14 CFR Part 13 — Investigative and Enforcement Procedures

14 CFR Ch. I (1–1–25 Edition) § 11.201, Nt.

14 CFR part or 14 CFR part or sec- section identified Current OMB control number tion identified and de- Current OMB control No.

and described scribed Part 193 ............. 2120–0646 * * * * * * Part 198 ............. 2120–0514 * Part 400 ............. 2120–0643, 2120–0644, 0649 Part 401 ............. 2120–0608 Part 440 ............. 2120–0601

PART 13—INVESTIGATIVE AND

SFAR 36 ............ 2120–0507 SFAR 71 ............ 2120–0620

ENFORCEMENT PROCEDURES

Subpart A—General Authority to Re- [Doc. No. 1999–6622, 65 FR 50863, Aug. 21, 2000, Delegate and Investigative Procedures as amended by Amdt. 11–47, 67 FR 9553, Mar.

1, 2002; Amdt. 11–49, 68 FR 61321, Oct. 27, 2003; Sec.

Amdt. 11–49, 68 FR 70132, Dec. 17, 2003; 70 FR 13.1 Re-delegation.

40163, July 12, 2005; 71 FR 63426, Oct. 30, 2006; 13.2 Reports of violations.

72 FR 59599, Oct. 22, 2007; Amdt. 11–56, 79 FR 13.3 Investigations (general).

12937, Mar. 7, 2014; Amdt. 11–57, 80 FR 58586, 13.5 Formal complaints.

Sept. 30, 2015; Doc. FAA–2015–7396, Amdt. 11– 13.7 Records, documents, and reports.

58, 80 FR 79255, Dec. 21, 2015; Doc. FAA–2011– 1136, Amdt. 11–59, 81 FR 13969, Mar. 16, 2016; Subpart B—Administrative Actions Doc. FAA–2014–0554, Amdt. 11–60, 81 FR 33117, May 24, 2016; 81 FR 38573, June 14, 2016; Doc.

13.11 Administrative disposition of certain FAA–2016–9064, Amdt. 11–61, 81 FR 59129, Aug.

violations.

29, 2016; FAA–2018–1087, Amdt. 11–64, 86 FR 4381, Jan. 15, 2021; Docket No. FAA–2019–1100, Subpart C—Legal Enforcement Actions Amdt. 11–63, 86 FR 4503, Jan. 15, 2021; FAA– 13.13 Consent orders.

2020–0246, Amdt. 11–65, 86 FR 31060, June 10, 13.14 [Reserved] 2021; FAA–2018–1051, Amdt. 13–40A, 87 FR 13.15 Civil penalties: Other than by adminis- 61233, Oct. 11, 2022; FAA–2023–2250, Amdt. 11– trative assessment.

66, 89 FR 67849, Aug. 22, 2024; FAA–2023–0825; 13.16 Civil penalties: Administrative assess- Amdt. No. 11–67, 89 FR 80049, Oct. 1, 2024; ment against a person other than an in- FAA–2023–1351; Amdt. No. 11–68, 89 FR 80339, dividual acting as a pilot, flight engi- Oct. 2, 2024] neer, mechanic, or repairman; adminis- E DITORIAL N OTE : At 89 FR 90577, Nov. 18, trative assessment against all persons 2024, § 11.201(b) table was revised; however, for hazardous materials violations.

the amendment could not be incorporated 13.17 Seizure of aircraft.

due to an inaccurate amendatory instruc- 13.18 Civil penalties: Administrative assess- tion.

ment against an individual acting as a pilot, flight engineer, mechanic, or re- E FFECTIVE D ATE N OTE : At 89 FR 92483, Nov.

pairman.

21, 2024, § 11.201 was amended by adding the 13.19 Certificate actions appealable to the entry ‘‘Part 194’’ in numerical order to the National Transportation Safety Board.

table in paragraph (b), effective Jan. 21, 2025.

13.20 Orders of compliance, cease and desist For the convenience of the user, the added orders, orders of denial, and other orders.

text is set forth as follows: 13.21–13.29 [Reserved] § 11.201 Office of Management and Budget Subpart D—Rules of Practice for FAA (OMB) control numbers assigned under the Paperwork Reduction Act.

Hearings 13.31 Applicability.

* * * * * 13.33 Parties, representatives, and notice of appearance.

(b) * * * 13.35 Request for hearing, complaint, and answer.

14 CFR part or sec- tion identified and de- Current OMB control No. 13.37 Hearing officer: Assignment and pow- scribed ers.

13.39 Disqualification of hearing officer.

13.41 Separation of functions and prohibi- * * * tion on ex parte communications.

* * * 13.43 Service and filing of pleadings, mo- * tions, and documents.

Part 194 ..................... 2120–0009, 2120–0021, 2120–0039, 13.44 [Reserved] 2120–0600, 2120–0607, 2120– 0663, 2120–0701. 13.45 Computation of time and extension of time.

Federal Aviation Administration, DOT Pt. 13

13.47 Withdrawal or amendment of the com- 13.211 Service of documents.

plaint, answer, or other filings. 13.212 Computation of time.

13.49 Motions.

13.213 Extension of time.

13.51 Intervention.

13.214 Amendment of pleadings.

13.53 Discovery.

13.215 Withdrawal of complaint or request 13.55 Notice of hearing.

for hearing.

13.57 Subpoenas and witness fees.

13.216 Waivers.

13.59 Evidence.

13.217 Joint procedural or discovery sched- 13.61 Argument and submittals.

ule.

13.63 Record, decision, and aircraft registra- 13.218 Motions.

tion proceedings.

13.219 Interlocutory appeals.

13.65 Appeal to the Administrator, reconsid- 13.220 Discovery.

eration, and judicial review.

13.221 Notice of hearing.

13.67 Procedures for expedited proceedings.

13.222 Evidence.

13.69 Other matters: Alternative dispute 13.223 Standard of proof.

resolution, standing orders, and forms.

13.224 Burden of proof.

13.225 Offer of proof.

Subpart E—Orders of Compliance Under 13.226 Public disclosure of information.

the Hazardous Materials Transportation Act 13.227 Expert or opinion witnesses.

13.228 Subpoenas.

13.70 Delegation of authority.

13.229 Witness fees.

13.71 Applicability.

13.73 Notice of proposed order of compli- 13.230 Record.

ance. 13.231 Argument before the administrative 13.75 Reply or request for hearing.

law judge.

13.77 Consent order of compliance.

13.232 Initial decision.

13.79 [Reserved] 13.233 Appeal from initial decision.

13.81 Emergency orders.

13.234 Petition to reconsider or modify a 13.83–13.87 [Reserved] final decision and order of the FAA deci- sionmaker on appeal.

Subpart F—Formal Fact-Finding Investiga- 13.235 Judicial review of a final decision and tion Under an Order of Investigation order.

13.236 Alternative dispute resolution.

13.101 Applicability.

13.103 Order of investigation.

Subpart H—Civil Monetary Penalty Inflation 13.105 Notification.

Adjustment 13.107 Designation of additional parties.

13.109 Convening the investigation.

13.301 Inflation adjustments of civil mone- 13.111 Subpoenas.

tary penalties.

13.113 Noncompliance with the investigative process.

Subpart I—Flight Operational Quality 13.115 Public proceedings.

Assurance Programs 13.117 Conduct of investigative proceeding or deposition.

13.401 Flight Operational Quality Assurance 13.119 Immunity and orders requiring testi- program: Prohibition against use of data mony or other information.

for enforcement purposes.

13.121 Witness fees.

A UTHORITY : 18 U.S.C. 6002; 28 U.S.C. 2461 13.123 Submission by party to the investiga- note; 49 U.S.C. 106(g), 5121–5124, 40113–40114, tion.

44103–44106, 44701–44704, 44709–44710, 44713, 13.125 Depositions.

44725, 44742, 44802 (note), 46101–46111, 46301, 13.127 Reports, decisions, and orders.

46302 (for a violation of 49 U.S.C. 46504), 46304– 13.129 Post-investigation action.

46316, 46318–46320, 46501–46502, 46504, 46507, 13.131 Other procedures.

47106, 47107, 47111, 47122, 47306, 47531–47532; 49 CFR 1.83.

Subpart G—Rules of Practice In FAA Civil Penalty Actions S OURCE : Docket No. 18884, 44 FR 63723, Nov.

5, 1979, unless otherwise noted.

13.201 Applicability.

13.202 Definitions.

13.203 Separation of functions. Subpart A—General Authority to

13.204 Appearances and rights of parties.

Re-Delegate and Investiga-

13.205 Administrative law judges.

tive Procedures

13.206 Intervention.

13.207 Certification of documents.

13.208 Complaint. S OURCE : Docket No. FAA-2018-1051; Amdt.

13.209 Answer. No. 13-40, 86 FR 54526, Oct. 1, 2021, unless oth- 13.210 Filing of documents. erwise noted.

14 CFR Ch. I (1–1–25 Edition) § 13.1

U.S.C. chapter 51, or any rule, regula- § 13.1 Re-delegation.

tion, or order issued under those stat- Unless otherwise specified, the Chief utes, as to matters within the jurisdic- Counsel, each Deputy Chief Counsel, tion of the Administrator. This section and the Assistant Chief Counsel for En- does not apply to complaints against forcement may re-delegate the author- the Administrator or employees of the ity delegated to them under this part.

FAA acting within the scope of their employment.

§ 13.2 Reports of violations.

(b) Complaints filed under this sec- (a) Any person who knows of any vio- tion must— lation of 49 U.S.C. subtitle VII, 49 (1) Be submitted in writing and iden- U.S.C. chapter 51, or any rule, regula- tified as a complaint seeking an appro- tion, or order issued under those stat- priate order or other enforcement ac- utes, should report the violation to tion; FAA personnel.

(2) Be submitted to the Federal Avia- (b) FAA personnel will review each tion Administration, Office of the Chief report made under this section to de- Counsel, Attention: Formal Complaint termine whether any additional inves- Clerk (AGC–300), 800 Independence Ave- tigation or action is warranted.

nue SW, Washington, DC 20591; (3) Set forth the name and address, if § 13.3 Investigations (general).

known, of each person who is the sub- (a) The Administrator may conduct ject of the complaint and, with respect investigations; hold hearings; issue to each person, the specific provisions subpoenas; require the production of of the statute, rule, regulation, or relevant documents, records, and prop- order that the complainant believes erty; and take evidence and deposi- were violated; tions.

(4) Contain a concise but complete (b) The Administrator has delegated statement of the facts relied upon to the authority to conduct investiga- substantiate each allegation; tions to the various services and offices (5) State the name, address, tele- for matters within their respective phone number, and email of the person areas.

filing the complaint; and (c) The Administrator delegates to (6) Be signed by the person filing the the Chief Counsel, each Deputy Chief complaint or an authorized representa- Counsel, and the Assistant Chief Coun- tive.

sel for Enforcement the authority to: (c) A complaint that does not meet (1) Issue orders; the requirements of paragraph (b) of (2) Conduct formal investigations; this section will be considered a report (3) Subpoena witnesses and records in under § 13.2.

conducting a hearing or investigation; (d) The FAA will send a copy of a (4) Order depositions and production complaint that meets the requirements of records in a proceeding or investiga- of paragraph (b) of this section to the tion; and subject(s) of the complaint by certified (5) Petition a court of the United mail.

States to enforce a subpoena or order described in paragraphs (c)(3) and (4) of (e) A subject of the complaint may this section. serve a written answer to the com- (d) A complaint against the sponsor, plaint to the Formal Complaint Clerk proprietor, or operator of a federally at the address specified in paragraph assisted airport involving violations of (b)(2) of this section no later than 20 the legal authorities listed in § 16.1 of days after service of a copy of the com- this chapter must be filed in accord- plaint. For purposes of this paragraph ance with the provisions of part 16 of (e), the date of service is the date on this chapter. which the FAA mailed a copy of the complaint to the subject of the com- § 13.5 Formal complaints.

plaint.

(a) Any person may file a complaint (f) After the subject(s) of the com- with the Administrator with respect to plaint have served a written answer or a violation by a person of any require- after the allotted time to serve an an- ment under 49 U.S.C. subtitle VII, 49 swer has expired, the Administrator

Federal Aviation Administration, DOT § 13.13 will determine if there are reasonable Subpart B—Administrative Actions grounds for investigating the com- plaint, and— S OURCE : Docket No. FAA-2018-1051; Amdt.

(1) If the Administrator determines No. 13-40, 86 FR 54527, Oct. 1, 2021, unless oth- that a complaint does not state facts erwise noted.

that warrant an investigation or ac- § 13.11 Administrative disposition of tion, the complaint may be dismissed certain violations.

without a hearing and the reason for (a) If, after an investigation, FAA the dismissal will be given, in writing, personnel determine that an apparent to the person who filed the complaint violation of 49 U.S.C. subtitle VII, 49 and the subject(s) of the complaint; or U.S.C. chapter 51, or any rule, regula- (2) If the Administrator determines tion, or order issued under those stat- that reasonable grounds exist, an infor- utes, does not require legal enforce- mal investigation may be initiated or ment action, an appropriate FAA offi- an order of investigation may be issued cial may take administrative action to in accordance with subpart F of this address the apparent violation.

part, or both. The subject(s) of a com- (b) An administrative action under plaint will be advised which official has this section does not constitute a for- been delegated the responsibility under mal adjudication of the matter, and § 13.3(b) or (c), as applicable, for con- may take the form of— ducting the investigation.

(1) A Warning Notice that recites (g) If the investigation substantiates available facts and information about the allegations set forth in the com- the incident or condition and indicates plaint, the Administrator may take ac- that it may have been a violation; or tion in accordance with applicable law (2) A Letter of Correction that states and FAA policy.

the corrective action the apparent vio- (h) The complaint and other records lator has taken or agrees to take. If relating to the disposition of the com- the apparent violator does not com- plete the agreed corrective action, the plaint are maintained in the Formal FAA may take legal enforcement ac- Complaint Docket (AGC–300), Office of tion.

the Chief Counsel, Federal Aviation Administration, 800 Independence Ave- nue SW, Washington, DC 20591. Any in- Subpart C—Legal Enforcement terested person may examine any dock- Actions eted material at that office at any time after the docket is established, except S OURCE : Docket No. FAA-2018-1051; Amdt.

material that is required to be with- No. 13-40, 86 FR 54527, Oct. 1, 2021, unless oth- held from the public under applicable erwise noted.

law, and may obtain a copy upon pay- § 13.13 Consent orders.

ing the cost of the copy.

(a) The Chief Counsel, each Deputy § 13.7 Records, documents, and re- Chief Counsel, and the Assistant Chief ports.

Counsel for Enforcement may issue a consent order to resolve any matter Each record, document, and report with a person that may be subject to that FAA regulations require to be legal enforcement action.

maintained, exhibited, or submitted to (b) A person that may be subject to the Administrator may be used in any legal enforcement action may propose investigation conducted by the Admin- a consent order. The proposed consent istrator; and, except to the extent the order must include— use may be specifically limited or pro- (1) An admission of all jurisdictional hibited by the section which imposes facts; the requirement, the records, docu- (2) An express waiver of the right to ments, and reports may be used in any further procedural steps and of all civil penalty action, certificate action, rights to legal review in any forum; or other legal proceeding.

(3) An express waiver of attorney’s fees and costs; 14 CFR Ch. I (1–1–25 Edition) § 13.14 (4) If a notice or order has been the amount of civil penalty that the issued prior to the proposed consent Administrator will accept in full set- order, an incorporation by reference of tlement of the action or an offer to the notice or order and an acknowledg- compromise the civil penalty.

ment that the notice or order may be (2) Not later than 30 days after re- used to construe the terms of the con- ceipt of the civil penalty letter, the sent order; and person cited with an alleged violation (5) If a request for hearing or appeal may respond to the civil penalty letter is pending in any forum, a provision by— that the person will withdraw the re- (i) Submitting electronic payment, a quest for hearing or notice of appeal.

certified check, or money order in the amount offered by the Administrator § 13.14 [Reserved] in the civil penalty letter. The agency § 13.15 Civil penalties: Other than by attorney will send a letter to the per- administrative assessment.

son charged with the violation stating that payment is accepted in full settle- (a) The FAA uses the procedures in ment of the civil penalty action; or this section when it seeks a civil pen- alty other than by the administrative (ii) Submitting one of the following assessment procedures in § 13.16 or to the agency attorney: § 13.18.

(A) Written material or information (b) The authority of the Adminis- that may explain, mitigate, or deny trator to seek a civil penalty, and the the violation or that may show extenu- ability to refer cases to the United ating circumstances; or States Attorney General, or the dele- (B) A written request for an informal gate of the Attorney General, for pros- conference to discuss the matter with ecution of civil penalty actions sought the agency attorney and to submit any by the Administrator is delegated to relevant information or documents the Chief Counsel, each Deputy Chief that may explain, mitigate, or deny Counsel, and the Assistant Chief Coun- the violation; or that may show ex- sel for Enforcement. This delegation tenuating circumstances.

applies to cases involving one or more (3) The documents, material, or infor- of the following: mation submitted under paragraph (1) An amount in controversy in ex- (c)(2)(ii) of this section may include cess of: support for any claim of inability to (i) $400,000, if the violation was com- pay the civil penalty in whole or in mitted by a person other than an indi- part, or for any claim of small business vidual or small business concern; or status as defined in 49 U.S.C. 46301(i).

