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Federal Aviation Administration, DOT 

§ 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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