title-14-part-13-sec13-230

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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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.