title-14-part-13-sec13-206

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.

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.

a document in the record upon pay-
ment of reasonable costs. A person may
keep an original document, data, or
evidence, with the consent of the ad-
ministrative law judge, by substituting
a legible copy of the document for the
record.

§ 13.205

Administrative law judges.

(a)

Powers of an administrative law

judge. In accordance with the rules of

this subpart, an administrative law
judge may:

(1) Give notice of, and hold, pre-

hearing conferences and hearings;

(2) Administer oaths and affirma-

tions;

(3) Issue subpoenas as authorized by

law;

(4) Rule on offers of proof;
(5) Receive relevant and material evi-

dence;

(6) Regulate the course of the hearing

in accordance with the rules of this
subpart;

(7) Hold conferences to settle or to

simplify the issues by consent of the
parties;

(8) Dispose of procedural motions and

requests;

(9) Make findings of fact and conclu-

sions of law, and issue an initial deci-
sion;

(10) Bar a person from a specific pro-

ceeding based on a finding of obstrep-
erous or disruptive behavior in that
specific proceeding; and

(11) Take any other action authorized

by this subpart.

(b)

Limitations. The administrative

law judge must not issue an order of
contempt, award costs to any party, or
impose any sanction not specified in
this subpart. If the administrative law
judge imposes any sanction not speci-
fied in this subpart, a party may file an
interlocutory appeal of right under
§ 13.219(c).

(c)

Disqualification. The administra-

tive law judge may disqualify himself
or herself at any time. A party may file
a motion for disqualification under
§ 13.218.

§ 13.206

Intervention.

(a) A person may submit a motion for

leave to intervene as a party in a civil
penalty action. Except for good cause
shown, a motion for leave to intervene
must be submitted not later than 10
days before the hearing.

(b) The administrative law judge may

grant a motion for leave to intervene if
the administrative law judge finds that
intervention will not unduly broaden
the issues or delay the proceedings
and—

(1) The person seeking to intervene

will be bound by any order or decision
entered in the action; or

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§ 13.207

(2) The person seeking to intervene

has a property, financial, or other le-
gitimate interest that may not be ad-
dressed adequately by the parties.

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.