National Transportation Safety Board
The National Transportation Safety Board (“NTSB” or “Agency”) is the federal agency with responsibility for investigating accidents involving civil aircraft and other transportation modes including rail, maritime and surface transportation. The NTSB also has responsibility for pipeline explosions and bridge collapses. The Agency’s investigations result in so-called “probable cause” findings.
If your organization or business has experienced a serious accident that is under the jurisdiction of the NTSB, you will likely interact with a number of local, state and federal regulatory and criminal investigative entities. Their focus will be on the condition of the operator, the integrity of licensing and certification paperwork, and other pertinent issues that may have a bearing on the accident.
Statements to the NTSB are not privileged, and the Agency has no authority to offer immunity to witnesses providing information in any investigative phase. As a general rule, therefore, statements made are not privileged in a subsequent criminal prosecution and, as the rules of evidence allow, may be used against the company and witnesses. Additionally, it’s important to know that NTSB records are never sealed
The Agency has cooperative agreements with a number of other agencies, including the Department of Transportation and the Environmental Protection Agency. Notably, the NTSB has an agreement with the Federal Bureau of Investigation, whereby FBI agents are frequently detailed to investigations even when there is no evidence of criminal behavior.
Company employees and legal counsel responding to investigative requests in an ongoing NTSB investigation or enforcement action should be deliberate, thoughtful, and thorough in their efforts in responding to NTSB requests for information.
FAA Enforcement
The Federal Aviation Administration's (“FAA”) Enforcement Division initiates legal enforcement actions to address noncompliance by regulated entities and persons. Enforcement actions may include certificate actions, civil penalty actions, and informal procedures and settlements.
There is an opportunity at the beginning of most FAA enforcement cases to engage in informal procedures, including to participate in an informal conference with an FAA attorney. In a proceeding such as this, the alleged violator is given the opportunity to bring forward to the FAA exculpatory or mitigating evidence.
Often during the course of these informal procedures, an enforcement action can be resolved to the mutual satisfaction of the parties and settled without resort to litigation. Settlements may reflect a lesser civil penalty amount, sometimes due to charges being dropped. The FAA may also issue a compromise order, whereby the payment of a civil penalty without a violation is established as a matter of record. In some situations, multiple cases may be resolved at one time. And finally, sometimes cases initiated as certificate actions involving license suspensions or revocations are resolved by payment of a civil penalty.
If the FAA starts an Enforcement Action to suspend or revoke your pilot or A&P certificate, you have a right to a trial before an NTSB judge. In the trial you can contest the evidence presented by the FAA, present evidence, and call any witness on your behalf. At the end of the trial, the Judge renders the decision of the Court. You have the right to appeal that decision to the full NTSP Board. You can then appeal further to the United States Federal Court.
Contact Attorney C. Randall Stone of Lento Law Group
If you are put on notice regarding a potential enforcement action by the National Transportation Safety Board or Federal Aviation Administration, it’s important to contact an experienced attorney as soon as possible. While prompt communication with the agencies is important, there are many legal and strategic issues that need to be evaluated. Lento Law attorneys have many years of experience in guiding their clients through potentially high stakes regulatory proceedings and enforcement investigations. We can also represent you in any subsequent civil or criminal proceedings that may result from investigations or enforcement actions. An experienced and competent enforcement defense lawyer can prevent you from unwittingly taking any steps that may prejudice your case.