your certificate privileges are SUSPENDED or REVOKED as of the date you receive the order.

Immediate Actions Required:

☐ Do NOT exercise certificate privileges

☐ File Appeal with NTSB within 20 days (this STAYS the order for non-emergency cases)

☐ For Emergency Orders: If challenging the emergency determination, file a petition for review within 48 hours (49 U.S.C. 44709(e)(2))

☐ Contact an aviation attorney immediately

Emergency Review Petition (48-Hour Deadline)

If the FAA issued an Emergency Order and you wish to challenge the emergency determination:

File With:
National Transportation Safety Board
Office of Administrative Law Judges
490 L'Enfant Plaza East, SW
Washington, DC 20594
Email: [email protected]

Within 48 hours of receipt of Order

PART V - RESPONSE TO REEXAMINATION (709 RIDE)

Understanding the 709 Reexamination

Under 49 U.S.C. 44709 and the Pilot's Bill of Rights, before requiring a reexamination:

• FAA must provide a reasonable basis, described in detail
• Written notice is required
• You have the right to appeal to NTSB

Response Options

☐ Comply with reexamination request

☐ Request written explanation of basis for reexamination

☐ Negotiate scope/terms of reexamination

☐ Decline and appeal to NTSB (certificate may be suspended pending appeal)

Sample Response to 709 Request

[Date]

[FAA Office]
[Address]

Re: Reexamination Request dated [__/__/____]

Dear [Inspector Name]:

I acknowledge your letter requesting that I submit to a reexamination of my [type] pilot certificate.

☐ Pursuant to the Pilot's Bill of Rights, 49 U.S.C. 44709(a), I request that you provide a detailed written explanation of the reasonable basis for this reexamination request before I respond.

☐ I intend to cooperate with this reexamination. Please provide:
- Specific areas to be tested
- Proposed examiner(s)
- Proposed date(s) and location(s)
- Aircraft to be used (if practical test)

☐ I object to this reexamination request for the following reasons:
[________________________________]

I reserve all rights under the Pilot's Bill of Rights and applicable law.

Sincerely,

[________________________________]

PART VI - KEY CONTACTS AND RESOURCES

FAA Regional Counsel Offices

NTSB Contact

National Transportation Safety Board
Office of Administrative Law Judges
490 L'Enfant Plaza East, SW
Washington, DC 20594
Phone: 202-314-6150
Email: [email protected]

NASA ASRS

Aviation Safety Reporting System
NASA Ames Research Center
Moffett Field, CA 94035
Online: asrs.arc.nasa.gov

RESPONSE TRACKING

CERTIFICATION

I have reviewed this response and confirm that the information provided is true and accurate to the best of my knowledge.

Signature: [________________________________]

Printed Name: [________________________________]

Date: [__/__/____]

This template is for informational purposes only and does not constitute legal advice. FAA enforcement actions can have serious, career-ending consequences. Immediate consultation with an experienced aviation attorney is strongly recommended.