(ii) $50,000, if the violation was com- mitted by an individual or small busi- (4) The Administrator will consider ness concern. any material or information submitted (2) An in rem action, seizure of air- under paragraph (c)(2)(ii) of this sec- craft subject to lien, suit for injunctive tion to determine whether the person relief, or for collection of an assessed is subject to a civil penalty or to deter- civil penalty.

mine the amount for which the Admin- (c) The Administrator may com- istrator will compromise the action.

promise any civil penalty proposed (5) If the parties cannot agree to under this section, before referral to compromise the civil penalty, the Ad- the United States Attorney General, or ministrator may refer the civil penalty the delegate of the Attorney General, action to the United States Attorney for prosecution.

General, or the delegate of the Attor- (1) The Administrator, through the ney General, to begin proceedings in a Chief Counsel, a Deputy Chief Counsel, U.S. district court to prosecute and or the Assistant Chief Counsel for En- collect a civil penalty.

forcement sends a civil penalty letter to the person charged with a violation.

The civil penalty letter contains a statement of the charges; the applica- ble law, rule, regulation, or order; and Federal Aviation Administration, DOT § 13.16 and the Assistant Chief Counsel for En- § 13.16 Civil penalties: Administrative assessment against a person other forcement, as follows: than an individual acting as a pilot, (1) Under 49 U.S.C. 46301(d), 47531, and flight engineer, mechanic, or re- 5123, and 49 CFR 1.83, to initiate and as- pairman; administrative assessment sess civil penalties for a violation of against all persons for hazardous those statutes or a rule, regulation, or materials violations.

order issued under those provisions; (a) General. The FAA uses the proce- (2) Under 49 U.S.C. 5123, 49 CFR 1.83, dures in this section when it assesses a 49 U.S.C. 46301(d), and 49 U.S.C. 46305, to civil penalty against a person other refer cases to the Attorney General of than an individual acting as a pilot, the United States or a delegate of the flight engineer, mechanic, or repair- Attorney General for collection of civil man for a violation cited in the first penalties; sentence of 49 U.S.C. 46301(d)(2), or in 49 (3) Under 49 U.S.C. 46301(f), to com- U.S.C. 47531, or any implementing rule, promise the amount of a civil penalty regulation, or order, except when the imposed; and U.S. district courts have exclusive ju- (4) Under 49 U.S.C. 5123(e) and (f) and risdiction.

49 CFR 1.83, to compromise the amount (b) District court jurisdiction. The U.S.

of a civil penalty imposed.

district courts have exclusive jurisdic- (e) Order assessing civil penalty. (1) An tion of any civil penalty action initi- order assessing civil penalty may be ated by the FAA for violations de- issued for a violation described in para- scribed in paragraph (a) of this section if— graph (a) or (c) of this section, or as (1) The amount in controversy is otherwise provided by statute, after more than $400,000 for a violation com- notice and opportunity for a hearing, mitted by a person other than an indi- when: vidual or small business concern; (i) A person charged with a violation (2) The amount in controversy is agrees to pay a civil penalty for a vio- more than $50,000 for a violation com- lation; or mitted by an individual or a small (ii) A person charged with a violation business concern; does not request a hearing under para- (3) The action is in rem or another graph (g)(2)(ii) of this section within 15 action in rem based on the same viola- days after receipt of a final notice of tion has been brought; proposed civil penalty.

(4) The action involves an aircraft (2) The following also serve as an subject to a lien that has been seized order assessing civil penalty: by the Government; or (i) An initial decision or order issued (5) Another action has been brought by an administrative law judge as de- for an injunction based on the same scribed in § 13.232(e).

violation.

(ii) A decision or order issued by the (c) Hazardous materials violations. An FAA decisionmaker as described in order assessing a civil penalty for a § 13.233(j).

violation under 49 U.S.C. chapter 51, or (f) Notice of proposed civil penalty. A a rule, regulation, or order issued civil penalty action is initiated by under 49 U.S.C. chapter 51, is issued sending a notice of proposed civil pen- only after the following factors have alty to the person charged with a viola- been considered: tion, the designated agent for the per- (1) The nature, circumstances, ex- son, or if there is no such designated tent, and gravity of the violation; agent, the president of the company (2) With respect to the violator, the charged with a violation. In response degree of culpability, any history of to a notice of proposed civil penalty, a prior violations, the ability to pay, and company may designate in writing an- any effect on the ability to continue to other person to receive documents in do business; and (3) Other matters that justice re- that civil penalty action. The notice of quires. proposed civil penalty contains a state- (d) Delegation of authority. The au- ment of the charges and the amount of thority of the Administrator is dele- the proposed civil penalty. Not later gated to each Deputy Chief Counsel than 30 days after receipt of the notice 14 CFR Ch. I (1–1–25 Edition) § 13.16 of proposed civil penalty, the person agreed to compromise the action or the charged with a violation may— agency attorney has not agreed to (1) Submit the amount of the pro- withdraw the notice of proposed civil posed civil penalty or an agreed-upon penalty.

amount, in which case either an order (2) Not later than 15 days after re- assessing civil penalty or compromise ceipt of the final notice of proposed order under paragraph (n) of this sec- civil penalty, the person charged with tion may be issued in that amount; a violation may do one of the fol- (2) Submit to the agency attorney lowing: one of the following: (i) Submit the amount of the pro- (i) Written information, including posed civil penalty or an agreed-upon documents and witness statements, amount, in which case either an order demonstrating that a violation of the assessing civil penalty or a com- regulations did not occur or that a pen- promise order under paragraph (n) of alty or the amount of the penalty is this section may be issued in that not warranted by the circumstances. amount; or (ii) A written request to reduce the (ii) Request a hearing conducted in proposed civil penalty, stating the accordance with subpart G of this part.

amount of reduction and the reasons (h) Request for a hearing. Any person and providing any documents sup- requesting a hearing, under paragraph porting a reduction of the proposed (f)(3) or (g)(2)(ii) of this section must civil penalty, including records indi- file the request with the FAA Hearing cating a financial inability to pay or Docket Clerk and serve the request on records showing that payment of the the agency attorney in accordance proposed civil penalty would prevent with the requirements in subpart G of the person from continuing in business. this part.

(iii) A written request for an infor- (i) Hearing. The procedural rules in mal conference to discuss the matter subpart G of this part apply to the with the agency attorney and to sub- hearing.

mit relevant information or docu- (j) Appeal. Either party may appeal ments; or the administrative law judge’s initial (3) Request a hearing conducted in decision to the FAA decisionmaker accordance with subpart G of this part. under the procedures in subpart G of (g) Final notice of proposed civil pen- this part. The procedural rules in sub- alty. A final notice of proposed civil part G of this part apply to the appeal.

penalty will be sent to the person (k) Judicial review. A person may seek charged with a violation, the des- judicial review only of a final decision ignated agent for the person, the des- and order of the FAA decisionmaker in ignated agent named in accordance accordance with § 13.235.

with paragraph (f) of this section, or (l) Payment. (1) A person must pay a the president of the company charged civil penalty by: with a violation. The final notice of (i) Sending a certified check or proposed civil penalty contains a state- money order, payable to the Federal ment of the charges and the amount of Aviation Administration, to the FAA the proposed civil penalty and, as a re- office identified in the notice of pro- sult of information submitted to the posed civil penalty, the final notice of agency attorney during informal proce- proposed civil penalty, or the order as- dures, may modify an allegation or a sessing civil penalty; or proposed civil penalty contained in a (ii) Making an electronic payment notice of proposed civil penalty. according to the directions specified in (1) A final notice of proposed civil the notice of proposed civil penalty, penalty may be issued— the final notice of proposed civil pen- (i) If the person charged with a viola- alty, or the order assessing civil pen- tion fails to respond to the notice of alty.

proposed civil penalty within 30 days (2) The civil penalty must be paid after receipt of that notice; or within 30 days after service of the order (ii) If the parties participated in any assessing civil penalty, unless other- procedures under paragraph (f)(2) of wise agreed to by the parties. In cases this section and the parties have not where a hearing is requested, an appeal Federal Aviation Administration, DOT § 13.17 to the FAA decisionmaker is filed, or a (c) The Regional Administrator or petition for review of the FAA deci- Chief Counsel, without delay, sends a sionmaker’s decision is filed in a U.S.

written notice and a copy of this sec- court of appeals, the civil penalty must tion to the registered owner of the be paid within 30 days after all litiga- seized aircraft and to each other person tion in the matter is completed and the shown by FAA records to have an in- civil penalty is affirmed in whole or in terest in it, stating the— part.

(1) Time, date, and place of seizure; (m) Collection of civil penalties. If an (2) Name and address of the custodian individual does not pay a civil penalty of the aircraft; imposed by an order assessing civil (3) Reasons for the seizure, including penalty or other final order, the Ad- the violations alleged or proven to ministrator may take action to collect have been committed; and the penalty.

(4) Amount that may be tendered (n) Compromise. The FAA may com- as— promise the amount of any civil pen- (i) A compromise of a civil penalty alty imposed under this section under for the alleged violation; or 49 U.S.C. 5123(e), 46301(f), or 46318 at any (ii) Payment for a civil penalty im- time before referring the action to the posed for a proven violation.

United States Attorney General, or the (d) The Chief Counsel or Assistant delegate of the Attorney General, for collection. Chief Counsel for Enforcement imme- (1) When a civil penalty is com- diately sends a report to the United promised with a finding of violation, an States Attorney for the judicial dis- agency attorney issues an order assess- trict in which it was seized, requesting ing civil penalty.

the United States Attorney to insti- (2) When a civil penalty is com- tute proceedings to enforce a lien promised without a finding of viola- against the aircraft.

tion, the agency attorney issues a com- (e) The Regional Administrator or promise order that states the fol- Chief Counsel directs the release of a lowing: seized aircraft when— (i) The person has paid a civil penalty (1) The alleged violator pays a civil or has signed a promissory note pro- penalty or an amount agreed upon in viding for installment payments.

compromise, and the costs of seizing, (ii) The FAA makes no finding of a storing, and maintaining the aircraft; violation.

(2) The aircraft is seized under an (iii) The compromise order will not order of a court of the United States in be used as evidence of a prior violation proceedings in rem initiated under 49 in any subsequent civil penalty pro- U.S.C. 46305 to enforce a lien against ceeding or certificate action pro- the aircraft; ceeding.

(3) The United States Attorney Gen- eral, or the delegate of the Attorney § 13.17 Seizure of aircraft.

General, notifies the FAA that the (a) The Chief Counsel, or a Regional United States Attorney General, or the Administrator for an aircraft within delegate of the Attorney General, re- the region, may issue an order author- fuses to institute proceedings in rem izing a State or Federal law enforce- under 49 U.S.C. 46305 to enforce a lien ment officer or a Federal Aviation Ad- against the aircraft; or ministration safety inspector to seize (4) A bond in the amount and with an aircraft that is involved in a viola- the sureties prescribed by the Chief tion for which a civil penalty may be Counsel or the Assistant Chief Counsel imposed on its owner or the individual for Enforcement is deposited, condi- commanding the aircraft.

tioned on payment of the penalty or (b) Each person seizing an aircraft the compromise amount, and the costs under this section places it in the near- of seizing, storing, and maintaining the est available and adequate public stor- aircraft.

age facility in the judicial district in which it was seized.

14 CFR Ch. I (1–1–25 Edition) § 13.18 (1) To initiate and assess civil pen- § 13.18 Civil penalties: Administrative assessment against an individual alties under 49 U.S.C. 46301(d)(5); acting as a pilot, flight engineer, (2) To refer cases to the Attorney mechanic, or repairman.

General of the United States, or the (a) General. (1) This section applies to delegate of the Attorney General, for each action in which the FAA seeks to collection of civil penalties; and assess a civil penalty by administrative (3) To compromise the amount of a procedures against an individual acting civil penalty under 49 U.S.C. 46301(f).

as a pilot, flight engineer, mechanic, or (d) Notice of proposed assessment. A repairman under 49 U.S.C. 46301(d)(5) civil penalty action is initiated by for a violation listed in 49 U.S.C.

sending a notice of proposed assess- 46301(d)(2). This section does not apply ment to the individual charged with a to a civil penalty assessed for a viola- violation specified in paragraph (a) of tion of 49 U.S.C. chapter 51, or a rule, this section. The notice of proposed as- regulation, or order issued thereunder.

sessment contains a statement of the (2) Notwithstanding the provisions of charges and the amount of the pro- paragraph (a)(1) of this section, the posed civil penalty. The individual U.S. district courts have exclusive ju- charged with a violation may do the risdiction of any civil penalty action following: involving an individual acting as a (1) Submit the amount of the pro- pilot, flight engineer, mechanic, or re- posed civil penalty or an agreed-upon pairman for violations described in amount, in which case either an order paragraph (a)(1), or under 49 U.S.C.

of assessment or a compromise order 46301(d)(4), if: will be issued in that amount.

(i) The amount in controversy is (2) Answer the charges in writing by more than $50,000; submitting information, including doc- (ii) The action involves an aircraft uments and witness statements, dem- subject to a lien that has been seized onstrating that a violation of the regu- by the government; or lations did not occur or that a penalty, (iii) Another action has been brought or the amount of the penalty, is not for an injunction based on the same warranted by the circumstances.

violation.

(3) Submit a written request to re- (b) Definitions. As used in this part, duce the proposed civil penalty, stating the following definitions apply: the amount of reduction and the rea- (1) Flight engineer means an indi- sons, and providing any documents vidual who holds a flight engineer cer- supporting a reduction of the proposed tificate issued under part 63 of this civil penalty, including records indi- chapter.

cating a financial inability to pay.

(2) Individual acting as a pilot, flight (4) Submit a written request for an engineer, mechanic, or repairman means informal conference to discuss the an individual acting in such capacity, matter with an agency attorney and whether or not that individual holds submit relevant information or docu- the respective airman certificate ments.

issued by the FAA.

(5) Request that an order of assess- (3) Mechanic means an individual who ment be issued so that the individual holds a mechanic certificate issued charged may appeal to the National under part 65 of this chapter.

Transportation Safety Board.

(4) Pilot means an individual who (e) Failure to respond to notice of pro- holds a pilot certificate issued under posed assessment. An order of assess- part 61 of this chapter.

ment may be issued if the individual (5) Repairman means an individual charged with a violation fails to re- who holds a repairman certificate spond to the notice of proposed assess- issued under part 65 of this chapter.

ment within 15 days after receipt of (c) Delegation of authority. The au- that notice.

thority of the Administrator is dele- gated to the Chief Counsel and each (f) Order of assessment. An order of as- Deputy Chief Counsel, and the Assist- sessment, which imposes a civil pen- ant Chief Counsel for Enforcement, as alty, may be issued for a violation de- follows: scribed in paragraph (a) of this section Federal Aviation Administration, DOT § 13.19 after notice and an opportunity to an- (2) The civil penalty must be paid swer any charges and be heard as to within 30 days after service of the order why such order should not be issued. of assessment, unless an appeal is filed (g) Appeal. Any individual who re- with the National Transportation Safe- ceives an order of assessment issued ty Board. In cases where an appeal is under this section may appeal the filed with the National Transportation order to the National Transportation Safety Board, or a petition for review Safety Board. The appeal stays the ef- is filed with a U.S. court of appeals, the fectiveness of the Administrator’s civil penalty must be paid within 30 order. days after all litigation in the matter (h) Judicial review. A party may seek is completed and the civil penalty is af- judicial review only of a final decision firmed in whole or in part.

and order of the National Transpor- (k) Collection of civil penalties. If an tation Safety Board under 49 U.S.C. individual does not pay a civil penalty 46301(d)(6) and 46110. Neither an initial imposed by an order of assessment or decision, nor an order issued by an ad- other final order, the Administrator ministrative law judge that has not may take action provided under the been appealed to the National Trans- law to collect the penalty.

portation Safety Board, nor an order § 13.19 Certificate actions appealable compromising a civil penalty action, to the National Transportation may be appealed under any of those Safety Board.

sections.

(i) Compromise. The FAA may com- (a) This section applies to certificate promise any civil penalty imposed actions by the Administrator that are under this section at any time before appealable to the National Transpor- referring the action to the United tation Safety Board.

States Attorney General, or the dele- (1) Under 49 U.S.C. 44709(b) the Ad- gate of the Attorney General, for col- ministrator may issue an order amend- lection. ing, modifying, suspending, or revoking (1) When a civil penalty is com- all or part of any type certificate, pro- promised with a finding of violation, an duction certificate, airworthiness cer- agency attorney issues an order of as- tificate, airman certificate, air carrier sessment. operating certificate, air navigation fa- (2) When a civil penalty is com- cility certificate, or air agency certifi- promised without a finding of viola- cate if as a result of a reinspection, re- tion, the agency attorney issues a com- examination, or other investigation, promise order of assessment that the Administrator determines that the states the following: public interest and safety in air com- (i) The individual has paid a civil merce requires it, if a certificate hold- penalty or has signed a promissory er has violated an aircraft noise or note providing for installment pay- sonic boom standard or regulation pre- ments; scribed under 49 U.S.C. 44715(a), or if (ii) The FAA makes no finding of vio- the holder of the certificate is con- lation; and victed of violating 16 U.S.C. 742j–1(a).

