37
Federal Aviation Administration, DOT
Pt. 13
14 CFR part or
section identified
and described
Current OMB control number
Part 198 .............
2120–0514
Part 400 .............
2120–0643, 2120–0644, 0649
Part 401 .............
2120–0608
Part 440 .............
2120–0601
SFAR 36 ............
2120–0507
SFAR 71 ............
2120–0620
[Doc. No. 1999–6622, 65 FR 50863, Aug. 21, 2000,
as amended by Amdt. 11–47, 67 FR 9553, Mar.
1, 2002; Amdt. 11–49, 68 FR 61321, Oct. 27, 2003;
Amdt. 11–49, 68 FR 70132, Dec. 17, 2003; 70 FR
40163, July 12, 2005; 71 FR 63426, Oct. 30, 2006;
72 FR 59599, Oct. 22, 2007; Amdt. 11–56, 79 FR
12937, Mar. 7, 2014; Amdt. 11–57, 80 FR 58586,
Sept. 30, 2015; Doc. FAA–2015–7396, Amdt. 11–
58, 80 FR 79255, Dec. 21, 2015; Doc. FAA–2011–
1136, Amdt. 11–59, 81 FR 13969, Mar. 16, 2016;
Doc. FAA–2014–0554, Amdt. 11–60, 81 FR 33117,
May 24, 2016; 81 FR 38573, June 14, 2016; Doc.
FAA–2016–9064, Amdt. 11–61, 81 FR 59129, Aug.
29, 2016; FAA–2018–1087, Amdt. 11–64, 86 FR
4381, Jan. 15, 2021; Docket No. FAA–2019–1100,
Amdt. 11–63, 86 FR 4503, Jan. 15, 2021; FAA–
2020–0246, Amdt. 11–65, 86 FR 31060, June 10,
2021; FAA–2018–1051, Amdt. 13–40A, 87 FR
61233, Oct. 11, 2022]
PART 13—INVESTIGATIVE AND
ENFORCEMENT PROCEDURES
Subpart A—General Authority to Re-
Delegate and Investigative Procedures
Sec.
13.1
Re-delegation.
13.2
Reports of violations.
13.3
Investigations (general).
13.5
Formal complaints.
13.7
Records, documents, and reports.
Subpart B—Administrative Actions
13.11
Administrative disposition of certain
violations.
Subpart C—Legal Enforcement Actions
13.13
Consent orders.
13.14
[Reserved]
13.15
Civil penalties: Other than by adminis-
trative assessment.
13.16
Civil penalties: Administrative assess-
ment against a person other than an in-
dividual acting as a pilot, flight engi-
neer, mechanic, or repairman; adminis-
trative assessment against all persons
for hazardous materials violations.
13.17
Seizure of aircraft.
13.18
Civil penalties: Administrative assess-
ment against an individual acting as a
pilot, flight engineer, mechanic, or re-
pairman.
13.19
Certificate actions appealable to the
National Transportation Safety Board.
13.20
Orders of compliance, cease and desist
orders, orders of denial, and other orders.
13.21–13.29
[Reserved]
Subpart D—Rules of Practice for FAA
Hearings
13.31
Applicability.
13.33
Parties, representatives, and notice of
appearance.
13.35
Request for hearing, complaint, and
answer.
13.37
Hearing officer: Assignment and pow-
ers.
13.39
Disqualification of hearing officer.
13.41
Separation of functions and prohibi-
tion on ex parte communications.
13.43
Service and filing of pleadings, mo-
tions, and documents.
13.44
[Reserved]
13.45
Computation of time and extension of
time.
13.47
Withdrawal or amendment of the com-
plaint, answer, or other filings.
13.49
Motions.
13.51
Intervention.
13.53
Discovery.
13.55
Notice of hearing.
13.57
Subpoenas and witness fees.
13.59
Evidence.
13.61
Argument and submittals.
13.63
Record, decision, and aircraft registra-
tion proceedings.
13.65
Appeal to the Administrator, reconsid-
eration, and judicial review.
13.67
Procedures for expedited proceedings.
13.69
Other matters: Alternative dispute
resolution, standing orders, and forms.
Subpart E—Orders of Compliance Under
the Hazardous Materials Transportation Act
13.70
Delegation of authority.
13.71
Applicability.
13.73
Notice of proposed order of compli-
ance.
13.75
Reply or request for hearing.
13.77
Consent order of compliance.
13.79
[Reserved]
13.81
Emergency orders.
13.83–13.87
[Reserved]
Subpart F—Formal Fact-Finding Investiga-
tion Under an Order of Investigation
13.101
Applicability.
13.103
Order of investigation.
13.105
Notification.
13.107
Designation of additional parties.
13.109
Convening the investigation.
13.111
Subpoenas.
13.113
Noncompliance with the investigative
process.
13.115
Public proceedings.
13.117
Conduct of investigative proceeding
or deposition.
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§ 13.1
13.119
Immunity and orders requiring testi-
mony or other information.
13.121
Witness fees.
13.123
Submission by party to the investiga-
tion.
13.125
Depositions.
13.127
Reports, decisions, and orders.
13.129
Post-investigation action.
13.131
Other procedures.
Subpart G—Rules of Practice In FAA Civil
Penalty Actions
13.201
Applicability.
13.202
Definitions.
13.203
Separation of functions.
13.204
Appearances and rights of parties.
13.205
Administrative law judges.
13.206
Intervention.
13.207
Certification of documents.
13.208
Complaint.
13.209
Answer.
13.210
Filing of documents.
13.211
Service of documents.
13.212
Computation of time.
13.213
Extension of time.
13.214
Amendment of pleadings.
13.215
Withdrawal of complaint or request
for hearing.
13.216
Waivers.
13.217
Joint procedural or discovery sched-
ule.
13.218
Motions.
13.219
Interlocutory appeals.
13.220
Discovery.
13.221
Notice of hearing.
13.222
Evidence.
13.223
Standard of proof.
13.224
Burden of proof.
13.225
Offer of proof.
13.226
Public disclosure of information.
13.227
Expert or opinion witnesses.
13.228
Subpoenas.
13.229
Witness fees.
13.230
Record.
13.231
Argument before the administrative
law judge.
13.232
Initial decision.
13.233
Appeal from initial decision.
13.234
Petition to reconsider or modify a
final decision and order of the FAA deci-
sionmaker on appeal.
13.235
Judicial review of a final decision and
order.
13.236
Alternative dispute resolution.
Subpart H—Civil Monetary Penalty Inflation
Adjustment
13.301
Inflation adjustments of civil mone-
tary penalties.
Subpart I—Flight Operational Quality
Assurance Programs
13.401
Flight Operational Quality Assurance
program: Prohibition against use of data
for enforcement purposes.
A
UTHORITY
: 18 U.S.C. 6002; 28 U.S.C. 2461
(note); 49 U.S.C. 106(g), 5121–5124, 40113–40114,
44103–44106, 44701–44704, 44709–44710, 44713,
44725, 44742, 44802 (note), 46101–46111, 46301,
46302 (for a violation of 49 U.S.C. 46504), 46304–
46316, 46318–46320, 46501–46502, 46504, 46507,
47106, 47107, 47111, 47122, 47306, 47531–47532; 49
CFR 1.83.
S
OURCE
: Docket No. 18884, 44 FR 63723, Nov.
5, 1979, unless otherwise noted.
Subpart A—General Authority to
Re-Delegate and Investiga-
tive Procedures
S
OURCE
: Docket No. FAA-2018-1051; Amdt.
No. 13-40, 86 FR 54526, Oct. 1, 2021, unless oth-
erwise noted.
§ 13.1
Re-delegation.
Unless otherwise specified, the Chief
Counsel, each Deputy Chief Counsel,
and the Assistant Chief Counsel for En-
forcement may re-delegate the author-
ity delegated to them under this part.
§ 13.2
Reports of violations.
(a) Any person who knows of any vio-
lation of 49 U.S.C. subtitle VII, 49
U.S.C. chapter 51, or any rule, regula-
tion, or order issued under those stat-
utes, should report the violation to
FAA personnel.
(b) FAA personnel will review each
report made under this section to de-
termine whether any additional inves-
tigation or action is warranted.
§ 13.3
Investigations (general).
(a) The Administrator may conduct
investigations; hold hearings; issue
subpoenas; require the production of
relevant documents, records, and prop-
erty; and take evidence and deposi-
tions.
(b) The Administrator has delegated
the authority to conduct investiga-
tions to the various services and offices
for matters within their respective
areas.
(c) The Administrator delegates to
the Chief Counsel, each Deputy Chief
Counsel, and the Assistant Chief Coun-
sel for Enforcement the authority to:
(1) Issue orders;
(2) Conduct formal investigations;
(3) Subpoena witnesses and records in
conducting a hearing or investigation;
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§ 13.5
(4) Order depositions and production
of records in a proceeding or investiga-
tion; and
(5) Petition a court of the United
States to enforce a subpoena or order
described in paragraphs (c)(3) and (4) of
this section.
(d) A complaint against the sponsor,
proprietor, or operator of a federally
assisted airport involving violations of
the legal authorities listed in § 16.1 of
this chapter must be filed in accord-
ance with the provisions of part 16 of
this chapter.
§ 13.5
Formal complaints.
(a) Any person may file a complaint
with the Administrator with respect to
a violation by a person of any require-
ment under 49 U.S.C. subtitle VII, 49
U.S.C. chapter 51, or any rule, regula-
tion, or order issued under those stat-
utes, as to matters within the jurisdic-
tion of the Administrator. This section
does not apply to complaints against
the Administrator or employees of the
FAA acting within the scope of their
employment.
(b) Complaints filed under this sec-
tion must—
(1) Be submitted in writing and iden-
tified as a complaint seeking an appro-
priate order or other enforcement ac-
tion;
(2) Be submitted to the Federal Avia-
tion Administration, Office of the Chief
Counsel, Attention: Formal Complaint
Clerk (AGC–300), 800 Independence Ave-
nue SW, Washington, DC 20591;
(3) Set forth the name and address, if
known, of each person who is the sub-
ject of the complaint and, with respect
to each person, the specific provisions
of the statute, rule, regulation, or
order that the complainant believes
were violated;
(4) Contain a concise but complete
statement of the facts relied upon to
substantiate each allegation;
(5) State the name, address, tele-
phone number, and email of the person
filing the complaint; and
(6) Be signed by the person filing the
complaint or an authorized representa-
tive.
(c) A complaint that does not meet
the requirements of paragraph (b) of
this section will be considered a report
under § 13.2.
(d) The FAA will send a copy of a
complaint that meets the requirements
of paragraph (b) of this section to the
subject(s) of the complaint by certified
mail.
(e) A subject of the complaint may
serve a written answer to the com-
plaint to the Formal Complaint Clerk
at the address specified in paragraph
(b)(2) of this section no later than 20
days after service of a copy of the com-
plaint. For purposes of this paragraph
(e), the date of service is the date on
which the FAA mailed a copy of the
complaint to the subject of the com-
plaint.
(f) After the subject(s) of the com-
plaint have served a written answer or
after the allotted time to serve an an-
swer has expired, the Administrator
will determine if there are reasonable
grounds for investigating the com-
plaint, and—
(1) If the Administrator determines
that a complaint does not state facts
that warrant an investigation or ac-
tion, the complaint may be dismissed
without a hearing and the reason for
the dismissal will be given, in writing,
to the person who filed the complaint
and the subject(s) of the complaint; or
(2) If the Administrator determines
that reasonable grounds exist, an infor-
mal investigation may be initiated or
an order of investigation may be issued
in accordance with subpart F of this
part, or both. The subject(s) of a com-
plaint will be advised which official has
been delegated the responsibility under
§ 13.3(b) or (c), as applicable, for con-
ducting the investigation.
(g) If the investigation substantiates
the allegations set forth in the com-
plaint, the Administrator may take ac-
tion in accordance with applicable law
and FAA policy.
(h) The complaint and other records
relating to the disposition of the com-
plaint are maintained in the Formal
Complaint Docket (AGC–300), Office of
the Chief Counsel, Federal Aviation
Administration, 800 Independence Ave-
nue SW, Washington, DC 20591. Any in-
terested person may examine any dock-
eted material at that office at any time
after the docket is established, except
material that is required to be with-
held from the public under applicable
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14 CFR Ch. I (1–1–24 Edition)
§ 13.7
law, and may obtain a copy upon pay-
ing the cost of the copy.
§ 13.7
Records, documents, and re-
ports.
Each record, document, and report
that FAA regulations require to be
maintained, exhibited, or submitted to
the Administrator may be used in any
investigation conducted by the Admin-
istrator; and, except to the extent the
use may be specifically limited or pro-
hibited by the section which imposes
the requirement, the records, docu-
ments, and reports may be used in any
civil penalty action, certificate action,
or other legal proceeding.
Subpart B—Administrative Actions
S
OURCE
: Docket No. FAA-2018-1051; Amdt.
No. 13-40, 86 FR 54527, Oct. 1, 2021, unless oth-
erwise noted.
§ 13.11
Administrative disposition of
certain violations.
(a) If, after an investigation, FAA
personnel determine that an apparent
violation of 49 U.S.C. subtitle VII, 49
U.S.C. chapter 51, or any rule, regula-
tion, or order issued under those stat-
utes, does not require legal enforce-
ment action, an appropriate FAA offi-
cial may take administrative action to
address the apparent violation.
(b) An administrative action under
this section does not constitute a for-
mal adjudication of the matter, and
may take the form of—
(1) A Warning Notice that recites
available facts and information about
the incident or condition and indicates
that it may have been a violation; or
(2) A Letter of Correction that states
the corrective action the apparent vio-
lator has taken or agrees to take. If
the apparent violator does not com-
plete the agreed corrective action, the
FAA may take legal enforcement ac-
tion.
Subpart C—Legal Enforcement
Actions
S
OURCE
: Docket No. FAA-2018-1051; Amdt.
No. 13-40, 86 FR 54527, Oct. 1, 2021, unless oth-
erwise noted.
§ 13.13
Consent orders.
(a) The Chief Counsel, each Deputy
Chief Counsel, and the Assistant Chief
Counsel for Enforcement may issue a
consent order to resolve any matter
with a person that may be subject to
legal enforcement action.
(b) A person that may be subject to
legal enforcement action may propose
a consent order. The proposed consent
order must include—
(1) An admission of all jurisdictional
facts;
(2) An express waiver of the right to
further procedural steps and of all
rights to legal review in any forum;
(3) An express waiver of attorney’s
fees and costs;
(4) If a notice or order has been
issued prior to the proposed consent
order, an incorporation by reference of
the notice or order and an acknowledg-
ment that the notice or order may be
used to construe the terms of the con-
sent order; and
(5) If a request for hearing or appeal
is pending in any forum, a provision
that the person will withdraw the re-
quest for hearing or notice of appeal.
§ 13.14
[Reserved]
§ 13.15
Civil penalties: Other than by
administrative assessment.
(a) The FAA uses the procedures in
this section when it seeks a civil pen-
alty other than by the administrative
assessment procedures in § 13.16 or
§ 13.18.
(b) The authority of the Adminis-
trator to seek a civil penalty, and the
ability to refer cases to the United
States Attorney General, or the dele-
gate of the Attorney General, for pros-
ecution of civil penalty actions sought
by the Administrator is delegated to
the Chief Counsel, each Deputy Chief
Counsel, and the Assistant Chief Coun-
sel for Enforcement. This delegation
applies to cases involving one or more
of the following:
(1) An amount in controversy in ex-
cess of:
(i) $400,000, if the violation was com-
mitted by a person other than an indi-
vidual or small business concern; or
(ii) $50,000, if the violation was com-
mitted by an individual or small busi-
ness concern.
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§ 13.16
(2) An in rem action, seizure of air-
craft subject to lien, suit for injunctive
relief, or for collection of an assessed
civil penalty.
(c) The Administrator may com-
promise any civil penalty proposed
under this section, before referral to
the United States Attorney General, or
the delegate of the Attorney General,
for prosecution.
(1) The Administrator, through the
Chief Counsel, a Deputy Chief Counsel,
or the Assistant Chief Counsel for En-
forcement sends a civil penalty letter
to the person charged with a violation.
The civil penalty letter contains a
statement of the charges; the applica-
ble law, rule, regulation, or order; and
the amount of civil penalty that the
Administrator will accept in full set-
tlement of the action or an offer to
compromise the civil penalty.
(2) Not later than 30 days after re-
ceipt of the civil penalty letter, the
person cited with an alleged violation
may respond to the civil penalty letter
by—
(i) Submitting electronic payment, a
certified check, or money order in the
amount offered by the Administrator
in the civil penalty letter. The agency
attorney will send a letter to the per-
son charged with the violation stating
that payment is accepted in full settle-
ment of the civil penalty action; or
(ii) Submitting one of the following
to the agency attorney:
(A) Written material or information
that may explain, mitigate, or deny
the violation or that may show extenu-
ating circumstances; or
(B) A written request for an informal
conference to discuss the matter with
the agency attorney and to submit any
relevant information or documents
that may explain, mitigate, or deny
the violation; or that may show ex-
tenuating circumstances.
(3) The documents, material, or infor-
mation submitted under paragraph
(c)(2)(ii) of this section may include
support for any claim of inability to
pay the civil penalty in whole or in
part, or for any claim of small business
status as defined in 49 U.S.C. 46301(i).
(4) The Administrator will consider
any material or information submitted
under paragraph (c)(2)(ii) of this sec-
tion to determine whether the person
is subject to a civil penalty or to deter-
mine the amount for which the Admin-
istrator will compromise the action.
(5) If the parties cannot agree to
compromise the civil penalty, the Ad-
ministrator may refer the civil penalty
action to the United States Attorney
General, or the delegate of the Attor-
ney General, to begin proceedings in a
U.S. district court to prosecute and
collect a civil penalty.
§ 13.16
Civil penalties: Administrative
assessment against a person other
than an individual acting as a pilot,
flight engineer, mechanic, or re-
pairman; administrative assessment
against all persons for hazardous
materials violations.
(a)
General. The FAA uses the proce-
dures in this section when it assesses a
civil penalty against a person other
than an individual acting as a pilot,
flight engineer, mechanic, or repair-
man for a violation cited in the first
sentence of 49 U.S.C. 46301(d)(2), or in 49
U.S.C. 47531, or any implementing rule,
regulation, or order, except when the
U.S. district courts have exclusive ju-
risdiction.
(b)
District court jurisdiction. The U.S.
district courts have exclusive jurisdic-
tion of any civil penalty action initi-
ated by the FAA for violations de-
scribed in paragraph (a) of this section
if—
(1) The amount in controversy is
more than $400,000 for a violation com-
mitted by a person other than an indi-
vidual or small business concern;
(2) The amount in controversy is
more than $50,000 for a violation com-
mitted by an individual or a small
business concern;
(3) The action is in rem or another
action in rem based on the same viola-
tion has been brought;
(4) The action involves an aircraft
subject to a lien that has been seized
by the Government; or
(5) Another action has been brought
for an injunction based on the same
violation.
(c)
Hazardous materials violations. An
order assessing a civil penalty for a
violation under 49 U.S.C. chapter 51, or
a rule, regulation, or order issued
under 49 U.S.C. chapter 51, is issued
only after the following factors have
been considered:
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§ 13.16
(1) The nature, circumstances, ex-
tent, and gravity of the violation;
(2) With respect to the violator, the
degree of culpability, any history of
prior violations, the ability to pay, and
any effect on the ability to continue to
do business; and
(3) Other matters that justice re-
quires.
