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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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14 CFR Ch. I (1–1–24 Edition) 

§ 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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39 

Federal Aviation Administration, DOT 

§ 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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41 

Federal Aviation Administration, DOT 

§ 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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14 CFR Ch. I (1–1–24 Edition) 

§ 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. 

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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Federal Aviation Administration, DOT 

§ 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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Federal Aviation Administration, DOT 

§ 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. 

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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Federal Aviation Administration, DOT 

§ 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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14 CFR Ch. I (1–1–24 Edition) 

§ 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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Federal Aviation Administration, DOT 

§ 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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51 

Federal Aviation Administration, DOT 

§ 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.  

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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Federal Aviation Administration, DOT 

§ 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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14 CFR Ch. I (1–1–24 Edition) 

§ 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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Federal Aviation Administration, DOT 

§ 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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14 CFR Ch. I (1–1–24 Edition) 

§ 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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57 

Federal Aviation Administration, DOT 

§ 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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14 CFR Ch. I (1–1–24 Edition) 

§ 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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59 

Federal Aviation Administration, DOT 

§ 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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14 CFR Ch. I (1–1–24 Edition) 

§ 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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14 CFR Ch. I (1–1–24 Edition) 

§ 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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Federal Aviation Administration, DOT 

§ 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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14 CFR Ch. I (1–1–24 Edition) 

§ 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.  

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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Federal Aviation Administration, DOT 

§ 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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14 CFR Ch. I (1–1–24 Edition) 

§ 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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Federal Aviation Administration, DOT 

§ 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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68 

14 CFR Ch. I (1–1–24 Edition) 

§ 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. 

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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69 

Federal Aviation Administration, DOT 

§ 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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Federal Aviation Administration, DOT 

§ 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. 

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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Federal Aviation Administration, DOT 

§ 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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74 

14 CFR Ch. I (1–1–24 Edition) 

§ 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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75 

Federal Aviation Administration, DOT 

§ 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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76 

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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77 

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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78 

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

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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79 

Federal Aviation Administration, DOT 

§ 13.301 

T

ABLE

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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80 

14 CFR Ch. I (1–1–24 Edition) 

§ 13.301 

T

ABLE

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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81 

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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