(iii) The compromise order will not (2) The authority of the Adminis- be used as evidence of a prior violation trator to issue orders under 49 U.S.C.

in any subsequent civil penalty pro- 44709(b)(1)(A) and (b)(2) is delegated to ceeding or certificate action pro- the Chief Counsel, each Deputy Chief ceeding. Counsel, and the Assistant Chief Coun- (j) Payment. (1) An individual must sel for Enforcement.

pay a civil penalty by: (b) The agency attorney will issue a (i) Sending a certified check or notice before issuing a non-imme- money order, payable to the Federal diately effective order to amend, mod- Aviation Administration, to the FAA ify, suspend, or revoke a type certifi- office identified in the order of assess- cate, production certificate, airworthi- ment; or ness certificate, airman certificate, air (ii) Making an electronic payment carrier operating certificate, air navi- according to the directions specified in gation facility certificate, air agency the order of assessment. certificate, or to revoke an aircraft 14 CFR Ch. I (1–1–25 Edition) § 13.19 certificate of registration because the Transportation Safety Board for a re- aircraft was used to carry out or facili- view of the Administrator’s determina- tate an activity punishable under a law tion that an emergency exists.

of the United States or a State related (d) A person may not petition the Na- to a controlled substance (except a law tional Transportation Safety Board for related to simple possession of a con- a review of the Administrator’s deter- trolled substance), by death or impris- mination that safety in air transpor- onment for more than one year, and tation or air commerce requires the the owner of the aircraft permitted the immediate effectiveness of an order use of the aircraft knowing that the where the action is based on the cir- aircraft was to be used for the activity. cumstances described in paragraph (1) A notice of proposed certificate (d)(1), (2), or (3) of this section.

action will advise the certificate holder (1) The revocation of an individual’s or aircraft owner of the charges or airman certificates for the reasons other reasons upon which the Adminis- stated in paragraph (d)(1)(i) or (ii) of trator bases the proposed action, and this section: allows the holder to answer any (i) A conviction under a law of the charges and to be heard as to why the United States or a State related to a certificate should not be amended, sus- controlled substance (except a law re- pended, modified, or revoked. lated to simple possession of a con- (2) In response to a notice of proposed trolled substance), of an offense pun- certificate action described in para- ishable by death or imprisonment for graph (b)(1) of this section, the certifi- more than one year if the Adminis- cate holder or aircraft owner, within 15 trator finds that— days of the date of receipt of the no- (A) An aircraft was used to commit, tice, may— or facilitate the commission of the of- (i) Surrender the certificate and fense; and waive any right to contest or appeal (B) The individual served as an air- the charged violations and sanction, in man, or was on the aircraft, in connec- which case the Administrator will tion with committing, or facilitating issue an order; the commission of, the offense.

(ii) Answer the charges in writing by (ii) Knowingly carrying out an activ- submitting information, including doc- ity punishable, under a law of the uments and witness statements, dem- United States or a State related to a onstrating that a violation of the regu- controlled substance (except a law re- lations did not occur or that the pro- lated to simple possession of a con- posed sanction is not warranted by the trolled substance), by death or impris- circumstances; onment for more than one year; and— (iii) Submit a written request for an (A) An aircraft was used to carry out informal conference to discuss the or facilitate the activity; and matter with an agency attorney and (B) The individual served as an air- submit relevant information or docu- man, or was on the aircraft, in connec- ments; or tion with carrying out, or facilitating (iv) Request that an order be issued the carrying out of, the activity.

in accordance with the notice of pro- (2) The revocation of a certificate of posed certificate action so that the cer- registration for an aircraft, and any tificate holder or aircraft owner may other aircraft the owner of that air- appeal to the National Transportation craft holds, if the Administrator finds Safety Board. that— (c) In the case of an emergency order (i) The aircraft was used to carry out amending, modifying, suspending, or or facilitate an activity punishable, revoking a type certificate, production under a law of the United States or a certificate, airworthiness certificate, State related to a controlled substance airman certificate, air carrier oper- (except a law related to simple posses- ating certificate, air navigation facil- sion of a controlled substance), by ity certificate, or air agency certifi- death or imprisonment for more than cate, a person affected by the imme- one year; and diate effectiveness of the Administra- (ii) The owner of the aircraft per- tor’s order may petition the National mitted the use of the aircraft knowing Federal Aviation Administration, DOT § 13.20 that the aircraft was to be used for the (b) Applicability of procedures. (1) activity described in paragraph (d)(2)(i) Prior to the issuance of a non-imme- of this section. diately effective order covered by this (3) The revocation of an airman cer- section, the Administrator will provide tificate, design organization certifi- the person who would be subject to the cate, type certificate, production cer- order with notice, advising the person tificate, airworthiness certificate, air of the charges or other reasons upon carrier operating certificate, airport which the proposed action is based, and operating certificate, air agency cer- the provisions in paragraph (c) of this tificate, or air navigation facility cer- section apply.

tificate if the Administrator finds that (2) If the Administrator is of the the holder of the certificate or an indi- opinion that an emergency exists re- vidual who has a controlling or owner- lated to safety in air commerce and re- ship interest in the holder— quires immediate action and issues an (i) Was convicted in a court of law of order covered by this section that is a violation of a law of the United immediately effective, the provisions States relating to the installation, pro- of paragraph (d) of this section apply.

duction, repair, or sale of a counterfeit (c) Non-emergency procedures. (1) or fraudulently-represented aviation Within 30 days after service of the no- part or material; or tice, the person subject to the notice (ii) Knowingly, and with the intent may: to defraud, carried out or facilitated an (i) Submit a written reply; activity described in paragraph (d)(3)(i) (ii) Agree to the issuance of the order of this section.

as proposed in the notice of proposed action, waiving any right to contest or [Docket FAA–2018–1051, Amdt. 13–40, 86 FR 54527, Oct. 1, 2021, as amended by Docket appeal the agreed-upon order issued FAA–2018–1051, Amdt. 13–40A, 87 FR 61233, under this option in any administra- Oct. 11, 2022] tive or judicial forum; (iii) Submit a written request for an § 13.20 Orders of compliance, cease informal conference to discuss the and desist orders, orders of denial, matter with an agency attorney; or and other orders.

(iv) Request a hearing in accordance (a) General. This section applies to all with the non-emergency procedures of of the following: subpart D of this part.

(1) Orders of compliance; (2) After an informal conference is (2) Cease and desist orders; held or a reply is filed, if the agency at- (3) Orders of denial; torney notifies the person that some or (4) Orders suspending or revoking a all of the proposed agency action will certificate of registration (but not rev- not be withdrawn, the person may, ocation of a certificate of registration within 10 days after receiving the agen- because the aircraft was used to carry cy attorney’s notification, request a out or facilitate an activity punish- hearing on the parts of the proposed able, under a law of the United States agency action not withdrawn, in ac- or a State related to a controlled sub- cordance with the non-emergency pro- stance (except a law related to simple cedures of subpart D of this part.

possession of a controlled substance), (3) If a hearing is requested in accord- by death or imprisonment for more ance with paragraph (c)(1)(iv) or (c)(2) than one year and the owner of the air- of this section, the non-emergency pro- craft permitted the use of the aircraft cedures of subpart D of this part apply.

knowing that the aircraft was to be (4) Failure to request a hearing with- used for the activity); and in the periods provided in paragraph (5) Other orders issued by the Admin- (c)(1)(iv) or (c)(2) of this section: istrator to carry out the provisions of (i) Constitutes a waiver of the right the Federal aviation statute codified at to a hearing and appeal; and 49 U.S.C. subtitle VII that apply this section by statute, rule, regulation, or (ii) Authorizes the agency to make order, or for which there is no specific appropriate findings of fact and to administrative process provided by issue an appropriate order without fur- statute, rule, regulation, or order. ther notice or proceedings.

14 CFR Ch. I (1–1–25 Edition) §§ 13.21 –13.29 (d) Emergency procedures. (1) If the §§ 13.21 –13.29 [Reserved] Administrator is of the opinion that an emergency exists related to safety in Subpart D—Rules of Practice for air commerce and requires immediate FAA Hearings action, the Administrator issues simul- taneously: S OURCE : Docket No. FAA-2018-1051; Amdt.

(i) An immediately effective order No. 13-40, 86 FR 54532, Oct. 1, 2021, unless oth- that expires 80 days after the date of erwise noted.

issuance and sets forth the charges or § 13.31 Applicability.

other reasons upon which the order is based; and This subpart applies to proceedings in which a hearing has been requested (ii) A notice of proposed action that: in accordance with § 13.20 or § 13.75.

(A) Sets forth the charges or other Hearings under this subpart are consid- reasons upon which the notice of pro- ered informal and are provided through posed action is based; and the Office of Adjudication.

(B) Advises that within 10 days after service of the notice, the person may § 13.33 Parties, representatives, and appeal the notice by requesting an ex- notice of appearance.

pedited hearing in accordance with the (a) Parties. Parties to proceedings emergency procedures of subpart D of under this subpart include the fol- this part.

lowing: Complainant, respondent, and (2) The Administrator will serve the where applicable, intervenor.

immediately effective order and the (1) Complainant is the FAA Office notice of proposed action together by that issued the notice of proposed ac- tion under the authorities listed in personal or overnight delivery and by § 13.31.

certified or registered mail to the per- (2) Respondent is the party filing a son subject to the order and notice of request for hearing.

proposed action.

(3) Intervenor is a person permitted (3) Failure to request a hearing chal- to participate as a party under § 13.51.

lenging the notice of proposed action (b) Representatives. Any party to a under the expedited procedures in sub- proceeding under this subpart may ap- part D of this part within 10 days after pear and be heard in person or by a rep- service of the notice: resentative. A representative is an at- (i) Constitutes a waiver of the right torney, or another representative des- to a hearing and appeal under subpart ignated by the party.

D of this part; and (c) Notice of appearance —(1) Content.

(ii) Authorizes the Administrator, The representative of a party must file without further notice or proceedings, a notice of appearance that includes to make appropriate findings of fact, the representative’s name, address, issue an immediately effective order telephone number, and, if available, fax without expiration, and withdraw the number, and email address.

(2) Filing. A notice of appearance may 80-day immediately effective order.

be incorporated into an initial filing in (4) The filing of a request for hearing a proceeding. A notice of appearance by under subpart D of this part does not additional representatives or sub- stay the effectiveness of the 80-day im- stitutes after an initial filing in a pro- mediately effective order issued under ceeding must be filed independently.

this section.

(e) Delegation of authority. The au- § 13.35 Request for hearing, complaint, thority of the Administrator under this and answer.

section is delegated to the Chief Coun- (a) Initial filing and service. A request sel, each Deputy Chief Counsel, and the for hearing must be filed with the FAA Assistant Chief Counsel for Enforce- Hearing Docket, and a copy must be ment.

served on the official who issued the notice of proposed action, in accord- ance with the requirements in § 13.43 for filing and service of documents.

Federal Aviation Administration, DOT § 13.41 The request for hearing must be in § 13.39 Disqualification of hearing offi- writing and describe the action pro- cer.

posed by the FAA, and must contain a (a) Motion and supporting affidavit.

statement that a hearing is requested Any party may file a motion for dis- under this subpart.

qualification under § 13.49(g). A party (b) Complaint. Within 20 days after must state the grounds for disqualifica- service of the copy of the request for tion, including, but not limited to, a fi- hearing, the official who issued the no- nancial or other personal interest that tice of proposed action must forward a would be affected by the outcome of copy of that notice, which serves as the the enforcement action, personal ani- complaint, to the FAA Hearing Docket.

mus against a party to the action or (c) Answer. Within 30 days after serv- against a group to which a party be- longs, prejudgment of the adjudicative ice of the copy of the complaint, the facts at issue in the proceeding, or any Respondent must file an answer to the other prohibited conflict of interest. A complaint. All allegations in the com- party must submit an affidavit with plaint not specifically denied in the an- the motion for disqualification that swer are deemed admitted.

sets forth, in detail, the matters al- leged to constitute grounds for dis- § 13.37 Hearing officer: Assignment and powers.

qualification.

(b) Timing. A motion for disqualifica- As soon as practicable after the filing tion must be filed prior to the issuance of the complaint, the Director of the of the hearing officer’s decision under Office of Adjudication will assign a § 13.63(b). Any party may file a response hearing officer to preside over the mat- to a motion for disqualification, but ter. The hearing officer may— must do so no later than 5 days after (a) Give notice concerning, and hold, service of the motion for disqualifica- prehearing conferences and hearings; tion.

(b) Administer oaths and affirma- (c) Decision on motion for disqualifica- tions; tion. The hearing officer must render a (c) Examine witnesses; decision on the motion for disqualifica- (d) Adopt procedures for the submis- tion no later than 15 days after the mo- sion of evidence in written form; tion has been filed. If the hearing offi- (e) Issue subpoenas; cer finds that the motion for disquali- (f) Rule on offers of proof; fication and supporting affidavit show a basis for disqualification, the hearing (g) Receive evidence; officer must withdraw from the pro- (h) Regulate the course of pro- ceedings immediately. If the hearing ceedings, including but not limited to officer finds that disqualification is not discovery, motions practice, imposi- warranted, the hearing officer must tion of sanctions, and the hearing; deny the motion and state the grounds (i) Hold conferences, before and dur- for the denial on the record. If the ing the hearing, to settle and simplify hearing officer fails to rule on a party’s issues by consent of the parties; motion for disqualification within 15 (j) Dispose of procedural requests and days after the motion has been filed, similar matters; the motion is deemed granted.

(k) Issue protective orders governing (d) Self-disqualification. A hearing of- the exchange and safekeeping of infor- ficer may disqualify himself or herself mation otherwise protected by law, ex- at any time.

cept that national security informa- tion may not be disclosed under such § 13.41 Separation of functions and prohibition on ex parte communica- an order; tions.

(l) Issue orders and decisions, and make findings of fact, as appropriate; (a) Separation of powers. The hearing and officer independently exercises the powers under this subpart in a manner (m) Take any other action authorized conducive to justice and the proper dis- by this subpart.

patch of business. The hearing officer 14 CFR Ch. I (1–1–25 Edition) § 13.43 must not participate in any appeal to (d) Requirement to file an original docu- the Administrator. ment and number of copies. A party must (b) Ex parte communications. (1) No file an original document and one copy substantive ex parte communications when filing by personal delivery or by between the hearing officer and any mail. Only one copy must be filed if fil- party are permitted. ing is accomplished by email or fax.

(2) A hearing, conference, or other (e) Filing by email. A document that is event scheduled with prior notice will filed by email must be attached as a not constitute ex parte communication Portable Document Format (PDF) file prohibited by this section. A hearing, to an email. The document must be conference, or other event scheduled signed in accordance with § 13.207. The with prior notice, may proceed in the email message does not constitute a hearing officer’s sole discretion if a submission, but serves only to deliver party fails to appear, respond, or other- the attached PDF file to the FAA wise participate, and will not con- Hearing Docket.

stitute an ex parte communication pro- (f) Methods of service —(1) General. A hibited by this section.

person may serve any document by (3) For an appeal to the Adminis- email, personal delivery, expedited or trator under this subpart, FAA attor- overnight courier express service, mail, neys representing the complainant or fax.

must not advise the Administrator or (2) Service by email. Service of docu- engage in any ex parte communica- ments by email is voluntary and re- tions with the Administrator or his ad- quires the prior consent of the person visors.

to be served by email. A person may re- tract consent to be served by email by § 13.43 Service and filing of pleadings, filing and serving a written retraction.

motions, and documents.

A document that is served by email (a) General rule. A party must file all must be attached as a PDF file to an requests for hearing, pleadings, mo- email message.

tions, and documents with the FAA (g) Certificate of service. A certificate Hearing Docket, and must serve a copy of service must accompany all docu- upon all parties to the proceedings.

ments filed with the FAA Hearing (b) Methods of filing. Filing must be Docket. The certificate of service must by email, personal delivery, expedited be signed, describe the method of serv- or overnight courier express service, ice, and state the date of service.

mail, or fax.

(h) Date of filing and service. If a docu- (c) Address for filing. A person filing a ment is sent by fax or email, the date document with the FAA Hearing Dock- of filing and service is the date the et must use the address identified for email or fax is sent. If a document is the method of filing as follows: sent by personal delivery or by expe- (1) If delivery is in person, or by expe- dited or overnight express courier serv- dited or overnight express courier service.

ice, the date of filing and service is the Federal Aviation Administration, 600 date that delivery is accomplished. If a Independence Avenue SW, Wilbur document is mailed, the date of filing Wright Building—Suite 2W100, Wash- and service is the date shown on the ington, DC 20597; Attention: FAA Hear- certificate of service, the date shown ing Docket, AGC–70.

on the postmark if there is no certifi- (2) If delivery is via U.S. mail, or U.S.

cate of service, or the mailing date certified or registered mail. Federal Avia- shown by other evidence if there is no tion Administration, 800 Independence certificate of service or postmark.

Avenue SW, Washington, DC 20591; At- tention: FAA Hearing Docket, AGC–70, § 13.44 [Reserved] Wilbur Wright Building—Suite 2W100.

§ 13.45 Computation of time and exten- (3) Contact information. The FAA Of- sion of time.

fice of Adjudication will make avail- able on its website an email address (a) In computing any period of time and fax number for the FAA Hearing prescribed or allowed by this subpart, Docket, as well as other contact infor- the date of the act, event, default, no- mation. tice, or order is not to be included in Federal Aviation Administration, DOT § 13.49 the computation. The last day of the spondent must file an answer within 10 period so computed is to be included days.

unless it is a Saturday, Sunday, or (1) Motion to dismiss. The respondent Federal holiday, in which event the pe- may file a motion asserting that the riod runs until the end of the next day allegations in the complaint fail to that is not a Saturday, Sunday, or a state a violation of Federal aviation Federal holiday. statutes, a violation of regulations in this chapter, lack of qualification of (b) Whenever a party must respond the respondent, or other appropriate within a prescribed period after service grounds.

by mail, 5 days are added to the pre- (2) Motion for more definite statement.

scribed period.