(d)
Delegation of authority. The au-
thority of the Administrator is dele-
gated to each Deputy Chief Counsel
and the Assistant Chief Counsel for En-
forcement, as follows:
(1) Under 49 U.S.C. 46301(d), 47531, and
5123, and 49 CFR 1.83, to initiate and as-
sess civil penalties for a violation of
those statutes or a rule, regulation, or
order issued under those provisions;
(2) Under 49 U.S.C. 5123, 49 CFR 1.83,
49 U.S.C. 46301(d), and 49 U.S.C. 46305, to
refer cases to the Attorney General of
the United States or a delegate of the
Attorney General for collection of civil
penalties;
(3) Under 49 U.S.C. 46301(f), to com-
promise the amount of a civil penalty
imposed; and
(4) Under 49 U.S.C. 5123(e) and (f) and
49 CFR 1.83, to compromise the amount
of a civil penalty imposed.
(e)
Order assessing civil penalty. (1) An
order assessing civil penalty may be
issued for a violation described in para-
graph (a) or (c) of this section, or as
otherwise provided by statute, after
notice and opportunity for a hearing,
when:
(i) A person charged with a violation
agrees to pay a civil penalty for a vio-
lation; or
(ii) A person charged with a violation
does not request a hearing under para-
graph (g)(2)(ii) of this section within 15
days after receipt of a final notice of
proposed civil penalty.
(2) The following also serve as an
order assessing civil penalty:
(i) An initial decision or order issued
by an administrative law judge as de-
scribed in § 13.232(e).
(ii) A decision or order issued by the
FAA decisionmaker as described in
§ 13.233(j).
(f)
Notice of proposed civil penalty. A
civil penalty action is initiated by
sending a notice of proposed civil pen-
alty to the person charged with a viola-
tion, the designated agent for the per-
son, or if there is no such designated
agent, the president of the company
charged with a violation. In response
to a notice of proposed civil penalty, a
company may designate in writing an-
other person to receive documents in
that civil penalty action. The notice of
proposed civil penalty contains a state-
ment of the charges and the amount of
the proposed civil penalty. Not later
than 30 days after receipt of the notice
of proposed civil penalty, the person
charged with a violation may—
(1) Submit the amount of the pro-
posed civil penalty or an agreed-upon
amount, in which case either an order
assessing civil penalty or compromise
order under paragraph (n) of this sec-
tion may be issued in that amount;
(2) Submit to the agency attorney
one of the following:
(i) Written information, including
documents and witness statements,
demonstrating that a violation of the
regulations did not occur or that a pen-
alty or the amount of the penalty is
not warranted by the circumstances.
(ii) A written request to reduce the
proposed civil penalty, stating the
amount of reduction and the reasons
and providing any documents sup-
porting a reduction of the proposed
civil penalty, including records indi-
cating a financial inability to pay or
records showing that payment of the
proposed civil penalty would prevent
the person from continuing in business.
(iii) A written request for an infor-
mal conference to discuss the matter
with the agency attorney and to sub-
mit relevant information or docu-
ments; or
(3) Request a hearing conducted in
accordance with subpart G of this part.
(g)
Final notice of proposed civil pen-
alty. A final notice of proposed civil
penalty will be sent to the person
charged with a violation, the des-
ignated agent for the person, the des-
ignated agent named in accordance
with paragraph (f) of this section, or
the president of the company charged
with a violation. The final notice of
proposed civil penalty contains a state-
ment of the charges and the amount of
the proposed civil penalty and, as a re-
sult of information submitted to the
agency attorney during informal proce-
dures, may modify an allegation or a
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§ 13.17
proposed civil penalty contained in a
notice of proposed civil penalty.
(1) A final notice of proposed civil
penalty may be issued—
(i) If the person charged with a viola-
tion fails to respond to the notice of
proposed civil penalty within 30 days
after receipt of that notice; or
(ii) If the parties participated in any
procedures under paragraph (f)(2) of
this section and the parties have not
agreed to compromise the action or the
agency attorney has not agreed to
withdraw the notice of proposed civil
penalty.
(2) Not later than 15 days after re-
ceipt of the final notice of proposed
civil penalty, the person charged with
a violation may do one of the fol-
lowing:
(i) Submit the amount of the pro-
posed civil penalty or an agreed-upon
amount, in which case either an order
assessing civil penalty or a com-
promise order under paragraph (n) of
this section may be issued in that
amount; or
(ii) Request a hearing conducted in
accordance with subpart G of this part.
(h)
Request for a hearing. Any person
requesting a hearing, under paragraph
(f)(3) or (g)(2)(ii) of this section must
file the request with the FAA Hearing
Docket Clerk and serve the request on
the agency attorney in accordance
with the requirements in subpart G of
this part.
(i)
Hearing. The procedural rules in
subpart G of this part apply to the
hearing.
(j)
Appeal. Either party may appeal
the administrative law judge’s initial
decision to the FAA decisionmaker
under the procedures in subpart G of
this part. The procedural rules in sub-
part G of this part apply to the appeal.
(k)
Judicial review. A person may seek
judicial review only of a final decision
and order of the FAA decisionmaker in
accordance with § 13.235.
(l)
Payment. (1) A person must pay a
civil penalty by:
(i) Sending a certified check or
money order, payable to the Federal
Aviation Administration, to the FAA
office identified in the notice of pro-
posed civil penalty, the final notice of
proposed civil penalty, or the order as-
sessing civil penalty; or
(ii) Making an electronic payment
according to the directions specified in
the notice of proposed civil penalty,
the final notice of proposed civil pen-
alty, or the order assessing civil pen-
alty.
(2) The civil penalty must be paid
within 30 days after service of the order
assessing civil penalty, unless other-
wise agreed to by the parties. In cases
where a hearing is requested, an appeal
to the FAA decisionmaker is filed, or a
petition for review of the FAA deci-
sionmaker’s decision is filed in a U.S.
court of appeals, the civil penalty must
be paid within 30 days after all litiga-
tion in the matter is completed and the
civil penalty is affirmed in whole or in
part.
(m)
Collection of civil penalties. If an
individual does not pay a civil penalty
imposed by an order assessing civil
penalty or other final order, the Ad-
ministrator may take action to collect
the penalty.
(n)
Compromise. The FAA may com-
promise the amount of any civil pen-
alty imposed under this section under
49 U.S.C. 5123(e), 46301(f), or 46318 at any
time before referring the action to the
United States Attorney General, or the
delegate of the Attorney General, for
collection.
(1) When a civil penalty is com-
promised with a finding of violation, an
agency attorney issues an order assess-
ing civil penalty.
(2) When a civil penalty is com-
promised without a finding of viola-
tion, the agency attorney issues a com-
promise order that states the fol-
lowing:
(i) The person has paid a civil penalty
or has signed a promissory note pro-
viding for installment payments.
(ii) The FAA makes no finding of a
violation.
(iii) The compromise order will not
be used as evidence of a prior violation
in any subsequent civil penalty pro-
ceeding or certificate action pro-
ceeding.
§ 13.17
Seizure of aircraft.
(a) The Chief Counsel, or a Regional
Administrator for an aircraft within
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14 CFR Ch. I (1–1–24 Edition)
§ 13.18
the region, may issue an order author-
izing a State or Federal law enforce-
ment officer or a Federal Aviation Ad-
ministration safety inspector to seize
an aircraft that is involved in a viola-
tion for which a civil penalty may be
imposed on its owner or the individual
commanding the aircraft.
(b) Each person seizing an aircraft
under this section places it in the near-
est available and adequate public stor-
age facility in the judicial district in
which it was seized.
(c) The Regional Administrator or
Chief Counsel, without delay, sends a
written notice and a copy of this sec-
tion to the registered owner of the
seized aircraft and to each other person
shown by FAA records to have an in-
terest in it, stating the—
(1) Time, date, and place of seizure;
(2) Name and address of the custodian
of the aircraft;
(3) Reasons for the seizure, including
the violations alleged or proven to
have been committed; and
(4) Amount that may be tendered
as—
(i) A compromise of a civil penalty
for the alleged violation; or
(ii) Payment for a civil penalty im-
posed for a proven violation.
(d) The Chief Counsel or Assistant
Chief Counsel for Enforcement imme-
diately sends a report to the United
States Attorney for the judicial dis-
trict in which it was seized, requesting
the United States Attorney to insti-
tute proceedings to enforce a lien
against the aircraft.
(e) The Regional Administrator or
Chief Counsel directs the release of a
seized aircraft when—
(1) The alleged violator pays a civil
penalty or an amount agreed upon in
compromise, and the costs of seizing,
storing, and maintaining the aircraft;
(2) The aircraft is seized under an
order of a court of the United States in
proceedings in rem initiated under 49
U.S.C. 46305 to enforce a lien against
the aircraft;
(3) The United States Attorney Gen-
eral, or the delegate of the Attorney
General, notifies the FAA that the
United States Attorney General, or the
delegate of the Attorney General, re-
fuses to institute proceedings in rem
under 49 U.S.C. 46305 to enforce a lien
against the aircraft; or
(4) A bond in the amount and with
the sureties prescribed by the Chief
Counsel or the Assistant Chief Counsel
for Enforcement is deposited, condi-
tioned on payment of the penalty or
the compromise amount, and the costs
of seizing, storing, and maintaining the
aircraft.
§ 13.18
Civil penalties: Administrative
assessment against an individual
acting as a pilot, flight engineer,
mechanic, or repairman.
(a)
General. (1) This section applies to
each action in which the FAA seeks to
assess a civil penalty by administrative
procedures against an individual acting
as a pilot, flight engineer, mechanic, or
repairman under 49 U.S.C. 46301(d)(5)
for a violation listed in 49 U.S.C.
46301(d)(2). This section does not apply
to a civil penalty assessed for a viola-
tion of 49 U.S.C. chapter 51, or a rule,
regulation, or order issued thereunder.
(2) Notwithstanding the provisions of
paragraph (a)(1) of this section, the
U.S. district courts have exclusive ju-
risdiction of any civil penalty action
involving an individual acting as a
pilot, flight engineer, mechanic, or re-
pairman for violations described in
paragraph (a)(1), or under 49 U.S.C.
46301(d)(4), if:
(i) The amount in controversy is
more than $50,000;
(ii) The action involves an aircraft
subject to a lien that has been seized
by the government; or
(iii) Another action has been brought
for an injunction based on the same
violation.
(b)
Definitions. As used in this part,
the following definitions apply:
(1)
Flight engineer means an indi-
vidual who holds a flight engineer cer-
tificate issued under part 63 of this
chapter.
(2)
Individual acting as a pilot, flight
engineer, mechanic, or repairman means
an individual acting in such capacity,
whether or not that individual holds
the respective airman certificate
issued by the FAA.
(3)
Mechanic means an individual who
holds a mechanic certificate issued
under part 65 of this chapter.
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§ 13.18
(4)
Pilot means an individual who
holds a pilot certificate issued under
part 61 of this chapter.
(5)
Repairman means an individual
who holds a repairman certificate
issued under part 65 of this chapter.
(c)
Delegation of authority. The au-
thority of the Administrator is dele-
gated to the Chief Counsel and each
Deputy Chief Counsel, and the Assist-
ant Chief Counsel for Enforcement, as
follows:
(1) To initiate and assess civil pen-
alties under 49 U.S.C. 46301(d)(5);
(2) To refer cases to the Attorney
General of the United States, or the
delegate of the Attorney General, for
collection of civil penalties; and
(3) To compromise the amount of a
civil penalty under 49 U.S.C. 46301(f).
(d)
Notice of proposed assessment. A
civil penalty action is initiated by
sending a notice of proposed assess-
ment to the individual charged with a
violation specified in paragraph (a) of
this section. The notice of proposed as-
sessment contains a statement of the
charges and the amount of the pro-
posed civil penalty. The individual
charged with a violation may do the
following:
(1) Submit the amount of the pro-
posed civil penalty or an agreed-upon
amount, in which case either an order
of assessment or a compromise order
will be issued in that amount.
(2) Answer the charges in writing by
submitting information, including doc-
uments and witness statements, dem-
onstrating that a violation of the regu-
lations did not occur or that a penalty,
or the amount of the penalty, is not
warranted by the circumstances.
(3) Submit a written request to re-
duce the proposed civil penalty, stating
the amount of reduction and the rea-
sons, and providing any documents
supporting a reduction of the proposed
civil penalty, including records indi-
cating a financial inability to pay.
(4) Submit a written request for an
informal conference to discuss the
matter with an agency attorney and
submit relevant information or docu-
ments.
(5) Request that an order of assess-
ment be issued so that the individual
charged may appeal to the National
Transportation Safety Board.
(e)
Failure to respond to notice of pro-
posed assessment. An order of assess-
ment may be issued if the individual
charged with a violation fails to re-
spond to the notice of proposed assess-
ment within 15 days after receipt of
that notice.
(f)
Order of assessment. An order of as-
sessment, which imposes a civil pen-
alty, may be issued for a violation de-
scribed in paragraph (a) of this section
after notice and an opportunity to an-
swer any charges and be heard as to
why such order should not be issued.
(g)
Appeal. Any individual who re-
ceives an order of assessment issued
under this section may appeal the
order to the National Transportation
Safety Board. The appeal stays the ef-
fectiveness of the Administrator’s
order.
(h)
Judicial review. A party may seek
judicial review only of a final decision
and order of the National Transpor-
tation Safety Board under 49 U.S.C.
46301(d)(6) and 46110. Neither an initial
decision, nor an order issued by an ad-
ministrative law judge that has not
been appealed to the National Trans-
portation Safety Board, nor an order
compromising a civil penalty action,
may be appealed under any of those
sections.
(i)
Compromise. The FAA may com-
promise any civil penalty imposed
under this section at any time before
referring the action to the United
States Attorney General, or the dele-
gate of the Attorney General, for col-
lection.
(1) When a civil penalty is com-
promised with a finding of violation, an
agency attorney issues an order of as-
sessment.
(2) When a civil penalty is com-
promised without a finding of viola-
tion, the agency attorney issues a com-
promise order of assessment that
states the following:
(i) The individual has paid a civil
penalty or has signed a promissory
note providing for installment pay-
ments;
(ii) The FAA makes no finding of vio-
lation; and
(iii) The compromise order will not
be used as evidence of a prior violation
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14 CFR Ch. I (1–1–24 Edition)
§ 13.19
in any subsequent civil penalty pro-
ceeding or certificate action pro-
ceeding.
(j)
Payment. (1) An individual must
pay a civil penalty by:
(i) Sending a certified check or
money order, payable to the Federal
Aviation Administration, to the FAA
office identified in the order of assess-
ment; or
(ii) Making an electronic payment
according to the directions specified in
the order of assessment.
(2) The civil penalty must be paid
within 30 days after service of the order
of assessment, unless an appeal is filed
with the National Transportation Safe-
ty Board. In cases where an appeal is
filed with the National Transportation
Safety Board, or a petition for review
is filed with a U.S. court of appeals, the
civil penalty must be paid within 30
days after all litigation in the matter
is completed and the civil penalty is af-
firmed in whole or in part.
(k)
Collection of civil penalties. If an
individual does not pay a civil penalty
imposed by an order of assessment or
other final order, the Administrator
may take action provided under the
law to collect the penalty.
§ 13.19
Certificate actions appealable
to the National Transportation
Safety Board.
(a) This section applies to certificate
actions by the Administrator that are
appealable to the National Transpor-
tation Safety Board.
(1) Under 49 U.S.C. 44709(b) the Ad-
ministrator may issue an order amend-
ing, modifying, suspending, or revoking
all or part of any type certificate, pro-
duction certificate, airworthiness cer-
tificate, airman certificate, air carrier
operating certificate, air navigation fa-
cility certificate, or air agency certifi-
cate if as a result of a reinspection, re-
examination, or other investigation,
the Administrator determines that the
public interest and safety in air com-
merce requires it, if a certificate hold-
er has violated an aircraft noise or
sonic boom standard or regulation pre-
scribed under 49 U.S.C. 44715(a), or if
the holder of the certificate is con-
victed of violating 16 U.S.C. 742j–1(a).
(2) The authority of the Adminis-
trator to issue orders under 49 U.S.C.
44709(b)(1)(A) and (b)(2) is delegated to
the Chief Counsel, each Deputy Chief
Counsel, and the Assistant Chief Coun-
sel for Enforcement.
(b) The agency attorney will issue a
notice before issuing a non-imme-
diately effective order to amend, mod-
ify, suspend, or revoke a type certifi-
cate, production certificate, airworthi-
ness certificate, airman certificate, air
carrier operating certificate, air navi-
gation facility certificate, air agency
certificate, or to revoke an aircraft
certificate of registration because the
aircraft was used to carry out or facili-
tate an activity punishable under a law
of the United States or a State related
to a controlled substance (except a law
related to simple possession of a con-
trolled substance), by death or impris-
onment for more than one year, and
the owner of the aircraft permitted the
use of the aircraft knowing that the
aircraft was to be used for the activity.
(1) A notice of proposed certificate
action will advise the certificate holder
or aircraft owner of the charges or
other reasons upon which the Adminis-
trator bases the proposed action, and
allows the holder to answer any
charges and to be heard as to why the
certificate should not be amended, sus-
pended, modified, or revoked.
(2) In response to a notice of proposed
certificate action described in para-
graph (b)(1) of this section, the certifi-
cate holder or aircraft owner, within 15
days of the date of receipt of the no-
tice, may—
(i) Surrender the certificate and
waive any right to contest or appeal
the charged violations and sanction, in
which case the Administrator will
issue an order;
(ii) Answer the charges in writing by
submitting information, including doc-
uments and witness statements, dem-
onstrating that a violation of the regu-
lations did not occur or that the pro-
posed sanction is not warranted by the
circumstances;
(iii) Submit a written request for an
informal conference to discuss the
matter with an agency attorney and
submit relevant information or docu-
ments; or
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§ 13.20
(iv) Request that an order be issued
in accordance with the notice of pro-
posed certificate action so that the cer-
tificate holder or aircraft owner may
appeal to the National Transportation
Safety Board.
(c) In the case of an emergency order
amending, modifying, suspending, or
revoking a type certificate, production
certificate, airworthiness certificate,
airman certificate, air carrier oper-
ating certificate, air navigation facil-
ity certificate, or air agency certifi-
cate, a person affected by the imme-
diate effectiveness of the Administra-
tor’s order may petition the National
Transportation Safety Board for a re-
view of the Administrator’s determina-
tion that an emergency exists.
(d) A person may not petition the Na-
tional Transportation Safety Board for
a review of the Administrator’s deter-
mination that safety in air transpor-
tation or air commerce requires the
immediate effectiveness of an order
where the action is based on the cir-
cumstances described in paragraph
(d)(1), (2), or (3) of this section.
(1) The revocation of an individual’s
airman certificates for the reasons
stated in paragraph (d)(1)(i) or (ii) of
this section:
(i) A conviction under a law of the
United States or a State related to a
controlled substance (except a law re-
lated to simple possession of a con-
trolled substance), of an offense pun-
ishable by death or imprisonment for
more than one year if the Adminis-
trator finds that—
(A) An aircraft was used to commit,
or facilitate the commission of the of-
fense; and
(B) The individual served as an air-
man, or was on the aircraft, in connec-
tion with committing, or facilitating
the commission of, the offense.
(ii) Knowingly carrying out an activ-
ity punishable, under a law of the
United States or a State related to a
controlled substance (except a law re-
lated to simple possession of a con-
trolled substance), by death or impris-
onment for more than one year; and—
(A) An aircraft was used to carry out
or facilitate the activity; and
(B) The individual served as an air-
man, or was on the aircraft, in connec-
tion with carrying out, or facilitating
the carrying out of, the activity.
(2) The revocation of a certificate of
registration for an aircraft, and any
other aircraft the owner of that air-
craft holds, if the Administrator finds
that—
(i) The aircraft was used to carry out
or facilitate an activity punishable,
under a law of the United States or a
State related to a controlled substance
(except a law related to simple posses-
sion of a controlled substance), by
death or imprisonment for more than
one year; and
(ii) The owner of the aircraft per-
mitted the use of the aircraft knowing
that the aircraft was to be used for the
activity described in paragraph (d)(2)(i)
of this section.
