title-14-part-13-sec13-220

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. A

party may make a motion to compel
discovery if a person refuses to answer
a question during a deposition, a party
fails or refuses to answer an interrog-
atory, if a person gives an evasive or
incomplete answer during a deposition
or when responding to an interrog-
atory, or a party fails or refuses to
produce documents or tangible items.
During a deposition, the proponent of a
question may complete the deposition
or may adjourn the examination before
making a motion to compel if a person
refuses to answer. Any motion to com-
pel must be filed with the FAA Hearing
Docket and served on the administra-
tive law judge and other parties in ac-
cordance with §§ 13.210 and 13.211, re-
spectively.

(n)

Failure to comply with a discovery

order. If a party fails to comply with a

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14 CFR Ch. I (1–1–24 Edition)

§ 13.221

discovery order, the administrative law
judge may impose any of the following
sanctions proportional to the party’s
failure to comply with the order:

(1) Strike the relevant portion of a

party’s pleadings;

(2) Preclude prehearing or discovery

motions by that party;

(3) Preclude admission of the rel-

evant portion of a party’s evidence at
the hearing; or

(4) Preclude the relevant portion of

the testimony of that party’s witnesses
at the hearing.

§ 13.221

Notice of hearing.

(a)

Notice. The administrative law

judge must provide each party with no-
tice of the date, time, and location of
the hearing at least 60 days before the
hearing date.

(b)

Date, time, and location of the hear-

ing. The administrative law judge to
whom the proceedings have been as-
signed must set a reasonable date,
time, and location for the hearing. The
administrative law judge must consider
the need for discovery and any joint
procedural or discovery schedule sub-
mitted by the parties when deter-
mining the hearing date. The adminis-
trative law judge must give due regard
to the convenience of the parties, the
location where the majority of the wit-
nesses reside or work, and whether the
location is served by a scheduled air
carrier.

(c)

Earlier hearing. With the consent

of the administrative law judge, the
parties may agree to hold the hearing
on an earlier date than the date speci-
fied in the notice of hearing.

§ 13.222

Evidence.

(a)

General. A party is entitled to

present the party’s case or defense by
oral, documentary, or demonstrative
evidence, to submit rebuttal evidence,
and to conduct any cross-examination
that may be required for a full and true
disclosure of the facts.

(b)

Admissibility. A party may intro-

duce any oral, documentary, or demon-
strative evidence in support of the par-
ty’s case or defense. The administra-
tive law judge must admit any relevant
oral, documentary, or demonstrative
evidence introduced by a party, but

must exclude irrelevant, immaterial,
or unduly repetitious evidence.

(c)

Hearsay evidence. Hearsay evi-

dence is admissible in proceedings gov-
erned by this subpart. The fact that
evidence submitted by a party is hear-
say goes only to the weight of the evi-
dence and does not affect its admissi-
bility.

§ 13.223

Standard of proof.

The administrative law judge must

issue an initial decision or must rule in
a party’s favor only if the decision or
ruling is supported by, and in accord-
ance with, the reliable, probative, and
substantial evidence contained in the
record. In order to prevail, the party
with the burden of proof must prove
the party’s case or defense by a prepon-
derance of reliable, probative, and sub-
stantial evidence.

§ 13.224

Burden of proof.

(a) Except in the case of an affirma-

tive defense, the burden of proof is on
the agency.

(b) Except as otherwise provided by

statute or rule, the proponent of a mo-
tion, request, or order has the burden
of proof.

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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