The respondent may file a motion that (c) The parties may agree to extend the allegations in the notice be made the time for filing any document re- more definite and certain.

quired by this subpart with the consent (b) Motion to dismiss request for hear- of— ing. The FAA may file a motion to dis- (1) The Director of the Office of Adju- miss a request for hearing based on ju- dication prior to the designation of a risdiction, timeliness, or other appro- hearing officer; priate grounds.

(2) The hearing officer prior to the (c) Motion for decision on the pleadings filing of a notice of appeal; or or for summary decision. After the com- (3) The Director of the Office of Adju- plaint and answer are filed, either dication after the filing of a notice of party may move for a decision on the appeal.

pleadings or for a summary decision, in (d) If the parties do not agree, a the manner provided by Rules 12 and party may make a written request to 56, respectively, of the Federal Rules of extend the time for filing to the appro- Civil Procedure.

priate official identified in paragraph (d) Motion to strike. Upon motion of (c) of this section. The appropriate offi- either party, the hearing officer may cial may grant the request for good order stricken, from any pleadings, any cause shown.

insufficient allegation or defense, or any redundant, immaterial, imper- § 13.47 Withdrawal or amendment of tinent, or scandalous matter.

the complaint, answer, or other fil- (e) Motion to compel. Any party may ings.

file a motion asking the hearing officer (a) Withdrawal. At any time before to order any other party to produce the hearing, the complainant may discovery requested in accordance with withdraw the complaint, and the re- § 13.53 if— spondent may withdraw the request for (1) The other party has failed to hearing.

timely produce the requested dis- (b) Amendments. At any time more covery; and than 10 days before the date of hearing, (2) The moving party certifies it has any party may amend its complaint, in good faith conferred with the other answer, or other pleading, by filing the party in an attempt to obtain the re- amendment with the FAA Hearing quested discovery prior to filing the Docket and serving a copy of it on motion to compel.

every other party. After that time, (f) Motion for protective order. The amendment requires approval of the hearing officer may order information hearing officer. If an initial pleading is contained in anything filed, or in any amended, the hearing officer must testimony given pursuant to this sub- allow the other parties a reasonable op- part withheld from public disclosure portunity to respond.

when, in the judgment of the hearing officer, disclosure would be detri- § 13.49 Motions.

mental to aviation safety; disclosure (a) Motions in lieu of an answer. A re- would not be in the public interest; or spondent may file a motion to dismiss the information is not otherwise re- or a motion for a more definite state- quired to be made available to the pub- ment in place of an answer. If the hear- lic. Any person may make written ob- ing officer denies the motion, the re- jection to the public disclosure of any 14 CFR Ch. I (1–1–25 Edition) § 13.51 information, stating the ground for (2) The discovery requested can be such objection. obtained from another less burdensome (g) Other motions. Any application for and more convenient source; an order or ruling not otherwise pro- (3) The party requesting the informa- vided for in this subpart must be made tion has had ample opportunity to ob- by motion. tain the information through other dis- (h) Responses to motions. Any party covery methods permitted under this may file a response to any motion section; or under this subpart within 10 days after (4) The method or scope of discovery service of the motion. requested by the party is unduly bur- densome or expensive.

§ 13.51 Intervention.

§ 13.55 Notice of hearing.

Any person may move for leave to in- tervene in a proceeding and may be- The hearing officer must set a rea- come a party thereto, if the hearing of- sonable date, time, and location for the ficer, after the case is sent to the hear- hearing, and must give the parties ade- ing officer for hearing, finds that the quate notice thereof, and of the nature person may be bound by the order to be of the hearing. Due regard must be issued in the proceedings or has a prop- given to the convenience of the parties erty or financial interest that may not with respect to the location of the be adequately represented by existing hearing.

parties, and that the intervention will § 13.57 Subpoenas and witness fees.

not unduly broaden the issues or delay the proceedings. Except for good cause (a) Application. The hearing officer, shown, a motion for leave to intervene upon application by any party to the may not be considered if it is filed less proceeding, may issue subpoenas re- than 10 days before the hearing.

quiring the attendance of witnesses or the production of documents or tan- § 13.53 Discovery.

gible things at a hearing or for the pur- (a) Filing. Discovery requests and re- pose of taking depositions, as per- sponses are not filed with the FAA mitted by law. The application for pro- Hearing Docket unless in support of a ducing evidence must show its general motion, offered for impeachment, or relevance and reasonable scope. Absent other permissible circumstances as ap- good cause shown, a party must file a proved by the hearing officer. request for a subpoena at least: (b) Scope of discovery. Any party may (1) 15 days before a scheduled deposi- discover any matter that is not privi- tion under the subpoena; or (2) 30 days before a scheduled hearing leged and is relevant to any party’s where attendance at the hearing is claim or defense.

(c) Time for response to written dis- sought.

covery requests. (1) Written discovery (b) Procedure. A party seeking the includes interrogatories, requests for production of a document in the cus- admission or stipulations, and requests tody of an FAA employee must use the for production of documents. discovery procedure found in § 13.53, (2) Unless otherwise directed by the and if necessary, a motion to compel hearing officer, a party must serve its under § 13.49. A party that applies for response to a discovery request no the attendance of an FAA employee at later than 30 days after service of the a hearing must send the application, in discovery request. writing, to the hearing officer. The ap- (d) Depositions. After the respondent plication must set forth the need for has filed a request for hearing and an that employee’s attendance.

answer, either party may take testi- (c) Fees. Except for an employee of mony by deposition. the agency who appears at the direc- (e) Limits on discovery. The hearing of- tion of the agency, a witness who ap- ficer may limit the frequency and ex- pears at a deposition or hearing is enti- tent of discovery upon a showing by a tled to the same fees and allowances as party that— provided for under 28 U.S.C. 1821. The (1) The discovery requested is cumu- party who applies for a subpoena to lative or repetitious; compel the attendance of a witness at Federal Aviation Administration, DOT § 13.65 a deposition or hearing, or the party at § 13.61 Argument and submittals.

whose request a witness appears at a The hearing officer must give the deposition or hearing, must pay the parties adequate opportunity to witness fees and allowances described present arguments in support of mo- in this section.

tions, objections, and the final order.

(d) Service of subpoenas. Any person The hearing officer may determine who is at least 18 years old and not a whether arguments are to be oral or party may serve a subpoena. Serving a written. At the end of the hearing, the subpoena requires delivering a copy to hearing officer may allow each party to the named person. Except for the com- submit written proposed findings and plainant, the party that requested the conclusions and supporting reasons for subpoena must tender at the time of them.

service the fees for 1 day’s attendance § 13.63 Record, decision, and aircraft and the allowances allowed by law if registration proceedings.

the subpoena requires that person’s at- tendance. Proving service, if necessary, (a) The record. (1) The testimony and requires the filing with the FAA Hear- exhibits admitted at a hearing, to- ing Docket of a statement showing the gether with all papers, requests, and date and manner of service and the rulings filed in the proceedings, are the names of the persons served. The server exclusive basis for the issuance of the must certify the statement. hearing officer’s decision.

(e) Motion to quash or modify the sub- (2) On appeal to the Administrator, the record shall include all of the infor- poena. A party, or any person served mation identified in paragraph (a)(1) of with a subpoena, may file a motion to this section and evidence proffered but quash or modify the subpoena with the not admitted at the hearing.

hearing officer at or before the time (3) Any party may obtain a transcript specified in the subpoena for compli- of the hearing from the official re- ance. The movant must describe, in de- porter upon payment of the required tail, the basis for the application to fees.

quash or modify the subpoena includ- (b) Hearing officer’s decision. The deci- ing, but not limited to, a statement sion by the hearing officer must in- that the testimony, document, or tan- clude findings of fact based on the gible thing is not relevant to the pro- record, conclusions of law, and an ap- ceeding, that the subpoena is not rea- propriate order.

sonably tailored to the scope of the (c) Certain aircraft registration pro- proceeding, or that the subpoena is un- ceedings. If the hearing officer deter- reasonable and oppressive. A motion to mines that an aircraft is ineligible for quash or modify the subpoena will stay a certificate of aircraft registration in the effect of the subpoena pending a de- proceedings relating to aircraft reg- cision by the hearing officer on the mo- istration orders suspending or revoking tion.

a certificate of registration under (f) Enforcement of subpoena. If a per- § 13.20, the hearing officer may suspend son disobeys a subpoena, a party may or revoke the aircraft registration cer- apply to a U.S. district court to seek tificate.

judicial enforcement of the subpoena.

§ 13.65 Appeal to the Administrator, § 13.59 Evidence.

reconsideration, and judicial re- view.

(a) Each party to a hearing may present the party’s case or defense by (a) Any party to a hearing may ap- oral or documentary evidence, submit peal from the order of the hearing offi- evidence in rebuttal, and conduct such cer by filing with the FAA Hearing cross-examination as may be needed Docket a notice of appeal to the Ad- for a full disclosure of the facts.

ministrator within 20 days after the (b) Except with respect to affirma- date of issuance of the order. Filing tive defenses and notices of proposed and service of the notice of appeal, and denial, the burden of proof is upon the any other papers, are accomplished ac- complainant. cording to the procedures in § 13.43.

14 CFR Ch. I (1–1–25 Edition) § 13.67 (b) If a notice of appeal is not filed ministrator’s decisions and orders, and from the order issued by a hearing offi- to make non-substantive editorial cer, such order is final with respect to changes; and the parties. Such order is not binding (viii) Take all other reasonable steps precedent and is not subject to judicial deemed necessary and proper for the review.

management of the appeals process, in (c) Any person filing an appeal au- accordance with this part and applica- thorized by paragraph (a) of this sec- ble law.

tion must file an appeal brief with the (2) The Director’s authority in para- Administrator within 40 days after the graph (e)(1) of this section may be re- date of issuance of the order, and serve delegated, as necessary, except to hear- a copy on the other party. A reply brief ing officers and others materially in- must be filed within 40 days after serv- volved in the hearing that is the sub- ice of the appeal brief and a copy ject of the appeal.

served on the appellant.

(f) Motions to reconsider the final (d) On appeal, the Administrator re- order of the Administrator must be views the record of the proceeding and filed with the FAA Hearing Docket issues an order dismissing, reversing, within thirty days of service of the Ad- modifying or affirming the order. The ministrator’s order.

Administrator’s order includes the rea- (g) Judicial review of the Adminis- sons for the Administrator’s action.

trator’s final order under this section The Administrator considers only is provided in accordance with 49 whether: U.S.C. 5127 or 46110, as applicable.

(1) Each finding of fact is supported by a preponderance of the reliable, pro- § 13.67 Procedures for expedited pro- bative, and substantial evidence; ceedings.

(2) Each conclusion is made in ac- (a) When an expedited administrative cordance with law, precedent, and pol- hearing is requested in accordance with icy; and § 13.20(d), the procedures in this subpart (3) The hearing officer committed will apply except as provided in para- any prejudicial error.

graphs (a)(1) through (7) of this section.

(e) The Director and legal personnel (1) Service and filing of pleadings, of the Office of Adjudication serve as motions, and documents must be by the advisors to the Administrator for overnight delivery, and fax or email.

appeals under this section.

Responses to motions must be filed (1) The Director has the authority to: within 7 days after service of the mo- (i) Manage all or portions of indi- tion.

vidual appeals; and to prepare written (2) Within 3 days after receipt of the decisions and proposed final orders in request for hearing, the agency must such appeals; file a copy of the notice of proposed ac- (ii) Issue procedural and other inter- tion, which serves as the complaint, to locutory orders aimed at proper and ef- the FAA Hearing Docket.

ficient appeal management, including, (3) Within 3 days after receipt of the without limitation, scheduling and complaint, the person that requested sanctions orders; the hearing must file an answer to the (iii) Grant or deny motions to dis- complaint. All allegations in the com- miss appeals; plaint not specifically denied in the an- (iv) Dismiss appeals upon request of swer are deemed admitted. Failure to the appellant or by agreement of the file a timely answer, absent a showing parties; of good cause, constitutes withdrawal (v) Stay decisions and orders of the of the request for hearing.

Administrator, pending judicial review (4) Within 3 days of the filing of the or reconsideration by the Adminis- complaint, the Director of the Office of trator; Adjudication will assign a hearing offi- (vi) Summarily dismiss repetitious or cer to preside over the matter.

frivolous petitions to reconsider or modify orders; (5) The parties must serve discovery (vii) Correct typographical, gram- as soon as possible and set time limits matical, and similar errors in the Ad- for compliance with discovery requests

Federal Aviation Administration, DOT § 13.71 that accommodate the accelerated ad- Parties seeking alternative dispute res- judication schedule set forth in this olution services may engage the serv- subpart. The hearing officer will re- ices of a mutually acceptable mediator.

solve any failure of the parties to agree The mediator must not participate in to a discovery schedule. the adjudication under this subpart of (6) The expedited hearing must com- any matter in which the mediator has mence within 40 days after the notice provided mediation services. Mediation of proposed action was issued. discussions and submissions will re- (7) The hearing officer must issue an main confidential consistent with the oral decision and order dismissing, re- provisions of the Administrative Dis- versing, modifying, or affirming the pute Resolution Act, the principles of notice of proposed action at the close Federal Rule of Evidence 408, and other of the hearing. If a notice of appeal is applicable Federal laws.

not filed, such order is final with re- (b) The Director of the Office of Adju- spect to the parties and is not subject dication may issue standing orders and to judicial review. forms needed for the proper dispatch of business under this subpart.

(b) Any party to the expedited hear- ing may appeal from the initial deci- sion of the hearing officer to the Ad- Subpart E—Orders of Compliance ministrator by filing a notice of appeal Under the Hazardous Mate- within 3 days after the date on which rials Transportation Act the decision was issued. The time limi- tations for the filing of documents for S OURCE : Docket No. FAA-2018-1051; Amdt.

appeals under this section will not be No. 13-40, 86 FR 54536, Oct. 1, 2021, unless oth- extended by reason of the unavail- erwise noted.

ability of the hearing transcript.

(1) Any appeal to the Administrator § 13.70 Delegation of authority.

under this section must be perfected The authority of the Administrator within 7 days after the date the notice under 49 U.S.C. 5121(a) and (d) is dele- of appeal was filed by filing a brief in gated to the Chief Counsel, each Dep- support of the appeal. Any reply to the uty Chief Counsel, and the Assistant appeal brief must be filed within 7 days Chief Counsel for Enforcement.

after the date the appeal brief was [Docket FAA–2018–1051, Amdt. 13–40A, 87 FR served on that party. The Adminis- 61233, Oct. 11, 2022] trator must issue an order deciding the appeal no later than 80 days after the § 13.71 Applicability.

date the notice of proposed action was (a) An order of compliance may be issued.

issued after notice and an opportunity (2) The Administrator’s order is im- for a hearing in accordance with §§ 13.73 mediately effective and constitutes the through 13.77 whenever the Chief Coun- final agency decision. The Administra- sel, a Deputy Chief Counsel, or the As- tor’s order may be appealed pursuant sistant Chief Counsel for Enforcement to 49 U.S.C. 46110. The filing of an ap- has reason to believe that a person is peal under 49 U.S.C. 46110 does not stay engaging in the transportation or ship- the effectiveness of the Administra- ment by air of hazardous materials in tor’s order.

violation of the Hazardous Materials (c) At any time after an immediately Transportation Act, as amended and effective order is issued, the FAA may codified at 49 U.S.C. chapter 51, or any request the United States Attorney rule, regulation, or order issued under General, or the delegate of the Attor- 49 U.S.C. chapter 51, for which the FAA ney General, to bring an action for ap- exercises enforcement responsibility, propriate relief.

and the circumstances do not require § 13.69 Other matters: Alternative dis- the issuance of an emergency order pute resolution, standing orders, under 49 U.S.C. 5121(d).

and forms.

(b) If circumstances require the (a) Parties may use mediation to issuance of an emergency order under achieve resolution of issues in con- 49 U.S.C. 5121(d), the Chief Counsel, a troversy addressed by this subpart. Deputy Chief Counsel, or the Assistant 14 CFR Ch. I (1–1–25 Edition) § 13.73 Chief Counsel for Enforcement will (b) The alleged violator may submit a issue an emergency order of compli- proposed consent order to an agency ance as described in § 13.81.

attorney. The proposed consent order must include— § 13.73 Notice of proposed order of (1) An admission of all jurisdictional compliance.

facts; The Chief Counsel, a Deputy Chief (2) An express waiver of the right to Counsel, or the Assistant Chief Counsel further procedural steps and of all for Enforcement may issue to an al- rights to legal review in any forum; leged violator a notice of proposed (3) An express waiver of attorney’s order of compliance advising the al- fees and costs; leged violator of the charges and set- (4) If a notice has been issued prior to ting forth the remedial action sought the proposed consent order of compli- in the form of a proposed order of com- ance, an incorporation by reference of pliance.

the notice and an acknowledgement § 13.75 Reply or request for hearing.

that the notice may be used to con- strue the terms of the consent order of (a) Within 30 days after service upon compliance; and the alleged violator of a notice of pro- posed order of compliance, the alleged (5) If a request for hearing is pending violator may— in any forum, a provision that the al- (1) Submit a written reply; leged violator will withdraw the re- (2) Submit a written request for an quest for a hearing and request that informal conference to discuss the the case be dismissed.

matter with an agency attorney; or (3) Request a hearing in accordance § 13.79 [Reserved] with subpart D of this part.