(3) The revocation of an airman cer-
tificate, design organization certifi-
cate, type certificate, production cer-
tificate, airworthiness certificate, air
carrier operating certificate, airport
operating certificate, air agency cer-
tificate, or air navigation facility cer-
tificate if the Administrator finds that
the holder of the certificate or an indi-
vidual who has a controlling or owner-
ship interest in the holder—
(i) Was convicted in a court of law of
a violation of a law of the United
States relating to the installation, pro-
duction, repair, or sale of a counterfeit
or fraudulently-represented aviation
part or material; or
(ii) Knowingly, and with the intent
to defraud, carried out or facilitated an
activity described in paragraph (d)(3)(i)
of this section.
[Docket FAA–2018–1051, Amdt. 13–40, 86 FR
54527, Oct. 1, 2021, as amended by Docket
FAA–2018–1051, Amdt. 13–40A, 87 FR 61233,
Oct. 11, 2022]
§ 13.20
Orders of compliance, cease
and desist orders, orders of denial,
and other orders.
(a)
General. This section applies to all
of the following:
(1) Orders of compliance;
(2) Cease and desist orders;
(3) Orders of denial;
(4) Orders suspending or revoking a
certificate of registration (but not rev-
ocation of a certificate of registration
because the aircraft was used to carry
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§ 13.20
out or facilitate an activity punish-
able, under a law of the United States
or a State related to a controlled sub-
stance (except a law related to simple
possession of a controlled substance),
by death or imprisonment for more
than one year and the owner of the air-
craft permitted the use of the aircraft
knowing that the aircraft was to be
used for the activity); and
(5) Other orders issued by the Admin-
istrator to carry out the provisions of
the Federal aviation statute codified at
49 U.S.C. subtitle VII that apply this
section by statute, rule, regulation, or
order, or for which there is no specific
administrative process provided by
statute, rule, regulation, or order.
(b)
Applicability of procedures. (1)
Prior to the issuance of a non-imme-
diately effective order covered by this
section, the Administrator will provide
the person who would be subject to the
order with notice, advising the person
of the charges or other reasons upon
which the proposed action is based, and
the provisions in paragraph (c) of this
section apply.
(2) If the Administrator is of the
opinion that an emergency exists re-
lated to safety in air commerce and re-
quires immediate action and issues an
order covered by this section that is
immediately effective, the provisions
of paragraph (d) of this section apply.
(c)
Non-emergency procedures. (1)
Within 30 days after service of the no-
tice, the person subject to the notice
may:
(i) Submit a written reply;
(ii) Agree to the issuance of the order
as proposed in the notice of proposed
action, waiving any right to contest or
appeal the agreed-upon order issued
under this option in any administra-
tive or judicial forum;
(iii) Submit a written request for an
informal conference to discuss the
matter with an agency attorney; or
(iv) Request a hearing in accordance
with the non-emergency procedures of
subpart D of this part.
(2) After an informal conference is
held or a reply is filed, if the agency at-
torney notifies the person that some or
all of the proposed agency action will
not be withdrawn, the person may,
within 10 days after receiving the agen-
cy attorney’s notification, request a
hearing on the parts of the proposed
agency action not withdrawn, in ac-
cordance with the non-emergency pro-
cedures of subpart D of this part.
(3) If a hearing is requested in accord-
ance with paragraph (c)(1)(iv) or (c)(2)
of this section, the non-emergency pro-
cedures of subpart D of this part apply.
(4) Failure to request a hearing with-
in the periods provided in paragraph
(c)(1)(iv) or (c)(2) of this section:
(i) Constitutes a waiver of the right
to a hearing and appeal; and
(ii) Authorizes the agency to make
appropriate findings of fact and to
issue an appropriate order without fur-
ther notice or proceedings.
(d)
Emergency procedures. (1) If the
Administrator is of the opinion that an
emergency exists related to safety in
air commerce and requires immediate
action, the Administrator issues simul-
taneously:
(i) An immediately effective order
that expires 80 days after the date of
issuance and sets forth the charges or
other reasons upon which the order is
based; and
(ii) A notice of proposed action that:
(A) Sets forth the charges or other
reasons upon which the notice of pro-
posed action is based; and
(B) Advises that within 10 days after
service of the notice, the person may
appeal the notice by requesting an ex-
pedited hearing in accordance with the
emergency procedures of subpart D of
this part.
(2) The Administrator will serve the
immediately effective order and the
notice of proposed action together by
personal or overnight delivery and by
certified or registered mail to the per-
son subject to the order and notice of
proposed action.
(3) Failure to request a hearing chal-
lenging the notice of proposed action
under the expedited procedures in sub-
part D of this part within 10 days after
service of the notice:
(i) Constitutes a waiver of the right
to a hearing and appeal under subpart
D of this part; and
(ii) Authorizes the Administrator,
without further notice or proceedings,
to make appropriate findings of fact,
issue an immediately effective order
without expiration, and withdraw the
80-day immediately effective order.
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§ 13.37
(4) The filing of a request for hearing
under subpart D of this part does not
stay the effectiveness of the 80-day im-
mediately effective order issued under
this section.
(e)
Delegation of authority. The au-
thority of the Administrator under this
section is delegated to the Chief Coun-
sel, each Deputy Chief Counsel, and the
Assistant Chief Counsel for Enforce-
ment.
§§ 13.21 –13.29
[Reserved]
Subpart D—Rules of Practice for
FAA Hearings
S
OURCE
: Docket No. FAA-2018-1051; Amdt.
No. 13-40, 86 FR 54532, Oct. 1, 2021, unless oth-
erwise noted.
§ 13.31
Applicability.
This subpart applies to proceedings
in which a hearing has been requested
in accordance with § 13.20 or § 13.75.
Hearings under this subpart are consid-
ered informal and are provided through
the Office of Adjudication.
§ 13.33
Parties, representatives, and
notice of appearance.
(a)
Parties. Parties to proceedings
under this subpart include the fol-
lowing: Complainant, respondent, and
where applicable, intervenor.
(1) Complainant is the FAA Office
that issued the notice of proposed ac-
tion under the authorities listed in
§ 13.31.
(2) Respondent is the party filing a
request for hearing.
(3) Intervenor is a person permitted
to participate as a party under § 13.51.
(b)
Representatives. Any party to a
proceeding under this subpart may ap-
pear and be heard in person or by a rep-
resentative. A representative is an at-
torney, or another representative des-
ignated by the party.
(c)
Notice of appearance—(1) Content.
The representative of a party must file
a notice of appearance that includes
the representative’s name, address,
telephone number, and, if available, fax
number, and email address.
(2)
Filing. A notice of appearance may
be incorporated into an initial filing in
a proceeding. A notice of appearance by
additional representatives or sub-
stitutes after an initial filing in a pro-
ceeding must be filed independently.
§ 13.35
Request for hearing, complaint,
and answer.
(a)
Initial filing and service. A request
for hearing must be filed with the FAA
Hearing Docket, and a copy must be
served on the official who issued the
notice of proposed action, in accord-
ance with the requirements in § 13.43
for filing and service of documents.
The request for hearing must be in
writing and describe the action pro-
posed by the FAA, and must contain a
statement that a hearing is requested
under this subpart.
(b)
Complaint. Within 20 days after
service of the copy of the request for
hearing, the official who issued the no-
tice of proposed action must forward a
copy of that notice, which serves as the
complaint, to the FAA Hearing Docket.
(c)
Answer. Within 30 days after serv-
ice of the copy of the complaint, the
Respondent must file an answer to the
complaint. All allegations in the com-
plaint not specifically denied in the an-
swer are deemed admitted.
§ 13.37
Hearing officer: Assignment
and powers.
As soon as practicable after the filing
of the complaint, the Director of the
Office of Adjudication will assign a
hearing officer to preside over the mat-
ter. The hearing officer may—
(a) Give notice concerning, and hold,
prehearing conferences and hearings;
(b) Administer oaths and affirma-
tions;
(c) Examine witnesses;
(d) Adopt procedures for the submis-
sion of evidence in written form;
(e) Issue subpoenas;
(f) Rule on offers of proof;
(g) Receive evidence;
(h) Regulate the course of pro-
ceedings, including but not limited to
discovery, motions practice, imposi-
tion of sanctions, and the hearing;
(i) Hold conferences, before and dur-
ing the hearing, to settle and simplify
issues by consent of the parties;
(j) Dispose of procedural requests and
similar matters;
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14 CFR Ch. I (1–1–24 Edition)
§ 13.39
(k) Issue protective orders governing
the exchange and safekeeping of infor-
mation otherwise protected by law, ex-
cept that national security informa-
tion may not be disclosed under such
an order;
(l) Issue orders and decisions, and
make findings of fact, as appropriate;
and
(m) Take any other action authorized
by this subpart.
§ 13.39
Disqualification of hearing offi-
cer.
(a)
Motion and supporting affidavit.
Any party may file a motion for dis-
qualification under § 13.49(g). A party
must state the grounds for disqualifica-
tion, including, but not limited to, a fi-
nancial or other personal interest that
would be affected by the outcome of
the enforcement action, personal ani-
mus against a party to the action or
against a group to which a party be-
longs, prejudgment of the adjudicative
facts at issue in the proceeding, or any
other prohibited conflict of interest. A
party must submit an affidavit with
the motion for disqualification that
sets forth, in detail, the matters al-
leged to constitute grounds for dis-
qualification.
(b)
Timing. A motion for disqualifica-
tion must be filed prior to the issuance
of the hearing officer’s decision under
§ 13.63(b). Any party may file a response
to a motion for disqualification, but
must do so no later than 5 days after
service of the motion for disqualifica-
tion.
(c)
Decision on motion for disqualifica-
tion. The hearing officer must render a
decision on the motion for disqualifica-
tion no later than 15 days after the mo-
tion has been filed. If the hearing offi-
cer finds that the motion for disquali-
fication and supporting affidavit show
a basis for disqualification, the hearing
officer must withdraw from the pro-
ceedings immediately. If the hearing
officer finds that disqualification is not
warranted, the hearing officer must
deny the motion and state the grounds
for the denial on the record. If the
hearing officer fails to rule on a party’s
motion for disqualification within 15
days after the motion has been filed,
the motion is deemed granted.
(d)
Self-disqualification. A hearing of-
ficer may disqualify himself or herself
at any time.
§ 13.41
Separation of functions and
prohibition on ex parte communica-
tions.
(a)
Separation of powers. The hearing
officer independently exercises the
powers under this subpart in a manner
conducive to justice and the proper dis-
patch of business. The hearing officer
must not participate in any appeal to
the Administrator.
(b)
Ex parte communications. (1) No
substantive ex parte communications
between the hearing officer and any
party are permitted.
(2) A hearing, conference, or other
event scheduled with prior notice will
not constitute ex parte communication
prohibited by this section. A hearing,
conference, or other event scheduled
with prior notice, may proceed in the
hearing officer’s sole discretion if a
party fails to appear, respond, or other-
wise participate, and will not con-
stitute an ex parte communication pro-
hibited by this section.
(3) For an appeal to the Adminis-
trator under this subpart, FAA attor-
neys representing the complainant
must not advise the Administrator or
engage in any ex parte communica-
tions with the Administrator or his ad-
visors.
§ 13.43
Service and filing of pleadings,
motions, and documents.
(a)
General rule. A party must file all
requests for hearing, pleadings, mo-
tions, and documents with the FAA
Hearing Docket, and must serve a copy
upon all parties to the proceedings.
(b)
Methods of filing. Filing must be
by email, personal delivery, expedited
or overnight courier express service,
mail, or fax.
(c)
Address for filing. A person filing a
document with the FAA Hearing Dock-
et must use the address identified for
the method of filing as follows:
(1)
If delivery is in person, or by expe-
dited or overnight express courier service.
Federal Aviation Administration, 600
Independence Avenue SW, Wilbur
Wright Building—Suite 2W100, Wash-
ington, DC 20597; Attention: FAA Hear-
ing Docket, AGC–70.
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§ 13.47
(2)
If delivery is via U.S. mail, or U.S.
certified or registered mail. Federal Avia-
tion Administration, 800 Independence
Avenue SW, Washington, DC 20591; At-
tention: FAA Hearing Docket, AGC–70,
Wilbur Wright Building—Suite 2W100.
(3)
Contact information. The FAA Of-
fice of Adjudication will make avail-
able on its website an email address
and fax number for the FAA Hearing
Docket, as well as other contact infor-
mation.
(d)
Requirement to file an original docu-
ment and number of copies. A party must
file an original document and one copy
when filing by personal delivery or by
mail. Only one copy must be filed if fil-
ing is accomplished by email or fax.
(e)
Filing by email. A document that is
filed by email must be attached as a
Portable Document Format (PDF) file
to an email. The document must be
signed in accordance with § 13.207. The
email message does not constitute a
submission, but serves only to deliver
the attached PDF file to the FAA
Hearing Docket.
(f)
Methods of service—(1) General. A
person may serve any document by
email, personal delivery, expedited or
overnight courier express service, mail,
or fax.
(2)
Service by email. Service of docu-
ments by email is voluntary and re-
quires the prior consent of the person
to be served by email. A person may re-
tract consent to be served by email by
filing and serving a written retraction.
A document that is served by email
must be attached as a PDF file to an
email message.
(g)
Certificate of service. A certificate
of service must accompany all docu-
ments filed with the FAA Hearing
Docket. The certificate of service must
be signed, describe the method of serv-
ice, and state the date of service.
(h)
Date of filing and service. If a docu-
ment is sent by fax or email, the date
of filing and service is the date the
email or fax is sent. If a document is
sent by personal delivery or by expe-
dited or overnight express courier serv-
ice, the date of filing and service is the
date that delivery is accomplished. If a
document is mailed, the date of filing
and service is the date shown on the
certificate of service, the date shown
on the postmark if there is no certifi-
cate of service, or the mailing date
shown by other evidence if there is no
certificate of service or postmark.
§ 13.44
[Reserved]
§ 13.45
Computation of time and exten-
sion of time.
(a) In computing any period of time
prescribed or allowed by this subpart,
the date of the act, event, default, no-
tice, or order is not to be included in
the computation. The last day of the
period so computed is to be included
unless it is a Saturday, Sunday, or
Federal holiday, in which event the pe-
riod runs until the end of the next day
that is not a Saturday, Sunday, or a
Federal holiday.
(b) Whenever a party must respond
within a prescribed period after service
by mail, 5 days are added to the pre-
scribed period.
(c) The parties may agree to extend
the time for filing any document re-
quired by this subpart with the consent
of—
(1) The Director of the Office of Adju-
dication prior to the designation of a
hearing officer;
(2) The hearing officer prior to the
filing of a notice of appeal; or
(3) The Director of the Office of Adju-
dication after the filing of a notice of
appeal.
(d) If the parties do not agree, a
party may make a written request to
extend the time for filing to the appro-
priate official identified in paragraph
(c) of this section. The appropriate offi-
cial may grant the request for good
cause shown.
§ 13.47
Withdrawal or amendment of
the complaint, answer, or other fil-
ings.
(a)
Withdrawal. At any time before
the hearing, the complainant may
withdraw the complaint, and the re-
spondent may withdraw the request for
hearing.
(b)
Amendments. At any time more
than 10 days before the date of hearing,
any party may amend its complaint,
answer, or other pleading, by filing the
amendment with the FAA Hearing
Docket and serving a copy of it on
every other party. After that time,
amendment requires approval of the
hearing officer. If an initial pleading is
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14 CFR Ch. I (1–1–24 Edition)
§ 13.49
amended, the hearing officer must
allow the other parties a reasonable op-
portunity to respond.
§ 13.49
Motions.
(a)
Motions in lieu of an answer. A re-
spondent may file a motion to dismiss
or a motion for a more definite state-
ment in place of an answer. If the hear-
ing officer denies the motion, the re-
spondent must file an answer within 10
days.
(1)
Motion to dismiss. The respondent
may file a motion asserting that the
allegations in the complaint fail to
state a violation of Federal aviation
statutes, a violation of regulations in
this chapter, lack of qualification of
the respondent, or other appropriate
grounds.
(2)
Motion for more definite statement.
The respondent may file a motion that
the allegations in the notice be made
more definite and certain.
(b)
Motion to dismiss request for hear-
ing. The FAA may file a motion to dis-
miss a request for hearing based on ju-
risdiction, timeliness, or other appro-
priate grounds.
(c)
Motion for decision on the pleadings
or for summary decision. After the com-
plaint and answer are filed, either
party may move for a decision on the
pleadings or for a summary decision, in
the manner provided by Rules 12 and
56, respectively, of the Federal Rules of
Civil Procedure.
(d)
Motion to strike. Upon motion of
either party, the hearing officer may
order stricken, from any pleadings, any
insufficient allegation or defense, or
any redundant, immaterial, imper-
tinent, or scandalous matter.
(e)
Motion to compel. Any party may
file a motion asking the hearing officer
to order any other party to produce
discovery requested in accordance with
§ 13.53 if—
(1) The other party has failed to
timely produce the requested dis-
covery; and
(2) The moving party certifies it has
in good faith conferred with the other
party in an attempt to obtain the re-
quested discovery prior to filing the
motion to compel.
(f)
Motion for protective order. The
hearing officer may order information
contained in anything filed, or in any
testimony given pursuant to this sub-
part withheld from public disclosure
when, in the judgment of the hearing
officer, disclosure would be detri-
mental to aviation safety; disclosure
would not be in the public interest; or
the information is not otherwise re-
quired to be made available to the pub-
lic. Any person may make written ob-
jection to the public disclosure of any
information, stating the ground for
such objection.
(g)
Other motions. Any application for
an order or ruling not otherwise pro-
vided for in this subpart must be made
by motion.
(h)
Responses to motions. Any party
may file a response to any motion
under this subpart within 10 days after
service of the motion.
§ 13.51
Intervention.
Any person may move for leave to in-
tervene in a proceeding and may be-
come a party thereto, if the hearing of-
ficer, after the case is sent to the hear-
ing officer for hearing, finds that the
person may be bound by the order to be
issued in the proceedings or has a prop-
erty or financial interest that may not
be adequately represented by existing
parties, and that the intervention will
not unduly broaden the issues or delay
the proceedings. Except for good cause
shown, a motion for leave to intervene
may not be considered if it is filed less
than 10 days before the hearing.
§ 13.53
Discovery.
(a)
Filing. Discovery requests and re-
sponses are not filed with the FAA
Hearing Docket unless in support of a
motion, offered for impeachment, or
other permissible circumstances as ap-
proved by the hearing officer.
(b)
Scope of discovery. Any party may
discover any matter that is not privi-
leged and is relevant to any party’s
claim or defense.
(c)
Time for response to written dis-
covery requests. (1) Written discovery
includes interrogatories, requests for
admission or stipulations, and requests
for production of documents.
(2) Unless otherwise directed by the
hearing officer, a party must serve its
response to a discovery request no
later than 30 days after service of the
discovery request.
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§ 13.59
(d)
Depositions. After the respondent
has filed a request for hearing and an
answer, either party may take testi-
mony by deposition.
(e)
Limits on discovery. The hearing of-
ficer may limit the frequency and ex-
tent of discovery upon a showing by a
party that—
(1) The discovery requested is cumu-
lative or repetitious;
(2) The discovery requested can be
obtained from another less burdensome
and more convenient source;
(3) The party requesting the informa-
tion has had ample opportunity to ob-
tain the information through other dis-
covery methods permitted under this
section; or
(4) The method or scope of discovery
requested by the party is unduly bur-
densome or expensive.
§ 13.55
Notice of hearing.
The hearing officer must set a rea-
sonable date, time, and location for the
hearing, and must give the parties ade-
quate notice thereof, and of the nature
of the hearing. Due regard must be
given to the convenience of the parties
with respect to the location of the
hearing.
§ 13.57
Subpoenas and witness fees.
(a)
Application. The hearing officer,
upon application by any party to the
proceeding, may issue subpoenas re-
quiring the attendance of witnesses or
the production of documents or tan-
gible things at a hearing or for the pur-
pose of taking depositions, as per-
mitted by law. The application for pro-
ducing evidence must show its general
relevance and reasonable scope. Absent
good cause shown, a party must file a
request for a subpoena at least:
(1) 15 days before a scheduled deposi-
tion under the subpoena; or
(2) 30 days before a scheduled hearing
where attendance at the hearing is
sought.
