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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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