(b) If, after an informal conference is § 13.81 Emergency orders.

held or a reply is filed, the agency at- (a) Notwithstanding §§ 13.73 through torney notifies the person named in the 13.77, the Chief Counsel, each Deputy notice that some or all of the proposed Chief Counsel, or the Assistant Chief agency action will not be withdrawn or Counsel for Enforcement may issue an will not be subject to a consent order emergency order of compliance, which of compliance, the alleged violator is effective upon issuance, in accord- may, within 10 days after receiving the ance with the procedures in subpart C agency attorney’s notification, request of 49 CFR part 109, if the person who a hearing in accordance with subpart D issues the order finds that there is an of this part.

‘‘imminent hazard’’ as defined in 49 (c) Failure of the alleged violator to CFR 109.1.

file a reply or request a hearing within the period provided in paragraph (a) or (b) The FAA official who issued the (b) of this section, as applicable— emergency order of compliance may re- (1) Constitutes a waiver of the right scind or suspend the order if the cri- to a hearing under subpart D of this teria set forth in paragraph (a) of this part and the right to petition for judi- section are no longer satisfied, and, cial review; and when appropriate, may issue a notice (2) Authorizes the Administrator to of proposed order of compliance under make any appropriate findings of fact § 13.73.

and to issue an appropriate order of (c) If at any time in the course of a compliance, without further notice or proceeding commenced in accordance proceedings.

with § 13.73 the criteria set forth in paragraph (a) of this section are satis- § 13.77 Consent order of compliance.

fied, the official who issued the notice (a) At any time before the issuance of may issue an emergency order of com- an order of compliance, an agency at- pliance, even if the period for filing a torney and the alleged violator may reply or requesting a hearing specified agree to dispose of the case by the in § 13.75 has not expired.

issuance of a consent order of compli- ance.

Federal Aviation Administration, DOT § 13.113 (b) The presiding officer may des- 13.83–13.87 [Reserved] ignate any person as a party to the in- vestigation if— Subpart F—Formal Fact-Finding In- (1) The person petitions the presiding vestigation Under an Order of officer to participate as a party; Investigation (2) The disposition of the investiga- tion may as a practical matter impair S OURCE : Docket No. FAA-2018-1051; Amdt.

the ability to protect the person’s in- No. 13-40, 86 FR 54536, Oct. 1, 2021, unless oth- terest unless allowed to participate as erwise noted.

a party; and (3) The person’s interest is not ade- § 13.101 Applicability.

quately represented by existing par- (a) This subpart applies to fact-find- ties.

ing investigations in which an inves- tigation has been ordered under § 13.3(c) § 13.109 Convening the investigation.

or § 13.5(f)(2).

The presiding officer will conduct the (b) This subpart does not limit the investigation at a location convenient authority of any person to issue sub- to the parties involved and as expedi- poenas, administer oaths, examine wit- tious and efficient as handling of the nesses, and receive evidence in any in- investigation permits.

formal investigation as otherwise pro- vided by law.

§ 13.111 Subpoenas.

(a) At the discretion of the presiding § 13.103 Order of investigation.

officer, or at the request of a party to The order of investigation— the investigation, the presiding officer (a) Defines the scope of the investiga- may issue a subpoena directing any tion by describing the information person to appear at a designated time sought in terms of its subject matter and place to testify or to produce docu- or its relevancy to specified FAA func- mentary or physical evidence relating tions; to any matter under investigation.

(b) Sets forth the form of the inves- (b) Subpoenas must be served by per- tigation which may be either by indi- sonal service on the person or an agent vidual deposition or investigative pro- designated in writing for the purpose, ceeding or both; and or by registered or certified mail ad- (c) Names the official who is author- dressed to the person or agent. When- ized to conduct the investigation and ever service is made by registered or serve as the presiding officer.

certified mail, the date of mailing will be considered the time when service is § 13.105 Notification.

made.

Any person under investigation and (c) Subpoenas extend in jurisdiction any person required to testify and throughout the United States and any produce documentary or physical evi- territory or possession thereof.

dence during the investigation will be § 13.113 Noncompliance with the in- advised of the purpose of the investiga- vestigative process.

tion, and of the place where the inves- tigative proceeding or deposition will (a) If a person disobeys a subpoena, be convened. This may be accomplished the Administrator or a party to the in- by a notice of investigation or by a vestigation may petition a court of the subpoena. A copy of the order of inves- United States to enforce the subpoena tigation may be sent to such persons in accordance with applicable statutes.

when appropriate. (b) If a party to the investigation fails to comply with the provisions of § 13.107 Designation of additional par- this subpart or an order issued by the ties.

presiding officer, the Administrator (a) The presiding officer may des- may bring a civil action to enforce the ignate additional persons as parties to requirements of this subpart or any the investigation, if in the discretion of order issued under this subpart in a the presiding officer, it will aid in the court of the United States in accord- conduct of the investigation. ance with applicable statutes.

14 CFR Ch. I (1–1–25 Edition) § 13.115 case, except in a prosecution for per- § 13.115 Public proceedings.

jury, giving a false statement, or oth- (a) All investigative proceedings and erwise failing to comply with the depositions must be public unless the order.

presiding officer determines that the (b) The presiding officer may issue an public interest requires otherwise.

order under this section if— (b) The presiding officer may order (1) The testimony or other informa- information contained in any report or tion from the witness may be necessary document filed or in any testimony to the public interest; and given pursuant to this subpart with- (2) The witness has refused or is like- held from public disclosure when, in ly to refuse to testify or provide other the judgment of the presiding officer, information on the basis of a privilege disclosure would adversely affect the against self-incrimination.

interests of any person and is not re- (c) Immunity provided by this sec- quired in the public interest or is not tion will not become effective until the otherwise required by statute to be person has refused to testify or provide made available to the public. Any per- other information on the basis of a son may make written objection to the privilege against self-incrimination, public disclosure of information, stat- and an order under this section has ing the grounds for such objection.

been issued. An order, however, may be issued prospectively to become effec- § 13.117 Conduct of investigative pro- ceeding or deposition. tive in the event of a claim of the privilege.

(a) The presiding officer may ques- tion witnesses.

§ 13.121 Witness fees.

(b) Any witness may be accompanied All witnesses appearing, other than by counsel.

employees of the Federal Aviation Ad- (c) Any party may be accompanied by ministration, are entitled to the same counsel and either the party or counsel fees and allowances as provided for may— under 28 U.S.C. 1821.

(1) Question witnesses, provided the questions are relevant and material to § 13.123 Submission by party to the in- the matters under investigation and vestigation.

would not unduly impede the progress (a) During an investigation con- of the investigation; and ducted under this subpart, a party may (2) Make objections on the record and submit to the presiding officer— argue the basis for such objections.

(1) A list of witnesses to be called, (d) Copies of all notices or written specifying the subject matter of the ex- communications sent to a party or wit- pected testimony of each witness; and ness must, upon request, be sent to (2) A list of exhibits to be considered that person’s attorney of record.

for inclusion in the record.

§ 13.119 Immunity and orders requir- (b) If the presiding officer determines ing testimony or other information.

that the testimony of a witness or the receipt of an exhibit in accordance (a) Whenever a person refuses, on the with paragraph (a) of this section will basis of a privilege against self-in- be relevant, competent, and material crimination, to testify or provide other to the investigation, the presiding offi- information during the course of any cer may subpoena the witness or use investigation conducted under this sub- the exhibit during the investigation.

part, the presiding officer may, with the approval of the United States At- § 13.125 Depositions.

torney General, or the delegate of the Attorney General, issue an order re- Depositions for investigative pur- quiring the person to give testimony or poses may be taken at the discretion of provide other information. However, no the presiding officer with reasonable testimony or other information so notice to the party under investiga- compelled (or any information directly tion. Depositions must be taken before or indirectly derived from such testi- the presiding officer or other person mony or other information) may be authorized to administer oaths and used against the person in any criminal designated by the presiding officer. The Federal Aviation Administration, DOT § 13.202 testimony must be reduced to writing Administrative law judge means an ad- by the person taking the deposition, or ministrative law judge appointed pur- suant to the provisions of 5 U.S.C. 3105.

under the direction of that person, and Agency attorney means the Deputy where possible must then be subscribed Chief Counsel or the Assistant Chief by the deponent. Any person may be Counsel responsible for the prosecution compelled to appear and testify and to of enforcement-related matters under produce physical and documentary evi- this subpart, or attorneys who are su- dence.

pervised by those officials or are as- signed to prosecute a particular en- § 13.127 Reports, decisions, and orders.

forcement-related matter under this The presiding officer must issue a subpart. Agency attorney does not in- written report based on the record de- clude the Chief Counsel or anyone from veloped during the formal investiga- the Office of Adjudication.

tion, including a summary of principal Complaint means a document issued conclusions. A summary of principal by an agency attorney alleging a viola- conclusions must be prepared by the of- tion of a provision of the Federal avia- ficial who issued the order of investiga- tion statute listed in the first sentence tion in every case that results in no ac- of 49 U.S.C. 46301(d)(2) or in 49 U.S.C.

tion, or no action as to a particular 47531, or of the Federal hazardous ma- party to the investigation. All such re- terials transportation statute, 49 ports must be furnished to the parties U.S.C. 5121–5128, or a rule, regulation, to the investigation and made avail- or order issued under those statutes, able to the public on request.

that has been filed with the FAA Hear- ing Docket after a hearing has been re- § 13.129 Post-investigation action.

quested under § 13.16(f)(3) or (g)(2)(ii).

Complainant means the FAA office A decision on whether to initiate that issued the notice of proposed civil subsequent action must be made on the penalty under § 13.16.

basis of the record developed during FAA decisionmaker means the Admin- the formal investigation and any other istrator of the Federal Aviation Ad- information in the possession of the ministration, acting in the capacity of Administrator.

the decisionmaker on appeal, or any person to whom the Administrator has § 13.131 Other procedures.

delegated the Administrator’s decision- Any question concerning the scope or making authority in a civil penalty ac- conduct of a formal investigation not tion. As used in this subpart, the FAA covered in this subpart may be ruled on decisionmaker is the official author- by the presiding officer on his or her ized to issue a final decision and order own initiative, or on the motion of a of the Administrator in a civil penalty party or a person testifying or pro- action.

ducing evidence.

Mail includes U.S. mail, U.S. certified mail, U.S. registered mail, or use of an expedited or overnight express courier Subpart G—Rules of Practice In service, but does not include email.

FAA Civil Penalty Actions Office of Adjudication means the Fed- eral Aviation Administration Office of S OURCE : Docket No. FAA-2018-1051; Amdt.

Adjudication, including the FAA Hear- No. 13-40, 86 FR 54538, Oct. 1, 2021, unless oth- ing Docket, the Director of the Office erwise noted.

of Adjudication and legal personnel, or any subsequently designated office (in- § 13.201 Applicability.

cluding its head and any legal per- This subpart applies to all civil pen- sonnel) that advises the FAA decision- alty actions initiated under § 13.16 in maker regarding appeals of initial deci- which a hearing has been requested.

sions and orders to the FAA decision- maker.

§ 13.202 Definitions.

Order assessing civil penalty means a For this subpart only, the following document that contains a finding of a definitions apply: violation of a provision of the Federal 14 CFR Ch. I (1–1–25 Edition) § 13.203 aviation statute listed in the first sen- sionmaker in that case, or a factually- tence of 49 U.S.C. 46301(d)(2) or in 49 related case, but may participate as U.S.C. 47531, or of the Federal haz- counsel for the complainant or as a ardous materials transportation stat- witness in the public proceedings.

ute, 49 U.S.C. 5121–5128, or a rule, regu- (c) The Chief Counsel and the Direc- lation, or order issued under those tor and legal personnel of the Office of statutes, and may direct payment of a Adjudication will advise the FAA deci- civil penalty. Unless an appeal is filed sionmaker regarding any appeal of an with the FAA decisionmaker in a time- initial decision or order in a civil pen- ly manner, an initial decision or order alty action to the FAA decisionmaker.

of an administrative law judge is con- § 13.204 Appearances and rights of sidered an order assessing civil penalty parties.

if an administrative law judge finds that an alleged violation occurred and (a) Any party may appear and be determines that a civil penalty, in an heard in person.

amount found appropriate by the ad- (b) Any party may be accompanied, ministrative law judge, is warranted. represented, or advised by an attorney Unless a petition for review is filed or representative designated by the with a U.S. Court of Appeals in a time- party, and may be examined by that ly manner, a final decision and order of attorney or representative in any pro- the Administrator is considered an ceeding governed by this subpart. An order assessing civil penalty if the FAA attorney or representative who rep- decisionmaker finds that an alleged resents a party must file a notice of ap- violation occurred and a civil penalty pearance in the action, in the manner is warranted. provided in § 13.210, and must serve a Party means the Respondent, the copy of the notice of appearance on complainant and any intervenor. each party, and on the administrative Personal delivery includes hand-deliv- law judge, if assigned, in the manner ery or use of a contract or express mes- provided in § 13.211, before participating senger service. ‘‘Personal delivery’’ in any proceeding governed by this sub- does not include the use of Federal part. The attorney or representative Government interoffice mail service. must include the name, address, and Pleading means a complaint, an an- telephone number, and, if available, fax swer, and any amendment of these doc- number and email address, of the attor- uments permitted under this subpart. ney or representative in the notice of Properly addressed means a document appearance.

that shows an address contained in (c) Any person may request a copy of agency records; a residential, business, a document in the record upon pay- or other address submitted by a person ment of reasonable costs. A person may on any document provided under this keep an original document, data, or subpart; or any other address shown by evidence, with the consent of the ad- other reasonable and available means. ministrative law judge, by substituting Respondent means a person named in a legible copy of the document for the a complaint. record.

Writing or written includes paper or § 13.205 Administrative law judges.

electronic documents that are filed or served by email, mail, personal deliv- (a) Powers of an administrative law ery, or fax.

judge. In accordance with the rules of this subpart, an administrative law § 13.203 Separation of functions.

judge may: (a) Civil penalty proceedings, includ- (1) Give notice of, and hold, pre- ing hearings, are prosecuted by an hearing conferences and hearings; agency attorney. (2) Administer oaths and affirma- (b) An agency employee who has en- tions; gaged in the performance of investiga- (3) Issue subpoenas as authorized by tive or prosecutorial functions in a law; civil penalty action must not partici- (4) Rule on offers of proof; pate in deciding or advising the admin- (5) Receive relevant and material evi- istrative law judge or the FAA deci- dence; Federal Aviation Administration, DOT § 13.207 (6) Regulate the course of the hearing § 13.207 Certification of documents.

in accordance with the rules of this (a) Signature required. The attorney of subpart; record, the party, or the party’s rep- (7) Hold conferences to settle or to resentative must sign, by hand, elec- simplify the issues by consent of the tronically, or by other method accept- parties; able to the administrative law judge, (8) Dispose of procedural motions and or, if the matter is on appeal, to the FAA decisionmaker, each document requests; tendered for filing with the FAA Hear- (9) Make findings of fact and conclu- ing Docket or served on the adminis- sions of law, and issue an initial deci- trative law judge and on each other sion; party.

(10) Bar a person from a specific pro- (b) Effect of signing a document. By ceeding based on a finding of obstrep- signing a document, the attorney of erous or disruptive behavior in that record, the party, or the party’s rep- specific proceeding; and resentative certifies that the attorney, (11) Take any other action authorized the party, or the party’s representative by this subpart.

has read the document and, based on (b) Limitations. The administrative reasonable inquiry and to the best of law judge must not issue an order of that person’s knowledge, information, contempt, award costs to any party, or and belief, the document is— impose any sanction not specified in (1) Consistent with the rules in this this subpart. If the administrative law subpart; judge imposes any sanction not speci- (2) Warranted by existing law or a good faith argument for extension, fied in this subpart, a party may file an modification, or reversal of existing interlocutory appeal of right under law; and § 13.219(c).

(3) Not unreasonable or unduly bur- (c) Disqualification. The administra- densome or expensive, not made to har- tive law judge may disqualify himself ass any person, not made to cause un- or herself at any time. A party may file necessary delay, and not made to cause a motion for disqualification under needless increase in the cost of the pro- § 13.218.

ceedings or for any other improper pur- pose.

§ 13.206 Intervention.

(c) Sanctions. If the attorney of (a) A person may submit a motion for record, the party, or the party’s rep- leave to intervene as a party in a civil resentative signs a document in viola- penalty action. Except for good cause tion of this section, the administrative shown, a motion for leave to intervene law judge or the FAA decisionmaker must be submitted not later than 10 must: days before the hearing. (1) Strike the pleading signed in vio- lation of this section; (b) The administrative law judge may (2) Strike the request for discovery or grant a motion for leave to intervene if the discovery response signed in viola- the administrative law judge finds that tion of this section and preclude fur- intervention will not unduly broaden ther discovery by the party; the issues or delay the proceedings (3) Deny the motion or request signed and— in violation of this section; (1) The person seeking to intervene (4) Exclude the document signed in will be bound by any order or decision violation of this section from the entered in the action; or record; (2) The person seeking to intervene (5) Dismiss the interlocutory appeal has a property, financial, or other le- and preclude further appeal on that gitimate interest that may not be ad- issue by the party who filed the appeal dressed adequately by the parties.

until an initial decision has been en- (c) The administrative law judge may tered on the record; or determine the extent to which an in- (6) Dismiss the appeal of the adminis- tervenor may participate in the pro- trative law judge’s initial decision to ceedings. the FAA decisionmaker.