(b)
Procedure. A party seeking the
production of a document in the cus-
tody of an FAA employee must use the
discovery procedure found in § 13.53,
and if necessary, a motion to compel
under § 13.49. A party that applies for
the attendance of an FAA employee at
a hearing must send the application, in
writing, to the hearing officer. The ap-
plication must set forth the need for
that employee’s attendance.
(c)
Fees. Except for an employee of
the agency who appears at the direc-
tion of the agency, a witness who ap-
pears at a deposition or hearing is enti-
tled to the same fees and allowances as
provided for under 28 U.S.C. 1821. The
party who applies for a subpoena to
compel the attendance of a witness at
a deposition or hearing, or the party at
whose request a witness appears at a
deposition or hearing, must pay the
witness fees and allowances described
in this section.
(d)
Service of subpoenas. Any person
who is at least 18 years old and not a
party may serve a subpoena. Serving a
subpoena requires delivering a copy to
the named person. Except for the com-
plainant, the party that requested the
subpoena must tender at the time of
service the fees for 1 day’s attendance
and the allowances allowed by law if
the subpoena requires that person’s at-
tendance. Proving service, if necessary,
requires the filing with the FAA Hear-
ing Docket of a statement showing the
date and manner of service and the
names of the persons served. The server
must certify the statement.
(e)
Motion to quash or modify the sub-
poena. A party, or any person served
with a subpoena, may file a motion to
quash or modify the subpoena with the
hearing officer at or before the time
specified in the subpoena for compli-
ance. The movant must describe, in de-
tail, the basis for the application to
quash or modify the subpoena includ-
ing, but not limited to, a statement
that the testimony, document, or tan-
gible thing is not relevant to the pro-
ceeding, that the subpoena is not rea-
sonably tailored to the scope of the
proceeding, or that the subpoena is un-
reasonable and oppressive. A motion to
quash or modify the subpoena will stay
the effect of the subpoena pending a de-
cision by the hearing officer on the mo-
tion.
(f)
Enforcement of subpoena. If a per-
son disobeys a subpoena, a party may
apply to a U.S. district court to seek
judicial enforcement of the subpoena.
§ 13.59
Evidence.
(a) Each party to a hearing may
present the party’s case or defense by
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§ 13.61
oral or documentary evidence, submit
evidence in rebuttal, and conduct such
cross-examination as may be needed
for a full disclosure of the facts.
(b) Except with respect to affirma-
tive defenses and notices of proposed
denial, the burden of proof is upon the
complainant.
§ 13.61
Argument and submittals.
The hearing officer must give the
parties adequate opportunity to
present arguments in support of mo-
tions, objections, and the final order.
The hearing officer may determine
whether arguments are to be oral or
written. At the end of the hearing, the
hearing officer may allow each party to
submit written proposed findings and
conclusions and supporting reasons for
them.
§ 13.63
Record, decision, and aircraft
registration proceedings.
(a)
The record. (1) The testimony and
exhibits admitted at a hearing, to-
gether with all papers, requests, and
rulings filed in the proceedings, are the
exclusive basis for the issuance of the
hearing officer’s decision.
(2) On appeal to the Administrator,
the record shall include all of the infor-
mation identified in paragraph (a)(1) of
this section and evidence proffered but
not admitted at the hearing.
(3) Any party may obtain a transcript
of the hearing from the official re-
porter upon payment of the required
fees.
(b)
Hearing officer’s decision. The deci-
sion by the hearing officer must in-
clude findings of fact based on the
record, conclusions of law, and an ap-
propriate order.
(c)
Certain aircraft registration pro-
ceedings. If the hearing officer deter-
mines that an aircraft is ineligible for
a certificate of aircraft registration in
proceedings relating to aircraft reg-
istration orders suspending or revoking
a certificate of registration under
§ 13.20, the hearing officer may suspend
or revoke the aircraft registration cer-
tificate.
§ 13.65
Appeal to the Administrator,
reconsideration, and judicial re-
view.
(a) Any party to a hearing may ap-
peal from the order of the hearing offi-
cer by filing with the FAA Hearing
Docket a notice of appeal to the Ad-
ministrator within 20 days after the
date of issuance of the order. Filing
and service of the notice of appeal, and
any other papers, are accomplished ac-
cording to the procedures in § 13.43.
(b) If a notice of appeal is not filed
from the order issued by a hearing offi-
cer, such order is final with respect to
the parties. Such order is not binding
precedent and is not subject to judicial
review.
(c) Any person filing an appeal au-
thorized by paragraph (a) of this sec-
tion must file an appeal brief with the
Administrator within 40 days after the
date of issuance of the order, and serve
a copy on the other party. A reply brief
must be filed within 40 days after serv-
ice of the appeal brief and a copy
served on the appellant.
(d) On appeal, the Administrator re-
views the record of the proceeding and
issues an order dismissing, reversing,
modifying or affirming the order. The
Administrator’s order includes the rea-
sons for the Administrator’s action.
The Administrator considers only
whether:
(1) Each finding of fact is supported
by a preponderance of the reliable, pro-
bative, and substantial evidence;
(2) Each conclusion is made in ac-
cordance with law, precedent, and pol-
icy; and
(3) The hearing officer committed
any prejudicial error.
(e) The Director and legal personnel
of the Office of Adjudication serve as
the advisors to the Administrator for
appeals under this section.
(1) The Director has the authority to:
(i) Manage all or portions of indi-
vidual appeals; and to prepare written
decisions and proposed final orders in
such appeals;
(ii) Issue procedural and other inter-
locutory orders aimed at proper and ef-
ficient appeal management, including,
without limitation, scheduling and
sanctions orders;
(iii) Grant or deny motions to dis-
miss appeals;
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§ 13.67
(iv) Dismiss appeals upon request of
the appellant or by agreement of the
parties;
(v) Stay decisions and orders of the
Administrator, pending judicial review
or reconsideration by the Adminis-
trator;
(vi) Summarily dismiss repetitious or
frivolous petitions to reconsider or
modify orders;
(vii) Correct typographical, gram-
matical, and similar errors in the Ad-
ministrator’s decisions and orders, and
to make non-substantive editorial
changes; and
(viii) Take all other reasonable steps
deemed necessary and proper for the
management of the appeals process, in
accordance with this part and applica-
ble law.
(2) The Director’s authority in para-
graph (e)(1) of this section may be re-
delegated, as necessary, except to hear-
ing officers and others materially in-
volved in the hearing that is the sub-
ject of the appeal.
(f) Motions to reconsider the final
order of the Administrator must be
filed with the FAA Hearing Docket
within thirty days of service of the Ad-
ministrator’s order.
(g) Judicial review of the Adminis-
trator’s final order under this section
is provided in accordance with 49
U.S.C. 5127 or 46110, as applicable.
§ 13.67
Procedures for expedited pro-
ceedings.
(a) When an expedited administrative
hearing is requested in accordance with
§ 13.20(d), the procedures in this subpart
will apply except as provided in para-
graphs (a)(1) through (7) of this section.
(1) Service and filing of pleadings,
motions, and documents must be by
overnight delivery, and fax or email.
Responses to motions must be filed
within 7 days after service of the mo-
tion.
(2) Within 3 days after receipt of the
request for hearing, the agency must
file a copy of the notice of proposed ac-
tion, which serves as the complaint, to
the FAA Hearing Docket.
(3) Within 3 days after receipt of the
complaint, the person that requested
the hearing must file an answer to the
complaint. All allegations in the com-
plaint not specifically denied in the an-
swer are deemed admitted. Failure to
file a timely answer, absent a showing
of good cause, constitutes withdrawal
of the request for hearing.
(4) Within 3 days of the filing of the
complaint, the Director of the Office of
Adjudication will assign a hearing offi-
cer to preside over the matter.
(5) The parties must serve discovery
as soon as possible and set time limits
for compliance with discovery requests
that accommodate the accelerated ad-
judication schedule set forth in this
subpart. The hearing officer will re-
solve any failure of the parties to agree
to a discovery schedule.
(6) The expedited hearing must com-
mence within 40 days after the notice
of proposed action was issued.
(7) The hearing officer must issue an
oral decision and order dismissing, re-
versing, modifying, or affirming the
notice of proposed action at the close
of the hearing. If a notice of appeal is
not filed, such order is final with re-
spect to the parties and is not subject
to judicial review.
(b) Any party to the expedited hear-
ing may appeal from the initial deci-
sion of the hearing officer to the Ad-
ministrator by filing a notice of appeal
within 3 days after the date on which
the decision was issued. The time limi-
tations for the filing of documents for
appeals under this section will not be
extended by reason of the unavail-
ability of the hearing transcript.
(1) Any appeal to the Administrator
under this section must be perfected
within 7 days after the date the notice
of appeal was filed by filing a brief in
support of the appeal. Any reply to the
appeal brief must be filed within 7 days
after the date the appeal brief was
served on that party. The Adminis-
trator must issue an order deciding the
appeal no later than 80 days after the
date the notice of proposed action was
issued.
(2) The Administrator’s order is im-
mediately effective and constitutes the
final agency decision. The Administra-
tor’s order may be appealed pursuant
to 49 U.S.C. 46110. The filing of an ap-
peal under 49 U.S.C. 46110 does not stay
the effectiveness of the Administra-
tor’s order.
(c) At any time after an immediately
effective order is issued, the FAA may
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§ 13.69
request the United States Attorney
General, or the delegate of the Attor-
ney General, to bring an action for ap-
propriate relief.
§ 13.69
Other matters: Alternative dis-
pute resolution, standing orders,
and forms.
(a) Parties may use mediation to
achieve resolution of issues in con-
troversy addressed by this subpart.
Parties seeking alternative dispute res-
olution services may engage the serv-
ices of a mutually acceptable mediator.
The mediator must not participate in
the adjudication under this subpart of
any matter in which the mediator has
provided mediation services. Mediation
discussions and submissions will re-
main confidential consistent with the
provisions of the Administrative Dis-
pute Resolution Act, the principles of
Federal Rule of Evidence 408, and other
applicable Federal laws.
(b) The Director of the Office of Adju-
dication may issue standing orders and
forms needed for the proper dispatch of
business under this subpart.
Subpart E—Orders of Compliance
Under the Hazardous Mate-
rials Transportation Act
S
OURCE
: Docket No. FAA-2018-1051; Amdt.
No. 13-40, 86 FR 54536, Oct. 1, 2021, unless oth-
erwise noted.
§ 13.70
Delegation of authority.
The authority of the Administrator
under 49 U.S.C. 5121(a) and (d) is dele-
gated to the Chief Counsel, each Dep-
uty Chief Counsel, and the Assistant
Chief Counsel for Enforcement.
[Docket FAA–2018–1051, Amdt. 13–40A, 87 FR
61233, Oct. 11, 2022]
§ 13.71
Applicability.
(a) An order of compliance may be
issued after notice and an opportunity
for a hearing in accordance with §§ 13.73
through 13.77 whenever the Chief Coun-
sel, a Deputy Chief Counsel, or the As-
sistant Chief Counsel for Enforcement
has reason to believe that a person is
engaging in the transportation or ship-
ment by air of hazardous materials in
violation of the Hazardous Materials
Transportation Act, as amended and
codified at 49 U.S.C. chapter 51, or any
rule, regulation, or order issued under
49 U.S.C. chapter 51, for which the FAA
exercises enforcement responsibility,
and the circumstances do not require
the issuance of an emergency order
under 49 U.S.C. 5121(d).
(b) If circumstances require the
issuance of an emergency order under
49 U.S.C. 5121(d), the Chief Counsel, a
Deputy Chief Counsel, or the Assistant
Chief Counsel for Enforcement will
issue an emergency order of compli-
ance as described in § 13.81.
§ 13.73
Notice of proposed order of
compliance.
The Chief Counsel, a Deputy Chief
Counsel, or the Assistant Chief Counsel
for Enforcement may issue to an al-
leged violator a notice of proposed
order of compliance advising the al-
leged violator of the charges and set-
ting forth the remedial action sought
in the form of a proposed order of com-
pliance.
§ 13.75
Reply or request for hearing.
(a) Within 30 days after service upon
the alleged violator of a notice of pro-
posed order of compliance, the alleged
violator may—
(1) Submit a written reply;
(2) Submit a written request for an
informal conference to discuss the
matter with an agency attorney; or
(3) Request a hearing in accordance
with subpart D of this part.
(b) If, after an informal conference is
held or a reply is filed, the agency at-
torney notifies the person named in the
notice that some or all of the proposed
agency action will not be withdrawn or
will not be subject to a consent order
of compliance, the alleged violator
may, within 10 days after receiving the
agency attorney’s notification, request
a hearing in accordance with subpart D
of this part.
(c) Failure of the alleged violator to
file a reply or request a hearing within
the period provided in paragraph (a) or
(b) of this section, as applicable—
(1) Constitutes a waiver of the right
to a hearing under subpart D of this
part and the right to petition for judi-
cial review; and
(2) Authorizes the Administrator to
make any appropriate findings of fact
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§ 13.105
and to issue an appropriate order of
compliance, without further notice or
proceedings.
§ 13.77
Consent order of compliance.
(a) At any time before the issuance of
an order of compliance, an agency at-
torney and the alleged violator may
agree to dispose of the case by the
issuance of a consent order of compli-
ance.
(b) The alleged violator may submit a
proposed consent order to an agency
attorney. The proposed consent order
must include—
(1) An admission of all jurisdictional
facts;
(2) An express waiver of the right to
further procedural steps and of all
rights to legal review in any forum;
(3) An express waiver of attorney’s
fees and costs;
(4) If a notice has been issued prior to
the proposed consent order of compli-
ance, an incorporation by reference of
the notice and an acknowledgement
that the notice may be used to con-
strue the terms of the consent order of
compliance; and
(5) If a request for hearing is pending
in any forum, a provision that the al-
leged violator will withdraw the re-
quest for a hearing and request that
the case be dismissed.
§ 13.79
[Reserved]
§ 13.81
Emergency orders.
(a) Notwithstanding §§ 13.73 through
13.77, the Chief Counsel, each Deputy
Chief Counsel, or the Assistant Chief
Counsel for Enforcement may issue an
emergency order of compliance, which
is effective upon issuance, in accord-
ance with the procedures in subpart C
of 49 CFR part 109, if the person who
issues the order finds that there is an
‘‘imminent hazard’’ as defined in 49
CFR 109.1.
(b) The FAA official who issued the
emergency order of compliance may re-
scind or suspend the order if the cri-
teria set forth in paragraph (a) of this
section are no longer satisfied, and,
when appropriate, may issue a notice
of proposed order of compliance under
§ 13.73.
(c) If at any time in the course of a
proceeding commenced in accordance
with § 13.73 the criteria set forth in
paragraph (a) of this section are satis-
fied, the official who issued the notice
may issue an emergency order of com-
pliance, even if the period for filing a
reply or requesting a hearing specified
in § 13.75 has not expired.
13.83–13.87
[Reserved]
Subpart F—Formal Fact-Finding In-
vestigation Under an Order of
Investigation
S
OURCE
: Docket No. FAA-2018-1051; Amdt.
No. 13-40, 86 FR 54536, Oct. 1, 2021, unless oth-
erwise noted.
§ 13.101
Applicability.
(a) This subpart applies to fact-find-
ing investigations in which an inves-
tigation has been ordered under § 13.3(c)
or § 13.5(f)(2).
(b) This subpart does not limit the
authority of any person to issue sub-
poenas, administer oaths, examine wit-
nesses, and receive evidence in any in-
formal investigation as otherwise pro-
vided by law.
§ 13.103
Order of investigation.
The order of investigation—
(a) Defines the scope of the investiga-
tion by describing the information
sought in terms of its subject matter
or its relevancy to specified FAA func-
tions;
(b) Sets forth the form of the inves-
tigation which may be either by indi-
vidual deposition or investigative pro-
ceeding or both; and
(c) Names the official who is author-
ized to conduct the investigation and
serve as the presiding officer.
§ 13.105
Notification.
Any person under investigation and
any person required to testify and
produce documentary or physical evi-
dence during the investigation will be
advised of the purpose of the investiga-
tion, and of the place where the inves-
tigative proceeding or deposition will
be convened. This may be accomplished
by a notice of investigation or by a
subpoena. A copy of the order of inves-
tigation may be sent to such persons
when appropriate.
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§ 13.107
§ 13.107
Designation of additional par-
ties.
(a) The presiding officer may des-
ignate additional persons as parties to
the investigation, if in the discretion of
the presiding officer, it will aid in the
conduct of the investigation.
(b) The presiding officer may des-
ignate any person as a party to the in-
vestigation if—
(1) The person petitions the presiding
officer to participate as a party;
(2) The disposition of the investiga-
tion may as a practical matter impair
the ability to protect the person’s in-
terest unless allowed to participate as
a party; and
(3) The person’s interest is not ade-
quately represented by existing par-
ties.
§ 13.109
Convening the investigation.
The presiding officer will conduct the
investigation at a location convenient
to the parties involved and as expedi-
tious and efficient as handling of the
investigation permits.
§ 13.111
Subpoenas.
(a) At the discretion of the presiding
officer, or at the request of a party to
the investigation, the presiding officer
may issue a subpoena directing any
person to appear at a designated time
and place to testify or to produce docu-
mentary or physical evidence relating
to any matter under investigation.
(b) Subpoenas must be served by per-
sonal service on the person or an agent
designated in writing for the purpose,
or by registered or certified mail ad-
dressed to the person or agent. When-
ever service is made by registered or
certified mail, the date of mailing will
be considered the time when service is
made.
(c) Subpoenas extend in jurisdiction
throughout the United States and any
territory or possession thereof.
§ 13.113
Noncompliance with the in-
vestigative process.
(a) If a person disobeys a subpoena,
the Administrator or a party to the in-
vestigation may petition a court of the
United States to enforce the subpoena
in accordance with applicable statutes.
(b) If a party to the investigation
fails to comply with the provisions of
this subpart or an order issued by the
presiding officer, the Administrator
may bring a civil action to enforce the
requirements of this subpart or any
order issued under this subpart in a
court of the United States in accord-
ance with applicable statutes.
§ 13.115
Public proceedings.
(a) All investigative proceedings and
depositions must be public unless the
presiding officer determines that the
public interest requires otherwise.
(b) The presiding officer may order
information contained in any report or
document filed or in any testimony
given pursuant to this subpart with-
held from public disclosure when, in
the judgment of the presiding officer,
disclosure would adversely affect the
interests of any person and is not re-
quired in the public interest or is not
otherwise required by statute to be
made available to the public. Any per-
son may make written objection to the
public disclosure of information, stat-
ing the grounds for such objection.
§ 13.117
Conduct of investigative pro-
ceeding or deposition.
(a) The presiding officer may ques-
tion witnesses.
(b) Any witness may be accompanied
by counsel.
(c) Any party may be accompanied by
counsel and either the party or counsel
may—
(1) Question witnesses, provided the
questions are relevant and material to
the matters under investigation and
would not unduly impede the progress
of the investigation; and
(2) Make objections on the record and
argue the basis for such objections.
(d) Copies of all notices or written
communications sent to a party or wit-
ness must, upon request, be sent to
that person’s attorney of record.
§ 13.119
Immunity and orders requir-
ing testimony or other information.
(a) Whenever a person refuses, on the
basis of a privilege against self-in-
crimination, to testify or provide other
information during the course of any
investigation conducted under this sub-
part, the presiding officer may, with
the approval of the United States At-
torney General, or the delegate of the
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§ 13.131
Attorney General, issue an order re-
quiring the person to give testimony or
provide other information. However, no
testimony or other information so
compelled (or any information directly
or indirectly derived from such testi-
mony or other information) may be
used against the person in any criminal
case, except in a prosecution for per-
jury, giving a false statement, or oth-
erwise failing to comply with the
order.
