background image


Federal Aviation Administration, DOT 

§ 13.202 

or the receipt of an exhibit in accord-
ance with paragraph (a) of this section 
will be relevant, competent and mate-
rial to the investigation, the Presiding 
Officer may subpoena the witness or 
use the exhibit during the investiga-

§ 13.125


Depositions for investigative pur-

poses may be taken at the discretion of 
the Presiding Officer with reasonable 
notice to the party under investiga-
tion. Such depositions shall be taken 
before the Presiding Officer or other 
person authorized to administer oaths 
and designated by the Presiding Offi-
cer. The testimony shall be reduced to 
writing by the person taking the depo-
sition, or under the direction of that 
person, and where possible shall then 
be subscribed by the deponent. Any 
person may be compelled to appear and 
testify and to produce physical and 
documentary evidence. 

§ 13.127

Reports, decisions and orders. 

The Presiding Officer shall issue a 

written report based on the record de-
veloped during the formal investiga-
tion, including a summary of principal 
conclusions. A summary of principal 
conclusions shall be prepared by the of-
ficial who issued the order of investiga-
tion in every case which results in no 
action, or no action as to a particular 
party to the investigation. All such re-
ports shall be furnished to the parties 
to the investigation and filed in the 
public docket. Insertion of the report 
in the Public Docket shall constitute 
‘‘entering of record’’ and publication as 
prescribed by section 313(b) of the Fed-
eral Aviation Act. 

§ 13.129

Post-investigation action. 

A decision on whether to initiate 

subsequent action shall be made on the 
basis of the record developed during 
the formal investigation and any other 
information in the possession of the 

§ 13.131

Other procedures. 

Any question concerning the scope or 

conduct of a formal investigation not 
covered in this subpart may be ruled on 
by the Presiding Officer on motion of 
the Presiding Officer, or on the motion 

of a party or a person testifying or pro-
ducing evidence. 

Subpart G—Rules of Practice in 

FAA Civil Penalty Actions 



: Amdt. 13–21, 55 FR 27575, July 3, 

1990, unless otherwise noted. 

§ 13.201


(a) This subpart applies to all civil 

penalty actions initiated under § 13.16 
of this part in which a hearing has been 

(b) This subpart applies only to pro-

ceedings initiated after September 7, 
1988. All other cases, hearings, or other 
proceedings pending or in progress be-
fore September 7, 1988, are not affected 
by the rules in this subpart. 

[Amdt. 13–21, 55 FR 27575, July 3, 1990, as 
amended by Amdt. 13–32; 69 FR 59497, Oct. 4, 

§ 13.202


Administrative law judge means an ad-

ministrative law judge appointed pur-
suant to the provisions of 5 U.S.C. 3105. 

Agency attorney means the Deputy 

Chief Counsel for Operations, the As-
sistant Chief Counsel, Enforcement, 
the Assistant Chief Counsel, Europe, 
Africa, and Middle East Area Office, 
each Regional Counsel, the Aero-
nautical Center Counsel, or the Tech-
nical Center Counsel, or an attorney on 
the staff of the Assistant Chief Coun-
sel, Enforcement, the Assistant Chief 
Counsel, Europe, Africa, and Middle 
East Area Office, each Regional Coun-
sel, the Aeronautical Center Counsel, 
or the Technical Center Counsel who 
prosecutes a civil penalty action. An 
agency attorney shall not include: 

(1) The Chief Counsel, the Deputy 

Chief Counsel for Policy and Adjudica-
tion, or the Assistant Chief Counsel for 

(2) Any attorney on the staff of the 

Assistant Chief Counsel for Litigation; 

(3) Any attorney who is supervised in 

a civil penalty action by a person who 
provides such advice to the FAA deci-
sionmaker in that action or a factu-
ally-related action. 

Attorney means a person licensed by a 

state, the District of Columbia, or a 

VerDate Sep<11>2014 

11:00 Mar 08, 2018

Jkt 244046

PO 00000

Frm 00071

Fmt 8010

Sfmt 8010



nshattuck on DSK9F9SC42PROD with CFR