14 CFR Ch. I (1–1–25 Edition) § 13.208 part of the complaint in accordance § 13.208 Complaint.

with § 13.219(b).

(a) Filing. The agency attorney must file the complaint with the FAA Hear- § 13.209 Answer.

ing Docket, or may file a written mo- (a) Writing required. A respondent tion to dismiss a request for hearing must file in the FAA Hearing Docket a under § 13.218 instead of filing a com- written answer to the complaint, or plaint, not later than 20 days after re- may file a written motion pursuant to ceipt by the agency attorney of a re- § 13.208 or § 13.218 instead of filing an quest for hearing. When filing the com- answer, not later than 30 days after plaint, the agency attorney must fol- service of the complaint. The answer low the filing instructions in § 13.210.

must be dated and signed by the person The agency attorney may suggest a lo- responding to the complaint. An an- cation for the hearing when filing the swer must be typewritten or legibly complaint.

handwritten.

(b) Service. An agency attorney must (b) Filing. A person filing an answer serve a copy of the complaint on the or motion under paragraph (a) of this respondent, the president of the cor- section must follow the filing instruc- poration or company named as a re- tions in § 13.210.

spondent, or a person designated by the (c) Service. A person filing an answer respondent to accept service of docu- or a motion under paragraph (a) of this ments in the civil penalty action. When section must serve a copy of the an- serving the complaint, the agency at- swer or motion in accordance with the torney must follow the service instruc- service instructions in § 13.211.

tions in § 13.211.

(d) Contents. An answer must specifi- (c) Contents. A complaint must set cally state any affirmative defense forth the facts alleged, any regulation that the respondent intends to assert allegedly violated by the respondent, at the hearing. A person filing an an- and the proposed civil penalty in suffi- swer may include a brief statement of cient detail to provide notice of any any relief requested in the answer. The factual or legal allegation and pro- person filing an answer may rec- posed civil penalty.

ommend a location for the hearing (d) Motion to dismiss stale allegations or when filing the answer.

complaint. Instead of filing an answer (e) Specific denial of allegations re- to the complaint, a respondent may quired. A person filing an answer must move to dismiss the complaint, or that admit, deny, or state that the person is part of the complaint, alleging a viola- without sufficient knowledge or infor- tion that occurred more than 2 years mation to admit or deny, each allega- before an agency attorney issued a no- tion in the complaint. All allegations tice of proposed civil penalty to the re- in the complaint not specifically de- spondent.

nied in the answer are deemed admit- (1) An administrative law judge may ted. A general denial of the complaint not grant the motion and dismiss the is deemed a failure to file an answer.

complaint or part of the complaint if (f) Failure to file answer. A person’s the administrative law judge finds that failure to file an answer without good the agency has shown good cause for cause will be deemed an admission of any delay in issuing the notice of pro- the truth of each allegation contained posed civil penalty.

in the complaint.

(2) If the agency fails to show good cause for any delay, an administrative § 13.210 Filing of documents.

law judge may dismiss the complaint, or that part of the complaint, alleging (a) General rule. Unless provided oth- a violation that occurred more than 2 erwise in this subpart, all documents in years before an agency attorney issued proceedings under this subpart must be the notice of proposed civil penalty to tendered for filing with the FAA Hear- the respondent. ing Docket.

(3) A party may appeal the adminis- (b) Methods of filing. Filing must be trative law judge’s ruling on the mo- by email, personal delivery, mail, or tion to dismiss the complaint or any fax.

Federal Aviation Administration, DOT § 13.211 (c) Address for filing. A person filing a § 13.211 Service of documents.

document with the FAA Hearing Dock- (a) General. A person must serve a et must use the address identified for copy of all documents on each party the method of filing as follows: and the administrative law judge, if as- (1) If delivery is in person, or by expe- signed, at the time of filing with the dited or overnight express courier service.

FAA Hearing Docket except as pro- Federal Aviation Administration, 600 vided otherwise in this subpart.

Independence Avenue SW, Wilbur (b) Service by the FAA Hearing Docket, Wright Building—Suite 2W100, Wash- the administrative law judge, and the ington, DC 20597; Attention: FAA Hear- FAA decisionmaker. The FAA Hearing ing Docket, AGC–70. Docket, the administrative law judge, and the FAA decisionmaker must send (2) If delivery is via U.S. mail, or U.S.

documents to a party by personal de- certified or registered mail. Federal Avia- livery, mail, fax, or email as provided tion Administration, 800 Independence in this section.

Avenue SW, Washington, DC 20591; At- (c) Methods of service —(1) General. A tention: FAA Hearing Docket, AGC–70, person may serve any document by Wilbur Wright Building—Suite 2W100.

email, personal delivery, mail, or fax.

(3) If delivery is via email or fax. The (2) Service by email. Service of docu- email address and fax number for the ments by email is voluntary and re- FAA Hearing Docket, made available quires the prior consent of the person on the FAA Office of Adjudication to be served by email. A person may re- website.

tract consent to be served by email by (d) Date of filing. If a document is filing a written retraction with the filed by fax or email, the date of filing FAA Hearing Docket and serving it on is the date the email or fax is sent. If the other party and the administrative a document is filed by personal deliv- law judge. A document that is served ery, the date of filing is the date that by email must be attached as a PDF personal delivery is accomplished. If a file to an email message.

document is filed by mail, the date of (d) Certificate of service. A certificate filing is the date shown on the certifi- of service must accompany all docu- cate of service, the date shown on the ments filed with the FAA Hearing Docket. The certificate of service must postmark if there is no certificate of be signed, describe the method of serv- service, or the mailing date shown by ice, and state the date of service.

other evidence if there is no certificate (e) Date of service. If a document is of service or postmark.

served by fax or served by email, the (e) Form. Each document must be date of service is the date the email or typewritten or legibly handwritten.

fax is sent. If a document is served by (f) Contents. Unless otherwise speci- personal delivery, the date of service is fied in this subpart, each document the date that personal delivery is ac- must contain a short, plain statement complished. If a document is mailed, of the facts on which the person’s case the date of service is the date shown on rests and a brief statement of the ac- the certificate of service, the date tion requested.

shown on the postmark if there is no (g) Requirement to file an original docu- certificate of service, or the mailing ment and number of copies. A party must date shown by other evidence if there file an original document and one copy is no certificate of service or postmark.

when filing by personal delivery or by (f) Valid service. A document served mail. Only one copy must be filed if fil- by mail or personal delivery that was ing is accomplished by email or fax.

properly addressed, was sent in accord- (h) Filing by email. A document that ance with this subpart, and that was is filed by email must be attached as a returned as unclaimed, or that was re- PDF file to an email. The document fused or not accepted, is deemed to must be signed in accordance with have been served in accordance with § 13.207. The email message does not this subpart.

constitute a submission, but serves (g) Additional time after service by mail.

only to deliver the attached PDF file Whenever a party must respond within to the FAA Hearing Docket. a prescribed period after service by 14 CFR Ch. I (1–1–25 Edition) § 13.212 mail, 5 days are added to the prescribed than 20 days after the original date the period. document was to be filed.

(h) Presumption of service. There is a § 13.214 Amendment of pleadings.

presumption of service where a party or a person, who customarily receives (a) Filing and service. A party must mail, or receives it in the ordinary file the amendment with the FAA course of business, at either the per- Hearing Docket and must serve a copy son’s residence or the person’s prin- of the amendment on the administra- cipal place of business, acknowledges tive law judge, if assigned, and on all receipt of the document. parties to the proceeding.

(b) Time. (1) Not later than 15 days be- § 13.212 Computation of time. fore the scheduled date of a hearing, a party may amend a complaint or an (a) This section applies to any period answer without the consent of the ad- of time prescribed or allowed by this ministrative law judge.

subpart, by notice or order of the ad- (2) Less than 15 days before the ministrative law judge, or by any ap- scheduled date of a hearing, the admin- plicable statute.

istrative law judge may allow amend- (b) The date of an act, event, or de- ment of a complaint or an answer only fault is not included in a computation for good cause shown in a motion to of time under this subpart.

amend.

(c) The last day of a time period is in- (c) Responses. The administrative law cluded unless it is a Saturday, Sunday, judge must allow a reasonable time, or a Federal holiday. If the last day is but not more than 20 days from the a Saturday, Sunday, or Federal holi- date of filing, for other parties to re- day, the time period runs until the end spond if an amendment to a complaint, of the next day that is not a Saturday, answer, or other pleading has been filed Sunday, or Federal holiday.

with the FAA Hearing Docket and served on the administrative law judge § 13.213 Extension of time.

and other parties.

(a) The parties may agree to extend § 13.215 Withdrawal of complaint or for a reasonable period the time for fil- request for hearing.

ing a document under this subpart. The party seeking the extension of time At any time before or during a hear- must submit a draft order to the ad- ing, an agency attorney may withdraw ministrative law judge to be signed by a complaint or a party may withdraw a the administrative law judge and filed request for a hearing without the con- with the FAA Hearing Docket. The ad- sent of the administrative law judge. If ministrative law judge must sign and an agency attorney withdraws the issue the order if the extension agreed complaint or a party withdraws the re- to by the parties is reasonable.

quest for a hearing and the answer, the (b) A party may file a written motion administrative law judge must dismiss for an extension of time. A written mo- the proceedings under this subpart tion for an extension of time must be with prejudice.

filed with the FAA Hearing Docket in § 13.216 Waivers.

accordance with § 13.210. The motion must be filed no later than seven days Waivers of any rights provided by before the document is due unless good statute or regulation must be in writ- cause for the late filing is shown. The ing or by stipulation made at a hearing party filing the motion must serve a and entered into the record. The par- copy of the motion in accordance with ties must set forth the precise terms of § 13.211. The administrative law judge the waiver and any conditions.

may grant the extension of time if § 13.217 Joint procedural or discovery good cause for the extension is shown.

schedule.

(c) If the administrative law judge fails to rule on a motion for an exten- (a) General. The parties may agree to sion of time by the date the document submit a schedule for filing all pre- was due, the motion for an extension of hearing motions, conducting discovery time is deemed granted for no more in the proceedings, or both.

Federal Aviation Administration, DOT § 13.218 (b) Form and content of schedule. If the (4) Preclude the relevant portion of parties agree to a joint procedural or the testimony of that party’s witnesses at the hearing.

discovery schedule, one of the parties must file the joint schedule setting § 13.218 Motions.

forth the dates to which the parties have agreed, in accordance with (a) General. A party applying for an § 13.210, and must also serve a copy of order or ruling not specifically pro- the joint schedule in accordance with vided in this subpart must do so by fil- § 13.211. The filing of the joint schedule ing a motion in accordance with must include a draft order establishing § 13.210. A party must serve a copy of a joint schedule to be signed by the ad- each motion in accordance with § 13.211.

ministrative law judge.

(b) Form and contents. A party must (1) The joint schedule may include, state the relief sought by the motion but need not be limited to, requests for and the particular grounds supporting that relief. If a party has evidence in discovery, objections to discovery re- support of a motion, the party must at- quests, responses to discovery requests to which there are no objections, sub- tach any supporting evidence, includ- mission of prehearing motions, re- ing affidavits, to the motion.

(c) Filing of motions. A motion made sponses to prehearing motions, ex- change of exhibits to be introduced at prior to the hearing must be in writing.

the hearing, and a list of witnesses Unless otherwise agreed by the parties that may be called at the hearing. or for good cause shown, a party must file any prehearing motion not later (2) Each party must sign the joint than 30 days before the hearing in the schedule.

FAA Hearing Docket in accordance (c) Time. The parties may agree to with § 13.210, and must serve a copy on submit all prehearing motions and re- the administrative law judge, if as- sponses and may agree to close dis- signed, and on each party in accord- covery in the proceedings under the ance with § 13.211. Motions introduced joint schedule within a reasonable time during a hearing may be made orally before the date of the hearing, but not on the record unless the administrative later than 15 days before the hearing.

law judge directs otherwise.

(d) Joint scheduling order. The joint (d) Responses to motions. Any party schedule filed by the parties is a pro- may file a response, with affidavits or posed schedule that requires approval other evidence in support of the re- of the administrative law judge to be- sponse, not later than 10 days after come the joint scheduling order.

service of a written motion on that (e) Disputes. The administrative law party. When a motion is made during a judge must resolve disputes regarding hearing, the response may be made at discovery or disputes regarding compli- the hearing on the record, orally or in ance with the joint scheduling order as writing, within a reasonable time de- soon as possible so that the parties termined by the administrative law may continue to comply with the joint judge.

scheduling order.

(e) Rulings on motions. The adminis- (f) Sanctions for failure to comply with trative law judge must rule on all mo- joint schedule. If a party fails to comply tions as follows: with a joint scheduling order, the ad- (1) Discovery motions. The administra- ministrative law judge may impose any tive law judge must resolve all pending of the following sanctions, proportional discovery motions not later than 10 to the party’s failure to comply with days before the hearing.

the order: (2) Prehearing motions. The adminis- (1) Strike the relevant portion of a trative law judge must resolve all party’s pleadings; pending prehearing motions not later (2) Preclude prehearing or discovery than 7 days before the hearing. If the motions by that party; administrative law judge issues a rul- (3) Preclude admission of the rel- ing or order orally, the administrative evant portion of a party’s evidence at law judge must serve a written copy of the hearing; or the ruling or order, within 3 days, on 14 CFR Ch. I (1–1–25 Edition) § 13.218 each party. In all other cases, the ad- ney must file a complaint in the FAA ministrative law judge must issue rul- Hearing Docket and must serve a copy ings and orders in writing and must of the complaint on the administrative serve a copy of the ruling or order on law judge and each party not later each party. than 10 days after service of the FAA (3) Motions made during the hearing. decisionmaker’s decision on appeal.

The administrative law judge must (ii) Motion to dismiss a complaint. A re- issue rulings and orders on oral mo- spondent may file a motion to dismiss tions. Oral rulings or orders on mo- a complaint instead of filing an answer, tions must be made on the record. including a motion to dismiss a stale (f) Specific motions. The motions that complaint or allegations as provided in a party may file include but are not § 13.208. If the motion to dismiss is not limited to the following: granted, the respondent must file an (1) Motion to dismiss for insufficiency. answer in the FAA Hearing Docket and A respondent may file a motion to dis- must serve a copy of the answer on the miss the complaint for insufficiency in- administrative law judge and on each stead of filing an answer. If the admin- party not later than 10 days after serv- istrative law judge denies the motion ice of the administrative law judge’s to dismiss the complaint for insuffi- ruling or order on the motion to dis- ciency, the respondent must file an an- miss. If the motion to dismiss is grant- swer not later than 10 days after serv- ed and the proceedings are terminated ice of the administrative law judge’s without a hearing, the agency attorney denial of the motion. A motion to dis- may file an appeal in the FAA Hearing miss the complaint for insufficiency Docket under § 13.233 and must serve must show that the complaint fails to each other party. If required by the state a violation of a provision of the FAA decisionmaker’s decision on ap- Federal aviation statute listed in the peal, the respondent must file an an- first sentence in 49 U.S.C. 46301(d)(2) or swer in the FAA Hearing Docket, and in 49 U.S.C. 47531, or any implementing must serve a copy of the answer on the rule, regulation, or order, or a viola- administrative law judge and on each tion of the Federal hazardous materials party not later than 10 days after serv- transportation statute, 49 U.S.C. 5121– ice of the decision on appeal.