(b) The presiding officer may issue an
order under this section if—
(1) The testimony or other informa-
tion from the witness may be necessary
to the public interest; and
(2) The witness has refused or is like-
ly to refuse to testify or provide other
information on the basis of a privilege
against self-incrimination.
(c) Immunity provided by this sec-
tion will not become effective until the
person has refused to testify or provide
other information on the basis of a
privilege against self-incrimination,
and an order under this section has
been issued. An order, however, may be
issued prospectively to become effec-
tive in the event of a claim of the
privilege.
§ 13.121
Witness fees.
All witnesses appearing, other than
employees of the Federal Aviation Ad-
ministration, are entitled to the same
fees and allowances as provided for
under 28 U.S.C. 1821.
§ 13.123
Submission by party to the in-
vestigation.
(a) During an investigation con-
ducted under this subpart, a party may
submit to the presiding officer—
(1) A list of witnesses to be called,
specifying the subject matter of the ex-
pected testimony of each witness; and
(2) A list of exhibits to be considered
for inclusion in the record.
(b) If the presiding officer determines
that the testimony of a witness or the
receipt of an exhibit in accordance
with paragraph (a) of this section will
be relevant, competent, and material
to the investigation, the presiding offi-
cer may subpoena the witness or use
the exhibit during the investigation.
§ 13.125
Depositions.
Depositions for investigative pur-
poses may be taken at the discretion of
the presiding officer with reasonable
notice to the party under investiga-
tion. Depositions must be taken before
the presiding officer or other person
authorized to administer oaths and
designated by the presiding officer. The
testimony must be reduced to writing
by the person taking the deposition, or
under the direction of that person, and
where possible must then be subscribed
by the deponent. Any person may be
compelled to appear and testify and to
produce physical and documentary evi-
dence.
§ 13.127
Reports, decisions, and orders.
The presiding officer must 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 must be prepared by the of-
ficial who issued the order of investiga-
tion in every case that results in no ac-
tion, or no action as to a particular
party to the investigation. All such re-
ports must be furnished to the parties
to the investigation and made avail-
able to the public on request.
§ 13.129
Post-investigation action.
A decision on whether to initiate
subsequent action must be made on the
basis of the record developed during
the formal investigation and any other
information in the possession of the
Administrator.
§ 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 his or her
own initiative, 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
S
OURCE
: Docket No. FAA-2018-1051; Amdt.
No. 13-40, 86 FR 54538, Oct. 1, 2021, unless oth-
erwise noted.
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§ 13.201
§ 13.201
Applicability.
This subpart applies to all civil pen-
alty actions initiated under § 13.16 in
which a hearing has been requested.
§ 13.202
Definitions.
For this subpart only, the following
definitions apply:
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 or the Assistant Chief
Counsel responsible for the prosecution
of enforcement-related matters under
this subpart, or attorneys who are su-
pervised by those officials or are as-
signed to prosecute a particular en-
forcement-related matter under this
subpart. Agency attorney does not in-
clude the Chief Counsel or anyone from
the Office of Adjudication.
Complaint means a document issued
by an agency attorney alleging a viola-
tion of a provision of the Federal avia-
tion statute listed in the first sentence
of 49 U.S.C. 46301(d)(2) or in 49 U.S.C.
47531, or of the Federal hazardous ma-
terials transportation statute, 49
U.S.C. 5121–5128, or a rule, regulation,
or order issued under those statutes,
that has been filed with the FAA Hear-
ing Docket after a hearing has been re-
quested under § 13.16(f)(3) or (g)(2)(ii).
Complainant means the FAA office
that issued the notice of proposed civil
penalty under § 13.16.
FAA decisionmaker means the Admin-
istrator of the Federal Aviation Ad-
ministration, acting in the capacity of
the decisionmaker on appeal, or any
person to whom the Administrator has
delegated the Administrator’s decision-
making authority in a civil penalty ac-
tion. As used in this subpart, the FAA
decisionmaker is the official author-
ized to issue a final decision and order
of the Administrator in a civil penalty
action.
Mail includes U.S. mail, U.S. certified
mail, U.S. registered mail, or use of an
expedited or overnight express courier
service, but does not include email.
Office of Adjudication means the Fed-
eral Aviation Administration Office of
Adjudication, including the FAA Hear-
ing Docket, the Director of the Office
of Adjudication and legal personnel, or
any subsequently designated office (in-
cluding its head and any legal per-
sonnel) that advises the FAA decision-
maker regarding appeals of initial deci-
sions and orders to the FAA decision-
maker.
Order assessing civil penalty means a
document that contains a finding of a
violation of a provision of the Federal
aviation statute listed in the first sen-
tence of 49 U.S.C. 46301(d)(2) or in 49
U.S.C. 47531, or of the Federal haz-
ardous materials transportation stat-
ute, 49 U.S.C. 5121–5128, or a rule, regu-
lation, or order issued under those
statutes, and may direct payment of a
civil penalty. Unless an appeal is filed
with the FAA decisionmaker in a time-
ly manner, an initial decision or order
of an administrative law judge is con-
sidered an order assessing civil penalty
if an administrative law judge finds
that an alleged violation occurred and
determines that a civil penalty, in an
amount found appropriate by the ad-
ministrative law judge, is warranted.
Unless a petition for review is filed
with a U.S. Court of Appeals in a time-
ly manner, a final decision and order of
the Administrator is considered an
order assessing civil penalty if the FAA
decisionmaker finds that an alleged
violation occurred and a civil penalty
is warranted.
Party means the Respondent, the
complainant and any intervenor.
Personal delivery includes hand-deliv-
ery or use of a contract or express mes-
senger service. ‘‘Personal delivery’’
does not include the use of Federal
Government interoffice mail service.
Pleading means a complaint, an an-
swer, and any amendment of these doc-
uments permitted under this subpart.
Properly addressed means a document
that shows an address contained in
agency records; a residential, business,
or other address submitted by a person
on any document provided under this
subpart; or any other address shown by
other reasonable and available means.
Respondent means a person named in
a complaint.
Writing or written includes paper or
electronic documents that are filed or
served by email, mail, personal deliv-
ery, or fax.
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§ 13.206
§ 13.203
Separation of functions.
(a) Civil penalty proceedings, includ-
ing hearings, are prosecuted by an
agency attorney.
(b) An agency employee who has en-
gaged in the performance of investiga-
tive or prosecutorial functions in a
civil penalty action must not partici-
pate in deciding or advising the admin-
istrative law judge or the FAA deci-
sionmaker in that case, or a factually-
related case, but may participate as
counsel for the complainant or as a
witness in the public proceedings.
(c) The Chief Counsel and the Direc-
tor and legal personnel of the Office of
Adjudication will advise the FAA deci-
sionmaker regarding any appeal of an
initial decision or order in a civil pen-
alty action to the FAA decisionmaker.
§ 13.204
Appearances and rights of
parties.
(a) Any party may appear and be
heard in person.
(b) Any party may be accompanied,
represented, or advised by an attorney
or representative designated by the
party, and may be examined by that
attorney or representative in any pro-
ceeding governed by this subpart. An
attorney or representative who rep-
resents a party must file a notice of ap-
pearance in the action, in the manner
provided in § 13.210, and must serve a
copy of the notice of appearance on
each party, and on the administrative
law judge, if assigned, in the manner
provided in § 13.211, before participating
in any proceeding governed by this sub-
part. The attorney or representative
must include the name, address, and
telephone number, and, if available, fax
number and email address, of the attor-
ney or representative in the notice of
appearance.
(c) Any person may request a copy of
a document in the record upon pay-
ment of reasonable costs. A person may
keep an original document, data, or
evidence, with the consent of the ad-
ministrative law judge, by substituting
a legible copy of the document for the
record.
§ 13.205
Administrative law judges.
(a)
Powers of an administrative law
judge. In accordance with the rules of
this subpart, an administrative law
judge may:
(1) Give notice of, and hold, pre-
hearing conferences and hearings;
(2) Administer oaths and affirma-
tions;
(3) Issue subpoenas as authorized by
law;
(4) Rule on offers of proof;
(5) Receive relevant and material evi-
dence;
(6) Regulate the course of the hearing
in accordance with the rules of this
subpart;
(7) Hold conferences to settle or to
simplify the issues by consent of the
parties;
(8) Dispose of procedural motions and
requests;
(9) Make findings of fact and conclu-
sions of law, and issue an initial deci-
sion;
(10) Bar a person from a specific pro-
ceeding based on a finding of obstrep-
erous or disruptive behavior in that
specific proceeding; and
(11) Take any other action authorized
by this subpart.
(b)
Limitations. The administrative
law judge must not issue an order of
contempt, award costs to any party, or
impose any sanction not specified in
this subpart. If the administrative law
judge imposes any sanction not speci-
fied in this subpart, a party may file an
interlocutory appeal of right under
§ 13.219(c).
(c)
Disqualification. The administra-
tive law judge may disqualify himself
or herself at any time. A party may file
a motion for disqualification under
§ 13.218.
§ 13.206
Intervention.
(a) A person may submit a motion for
leave to intervene as a party in a civil
penalty action. Except for good cause
shown, a motion for leave to intervene
must be submitted not later than 10
days before the hearing.
(b) The administrative law judge may
grant a motion for leave to intervene if
the administrative law judge finds that
intervention will not unduly broaden
the issues or delay the proceedings
and—
(1) The person seeking to intervene
will be bound by any order or decision
entered in the action; or
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§ 13.207
(2) The person seeking to intervene
has a property, financial, or other le-
gitimate interest that may not be ad-
dressed adequately by the parties.
(c) The administrative law judge may
determine the extent to which an in-
tervenor may participate in the pro-
ceedings.
§ 13.207
Certification of documents.
(a)
Signature required. The attorney of
record, the party, or the party’s rep-
resentative must sign, by hand, elec-
tronically, or by other method accept-
able to the administrative law judge,
or, if the matter is on appeal, to the
FAA decisionmaker, each document
tendered for filing with the FAA Hear-
ing Docket or served on the adminis-
trative law judge and on each other
party.
(b)
Effect of signing a document. By
signing a document, the attorney of
record, the party, or the party’s rep-
resentative certifies that the attorney,
the party, or the party’s representative
has read the document and, based on
reasonable inquiry and to the best of
that person’s knowledge, information,
and belief, the document is—
(1) Consistent with the rules in this
subpart;
(2) Warranted by existing law or a
good faith argument for extension,
modification, or reversal of existing
law; and
(3) Not unreasonable or unduly bur-
densome or expensive, not made to har-
ass any person, not made to cause un-
necessary delay, and not made to cause
needless increase in the cost of the pro-
ceedings or for any other improper pur-
pose.
(c)
Sanctions. If the attorney of
record, the party, or the party’s rep-
resentative signs a document in viola-
tion of this section, the administrative
law judge or the FAA decisionmaker
must:
(1) Strike the pleading signed in vio-
lation of this section;
(2) Strike the request for discovery or
the discovery response signed in viola-
tion of this section and preclude fur-
ther discovery by the party;
(3) Deny the motion or request signed
in violation of this section;
(4) Exclude the document signed in
violation of this section from the
record;
(5) Dismiss the interlocutory appeal
and preclude further appeal on that
issue by the party who filed the appeal
until an initial decision has been en-
tered on the record; or
(6) Dismiss the appeal of the adminis-
trative law judge’s initial decision to
the FAA decisionmaker.
§ 13.208
Complaint.
(a)
Filing. The agency attorney must
file the complaint with the FAA Hear-
ing Docket, or may file a written mo-
tion to dismiss a request for hearing
under § 13.218 instead of filing a com-
plaint, not later than 20 days after re-
ceipt by the agency attorney of a re-
quest for hearing. When filing the com-
plaint, the agency attorney must fol-
low the filing instructions in § 13.210.
The agency attorney may suggest a lo-
cation for the hearing when filing the
complaint.
(b)
Service. An agency attorney must
serve a copy of the complaint on the
respondent, the president of the cor-
poration or company named as a re-
spondent, or a person designated by the
respondent to accept service of docu-
ments in the civil penalty action. When
serving the complaint, the agency at-
torney must follow the service instruc-
tions in § 13.211.
(c)
Contents. A complaint must set
forth the facts alleged, any regulation
allegedly violated by the respondent,
and the proposed civil penalty in suffi-
cient detail to provide notice of any
factual or legal allegation and pro-
posed civil penalty.
(d)
Motion to dismiss stale allegations or
complaint. Instead of filing an answer
to the complaint, a respondent may
move to dismiss the complaint, or that
part of the complaint, alleging a viola-
tion that occurred more than 2 years
before an agency attorney issued a no-
tice of proposed civil penalty to the re-
spondent.
(1) An administrative law judge may
not grant the motion and dismiss the
complaint or part of the complaint if
the administrative law judge finds that
the agency has shown good cause for
any delay in issuing the notice of pro-
posed civil penalty.
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§ 13.210
(2) If the agency fails to show good
cause for any delay, an administrative
law judge may dismiss the complaint,
or that part of the complaint, alleging
a violation that occurred more than 2
years before an agency attorney issued
the notice of proposed civil penalty to
the respondent.
(3) A party may appeal the adminis-
trative law judge’s ruling on the mo-
tion to dismiss the complaint or any
part of the complaint in accordance
with § 13.219(b).
§ 13.209
Answer.
(a)
Writing required. A respondent
must file in the FAA Hearing Docket a
written answer to the complaint, or
may file a written motion pursuant to
§ 13.208 or § 13.218 instead of filing an
answer, not later than 30 days after
service of the complaint. The answer
must be dated and signed by the person
responding to the complaint. An an-
swer must be typewritten or legibly
handwritten.
(b)
Filing. A person filing an answer
or motion under paragraph (a) of this
section must follow the filing instruc-
tions in § 13.210.
(c)
Service. A person filing an answer
or a motion under paragraph (a) of this
section must serve a copy of the an-
swer or motion in accordance with the
service instructions in § 13.211.
(d)
Contents. An answer must specifi-
cally state any affirmative defense
that the respondent intends to assert
at the hearing. A person filing an an-
swer may include a brief statement of
any relief requested in the answer. The
person filing an answer may rec-
ommend a location for the hearing
when filing the answer.
(e)
Specific denial of allegations re-
quired. A person filing an answer must
admit, deny, or state that the person is
without sufficient knowledge or infor-
mation to admit or deny, each allega-
tion in the complaint. All allegations
in the complaint not specifically de-
nied in the answer are deemed admit-
ted. A general denial of the complaint
is deemed a failure to file an answer.
(f)
Failure to file answer. A person’s
failure to file an answer without good
cause will be deemed an admission of
the truth of each allegation contained
in the complaint.
§ 13.210
Filing of documents.
(a)
General rule. Unless provided oth-
erwise in this subpart, all documents in
proceedings under this subpart must be
tendered for filing with the FAA Hear-
ing Docket.
(b)
Methods of filing. Filing must be
by email, personal delivery, mail, or
fax.
(c)
Address for filing. A person filing a
document with the FAA Hearing Dock-
et must use the address identified for
the method of filing as follows:
(1)
If delivery is in person, or by expe-
dited or overnight express courier service.
Federal Aviation Administration, 600
Independence Avenue SW, Wilbur
Wright Building—Suite 2W100, Wash-
ington, DC 20597; Attention: FAA Hear-
ing Docket, AGC–70.
(2)
If delivery is via U.S. mail, or U.S.
certified or registered mail. Federal Avia-
tion Administration, 800 Independence
Avenue SW, Washington, DC 20591; At-
tention: FAA Hearing Docket, AGC–70,
Wilbur Wright Building—Suite 2W100.
(3)
If delivery is via email or fax. The
email address and fax number for the
FAA Hearing Docket, made available
on the FAA Office of Adjudication
website.
(d)
Date of filing. If a document is
filed by fax or email, the date of filing
is the date the email or fax is sent. If
a document is filed by personal deliv-
ery, the date of filing is the date that
personal delivery is accomplished. If a
document is filed by mail, the date of
filing is the date shown on the certifi-
cate of service, the date shown on the
postmark if there is no certificate of
service, or the mailing date shown by
other evidence if there is no certificate
of service or postmark.
(e)
Form. Each document must be
typewritten or legibly handwritten.
(f)
Contents. Unless otherwise speci-
fied in this subpart, each document
must contain a short, plain statement
of the facts on which the person’s case
rests and a brief statement of the ac-
tion requested.
(g)
Requirement to file an original docu-
ment and number of copies. A party must
file an original document and one copy
when filing by personal delivery or by
mail. Only one copy must be filed if fil-
ing is accomplished by email or fax.
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§ 13.211
(h)
Filing by email. A document that
is filed by email must be attached as a
PDF file to an email. The document
must be signed in accordance with
§ 13.207. The email message does not
constitute a submission, but serves
only to deliver the attached PDF file
to the FAA Hearing Docket.
§ 13.211
Service of documents.
(a)
General. A person must serve a
copy of all documents on each party
and the administrative law judge, if as-
signed, at the time of filing with the
FAA Hearing Docket except as pro-
vided otherwise in this subpart.
(b)
Service by the FAA Hearing Docket,
the administrative law judge, and the
FAA decisionmaker. The FAA Hearing
Docket, the administrative law judge,
and the FAA decisionmaker must send
documents to a party by personal de-
livery, mail, fax, or email as provided
in this section.
(c)
Methods of service—(1) General. A
person may serve any document by
email, personal delivery, mail, or fax.
(2)
Service by email. Service of docu-
ments by email is voluntary and re-
quires the prior consent of the person
to be served by email. A person may re-
tract consent to be served by email by
filing a written retraction with the
FAA Hearing Docket and serving it on
the other party and the administrative
law judge. A document that is served
by email must be attached as a PDF
file to an email message.
(d)
Certificate of service. A certificate
of service must accompany all docu-
ments filed with the FAA Hearing
Docket. The certificate of service must
be signed, describe the method of serv-
ice, and state the date of service.
(e)
Date of service. If a document is
served by fax or served by email, the
date of service is the date the email or
fax is sent. If a document is served by
personal delivery, the date of service is
the date that personal delivery is ac-
complished. If a document is mailed,
the date of service is the date shown on
the certificate of service, the date
shown on the postmark if there is no
certificate of service, or the mailing
date shown by other evidence if there
is no certificate of service or postmark.
(f)
Valid service. A document served
by mail or personal delivery that was
properly addressed, was sent in accord-
ance with this subpart, and that was
returned as unclaimed, or that was re-
fused or not accepted, is deemed to
have been served in accordance with
this subpart.
(g)
Additional time after service by mail.
Whenever a party must respond within
a prescribed period after service by
mail, 5 days are added to the prescribed
period.
(h)
Presumption of service. There is a
presumption of service where a party
or a person, who customarily receives
mail, or receives it in the ordinary
course of business, at either the per-
son’s residence or the person’s prin-
cipal place of business, acknowledges
receipt of the document.
§ 13.212
Computation of time.
(a) This section applies to any period
of time prescribed or allowed by this
subpart, by notice or order of the ad-
ministrative law judge, or by any ap-
plicable statute.
(b) The date of an act, event, or de-
fault is not included in a computation
of time under this subpart.
(c) The last day of a time period is in-
cluded unless it is a Saturday, Sunday,
or a Federal holiday. If the last day is
a Saturday, Sunday, or Federal holi-
day, the time period runs until the end
of the next day that is not a Saturday,
Sunday, or Federal holiday.
§ 13.213
Extension of time.
(a) The parties may agree to extend
for a reasonable period the time for fil-
ing a document under this subpart. The
party seeking the extension of time
must submit a draft order to the ad-
ministrative law judge to be signed by
the administrative law judge and filed
with the FAA Hearing Docket. The ad-
ministrative law judge must sign and
issue the order if the extension agreed
to by the parties is reasonable.