5128, or any implementing rule, regula- (3) Motion for a more definite statement.

tion, or order. A party may file a motion for a more (2) Motion to dismiss. A party may file definite statement of any pleading a motion to dismiss, specifying the which requires a response under this grounds for dismissal. If an administra- subpart. A party must set forth, in de- tive law judge grants a motion to dis- tail, the indefinite or uncertain allega- miss in part, a party may appeal the tions contained in a complaint or re- administrative law judge’s ruling on sponse to any pleading and must sub- the motion to dismiss under § 13.219(b). mit the details that the party believes (i) Motion to dismiss a request for a would make the allegation or response hearing. An agency attorney may file a definite and certain.

motion to dismiss a request for a hear- (i) Complaint. A respondent may file a ing instead of filing a complaint. If the motion requesting a more definite motion to dismiss is not granted, the statement of the allegations contained agency attorney must file the com- in the complaint instead of filing an plaint in the FAA Hearing Docket and answer. If the administrative law judge must serve a copy of the complaint on grants the motion, the agency attorney the administrative law judge and on must supply a more definite statement each party not later than 10 days after not later than 15 days after service of service of the administrative law the ruling granting the motion. If the judge’s ruling or order on the motion agency attorney fails to supply a more to dismiss. If the motion to dismiss is definite statement, the administrative granted and the proceedings are termi- law judge may strike the allegations in nated without a hearing, the respond- the complaint to which the motion is ent may appeal to the FAA decision- directed. If the administrative law maker under § 13.233. If required by the judge denies the motion, the respond- decision on appeal, the agency attor- ent must file an answer in the FAA Federal Aviation Administration, DOT § 13.218 Hearing Docket and must serve a copy serve a copy on the administrative law of the answer on the administrative judge and on each party. A party may law judge and on each party not later file the motion at any time after the than 10 days after service of the order administrative law judge has been as- of denial.

signed to the proceedings but must (ii) Answer. An agency attorney may make the motion before the adminis- file a motion requesting a more defi- trative law judge files an initial deci- nite statement if an answer fails to re- sion in the proceedings.

spond clearly to the allegations in the (i) Motion and supporting affidavit. A complaint. If the administrative law party must state the grounds for dis- judge grants the motion, the respond- qualification in a motion for disquali- ent must supply a more definite state- fication, including, but not limited to, ment not later than 15 days after serv- a financial or other personal interest ice of the ruling on the motion. If the that would be affected by the outcome respondent fails to supply a more defi- of the enforcement action, personal nite statement, the administrative law animus against a party to the action or judge may strike those statements in against a group to which a party be- the answer to which the motion is di- longs, prejudgment of the adjudicative rected. The respondent’s failure to sup- facts at issue in the proceeding, or any ply a more definite statement may be other prohibited conflict of interest. A deemed an admission of unanswered al- party must submit an affidavit with legations in the complaint.

the motion for disqualification that (4) Motion to strike. Any party may sets forth, in detail, the matters al- make a motion to strike any insuffi- leged to constitute grounds for dis- cient allegation or defense, or any re- qualification.

dundant, immaterial, impertinent, or (ii) Response. A party must respond scandalous matter in a pleading. A party must file a motion to strike be- to the motion for disqualification not fore a response is required under this later than 5 days after service of the subpart or, if a response is not re- motion for disqualification.

quired, not later than 10 days after (iii) Decision on motion for disqualifica- service of the pleading. A motion to tion. The administrative law judge strike must be filed in the FAA Hear- must render a decision on the motion ing Docket and served on the adminis- for disqualification not later than 15 trative law judge, if assigned, and on days after the motion has been filed. If each other party.

the administrative law judge finds that (5) Motion for decision. A party may the motion for disqualification and make a motion for decision, regarding supporting affidavit show a basis for all or any part of the proceedings, at disqualification, the administrative any time before the administrative law law judge must withdraw from the pro- judge has issued an initial decision in ceedings immediately. If the adminis- the proceedings. The administrative trative law judge finds that disquali- law judge must grant a party’s motion fication is not warranted, the adminis- for decision if the pleadings, deposi- trative law judge must deny the mo- tions, answers to interrogatories, ad- tion and state the grounds for the de- missions, matters that the administra- nial on the record. If the administra- tive law judge has officially noticed, or tive law judge fails to rule on a party’s evidence introduced during the hearing motion for disqualification within 15 shows that there is no genuine issue of days after the motion has been filed, material fact and that the party mak- the motion is deemed granted.

ing the motion is entitled to a decision (iv) Appeal. A party may appeal the as a matter of law. The party making administrative law judge’s denial of the motion for decision has the burden the motion for disqualification in ac- of showing that there is no genuine cordance with § 13.219(b).

issue of material fact disputed by the (7) Motions for reconsideration of an parties.

(6) Motion for disqualification. A party initial decision, order dismissing a com- may file a motion for disqualification plaint, order dismissing a request for in the FAA Hearing Docket and must hearing or order dismissing a request for 14 CFR Ch. I (1–1–25 Edition) § 13.219 hearing and answer. The FAA decision- (2) Failure of the administrative law maker may treat motions for reconsid- judge to dismiss the proceedings in ac- cordance with § 13.215; or eration of an initial decision, order dis- (3) A ruling or order by the adminis- missing a complaint, order dismissing trative law judge in violation of a request for hearing, or order dis- § 13.205(b).

missing a request for hearing and an- (d) Procedure. A party must file a no- swer as a notice of appeal under § 13.233, tice of interlocutory appeal, with sup- and if the motion was filed within the porting documents, with the FAA time allowed for the filing of a notice Hearing Docket, and must serve a copy of appeal, the FAA decisionmaker will of the notice and supporting documents issue a briefing schedule.

on each party and the administrative law judge not later than 10 days after § 13.219 Interlocutory appeals.

the administrative law judge’s decision (a) General. Unless otherwise pro- forming the basis of an interlocutory vided in this subpart, a party may not appeal of right, or not later than 10 appeal a ruling or decision of the ad- days after the administrative law ministrative law judge to the FAA de- judge’s decision granting an interlocu- cisionmaker until the initial decision tory appeal for cause, as appropriate. A has been entered on the record. A deci- party must file a reply, if any, with the sion or order of the FAA decisionmaker FAA Hearing Docket, and serve a copy on the interlocutory appeal does not on each party and the administrative constitute a final order of the Adminis- law judge not later than 10 days after trator for the purposes of judicial ap- service of the appeal. The FAA deci- pellate review as provided in § 13.235. sionmaker must render a decision on (b) Interlocutory appeal for cause. If a the interlocutory appeal on the record and as a part of the decision in the pro- party orally requests or files a written ceedings, within a reasonable time request for an interlocutory appeal for after receipt of the interlocutory ap- cause, the proceedings are stayed until peal.

the administrative law judge issues a (e) Summary rejection. The FAA deci- decision on the request. Any written sionmaker may reject frivolous, repet- request for interlocutory appeal for itive, or dilatory appeals, and may cause must be filed in the FAA Hearing issue an order precluding one or more Docket and served on each party and parties from making further interlocu- on the administrative law judge. If the tory appeals in a proceeding in which administrative law judge grants the re- there have been frivolous, repetitive, or quest, the proceedings are stayed until dilatory interlocutory appeals.

the FAA decisionmaker issues a deci- sion on the interlocutory appeal. The § 13.220 Discovery.

administrative law judge must grant (a) Initiation of discovery. Any party the request if a party shows that delay may initiate discovery described in of the appeal would be detrimental to this section without the consent or ap- the public interest or would result in proval of the administrative law judge undue prejudice to any party.

at any time after a complaint has been (c) Interlocutory appeals of right. If a filed in the proceedings.

party notifies the administrative law (b) Methods of discovery. The fol- judge of an interlocutory appeal of lowing methods of discovery are per- right, the proceedings are stayed until mitted under this section: Depositions the FAA decisionmaker issues a deci- on oral examination or written ques- sion on the interlocutory appeal. A tions of any person; written interrog- party may file an interlocutory appeal atories directed to a party; requests for of right, without the consent of the ad- production of documents or tangible ministrative law judge, before an ini- items to any person; and requests for tial decision has been entered in the admission by a party. A party must not case of: file written interrogatories and re- (1) A ruling or order by the adminis- sponses, requests for production of doc- trative law judge barring a person from uments or tangible items and re- the proceedings; sponses, and requests for admission and Federal Aviation Administration, DOT § 13.220 response with the FAA Hearing Docket material, competitive or commercial or serve them on the administrative information, proprietary data, or infor- law judge. In the event of a discovery mation on research and development, dispute, a party must attach a copy of may file a motion for a confidential the relevant documents in support of a order in the FAA Hearing Docket in ac- motion made under this section.

cordance with § 13.210, and must serve a (c) Service on the agency. A party copy of the motion for a confidential must serve each discovery request di- order on each party and on the admin- rected to the agency or any agency em- istrative law judge in accordance with ployee on the agency attorney of § 13.211.

record.

(1) The party or person making the (d) Time for response to discovery re- motion must show that the confiden- quests. Unless otherwise directed by tial order is necessary to protect the this subpart or agreed by the parties, a information from disclosure to the pub- party must respond to a request for lic.

discovery, including filing objections (2) If the administrative law judge de- to a request for discovery, not later termines that the requested material is than 30 days after service of the re- not necessary to decide the case, the quest.

administrative law judge must pre- (e) Scope of discovery. Subject to the clude any inquiry into the matter by limits on discovery set forth in para- any party.

graph (f) of this section, a party may (3) If the administrative law judge de- discover any matter that is not privi- termines that the requested material leged and that is relevant to any par- may be disclosed during discovery, the ty’s claim or defense, including the ex- administrative law judge may order istence, description, nature, custody, that the material may be discovered condition, and location of any docu- and disclosed under limited conditions ment or other tangible item and the or may be used only under certain identity and location of any person terms and conditions.

having knowledge of discoverable mat- (4) If the administrative law judge de- ter. A party may discover facts known, termines that the requested material is or opinions held, by an expert who any necessary to decide the case and that a other party expects to call to testify at confidential order is warranted, the ad- the hearing. A party has no ground to ministrative law judge must provide: object to a discovery request on the (i) An opportunity for review of the basis that the information sought document by the parties off the record; would not be admissible at the hearing.

(ii) Procedures for excluding the in- (f) Limiting discovery. The administra- formation from the record; and tive law judge must limit the fre- (iii) Order that the parties must not quency and extent of discovery per- disclose the information in any manner mitted by this section if a party shows and the parties must not use the infor- that— mation in any other proceeding.

(1) The information requested is cu- (h) Protective orders. A party or a per- mulative or repetitious; son who has received a request for dis- (2) The information requested can be covery may file a motion for protective obtained from another less burdensome order in the FAA Hearing Docket and and more convenient source; must serve a copy of the motion for (3) The party requesting the informa- protective order on the administrative tion has had ample opportunity to ob- law judge and each other party. The tain the information through other dis- party or person making the motion covery methods permitted under this must show that the protective order is section; or necessary to protect the party or the (4) The method or scope of discovery person from annoyance, embarrass- requested by the party is unduly bur- ment, oppression, or undue burden or densome or expensive.

expense. As part of the protective (g) Confidential orders. A party or per- order, the administrative law judge son who has received a discovery re- may: quest for information that is related to a trade secret, confidential or sensitive (1) Deny the discovery request; 14 CFR Ch. I (1–1–25 Edition) § 13.220 (2) Order that discovery be conducted fore the deposition only with consent only on specified terms and conditions, of the administrative law judge. The including a designation of the time or party noticing a deposition must at- place for discovery or a determination tach a copy of any subpoena duces of the method of discovery; or tecum requesting that materials be pro- (3) Limit the scope of discovery or duced at the deposition to the notice of preclude any inquiry into certain mat- deposition.

ters during discovery.

(4) Use of depositions. A party may use (i) Duty to supplement or amend re- any part or all of a deposition at a sponses. A party who has responded to a hearing authorized under this subpart discovery request has a duty to supple- only upon a showing of good cause. The ment or amend the response, as soon as deposition may be used against any the information is known, as follows: party who was present or represented (1) A party must supplement or at the deposition or who had reason- amend any response to a question re- able notice of the deposition.

questing the identity and location of (k) Interrogatories. A party, the par- any person having knowledge of discov- ty’s attorney, or the party’s represent- erable matters.

ative may sign the party’s responses to (2) A party must supplement or interrogatories. A party must answer amend any response to a question re- each interrogatory separately and com- questing the identity of each person pletely in writing. If a party objects to who will be called to testify at the an interrogatory, the party must state hearing as an expert witness and the the objection and the reasons for the subject matter and substance of that objection. An opposing party may use witness’s testimony.

any part or all of a party’s responses to (3) A party must supplement or interrogatories at a hearing authorized amend any response that was incorrect when made or any response that was under this subpart to the extent that correct when made but is no longer the response is relevant, material, and correct, accurate, or complete. not repetitious.

(j) Depositions —(1) Form. A deposition (1) A party must not serve more than must be taken on the record and re- 30 interrogatories to each other party.

duced to writing. The person being de- Each subpart of an interrogatory must posed must sign the deposition unless be counted as a separate interrogatory.

the parties agree to waive the require- (2) A party must file a motion for ment of a signature.

leave to serve additional interrog- (2) Administration of oaths. Within the atories on a party with the administra- United States, or a territory or posses- tive law judge before serving additional sion subject to the jurisdiction of the interrogatories on a party. The admin- United States, a party must take a istrative law judge may grant the mo- deposition before a person authorized tion only if the party shows good to administer oaths by the laws of the cause.

United States or authorized by the law (l) Requests for admission. A party of the place where the examination is may serve a written request for admis- held. In foreign countries, a party must sion of the truth of any matter within take a deposition in any manner al- the scope of discovery under this sec- lowed by the Federal Rules of Civil tion or the authenticity of any docu- Procedure.

ment described in the request. A party (3) Notice of deposition. A party must must set forth each request for admis- serve a notice of deposition, stating the sion separately. A party must serve time and place of the deposition and copies of documents referenced in the the name and address of each person to request for admission unless the docu- be examined, on the person to be de- ments have been provided or are rea- posed, the administrative law judge, sonably available for inspection and and each party not later than 7 days copying.

before the deposition. The notice must be filed in the FAA Hearing Docket si- (1) Time. A party’s failure to respond multaneously. A party may serve a no- to a request for admission, in writing tice of deposition less than 7 days be- and signed by the attorney or the Federal Aviation Administration, DOT § 13.222 party, not later than 30 days after serv- judge may impose any of the following ice of the request, is deemed an admis- sanctions proportional to the party’s sion of the truth of the statement or failure to comply with the order: statements contained in the request for (1) Strike the relevant portion of a admission. The administrative law party’s pleadings; judge may determine that a failure to (2) Preclude prehearing or discovery respond to a request for admission is motions by that party; (3) Preclude admission of the rel- not deemed an admission of the truth if evant portion of a party’s evidence at a party shows that the failure was due the hearing; or to circumstances beyond the control of (4) Preclude the relevant portion of the party or the party’s attorney.

the testimony of that party’s witnesses (2) Response. A party may object to a at the hearing.

request for admission and must state the reasons for objection. A party may § 13.221 Notice of hearing.

specifically deny the truth of the mat- ter or describe the reasons why the (a) Notice. The administrative law party is unable to truthfully deny or judge must provide each party with no- admit the matter. If a party is unable tice of the date, time, and location of to deny or admit the truth of the mat- the hearing at least 60 days before the ter, the party must show that the hearing date.

party has made reasonable inquiry into (b) Date, time, and location of the hear- the matter or that the information ing. The administrative law judge to known to, or readily obtainable by, the whom the proceedings have been as- party is insufficient to enable the signed must set a reasonable date, party to admit or deny the matter. A time, and location for the hearing. The party may admit or deny any part of administrative law judge must consider the request for admission. If the ad- the need for discovery and any joint ministrative law judge determines that procedural or discovery schedule sub- a response does not comply with the re- mitted by the parties when deter- quirements of this paragraph (l)(2) or mining the hearing date. The adminis- that the response is insufficient, the trative law judge must give due regard matter is deemed admitted. to the convenience of the parties, the (3) Effect of admission. Any matter ad- location where the majority of the wit- mitted or deemed admitted under this nesses reside or work, and whether the section is conclusively established for location is served by a scheduled air the purpose of the hearing and appeal. carrier.

(c) Earlier hearing. With the consent (m) Motion to compel discovery. A of the administrative law judge, the party may make a motion to compel parties may agree to hold the hearing discovery if a person refuses to answer on an earlier date than the date speci- a question during a deposition, a party fied in the notice of hearing.

fails or refuses to answer an interrog- atory, if a person gives an evasive or § 13.222 Evidence.

incomplete answer during a deposition or when responding to an interrog- (a) General. A party is entitled to atory, or a party fails or refuses to present the party’s case or defense by produce documents or tangible items. oral, documentary, or demonstrative During a deposition, the proponent of a evidence, to submit rebuttal evidence, question may complete the deposition and to conduct any cross-examination or may adjourn the examination before that may be required for a full and true making a motion to compel if a person disclosure of the facts.

refuses to answer. Any motion to com- (b) Admissibility. A party may intro- pel must be filed with the FAA Hearing duce any oral, documentary, or demon- Docket and served on the administra- strative evidence in support of the par- tive law judge and other parties in ac- ty’s case or defense. The administra- cordance with §§ 13.210 and 13.211, re- tive law judge must admit any relevant spectively. oral, documentary, or demonstrative (n) Failure to comply with a discovery evidence introduced by a party, but order. If a party fails to comply with a must exclude irrelevant, immaterial, discovery order, the administrative law or unduly repetitious evidence.

14 CFR Ch. I (1–1–25 Edition) § 13.223 (c) Hearsay evidence. Hearsay evi- based on the motion and any response dence is admissible in proceedings gov- to the motion, the administrative law erned by this subpart. The fact that judge determines that: Disclosure evidence submitted by a party is hear- would be detrimental to aviation safe- say goes only to the weight of the evi- ty; disclosure would not be in the pub- dence and does not affect its admissi- lic interest; or the information is not bility. otherwise required to be made avail- able to the public.

§ 13.223 Standard of proof.

§ 13.227 Expert or opinion witnesses.

The administrative law judge must issue an initial decision or must rule in An employee of the agency may not a party’s favor only if the decision or be called as an expert or opinion wit- ruling is supported by, and in accord- ness for any party other than the FAA ance with, the reliable, probative, and in any proceeding governed by this sub- substantial evidence contained in the part. An employee of a respondent may record. In order to prevail, the party not be called by an agency attorney as with the burden of proof must prove an expert or opinion witness for the the party’s case or defense by a prepon- FAA in any proceeding governed by derance of reliable, probative, and sub- this subpart to which the respondent is stantial evidence. a party.

§ 13.224 Burden of proof. § 13.228 Subpoenas.