(b) A party may file a written motion
for an extension of time. A written mo-
tion for an extension of time must be
filed with the FAA Hearing Docket in
accordance with § 13.210. The motion
must be filed no later than seven days
before the document is due unless good
cause for the late filing is shown. The
party filing the motion must serve a
copy of the motion in accordance with
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§ 13.217
§ 13.211. The administrative law judge
may grant the extension of time if
good cause for the extension is shown.
(c) If the administrative law judge
fails to rule on a motion for an exten-
sion of time by the date the document
was due, the motion for an extension of
time is deemed granted for no more
than 20 days after the original date the
document was to be filed.
§ 13.214
Amendment of pleadings.
(a)
Filing and service. A party must
file the amendment with the FAA
Hearing Docket and must serve a copy
of the amendment on the administra-
tive law judge, if assigned, and on all
parties to the proceeding.
(b)
Time. (1) Not later than 15 days be-
fore the scheduled date of a hearing, a
party may amend a complaint or an
answer without the consent of the ad-
ministrative law judge.
(2) Less than 15 days before the
scheduled date of a hearing, the admin-
istrative law judge may allow amend-
ment of a complaint or an answer only
for good cause shown in a motion to
amend.
(c)
Responses. The administrative law
judge must allow a reasonable time,
but not more than 20 days from the
date of filing, for other parties to re-
spond if an amendment to a complaint,
answer, or other pleading has been filed
with the FAA Hearing Docket and
served on the administrative law judge
and other parties.
§ 13.215
Withdrawal of complaint or
request for hearing.
At any time before or during a hear-
ing, an agency attorney may withdraw
a complaint or a party may withdraw a
request for a hearing without the con-
sent of the administrative law judge. If
an agency attorney withdraws the
complaint or a party withdraws the re-
quest for a hearing and the answer, the
administrative law judge must dismiss
the proceedings under this subpart
with prejudice.
§ 13.216
Waivers.
Waivers of any rights provided by
statute or regulation must be in writ-
ing or by stipulation made at a hearing
and entered into the record. The par-
ties must set forth the precise terms of
the waiver and any conditions.
§ 13.217
Joint procedural or discovery
schedule.
(a)
General. The parties may agree to
submit a schedule for filing all pre-
hearing motions, conducting discovery
in the proceedings, or both.
(b)
Form and content of schedule. If the
parties agree to a joint procedural or
discovery schedule, one of the parties
must file the joint schedule setting
forth the dates to which the parties
have agreed, in accordance with
§ 13.210, and must also serve a copy of
the joint schedule in accordance with
§ 13.211. The filing of the joint schedule
must include a draft order establishing
a joint schedule to be signed by the ad-
ministrative law judge.
(1) The joint schedule may include,
but need not be limited to, requests for
discovery, objections to discovery re-
quests, responses to discovery requests
to which there are no objections, sub-
mission of prehearing motions, re-
sponses to prehearing motions, ex-
change of exhibits to be introduced at
the hearing, and a list of witnesses
that may be called at the hearing.
(2) Each party must sign the joint
schedule.
(c)
Time. The parties may agree to
submit all prehearing motions and re-
sponses and may agree to close dis-
covery in the proceedings under the
joint schedule within a reasonable time
before the date of the hearing, but not
later than 15 days before the hearing.
(d)
Joint scheduling order. The joint
schedule filed by the parties is a pro-
posed schedule that requires approval
of the administrative law judge to be-
come the joint scheduling order.
(e)
Disputes. The administrative law
judge must resolve disputes regarding
discovery or disputes regarding compli-
ance with the joint scheduling order as
soon as possible so that the parties
may continue to comply with the joint
scheduling order.
(f)
Sanctions for failure to comply with
joint schedule. If a party fails to comply
with a joint scheduling order, the ad-
ministrative law judge may impose any
of the following sanctions, proportional
to the party’s failure to comply with
the order:
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§ 13.218
(1) Strike the relevant portion of a
party’s pleadings;
(2) Preclude prehearing or discovery
motions by that party;
(3) Preclude admission of the rel-
evant portion of a party’s evidence at
the hearing; or
(4) Preclude the relevant portion of
the testimony of that party’s witnesses
at the hearing.
§ 13.218
Motions.
(a)
General. A party applying for an
order or ruling not specifically pro-
vided in this subpart must do so by fil-
ing a motion in accordance with
§ 13.210. A party must serve a copy of
each motion in accordance with § 13.211.
(b)
Form and contents. A party must
state the relief sought by the motion
and the particular grounds supporting
that relief. If a party has evidence in
support of a motion, the party must at-
tach any supporting evidence, includ-
ing affidavits, to the motion.
(c)
Filing of motions. A motion made
prior to the hearing must be in writing.
Unless otherwise agreed by the parties
or for good cause shown, a party must
file any prehearing motion not later
than 30 days before the hearing in the
FAA Hearing Docket in accordance
with § 13.210, and must serve a copy on
the administrative law judge, if as-
signed, and on each party in accord-
ance with § 13.211. Motions introduced
during a hearing may be made orally
on the record unless the administrative
law judge directs otherwise.
(d)
Responses to motions. Any party
may file a response, with affidavits or
other evidence in support of the re-
sponse, not later than 10 days after
service of a written motion on that
party. When a motion is made during a
hearing, the response may be made at
the hearing on the record, orally or in
writing, within a reasonable time de-
termined by the administrative law
judge.
(e)
Rulings on motions. The adminis-
trative law judge must rule on all mo-
tions as follows:
(1)
Discovery motions. The administra-
tive law judge must resolve all pending
discovery motions not later than 10
days before the hearing.
(2)
Prehearing motions. The adminis-
trative law judge must resolve all
pending prehearing motions not later
than 7 days before the hearing. If the
administrative law judge issues a rul-
ing or order orally, the administrative
law judge must serve a written copy of
the ruling or order, within 3 days, on
each party. In all other cases, the ad-
ministrative law judge must issue rul-
ings and orders in writing and must
serve a copy of the ruling or order on
each party.
(3)
Motions made during the hearing.
The administrative law judge must
issue rulings and orders on oral mo-
tions. Oral rulings or orders on mo-
tions must be made on the record.
(f)
Specific motions. The motions that
a party may file include but are not
limited to the following:
(1)
Motion to dismiss for insufficiency.
A respondent may file a motion to dis-
miss the complaint for insufficiency in-
stead of filing an answer. If the admin-
istrative law judge denies the motion
to dismiss the complaint for insuffi-
ciency, the respondent must file an an-
swer not later than 10 days after serv-
ice of the administrative law judge’s
denial of the motion. A motion to dis-
miss the complaint for insufficiency
must show that the complaint fails to
state a violation of a provision of the
Federal aviation statute listed in the
first sentence in 49 U.S.C. 46301(d)(2) or
in 49 U.S.C. 47531, or any implementing
rule, regulation, or order, or a viola-
tion of the Federal hazardous materials
transportation statute, 49 U.S.C. 5121–
5128, or any implementing rule, regula-
tion, or order.
(2)
Motion to dismiss. A party may file
a motion to dismiss, specifying the
grounds for dismissal. If an administra-
tive law judge grants a motion to dis-
miss in part, a party may appeal the
administrative law judge’s ruling on
the motion to dismiss under § 13.219(b).
(i)
Motion to dismiss a request for a
hearing. An agency attorney may file a
motion to dismiss a request for a hear-
ing instead of filing a complaint. If the
motion to dismiss is not granted, the
agency attorney must file the com-
plaint in the FAA Hearing Docket and
must serve a copy of the complaint on
the administrative law judge and on
each party not later than 10 days after
service of the administrative law
judge’s ruling or order on the motion
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§ 13.218
to dismiss. If the motion to dismiss is
granted and the proceedings are termi-
nated without a hearing, the respond-
ent may appeal to the FAA decision-
maker under § 13.233. If required by the
decision on appeal, the agency attor-
ney must file a complaint in the FAA
Hearing Docket and must serve a copy
of the complaint on the administrative
law judge and each party not later
than 10 days after service of the FAA
decisionmaker’s decision on appeal.
(ii)
Motion to dismiss a complaint. A re-
spondent may file a motion to dismiss
a complaint instead of filing an answer,
including a motion to dismiss a stale
complaint or allegations as provided in
§ 13.208. If the motion to dismiss is not
granted, the respondent must file an
answer in the FAA Hearing Docket and
must serve a copy of the answer on the
administrative law judge and on each
party not later than 10 days after serv-
ice of the administrative law judge’s
ruling or order on the motion to dis-
miss. If the motion to dismiss is grant-
ed and the proceedings are terminated
without a hearing, the agency attorney
may file an appeal in the FAA Hearing
Docket under § 13.233 and must serve
each other party. If required by the
FAA decisionmaker’s decision on ap-
peal, the respondent must file an an-
swer in the FAA Hearing Docket, and
must serve a copy of the answer on the
administrative law judge and on each
party not later than 10 days after serv-
ice of the decision on appeal.
(3)
Motion for a more definite statement.
A party may file a motion for a more
definite statement of any pleading
which requires a response under this
subpart. A party must set forth, in de-
tail, the indefinite or uncertain allega-
tions contained in a complaint or re-
sponse to any pleading and must sub-
mit the details that the party believes
would make the allegation or response
definite and certain.
(i)
Complaint. A respondent may file a
motion requesting a more definite
statement of the allegations contained
in the complaint instead of filing an
answer. If the administrative law judge
grants the motion, the agency attorney
must supply a more definite statement
not later than 15 days after service of
the ruling granting the motion. If the
agency attorney fails to supply a more
definite statement, the administrative
law judge may strike the allegations in
the complaint to which the motion is
directed. If the administrative law
judge denies the motion, the respond-
ent must file an answer in the FAA
Hearing Docket and must serve a copy
of the answer on the administrative
law judge and on each party not later
than 10 days after service of the order
of denial.
(ii)
Answer. An agency attorney may
file a motion requesting a more defi-
nite statement if an answer fails to re-
spond clearly to the allegations in the
complaint. If the administrative law
judge grants the motion, the respond-
ent must supply a more definite state-
ment not later than 15 days after serv-
ice of the ruling on the motion. If the
respondent fails to supply a more defi-
nite statement, the administrative law
judge may strike those statements in
the answer to which the motion is di-
rected. The respondent’s failure to sup-
ply a more definite statement may be
deemed an admission of unanswered al-
legations in the complaint.
(4)
Motion to strike. Any party may
make a motion to strike any insuffi-
cient allegation or defense, or any re-
dundant, immaterial, impertinent, or
scandalous matter in a pleading. A
party must file a motion to strike be-
fore a response is required under this
subpart or, if a response is not re-
quired, not later than 10 days after
service of the pleading. A motion to
strike must be filed in the FAA Hear-
ing Docket and served on the adminis-
trative law judge, if assigned, and on
each other party.
(5)
Motion for decision. A party may
make a motion for decision, regarding
all or any part of the proceedings, at
any time before the administrative law
judge has issued an initial decision in
the proceedings. The administrative
law judge must grant a party’s motion
for decision if the pleadings, deposi-
tions, answers to interrogatories, ad-
missions, matters that the administra-
tive law judge has officially noticed, or
evidence introduced during the hearing
shows that there is no genuine issue of
material fact and that the party mak-
ing the motion is entitled to a decision
as a matter of law. The party making
the motion for decision has the burden
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§ 13.219
of showing that there is no genuine
issue of material fact disputed by the
parties.
(6)
Motion for disqualification. A party
may file a motion for disqualification
in the FAA Hearing Docket and must
serve a copy on the administrative law
judge and on each party. A party may
file the motion at any time after the
administrative law judge has been as-
signed to the proceedings but must
make the motion before the adminis-
trative law judge files an initial deci-
sion in the proceedings.
(i)
Motion and supporting affidavit. A
party must state the grounds for dis-
qualification in a motion for disquali-
fication, including, but not limited to,
a financial or other personal interest
that would be affected by the outcome
of the enforcement action, personal
animus against a party to the action or
against a group to which a party be-
longs, prejudgment of the adjudicative
facts at issue in the proceeding, or any
other prohibited conflict of interest. A
party must submit an affidavit with
the motion for disqualification that
sets forth, in detail, the matters al-
leged to constitute grounds for dis-
qualification.
(ii)
Response. A party must respond
to the motion for disqualification not
later than 5 days after service of the
motion for disqualification.
(iii)
Decision on motion for disqualifica-
tion. The administrative law judge
must render a decision on the motion
for disqualification not later than 15
days after the motion has been filed. If
the administrative law judge finds that
the motion for disqualification and
supporting affidavit show a basis for
disqualification, the administrative
law judge must withdraw from the pro-
ceedings immediately. If the adminis-
trative law judge finds that disquali-
fication is not warranted, the adminis-
trative law judge must deny the mo-
tion and state the grounds for the de-
nial on the record. If the administra-
tive law judge fails to rule on a party’s
motion for disqualification within 15
days after the motion has been filed,
the motion is deemed granted.
(iv)
Appeal. A party may appeal the
administrative law judge’s denial of
the motion for disqualification in ac-
cordance with § 13.219(b).
(7)
Motions for reconsideration of an
initial decision, order dismissing a com-
plaint, order dismissing a request for
hearing or order dismissing a request for
hearing and answer. The FAA decision-
maker may treat motions for reconsid-
eration of an initial decision, order dis-
missing a complaint, order dismissing
a request for hearing, or order dis-
missing a request for hearing and an-
swer as a notice of appeal under § 13.233,
and if the motion was filed within the
time allowed for the filing of a notice
of appeal, the FAA decisionmaker will
issue a briefing schedule.
§ 13.219
Interlocutory appeals.
(a)
General. Unless otherwise pro-
vided in this subpart, a party may not
appeal a ruling or decision of the ad-
ministrative law judge to the FAA de-
cisionmaker until the initial decision
has been entered on the record. A deci-
sion or order of the FAA decisionmaker
on the interlocutory appeal does not
constitute a final order of the Adminis-
trator for the purposes of judicial ap-
pellate review as provided in § 13.235.
(b)
Interlocutory appeal for cause. If a
party orally requests or files a written
request for an interlocutory appeal for
cause, the proceedings are stayed until
the administrative law judge issues a
decision on the request. Any written
request for interlocutory appeal for
cause must be filed in the FAA Hearing
Docket and served on each party and
on the administrative law judge. If the
administrative law judge grants the re-
quest, the proceedings are stayed until
the FAA decisionmaker issues a deci-
sion on the interlocutory appeal. The
administrative law judge must grant
the request if a party shows that delay
of the appeal would be detrimental to
the public interest or would result in
undue prejudice to any party.
(c)
Interlocutory appeals of right. If a
party notifies the administrative law
judge of an interlocutory appeal of
right, the proceedings are stayed until
the FAA decisionmaker issues a deci-
sion on the interlocutory appeal. A
party may file an interlocutory appeal
of right, without the consent of the ad-
ministrative law judge, before an ini-
tial decision has been entered in the
case of:
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§ 13.220
(1) A ruling or order by the adminis-
trative law judge barring a person from
the proceedings;
(2) Failure of the administrative law
judge to dismiss the proceedings in ac-
cordance with § 13.215; or
(3) A ruling or order by the adminis-
trative law judge in violation of
§ 13.205(b).
(d)
Procedure. A party must file a no-
tice of interlocutory appeal, with sup-
porting documents, with the FAA
Hearing Docket, and must serve a copy
of the notice and supporting documents
on each party and the administrative
law judge not later than 10 days after
the administrative law judge’s decision
forming the basis of an interlocutory
appeal of right, or not later than 10
days after the administrative law
judge’s decision granting an interlocu-
tory appeal for cause, as appropriate. A
party must file a reply, if any, with the
FAA Hearing Docket, and serve a copy
on each party and the administrative
law judge not later than 10 days after
service of the appeal. The FAA deci-
sionmaker must render a decision on
the interlocutory appeal on the record
and as a part of the decision in the pro-
ceedings, within a reasonable time
after receipt of the interlocutory ap-
peal.
(e)
Summary rejection. The FAA deci-
sionmaker may reject frivolous, repet-
itive, or dilatory appeals, and may
issue an order precluding one or more
parties from making further interlocu-
tory appeals in a proceeding in which
there have been frivolous, repetitive, or
dilatory interlocutory appeals.
§ 13.220
Discovery.
(a)
Initiation of discovery. Any party
may initiate discovery described in
this section without the consent or ap-
proval of the administrative law judge
at any time after a complaint has been
filed in the proceedings.
(b)
Methods of discovery. The fol-
lowing methods of discovery are per-
mitted under this section: Depositions
on oral examination or written ques-
tions of any person; written interrog-
atories directed to a party; requests for
production of documents or tangible
items to any person; and requests for
admission by a party. A party must not
file written interrogatories and re-
sponses, requests for production of doc-
uments or tangible items and re-
sponses, and requests for admission and
response with the FAA Hearing Docket
or serve them on the administrative
law judge. In the event of a discovery
dispute, a party must attach a copy of
the relevant documents in support of a
motion made under this section.
(c)
Service on the agency. A party
must serve each discovery request di-
rected to the agency or any agency em-
ployee on the agency attorney of
record.
(d)
Time for response to discovery re-
quests. Unless otherwise directed by
this subpart or agreed by the parties, a
party must respond to a request for
discovery, including filing objections
to a request for discovery, not later
than 30 days after service of the re-
quest.
(e)
Scope of discovery. Subject to the
limits on discovery set forth in para-
graph (f) of this section, a party may
discover any matter that is not privi-
leged and that is relevant to any par-
ty’s claim or defense, including the ex-
istence, description, nature, custody,
condition, and location of any docu-
ment or other tangible item and the
identity and location of any person
having knowledge of discoverable mat-
ter. A party may discover facts known,
or opinions held, by an expert who any
other party expects to call to testify at
the hearing. A party has no ground to
object to a discovery request on the
basis that the information sought
would not be admissible at the hearing.
(f)
Limiting discovery. The administra-
tive law judge must limit the fre-
quency and extent of discovery per-
mitted by this section if a party shows
that—
(1) The information requested is cu-
mulative or repetitious;
(2) The information requested can be
obtained from another less burdensome
and more convenient source;
(3) The party requesting the informa-
tion has had ample opportunity to ob-
tain the information through other dis-
covery methods permitted under this
section; or
(4) The method or scope of discovery
requested by the party is unduly bur-
densome or expensive.
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14 CFR Ch. I (1–1–24 Edition)
§ 13.220
(g)
Confidential orders. A party or per-
son who has received a discovery re-
quest for information that is related to
a trade secret, confidential or sensitive
material, competitive or commercial
information, proprietary data, or infor-
mation on research and development,
may file a motion for a confidential
order in the FAA Hearing Docket in ac-
cordance with § 13.210, and must serve a
copy of the motion for a confidential
order on each party and on the admin-
istrative law judge in accordance with
§ 13.211.
(1) The party or person making the
motion must show that the confiden-
tial order is necessary to protect the
information from disclosure to the pub-
lic.
(2) If the administrative law judge de-
termines that the requested material is
not necessary to decide the case, the
administrative law judge must pre-
clude any inquiry into the matter by
any party.
(3) If the administrative law judge de-
termines that the requested material
may be disclosed during discovery, the
administrative law judge may order
that the material may be discovered
and disclosed under limited conditions
or may be used only under certain
terms and conditions.
(4) If the administrative law judge de-
termines that the requested material is
necessary to decide the case and that a
confidential order is warranted, the ad-
ministrative law judge must provide:
(i) An opportunity for review of the
document by the parties off the record;
(ii) Procedures for excluding the in-
formation from the record; and
(iii) Order that the parties must not
disclose the information in any manner
and the parties must not use the infor-
mation in any other proceeding.
(h)
Protective orders. A party or a per-
son who has received a request for dis-
covery may file a motion for protective
order in the FAA Hearing Docket and
must serve a copy of the motion for
protective order on the administrative
law judge and each other party. The
party or person making the motion
must show that the protective order is
necessary to protect the party or the
person from annoyance, embarrass-
ment, oppression, or undue burden or
expense. As part of the protective
order, the administrative law judge
may:
(1) Deny the discovery request;
(2) Order that discovery be conducted
only on specified terms and conditions,
including a designation of the time or
place for discovery or a determination
of the method of discovery; or
(3) Limit the scope of discovery or
preclude any inquiry into certain mat-
ters during discovery.
(i)
Duty to supplement or amend re-
sponses. A party who has responded to a
discovery request has a duty to supple-
ment or amend the response, as soon as
the information is known, as follows:
(1) A party must supplement or
amend any response to a question re-
questing the identity and location of
any person having knowledge of discov-
erable matters.
(2) A party must supplement or
amend any response to a question re-
questing the identity of each person
who will be called to testify at the
hearing as an expert witness and the
subject matter and substance of that
witness’s testimony.
(3) A party must supplement or
amend any response that was incorrect
when made or any response that was
correct when made but is no longer
correct, accurate, or complete.
(j)
Depositions—(1) Form. A deposition
must be taken on the record and re-
duced to writing. The person being de-
posed must sign the deposition unless
the parties agree to waive the require-
ment of a signature.
(2)
Administration of oaths. Within the
United States, or a territory or posses-
sion subject to the jurisdiction of the
United States, a party must take a
deposition before a person authorized
to administer oaths by the laws of the
United States or authorized by the law
of the place where the examination is
held. In foreign countries, a party must
take a deposition in any manner al-
lowed by the Federal Rules of Civil
Procedure.
(3)
Notice of deposition. A party must
serve a notice of deposition, stating the
time and place of the deposition and
the name and address of each person to
be examined, on the person to be de-
posed, the administrative law judge,
and each party not later than 7 days
before the deposition. The notice must
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§ 13.220
be filed in the FAA Hearing Docket si-
multaneously. A party may serve a no-
tice of deposition less than 7 days be-
fore the deposition only with consent
of the administrative law judge. The
party noticing a deposition must at-
tach a copy of any subpoena
duces
tecum requesting that materials be pro-
duced at the deposition to the notice of
deposition.
(4)
Use of depositions. A party may use
any part or all of a deposition at a
hearing authorized under this subpart
only upon a showing of good cause. The
deposition may be used against any
party who was present or represented
at the deposition or who had reason-
able notice of the deposition.
(k)
Interrogatories. A party, the par-
ty’s attorney, or the party’s represent-
ative may sign the party’s responses to
interrogatories. A party must answer
each interrogatory separately and com-
pletely in writing. If a party objects to
an interrogatory, the party must state
the objection and the reasons for the
objection. An opposing party may use
any part or all of a party’s responses to
interrogatories at a hearing authorized
under this subpart to the extent that
the response is relevant, material, and
not repetitious.
(1) A party must not serve more than
30 interrogatories to each other party.
Each subpart of an interrogatory must
be counted as a separate interrogatory.
(2) A party must file a motion for
leave to serve additional interrog-
atories on a party with the administra-
tive law judge before serving additional
interrogatories on a party. The admin-
istrative law judge may grant the mo-
tion only if the party shows good
cause.
(l)
Requests for admission. A party
may serve a written request for admis-
sion of the truth of any matter within
the scope of discovery under this sec-
tion or the authenticity of any docu-
ment described in the request. A party
must set forth each request for admis-
sion separately. A party must serve
copies of documents referenced in the
request for admission unless the docu-
ments have been provided or are rea-
sonably available for inspection and
copying.
(1)
Time. A party’s failure to respond
to a request for admission, in writing
and signed by the attorney or the
party, not later than 30 days after serv-
ice of the request, is deemed an admis-
sion of the truth of the statement or
statements contained in the request for
admission. The administrative law
judge may determine that a failure to
respond to a request for admission is
not deemed an admission of the truth if
a party shows that the failure was due
to circumstances beyond the control of
the party or the party’s attorney.
(2)
Response. A party may object to a
request for admission and must state
the reasons for objection. A party may
specifically deny the truth of the mat-
ter or describe the reasons why the
party is unable to truthfully deny or
admit the matter. If a party is unable
to deny or admit the truth of the mat-
ter, the party must show that the
party has made reasonable inquiry into
the matter or that the information
known to, or readily obtainable by, the
party is insufficient to enable the
party to admit or deny the matter. A
party may admit or deny any part of
the request for admission. If the ad-
ministrative law judge determines that
a response does not comply with the re-
quirements of this paragraph (l)(2) or
that the response is insufficient, the
matter is deemed admitted.
(3)
Effect of admission. Any matter ad-
mitted or deemed admitted under this
section is conclusively established for
the purpose of the hearing and appeal.
(m)
Motion to compel discovery. A
party may make a motion to compel
discovery if a person refuses to answer
a question during a deposition, a party
fails or refuses to answer an interrog-
atory, if a person gives an evasive or
incomplete answer during a deposition
or when responding to an interrog-
atory, or a party fails or refuses to
produce documents or tangible items.
During a deposition, the proponent of a
question may complete the deposition
or may adjourn the examination before
making a motion to compel if a person
refuses to answer. Any motion to com-
pel must be filed with the FAA Hearing
Docket and served on the administra-
tive law judge and other parties in ac-
cordance with §§ 13.210 and 13.211, re-
spectively.
(n)
Failure to comply with a discovery
order. If a party fails to comply with a
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14 CFR Ch. I (1–1–24 Edition)
§ 13.221
discovery order, the administrative law
judge may impose any of the following
sanctions proportional to the party’s
failure to comply with the order:
(1) Strike the relevant portion of a
party’s pleadings;
(2) Preclude prehearing or discovery
motions by that party;
(3) Preclude admission of the rel-
evant portion of a party’s evidence at
the hearing; or
(4) Preclude the relevant portion of
the testimony of that party’s witnesses
at the hearing.
§ 13.221
Notice of hearing.
(a)
Notice. The administrative law
judge must provide each party with no-
tice of the date, time, and location of
the hearing at least 60 days before the
hearing date.
(b)
Date, time, and location of the hear-
ing. The administrative law judge to
whom the proceedings have been as-
signed must set a reasonable date,
time, and location for the hearing. The
administrative law judge must consider
the need for discovery and any joint
procedural or discovery schedule sub-
mitted by the parties when deter-
mining the hearing date. The adminis-
trative law judge must give due regard
to the convenience of the parties, the
location where the majority of the wit-
nesses reside or work, and whether the
location is served by a scheduled air
carrier.
(c)
Earlier hearing. With the consent
of the administrative law judge, the
parties may agree to hold the hearing
on an earlier date than the date speci-
fied in the notice of hearing.
§ 13.222
Evidence.
(a)
General. A party is entitled to
present the party’s case or defense by
oral, documentary, or demonstrative
evidence, to submit rebuttal evidence,
and to conduct any cross-examination
that may be required for a full and true
disclosure of the facts.
(b)
Admissibility. A party may intro-
duce any oral, documentary, or demon-
strative evidence in support of the par-
ty’s case or defense. The administra-
tive law judge must admit any relevant
oral, documentary, or demonstrative
evidence introduced by a party, but
must exclude irrelevant, immaterial,
or unduly repetitious evidence.
(c)
Hearsay evidence. Hearsay evi-
dence is admissible in proceedings gov-
erned by this subpart. The fact that
evidence submitted by a party is hear-
say goes only to the weight of the evi-
dence and does not affect its admissi-
bility.
§ 13.223
Standard of proof.
The administrative law judge must
issue an initial decision or must rule in
a party’s favor only if the decision or
ruling is supported by, and in accord-
ance with, the reliable, probative, and
substantial evidence contained in the
record. In order to prevail, the party
with the burden of proof must prove
the party’s case or defense by a prepon-
derance of reliable, probative, and sub-
stantial evidence.
§ 13.224
Burden of proof.
(a) Except in the case of an affirma-
tive defense, the burden of proof is on
the agency.
(b) Except as otherwise provided by
statute or rule, the proponent of a mo-
tion, request, or order has the burden
of proof.
(c) A party who has asserted an af-
firmative defense has the burden of
proving the affirmative defense.
§ 13.225
Offer of proof.
A party whose evidence has been ex-
cluded by a ruling of the administra-
tive law judge may offer the evidence
for the record on appeal.
§ 13.226
Public disclosure of informa-
tion.
(a) The administrative law judge may
order that any information contained
in the record be withheld from public
disclosure. Any party or interested per-
son may object to disclosure of infor-
mation in the record by filing and serv-
ing a written motion to withhold spe-
cific information in accordance with
§§ 13.210 and 13.211 respectively. A party
may file a motion seeking to protect
from public disclosure information
contained in a document that the party
is filing at the same time it files the
document. The person or party must
state the specific grounds for non-
disclosure in the motion.
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§ 13.230
(b) The administrative law judge
must grant the motion to withhold if,
based on the motion and any response
to the motion, the administrative law
judge determines that: Disclosure
would be detrimental to aviation safe-
ty; disclosure would not be in the pub-
lic interest; or the information is not
otherwise required to be made avail-
able to the public.
§ 13.227
Expert or opinion witnesses.
An employee of the agency may not
be called as an expert or opinion wit-
ness for any party other than the FAA
in any proceeding governed by this sub-
part. An employee of a respondent may
not be called by an agency attorney as
an expert or opinion witness for the
FAA in any proceeding governed by
this subpart to which the respondent is
a party.
§ 13.228
Subpoenas.
(a)
Request for subpoena. The adminis-
trative law judge, upon application by
any party to the proceeding, may issue
subpoenas requiring the attendance of
witnesses or the production of docu-
ments or tangible things at a hearing
or for the purpose of taking deposi-
tions, as permitted by law. A request
for a subpoena must show its general
relevance and reasonable scope. The
party must serve the subpoena on the
witness or the holder of the documents
or tangible items as permitted by ap-
plicable statute. A request for a sub-
poena must be filed and served in ac-
cordance with §§ 13.210 and 13.211, re-
spectively. Absent good cause shown,
the filing and service must be com-
pleted as follows:
(1) Not later than 15 days before a
scheduled deposition under the sub-
poena; or
(2) Not later than 30 days before a
scheduled hearing where attendance at
the hearing is sought.
(b)
Motion to quash or modify the sub-
poena. A party, or any person upon
whom a subpoena has been served, may
file in the FAA Hearing Docket a mo-
tion to quash or modify the subpoena
and must serve a copy on the adminis-
trative law judge and each party at or
before the time specified in the sub-
poena for compliance. The movant
must describe, in detail, the basis for
the motion to quash or modify the sub-
poena including, but not limited to, a
statement that the testimony, docu-
ment, or tangible evidence is not rel-
evant to the proceeding, that the sub-
poena is not reasonably tailored to the
scope of the proceeding, or that the
subpoena is unreasonable and oppres-
sive. A motion to quash or modify the
subpoena will stay the effect of the
subpoena pending a decision by the ad-
ministrative law judge on the motion.
(c)
Enforcement of subpoena. Upon a
showing that a person has failed or re-
fused to comply with a subpoena, a
party may apply to the appropriate
U.S. district court to seek judicial en-
forcement of the subpoena.
§ 13.229
Witness fees.
(a)
General. The party who applies for
a subpoena to compel the attendance of
a witness at a deposition or hearing, or
the party at whose request a witness
appears at a deposition or hearing,
must pay the witness fees described in
this section.
(b)
Amount. Except for an employee
of the agency who appears at the direc-
tion of the agency, a witness who ap-
pears at a deposition or hearing is enti-
tled to the same fees and allowances
provided for under 28 U.S.C. 1821.
§ 13.230
Record.
(a)
Exclusive record. The pleadings,
transcripts of the hearing and pre-
hearing conferences, exhibits admitted
into evidence, rulings, motions, appli-
cations, requests, briefs, and responses
thereto, constitute the exclusive record
for decision of the proceedings and the
basis for the issuance of any orders in
the proceeding. Any proceedings re-
garding the disqualification of an ad-
ministrative law judge must be in-
cluded in the record. Though only ex-
hibits admitted into evidence are part
of the record before an administrative
law judge, evidence proffered but not
admitted is also part of the record on
appeal, as provided by § 13.225.
(b)
Examination and copying of record.
The parties may examine the record at
the FAA Hearing Docket and may ob-
tain copies of the record upon payment
of applicable fees. Any other person
may obtain copies of the releasable
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§ 13.231
portions of the record in accordance
with applicable law.
§ 13.231
Argument before the adminis-
trative law judge.
(a)
Arguments during the hearing. Dur-
ing the hearing, the administrative law
judge must give the parties a reason-
able opportunity to present arguments
on the record supporting or opposing
motions, objections, and rulings if the
parties request an opportunity for ar-
gument. The administrative law judge
may request written arguments during
the hearing if the administrative law
judge finds that submission of written
arguments would be reasonable.
(b)
Final oral argument. At the conclu-
sion of the hearing and before the ad-
ministrative law judge issues an initial
decision in the proceedings, the admin-
istrative law judge must allow the par-
ties to submit oral proposed findings of
fact and conclusions of law, exceptions
to rulings of the administrative law
judge, and supporting arguments for
the findings, conclusions, or excep-
tions. At the conclusion of the hearing,
a party may waive final oral argument.
(c)
Post-hearing briefs. The adminis-
trative law judge may request written
post-hearing briefs before the adminis-
trative law judge issues an initial deci-
sion in the proceedings if the adminis-
trative law judge finds that submission
of written arguments would be reason-
able. If a party files a written post-
hearing brief, the party must include
proposed findings of fact and conclu-
sions of law, exceptions to rulings of
the administrative law judge, and sup-
porting arguments for the findings,
conclusions, or exceptions. The admin-
istrative law judge must give the par-
ties a reasonable opportunity, but not
more than 30 days after receipt of the
transcript, to prepare and submit the
briefs. A party must file and serve any
post-hearing brief in in accordance
with §§ 13.210 and 13.211, respectively.
§ 13.232
Initial decision.
(a)
Contents. The administrative law
judge must issue an initial decision at
the conclusion of the hearing. In each
oral or written decision, the adminis-
trative law judge must include findings
of fact and conclusions of law, as well
as the grounds supporting those find-
ings and conclusions, for all material
issues of fact, the credibility of wit-
nesses, the applicable law, any exercise
of the administrative law judge’s dis-
cretion, and the amount of any civil
penalty found appropriate by the ad-
ministrative law judge. The adminis-
trative law judge must also include a
discussion of the basis for any order
issued in the proceedings. The adminis-
trative law judge is not required to
provide a written explanation for rul-
ings on objections, procedural motions,
and other matters not directly relevant
to the substance of the initial decision.
If the administrative law judge refers
to any previous unreported or unpub-
lished initial decision, the administra-
tive law judge must make copies of
that initial decision available to all
parties and the FAA decisionmaker.
(b)
Oral decision. Except as provided
in paragraph (c) of this section, at the
conclusion of the hearing, the adminis-
trative law judge’s oral initial decision
and order must be on the record.
(c)
Written decision. The administra-
tive law judge may issue a written ini-
tial decision not later than 30 days
after the conclusion of the hearing or
submission of the last post-hearing
brief if the administrative law judge
finds that issuing a written initial de-
cision is reasonable. The administra-
tive law judge must serve a copy of any
written initial decision on each party.
(d)
Reconsideration of an initial deci-
sion. The FAA decisionmaker may
treat a motion for reconsideration of
an initial decision as a notice of appeal
under § 13.233, and if the motion was
filed within the time allowed for the
filing of a notice of appeal, the FAA de-
cisionmaker will issue a briefing sched-
ule, as provided in § 13.218.
(e)
Order assessing civil penalty. Unless
appealed pursuant to § 13.233, the initial
decision issued by the administrative
law judge is considered an order assess-
ing civil penalty if the administrative
law judge finds that an alleged viola-
tion occurred and determines that a
civil penalty, in an amount found ap-
propriate by the administrative law
judge, is warranted. The administra-
tive law judge may not assess a civil
penalty exceeding the amount sought
in the complaint.
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§ 13.233
§ 13.233
Appeal from initial decision.
(a)
Notice of appeal. A party may ap-
peal the administrative law judge’s ini-
tial decision, and any decision not pre-
viously appealed to the FAA decision-
maker on interlocutory appeal pursu-
ant to § 13.219, by filing a notice of ap-
peal in accordance with § 13.210 no later
than 10 days after entry of the oral ini-
tial decision on the record or service of
the written initial decision on the par-
ties. The party must serve a copy of
the notice of appeal on each party in
accordance with § 13.211. A party is not
required to serve any documents under
§ 13.233 on the administrative law
judge.
(b)
Issues on appeal. In any appeal
from a decision of an administrative
law judge, the FAA decisionmaker con-
siders only the following issues:
(1) Whether each finding of fact is
supported by a preponderance of reli-
able, probative, and substantial evi-
dence;
(2) Whether each conclusion of law is
made in accordance with applicable
law, precedent, and public policy; and
(3) Whether the administrative law
judge committed any prejudicial er-
rors.
(c)
Perfecting an appeal. Except as fol-
lows in paragraphs (c)(1) and (2) of this
section, a party must perfect an appeal
to the FAA decisionmaker no later
than 50 days after entry of the oral ini-
tial decision on the record or service of
the written initial decision on the par-
ties by filing an appeal brief in accord-
ance with § 13.210 and serving a copy on
every other party in accordance with
§ 13.211.
(1)
Extension of time by agreement of
the parties. The parties may agree to
extend the time for perfecting the ap-
peal with the consent of the FAA deci-
sionmaker. If the FAA decisionmaker
grants an extension of time to perfect
the appeal, the FAA decisionmaker
must serve a letter confirming the ex-
tension of time on each party.
(2)
Written motion for extension. If the
parties do not agree to an extension of
time for perfecting an appeal, a party
desiring an extension of time may file
a written motion for an extension in
accordance with § 13.210 and must serve
a copy of the motion on each party
under § 13.211. Any party may file a
written response to the motion for ex-
tension no later than 10 days after
service of the motion. The FAA deci-
sionmaker may grant an extension if
good cause for the extension is shown
in the motion.
(d)
Appeal briefs. A party must file
the appeal brief in accordance with
§ 13.210 and must serve a copy of the ap-
peal brief on each party in accordance
with § 13.211.
(1) A party must set forth, in detail,
the party’s specific objections to the
initial decision or rulings in the appeal
brief. A party also must set forth, in
detail, the basis for the appeal, the rea-
sons supporting the appeal, and the re-
lief requested in the appeal. If the
party relies on evidence contained in
the record for the appeal, the party
must specifically refer to the pertinent
evidence contained in the transcript in
the appeal brief.
(2) The FAA decisionmaker may dis-
miss an appeal, on the FAA decision-
maker’s own initiative or upon motion
of any other party, where a party has
filed a notice of appeal but fails to per-
fect the appeal by timely filing an ap-
peal brief with the FAA decisionmaker.
(e)
Reply brief. Except as follows in
paragraphs (e)(1) and (2) of this section,
any party may file a reply brief in ac-
cordance with § 13.210 not later than 35
days after the appeal brief has been
served on that party. The party filing
the reply brief must serve a copy of the
reply brief on each party in accordance
with § 13.211. If the party relies on evi-
dence contained in the record for the
reply, the party must specifically refer
to the pertinent evidence contained in
the transcript in the reply brief.
(1)
Extension of time by agreement of
the parties. The parties may agree to
extend the time for filing a reply brief
with the consent of the FAA decision-
maker. If the FAA decisionmaker
grants an extension of time to file the
reply brief, the FAA decisionmaker
must serve a letter confirming the ex-
tension of time on each party.
(2)
Written motion for extension. If the
parties do not agree to an extension of
time for filing a reply brief, a party de-
siring an extension of time may file a
written motion for an extension in ac-
cordance with § 13.210 and must serve a
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14 CFR Ch. I (1–1–24 Edition)
§ 13.233
copy of the motion on each party in ac-
cordance with § 13.211. Any party choos-
ing to respond to the motion must file
and serve a written response to the mo-
tion no later than 10 days after service
of the motion The FAA decisionmaker
may grant an extension if good cause
for the extension is shown in the mo-
tion.
(f)
Other briefs. The FAA decision-
maker may allow any person to submit
an
amicus curiae brief in an appeal of an
initial decision. A party may not file
more than one brief unless permitted
by the FAA decisionmaker. A party
may petition the FAA decisionmaker,
in writing, for leave to file an addi-
tional brief and must serve a copy of
the petition on each party. The party
may not file the additional brief with
the petition. The FAA decisionmaker
may grant leave to file an additional
brief if the party demonstrates good
cause for allowing additional argument
on the appeal. The FAA decisionmaker
will allow a reasonable time for the
party to file the additional brief.
(g)
Number of copies. A party must file
the original plus one copy of the appeal
brief or reply brief, but only one copy
if filing by email or fax, as provided in
§ 13.210.
(h)
Oral argument. The FAA decision-
maker may permit oral argument on
the appeal. On the FAA decision-
maker’s own initiative, or upon writ-
ten motion by any party, the FAA de-
cisionmaker may find that oral argu-
ment will contribute substantially to
the development of the issues on appeal
and may grant the parties an oppor-
tunity for oral argument.
(i)
Waiver of objections on appeal. If a
party fails to object to any alleged
error regarding the proceedings in an
appeal or a reply brief, the party
waives any objection to the alleged
error. The FAA decisionmaker is not
required to consider any objection in
an appeal brief, or any argument in the
reply brief, if a party’s objection or ar-
gument is based on evidence contained
on the record and the party does not
specifically refer to the pertinent evi-
dence from the record in the brief.
(j)
FAA decisionmaker’s decision on ap-
peal. The FAA decisionmaker will re-
view the record, the briefs on appeal,
and the oral argument, if any, when
considering the issues on appeal. The
FAA decisionmaker may affirm, mod-
ify, or reverse the initial decision,
make any necessary findings, or re-
mand the case for any proceedings that
the FAA decisionmaker determines
may be necessary. The FAA decision-
maker may assess a civil penalty but
must not assess a civil penalty in an
amount greater than that sought in the
complaint.
(1) The FAA decisionmaker may raise
any issue, on the FAA decisionmaker’s
own initiative, that is required for
proper disposition of the proceedings.
The FAA decisionmaker will give the
parties a reasonable opportunity to
submit arguments on the new issues
before making a decision on appeal. If
an issue raised by the FAA decision-
maker requires the consideration of ad-
ditional testimony or evidence, the
FAA decisionmaker will remand the
case to the administrative law judge
for further proceedings and an initial
decision related to that issue. If an
issue raised by the FAA decisionmaker
is solely an issue of law, or the issue
was addressed at the hearing but was
not raised by a party in the briefs on
appeal, a remand of the case to the ad-
ministrative law judge for further pro-
ceedings is not required but may be
provided in the discretion of the FAA
decisionmaker.
(2) The FAA decisionmaker will issue
the final decision and order of the Ad-
ministrator on appeal in writing and
will serve a copy of the decision and
order on each party. Unless a petition
for review is filed pursuant to § 13.235, a
final decision and order of the Admin-
istrator will be considered an order as-
sessing civil penalty if the FAA deci-
sionmaker finds that an alleged viola-
tion occurred and a civil penalty is
warranted.
(3) A final decision and order of the
Administrator after appeal is precedent
in any other civil penalty action. Any
issue, finding or conclusion, order, rul-
ing, or initial decision of an adminis-
trative law judge that has not been ap-
pealed to the FAA decisionmaker is
not precedent in any other civil pen-
alty action.
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Federal Aviation Administration, DOT
§ 13.235
§ 13.234
Petition to reconsider or mod-
ify a final decision and order of the
FAA decisionmaker on appeal.
(a)
General. Any party may petition
the FAA decisionmaker to reconsider
or modify a final decision and order
issued by the FAA decisionmaker on
appeal from an initial decision. A party
must file a petition to reconsider or
modify in accordance with § 13.210 not
later than 30 days after service of the
FAA decisionmaker’s final decision
and order on appeal and must serve a
copy of the petition on each party in
accordance with § 13.211. A party is not
required to serve any documents under
this section on the administrative law
judge. The FAA decisionmaker will not
reconsider or modify an initial decision
and order issued by an administrative
law judge that has not been appealed
by any party to the FAA decision-
maker.
(b)
Number of copies. The parties must
file the original plus one copy of the
petition or the reply to the petition,
but only one copy if filing by email or
fax, as provided in § 13.210.
(c)
Contents. A party must state brief-
ly and specifically the alleged errors in
the final decision and order on appeal,
the relief sought by the party, and the
grounds that support the petition to re-
consider or modify.
(1) If the petition is based, in whole
or in part, on allegations regarding the
consequences of the FAA decision-
maker’s decision, the party must de-
scribe these allegations and must de-
scribe, and support, the basis for the
allegations.
(2) If the petition is based, in whole
or in part, on new material not pre-
viously raised in the proceedings, the
party must set forth the new material
and include affidavits of prospective
witnesses and authenticated docu-
ments that would be introduced in sup-
port of the new material. The party
must explain, in detail, why the new
material was not discovered through
due diligence prior to the hearing.
(d)
Repetitious and frivolous petitions.
The FAA decisionmaker will not con-
sider repetitious or frivolous petitions.
The FAA decisionmaker may sum-
marily dismiss repetitious or frivolous
petitions to reconsider or modify.
(e)
Reply petitions. Any party replying
to a petition to reconsider or modify
must file the reply in accordance with
§ 13.210 no later than 10 days after serv-
ice of the petition on that party, and
must also serve a copy of the reply on
each party in accordance with § 13.211.
(f)
Effect of filing petition. The filing
of a timely petition under this section
will stay the effective date of the FAA
decisionmaker’s decision and order on
appeal until final disposition of the pe-
tition by the FAA decisionmaker.
(g)
FAA decisionmaker’s decision on pe-
tition. The FAA decisionmaker has dis-
cretion to grant or deny a petition to
reconsider. The FAA decisionmaker
will grant or deny a petition to recon-
sider within a reasonable time after re-
ceipt of the petition or receipt of the
reply petition, if any. The FAA deci-
sionmaker may affirm, modify, or re-
verse the final decision and order on
appeal, or may remand the case for any
proceedings that the FAA decision-
maker determines may be necessary.
§ 13.235
Judicial review of a final deci-
sion and order.
(a) In cases under the Federal avia-
tion statute, a party may seek judicial
review of a final decision and order of
the Administrator, as provided in 49
U.S.C. 46110(a), and, as applicable, in 49
U.S.C. 46301(d)(7)(D)(iii), 46301(g), or
47532.
(b) In cases under the Federal haz-
ardous materials transportation stat-
ute, a party may seek judicial review
of a final decision and order of the Ad-
ministrator, as provided in 49 U.S.C.
5127.
(c) A party seeking judicial review of
a final order issued by the Adminis-
trator may file a petition for review in
the United States Court of Appeals for
the District of Columbia Circuit or in
the United States Court of Appeals for
the circuit in which the party resides
or has its principal place of business.
(d) The party must file the petition
for review no later than 60 days after
service of the Administrator’s final de-
cision and order.
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14 CFR Ch. I (1–1–24 Edition)
§ 13.236
§ 13.236
Alternative dispute resolution.
Parties may use mediation to achieve
resolution of issues in controversy ad-
dressed by this subpart. Parties seek-
ing alternative dispute resolution serv-
ices may engage the services of a mu-
tually acceptable mediator. The medi-
ator must not participate in the adju-
dication under this subpart of any mat-
ter in which the mediator has provided
mediation services. Mediation discus-
sions and submissions will remain con-
fidential consistent with the provisions
of the Administrative Dispute Resolu-
tion Act and other applicable Federal
laws.
Subpart H—Civil Monetary Penalty
Inflation Adjustment
S
OURCE
: Docket No. 28762, 61 FR 67445, Dec.
20, 1996, unless otherwise noted.
§ 13.301
Inflation adjustments of civil
monetary penalties.
(a) This subpart provides the max-
imum civil monetary penalties or
range of minimum and maximum civil
monetary penalties for each statutory
civil penalty subject to FAA jurisdic-
tion, as adjusted for inflation.
(b) Each adjustment to a maximum
civil monetary penalty or to minimum
and maximum civil monetary penalties
that establish a civil monetary penalty
range applies to actions initiated under
this part for violations occurring on or
after December 28, 2023, notwith-
standing references to specific civil
penalty amounts elsewhere in this
part.
(c) Minimum and maximum civil
monetary penalties are as follows:
T
ABLE
1
TO
§ 13.301(c)—M
INIMUM AND
M
AXIMUM
C
IVIL
M
ONETARY
P
ENALTY
A
MOUNTS FOR
C
ERTAIN
V
IOLATIONS
United States Code cita-
tion
Civil monetary penalty de-
scription
2023
minimum
penalty
amount
New ad-
justed
minimum
penalty
amount
for viola-
tions
occurring
on
or after
December
28, 2023
2023
maximum penalty
amount
New adjusted max-
imum
penalty amount for
violations occurring
on or after December
28, 2023
49 U.S.C. 5123(a)(1) ....
Violation of hazardous ma-
terials transportation law.
N/A N/A
$96,624 ....................
$99,756.
49 U.S.C. 5123(a)(2) ....
Violation of hazardous ma-
terials transportation law
resulting in death, seri-
ous illness, severe in-
jury, or substantial prop-
erty destruction.
N/A N/A
$225,455 ..................
$232,762.
49 U.S.C. 5123(a)(3) ....
Violation of hazardous ma-
terials transportation law
relating to training.
$582 $601
$96,624 ....................
$99,756.
49 U.S.C. 44704(d)(3) ..
Knowing presentation of a
nonconforming aircraft
for issuance of an initial
airworthiness certificate
by a production certifi-
cate holder.
N/A N/A
$1,144,488 ...............
$1,181,581.
49 U.S.C. 44704(e)(4) ..
Knowing failure by an ap-
plicant for or holder of a
type certificate to submit
safety critical informa-
tion or include certain
such information in an
airplane flight manual or
flight crew operating
manual.
N/A N/A
$1,144,488 ...............
$1,181,581.
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§ 13.301
T
ABLE
1
TO
§ 13.301(c)—M
INIMUM AND
M
AXIMUM
C
IVIL
M
ONETARY
P
ENALTY
A
MOUNTS FOR
C
ERTAIN
V
IOLATIONS
—Continued
United States Code cita-
tion
Civil monetary penalty de-
scription
2023
minimum
penalty
amount
New ad-
justed
minimum
penalty
amount
for viola-
tions
occurring
on
or after
December
28, 2023
2023
maximum penalty
amount
New adjusted max-
imum
penalty amount for
violations occurring
on or after December
28, 2023
49 U.S.C. 44704(e)(5) ..
Knowing false statement
by an airline transport
pilot (ATP) certificate
holder with respect to
the submission of cer-
tain safety critical infor-
mation.
N/A
N/A See entries for 49
U.S.C. 46301(a)(1)
and (a)(5).
See entries for 49
U.S.C. 46301(a)(1)
and (a)(5).
49 U.S.C. 44742 ...........
Interference by a super-
visory employee of an
organization designation
authorization (ODA)
holder that manufac-
tures a transport cat-
egory airplane with an
ODA unit member’s per-
formance of authorized
functions.
N/A
N/A See entries for 49
U.S.C. 46301(a)(1).
See entries for 49
U.S.C.
46301(a)(1).
49 U.S.C. 44802 note ...
Operation of an unmanned
aircraft or unmanned
aircraft system equipped
or armed with a dan-
gerous weapon.
N/A N/A
$29,462 ....................
$30,417.
49 U.S.C. 46301(a)(1) ..
Violation by a person
other than an individual
or small business con-
cern under 49 U.S.C.
46301(a)(1)(A) or (B).
N/A N/A
$40,272 ....................
$41,577.
49 U.S.C. 46301(a)(1) ..
Violation by an airman
serving as an airman
under 49 U.S.C.
46301(a)(1)(A) or (B)
(but not covered by
46301(a)(5)(A) or (B)).
N/A N/A
$1,771 ......................
$1,828.
49 U.S.C. 46301(a)(1) ..
Violation by an individual
or small business con-
cern under 49 U.S.C.
46301(a)(1)(A) or (B)
(but not covered in 49
U.S.C. 46301(a)(5)).
N/A N/A
$1,771 ......................
$1,828.
49 U.S.C. 46301(a)(3) ..
Violation of 49 U.S.C.
47107(b) (or any assur-
ance made under such
section) or 49 U.S.C.
47133.
N/A
N/A Increase above oth-
erwise applicable
maximum amount
not to exceed 3
times the amount
of revenues used
in violation of such
section.
No change.
49 U.S.C.
46301(a)(5)(A).
Violation by an individual
or small business con-
cern (except an airman
serving as an airman)
under 49 U.S.C.
46301(a)(5)(A)(i) or (ii).
N/A N/A
$16,108 ....................
$16,630.
49 U.S.C.
46301(a)(5)(B)(i).
Violation by an individual
or small business con-
cern related to the
transportation of haz-
ardous materials.
N/A N/A
$16,108 ....................
$16,630.
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14 CFR Ch. I (1–1–24 Edition)
§ 13.301
T
ABLE
1
TO
§ 13.301(c)—M
INIMUM AND
M
AXIMUM
C
IVIL
M
ONETARY
P
ENALTY
A
MOUNTS FOR
C
ERTAIN
V
IOLATIONS
—Continued
United States Code cita-
tion
Civil monetary penalty de-
scription
2023
minimum
penalty
amount
New ad-
justed
minimum
penalty
amount
for viola-
tions
occurring
on
or after
December
28, 2023
2023
maximum penalty
amount
New adjusted max-
imum
penalty amount for
violations occurring
on or after December
28, 2023
49 U.S.C.
46301(a)(5)(B)(ii).
Violation by an individual
or small business con-
cern related to the reg-
istration or recordation
under 49 U.S.C. chapter
441, of an aircraft not
used to provide air
transportation.
N/A N/A
$16,108 ....................
$16,630.
49 U.S.C.
46301(a)(5)(B)(iii).
Violation by an individual
or small business con-
cern of 49 U.S.C.
44718(d), relating to lim-
itation on construction or
establishment of landfills.
N/A N/A
$16,108 ....................
$16,630.
49 U.S.C.
46301(a)(5)(B)(iv).
Violation by an individual
or small business con-
cern of 49 U.S.C.
44725, relating to the
safe disposal of life-lim-
ited aircraft parts.
N/A N/A
$16,108 ....................
$16,630.
49 U.S.C. 46301 note ...
Individual who aims the
beam of a laser pointer
at an aircraft in the air-
space jurisdiction of the
United States, or at the
flight path of such an
aircraft.
N/A N/A
$30,820 ....................
$31,819.
49 U.S.C. 46301(b) .......
Tampering with a smoke
alarm device.
N/A N/A
$5,171 ......................
$5,339.
49 U.S.C. 46302 ...........
Knowingly providing false
information about al-
leged violation involving
the special aircraft juris-
diction of the United
States.
N/A N/A
$28,085 ....................
$28,995.
49 U.S.C. 46318 ...........
Physical or sexual assault
or threat to physically or
sexually assault crew-
member or other indi-
vidual on an aircraft, or
action that poses an im-
minent threat to the
safety of the aircraft or
individuals on board.
N/A N/A
$42,287 ....................
$43,658.
49 U.S.C. 46319 ...........
Permanent closure of an
airport without providing
sufficient notice.
N/A N/A
$16,108 ....................
$16,630.
49 U.S.C. 46320 ...........
Operating an unmanned
aircra ft and in so doing
knowingly or recklessly
interfering with a wildfire
suppression, law en-
forcement, or emer-
gency response effort.
N/A N/A
$24,656 ....................
$25,455.
49 U.S.C. 47531 ...........
Violation of 49 U.S.C.
47528–47530 or 47534,
relating to the prohibi-
tion of operating certain
aircraft not complying
with stage 3 noise levels.
N/A
N/A See entries for 49
U.S.C. 46301(a)(1)
and (a)(5).
See entries for 49
U.S.C. 46301(a)(1)
and (a)(5).
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Federal Aviation Administration, DOT
Pt. 14
[84 FR 37068, July 31, 2019, as amended at 86
FR 1753, Jan. 11, 2021; 86 FR 23249, May 3,
2021; 87 FR 15863, Mar. 21, 2022; 88 FR 1122,
Jan. 6, 2023; 88 FR 6971, Feb. 2, 2023; 88 FR
89557, Dec. 28, 2023]
Subpart I—Flight Operational
Quality Assurance Programs
§ 13.401
Flight Operational Quality As-
surance Program: Prohibition
against use of data for enforcement
purposes.
(a)
Applicability. This section applies
to any operator of an aircraft who op-
erates such aircraft under an approved
Flight Operational Quality Assurance
(FOQA) program.
(b)
Definitions. For the purpose of this
section, the terms—
(1)
Flight Operational Quality Assur-
ance (FOQA) program means an FAA-
approved program for the routine col-
lection and analysis of digital flight
data gathered during aircraft oper-
ations, including data currently col-
lected pursuant to existing regulatory
provisions, when such data is included
in an approved FOQA program.
(2)
FOQA data means any digital
flight data that has been collected
from an individual aircraft pursuant to
an FAA-approved FOQA program, re-
gardless of the electronic format of
that data.
(3)
Aggregate FOQA data means the
summary statistical indices that are
associated with FOQA event cat-
egories, based on an analysis of FOQA
data from multiple aircraft operations.
(c)
Requirements. In order for para-
graph (e) of this section to apply, the
operator must submit, maintain, and
adhere to a FOQA Implementation and
Operation Plan that is approved by the
Administrator and which contains the
following elements:
(1) A description of the operator’s
plan for collecting and analyzing flight
recorded data from line operations on a
routine basis, including identification
of the data to be collected;
(2) Procedures for taking corrective
action that analysis of the data indi-
cates is necessary in the interest of
safety;
(3) Procedures for providing the FAA
with aggregate FOQA data;
(4) Procedures for informing the FAA
as to any corrective action being un-
dertaken pursuant to paragraph (c)(2)
of this section.
(d)
Submission of aggregate data. The
operator will provide the FAA with ag-
gregate FOQA data in a form and man-
ner acceptable to the Administrator.
(e)
Enforcement. Except for criminal
or deliberate acts, the Administrator
will not use an operator’s FOQA data
or aggregate FOQA data in an enforce-
ment action against that operator or
its employees when such FOQA data or
aggregate FOQA data is obtained from
a FOQA program that is approved by
the Administrator.
(f)
Disclosure. FOQA data and aggre-
gate FOQA data, if submitted in ac-
cordance with an order designating the
information as protected under part 193
of this chapter, will be afforded the
nondisclosure protections of part 193 of
this chapter.
(g)
Withdrawal of program approval.
The Administrator may withdraw ap-
proval of a previously approved FOQA
program for failure to comply with the
requirements of this chapter. Grounds
for withdrawal of approval may in-
clude, but are not limited to—
(1) Failure to implement corrective
action that analysis of available FOQA
data indicates is necessary in the inter-
est of safety; or
(2) Failure to correct a continuing
pattern of violations following notice
by the agency; or also
(3) Willful misconduct or willful vio-
lation of the FAA regulations in this
chapter.
[Doc. No. FAA–2000–7554, 66 FR 55048, Oct. 31,
2001; Amdt. 13–30, 67 FR 31401, May 9, 2002]
PART 14—RULES IMPLEMENTING
THE EQUAL ACCESS TO JUSTICE
ACT OF 1980
Subpart A—General Provisions
Sec.
14.01
Purpose of these rules.
14.02
Proceedings covered.
14.03
Eligibility of applicants.
14.04
Standards for awards.
14.05
Allowance fees and expenses.
Subpart B—Information Required From
Applicants
14.10
Contents of application.
14.11
Net worth exhibit.
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