(a) Except in the case of an affirma- (a) Request for subpoena. The adminis- tive defense, the burden of proof is on trative law judge, upon application by the agency.

any party to the proceeding, may issue (b) Except as otherwise provided by subpoenas requiring the attendance of statute or rule, the proponent of a mo- witnesses or the production of docu- tion, request, or order has the burden ments or tangible things at a hearing of proof.

or for the purpose of taking deposi- (c) A party who has asserted an af- tions, as permitted by law. A request firmative defense has the burden of for a subpoena must show its general proving the affirmative defense.

relevance and reasonable scope. The party must serve the subpoena on the § 13.225 Offer of proof.

witness or the holder of the documents A party whose evidence has been ex- or tangible items as permitted by ap- cluded by a ruling of the administra- plicable statute. A request for a sub- tive law judge may offer the evidence poena must be filed and served in ac- for the record on appeal. cordance with §§ 13.210 and 13.211, re- spectively. Absent good cause shown, § 13.226 Public disclosure of informa- the filing and service must be com- tion.

pleted as follows: (a) The administrative law judge may (1) Not later than 15 days before a order that any information contained scheduled deposition under the sub- in the record be withheld from public poena; or disclosure. Any party or interested per- (2) Not later than 30 days before a son may object to disclosure of infor- scheduled hearing where attendance at mation in the record by filing and serv- the hearing is sought.

ing a written motion to withhold spe- (b) Motion to quash or modify the sub- cific information in accordance with poena. A party, or any person upon §§ 13.210 and 13.211 respectively. A party whom a subpoena has been served, may may file a motion seeking to protect file in the FAA Hearing Docket a mo- from public disclosure information tion to quash or modify the subpoena contained in a document that the party and must serve a copy on the adminis- is filing at the same time it files the trative law judge and each party at or document. The person or party must before the time specified in the sub- state the specific grounds for non- poena for compliance. The movant disclosure in the motion. must describe, in detail, the basis for (b) The administrative law judge the motion to quash or modify the sub- must grant the motion to withhold if, poena including, but not limited to, a Federal Aviation Administration, DOT § 13.232 statement that the testimony, docu- § 13.231 Argument before the adminis- ment, or tangible evidence is not rel- trative law judge.

evant to the proceeding, that the sub- (a) Arguments during the hearing. Dur- poena is not reasonably tailored to the ing the hearing, the administrative law scope of the proceeding, or that the judge must give the parties a reason- subpoena is unreasonable and oppres- able opportunity to present arguments sive. A motion to quash or modify the on the record supporting or opposing subpoena will stay the effect of the motions, objections, and rulings if the subpoena pending a decision by the ad- parties request an opportunity for ar- ministrative law judge on the motion.

gument. The administrative law judge (c) Enforcement of subpoena. Upon a may request written arguments during showing that a person has failed or re- the hearing if the administrative law fused to comply with a subpoena, a judge finds that submission of written party may apply to the appropriate arguments would be reasonable.

(b) Final oral argument. At the conclu- U.S. district court to seek judicial en- sion of the hearing and before the ad- forcement of the subpoena.

ministrative law judge issues an initial § 13.229 Witness fees. decision in the proceedings, the admin- istrative law judge must allow the par- (a) General. The party who applies for ties to submit oral proposed findings of a subpoena to compel the attendance of fact and conclusions of law, exceptions a witness at a deposition or hearing, or to rulings of the administrative law the party at whose request a witness judge, and supporting arguments for appears at a deposition or hearing, the findings, conclusions, or excep- must pay the witness fees described in tions. At the conclusion of the hearing, this section.

a party may waive final oral argument.

(b) Amount. Except for an employee (c) Post-hearing briefs. The adminis- of the agency who appears at the direc- trative law judge may request written tion of the agency, a witness who ap- post-hearing briefs before the adminis- pears at a deposition or hearing is enti- trative law judge issues an initial deci- tled to the same fees and allowances sion in the proceedings if the adminis- provided for under 28 U.S.C. 1821.

trative law judge finds that submission of written arguments would be reason- § 13.230 Record.

able. If a party files a written post- (a) Exclusive record. The pleadings, hearing brief, the party must include transcripts of the hearing and pre- proposed findings of fact and conclu- hearing conferences, exhibits admitted sions of law, exceptions to rulings of into evidence, rulings, motions, appli- the administrative law judge, and sup- cations, requests, briefs, and responses porting arguments for the findings, thereto, constitute the exclusive record conclusions, or exceptions. The admin- for decision of the proceedings and the istrative law judge must give the par- basis for the issuance of any orders in ties a reasonable opportunity, but not the proceeding. Any proceedings re- more than 30 days after receipt of the garding the disqualification of an ad- transcript, to prepare and submit the ministrative law judge must be in- briefs. A party must file and serve any cluded in the record. Though only ex- post-hearing brief in in accordance hibits admitted into evidence are part with §§ 13.210 and 13.211, respectively.

of the record before an administrative § 13.232 Initial decision.

law judge, evidence proffered but not admitted is also part of the record on (a) Contents. The administrative law appeal, as provided by § 13.225.

judge must issue an initial decision at (b) Examination and copying of record. the conclusion of the hearing. In each The parties may examine the record at oral or written decision, the adminis- the FAA Hearing Docket and may ob- trative law judge must include findings tain copies of the record upon payment of fact and conclusions of law, as well of applicable fees. Any other person as the grounds supporting those find- may obtain copies of the releasable ings and conclusions, for all material portions of the record in accordance issues of fact, the credibility of wit- with applicable law. nesses, the applicable law, any exercise 14 CFR Ch. I (1–1–25 Edition) § 13.233 of the administrative law judge’s dis- tial decision, and any decision not pre- cretion, and the amount of any civil viously appealed to the FAA decision- penalty found appropriate by the ad- maker on interlocutory appeal pursu- ministrative law judge. The adminis- ant to § 13.219, by filing a notice of ap- trative law judge must also include a peal in accordance with § 13.210 no later discussion of the basis for any order than 10 days after entry of the oral ini- issued in the proceedings. The adminis- tial decision on the record or service of trative law judge is not required to the written initial decision on the par- provide a written explanation for rul- ties. The party must serve a copy of ings on objections, procedural motions, the notice of appeal on each party in and other matters not directly relevant accordance with § 13.211. A party is not to the substance of the initial decision.

required to serve any documents under If the administrative law judge refers § 13.233 on the administrative law to any previous unreported or unpub- judge.

lished initial decision, the administra- (b) Issues on appeal. In any appeal tive law judge must make copies of from a decision of an administrative that initial decision available to all law judge, the FAA decisionmaker con- parties and the FAA decisionmaker.

siders only the following issues: (b) Oral decision. Except as provided (1) Whether each finding of fact is in paragraph (c) of this section, at the supported by a preponderance of reli- conclusion of the hearing, the adminis- able, probative, and substantial evi- trative law judge’s oral initial decision dence; and order must be on the record.

(2) Whether each conclusion of law is (c) Written decision. The administra- made in accordance with applicable tive law judge may issue a written ini- law, precedent, and public policy; and tial decision not later than 30 days (3) Whether the administrative law after the conclusion of the hearing or judge committed any prejudicial er- submission of the last post-hearing rors.

brief if the administrative law judge (c) Perfecting an appeal. Except as fol- finds that issuing a written initial de- lows in paragraphs (c)(1) and (2) of this cision is reasonable. The administra- section, a party must perfect an appeal tive law judge must serve a copy of any to the FAA decisionmaker no later written initial decision on each party.

than 50 days after entry of the oral ini- (d) Reconsideration of an initial deci- tial decision on the record or service of sion. The FAA decisionmaker may the written initial decision on the par- treat a motion for reconsideration of ties by filing an appeal brief in accord- an initial decision as a notice of appeal ance with § 13.210 and serving a copy on under § 13.233, and if the motion was every other party in accordance with filed within the time allowed for the § 13.211.

filing of a notice of appeal, the FAA de- cisionmaker will issue a briefing sched- (1) Extension of time by agreement of ule, as provided in § 13.218. the parties. The parties may agree to (e) Order assessing civil penalty. Unless extend the time for perfecting the ap- appealed pursuant to § 13.233, the initial peal with the consent of the FAA deci- decision issued by the administrative sionmaker. If the FAA decisionmaker law judge is considered an order assess- grants an extension of time to perfect ing civil penalty if the administrative the appeal, the FAA decisionmaker law judge finds that an alleged viola- must serve a letter confirming the ex- tion occurred and determines that a tension of time on each party.

civil penalty, in an amount found ap- (2) Written motion for extension. If the propriate by the administrative law parties do not agree to an extension of judge, is warranted. The administra- time for perfecting an appeal, a party tive law judge may not assess a civil desiring an extension of time may file penalty exceeding the amount sought a written motion for an extension in in the complaint.

accordance with § 13.210 and must serve a copy of the motion on each party § 13.233 Appeal from initial decision.

under § 13.211. Any party may file a (a) Notice of appeal. A party may ap- written response to the motion for ex- peal the administrative law judge’s ini- tension no later than 10 days after Federal Aviation Administration, DOT § 13.233 service of the motion. The FAA deci- and serve a written response to the mo- sionmaker may grant an extension if tion no later than 10 days after service good cause for the extension is shown of the motion The FAA decisionmaker in the motion. may grant an extension if good cause (d) Appeal briefs. A party must file for the extension is shown in the mo- the appeal brief in accordance with tion.

§ 13.210 and must serve a copy of the ap- (f) Other briefs. The FAA decision- peal brief on each party in accordance maker may allow any person to submit with § 13.211. an amicus curiae brief in an appeal of an (1) A party must set forth, in detail, initial decision. A party may not file the party’s specific objections to the more than one brief unless permitted initial decision or rulings in the appeal by the FAA decisionmaker. A party brief. A party also must set forth, in may petition the FAA decisionmaker, detail, the basis for the appeal, the rea- in writing, for leave to file an addi- sons supporting the appeal, and the re- tional brief and must serve a copy of lief requested in the appeal. If the the petition on each party. The party party relies on evidence contained in may not file the additional brief with the record for the appeal, the party the petition. The FAA decisionmaker must specifically refer to the pertinent may grant leave to file an additional evidence contained in the transcript in brief if the party demonstrates good the appeal brief. cause for allowing additional argument (2) The FAA decisionmaker may dis- on the appeal. The FAA decisionmaker miss an appeal, on the FAA decision- will allow a reasonable time for the maker’s own initiative or upon motion party to file the additional brief.

of any other party, where a party has (g) Number of copies. A party must file filed a notice of appeal but fails to per- the original plus one copy of the appeal fect the appeal by timely filing an ap- brief or reply brief, but only one copy peal brief with the FAA decisionmaker. if filing by email or fax, as provided in (e) Reply brief. Except as follows in § 13.210.

paragraphs (e)(1) and (2) of this section, (h) Oral argument. The FAA decision- any party may file a reply brief in ac- maker may permit oral argument on cordance with § 13.210 not later than 35 the appeal. On the FAA decision- days after the appeal brief has been maker’s own initiative, or upon writ- served on that party. The party filing ten motion by any party, the FAA de- the reply brief must serve a copy of the cisionmaker may find that oral argu- reply brief on each party in accordance ment will contribute substantially to with § 13.211. If the party relies on evi- the development of the issues on appeal dence contained in the record for the and may grant the parties an oppor- reply, the party must specifically refer tunity for oral argument.

to the pertinent evidence contained in (i) Waiver of objections on appeal. If a the transcript in the reply brief. party fails to object to any alleged (1) Extension of time by agreement of error regarding the proceedings in an the parties. The parties may agree to appeal or a reply brief, the party extend the time for filing a reply brief waives any objection to the alleged with the consent of the FAA decision- error. The FAA decisionmaker is not maker. If the FAA decisionmaker required to consider any objection in grants an extension of time to file the an appeal brief, or any argument in the reply brief, the FAA decisionmaker reply brief, if a party’s objection or ar- must serve a letter confirming the ex- gument is based on evidence contained tension of time on each party. on the record and the party does not (2) Written motion for extension. If the specifically refer to the pertinent evi- parties do not agree to an extension of dence from the record in the brief.

time for filing a reply brief, a party de- (j) FAA decisionmaker’s decision on ap- siring an extension of time may file a peal. The FAA decisionmaker will re- written motion for an extension in ac- view the record, the briefs on appeal, cordance with § 13.210 and must serve a and the oral argument, if any, when copy of the motion on each party in ac- considering the issues on appeal. The cordance with § 13.211. Any party choos- FAA decisionmaker may affirm, mod- ing to respond to the motion must file ify, or reverse the initial decision, 14 CFR Ch. I (1–1–25 Edition) § 13.234 make any necessary findings, or re- or modify a final decision and order mand the case for any proceedings that issued by the FAA decisionmaker on the FAA decisionmaker determines appeal from an initial decision. A party may be necessary. The FAA decision- must file a petition to reconsider or maker may assess a civil penalty but modify in accordance with § 13.210 not must not assess a civil penalty in an later than 30 days after service of the amount greater than that sought in the FAA decisionmaker’s final decision complaint.

and order on appeal and must serve a (1) The FAA decisionmaker may raise copy of the petition on each party in any issue, on the FAA decisionmaker’s accordance with § 13.211. A party is not own initiative, that is required for required to serve any documents under proper disposition of the proceedings.

this section on the administrative law The FAA decisionmaker will give the judge. The FAA decisionmaker will not parties a reasonable opportunity to reconsider or modify an initial decision submit arguments on the new issues and order issued by an administrative before making a decision on appeal. If law judge that has not been appealed an issue raised by the FAA decision- by any party to the FAA decision- maker requires the consideration of ad- maker.

ditional testimony or evidence, the (b) Number of copies. The parties must FAA decisionmaker will remand the file the original plus one copy of the case to the administrative law judge petition or the reply to the petition, for further proceedings and an initial but only one copy if filing by email or decision related to that issue. If an fax, as provided in § 13.210.

issue raised by the FAA decisionmaker (c) Contents. A party must state brief- is solely an issue of law, or the issue ly and specifically the alleged errors in was addressed at the hearing but was the final decision and order on appeal, not raised by a party in the briefs on the relief sought by the party, and the appeal, a remand of the case to the ad- grounds that support the petition to re- ministrative law judge for further pro- consider or modify.

ceedings is not required but may be (1) If the petition is based, in whole provided in the discretion of the FAA or in part, on allegations regarding the decisionmaker.

consequences of the FAA decision- (2) The FAA decisionmaker will issue maker’s decision, the party must de- the final decision and order of the Ad- scribe these allegations and must de- ministrator on appeal in writing and scribe, and support, the basis for the will serve a copy of the decision and allegations.

order on each party. Unless a petition (2) If the petition is based, in whole for review is filed pursuant to § 13.235, a or in part, on new material not pre- final decision and order of the Admin- viously raised in the proceedings, the istrator will be considered an order as- party must set forth the new material sessing civil penalty if the FAA deci- and include affidavits of prospective sionmaker finds that an alleged viola- witnesses and authenticated docu- tion occurred and a civil penalty is ments that would be introduced in sup- warranted.

port of the new material. The party (3) A final decision and order of the must explain, in detail, why the new Administrator after appeal is precedent material was not discovered through in any other civil penalty action. Any due diligence prior to the hearing.

issue, finding or conclusion, order, rul- (d) Repetitious and frivolous petitions.

ing, or initial decision of an adminis- The FAA decisionmaker will not con- trative law judge that has not been ap- sider repetitious or frivolous petitions.

pealed to the FAA decisionmaker is The FAA decisionmaker may sum- not precedent in any other civil pen- marily dismiss repetitious or frivolous alty action.

petitions to reconsider or modify.

§ 13.234 Petition to reconsider or mod- (e) Reply petitions. Any party replying ify a final decision and order of the to a petition to reconsider or modify FAA decisionmaker on appeal.

must file the reply in accordance with (a) General. Any party may petition § 13.210 no later than 10 days after serv- the FAA decisionmaker to reconsider ice of the petition on that party, and Federal Aviation Administration, DOT § 13.301 must also serve a copy of the reply on service of the Administrator’s final de- each party in accordance with § 13.211. cision and order.

(f) Effect of filing petition. The filing § 13.236 Alternative dispute resolution.

of a timely petition under this section will stay the effective date of the FAA Parties may use mediation to achieve decisionmaker’s decision and order on resolution of issues in controversy ad- appeal until final disposition of the pe- dressed by this subpart. Parties seek- tition by the FAA decisionmaker.

ing alternative dispute resolution serv- (g) FAA decisionmaker’s decision on pe- ices may engage the services of a mu- tition. The FAA decisionmaker has dis- tually acceptable mediator. The medi- cretion to grant or deny a petition to ator must not participate in the adju- reconsider. The FAA decisionmaker dication under this subpart of any mat- will grant or deny a petition to recon- ter in which the mediator has provided sider within a reasonable time after re- mediation services. Mediation discus- ceipt of the petition or receipt of the sions and submissions will remain con- reply petition, if any. The FAA deci- fidential consistent with the provisions sionmaker may affirm, modify, or re- of the Administrative Dispute Resolu- verse the final decision and order on tion Act and other applicable Federal appeal, or may remand the case for any laws.

proceedings that the FAA decision- maker determines may be necessary.

Subpart H—Civil Monetary Penalty Inflation Adjustment § 13.235 Judicial review of a final deci- sion and order.

S OURCE : Docket No. 28762, 61 FR 67445, Dec.

(a) In cases under the Federal avia- 20, 1996, unless otherwise noted.

tion statute, a party may seek judicial review of a final decision and order of § 13.301 Inflation adjustments of civil the Administrator, as provided in 49 monetary penalties.

U.S.C. 46110(a), and, as applicable, in 49 (a) This subpart provides the max- U.S.C. 46301(d)(7)(D)(iii), 46301(g), or imum civil monetary penalties or 47532.

(b) In cases under the Federal haz- range of minimum and maximum civil ardous materials transportation stat- monetary penalties for each statutory ute, a party may seek judicial review civil penalty subject to FAA jurisdic- of a final decision and order of the Ad- tion, as adjusted for inflation.

ministrator, as provided in 49 U.S.C. (b) Each adjustment to a maximum 5127. civil monetary penalty or to minimum (c) A party seeking judicial review of and maximum civil monetary penalties a final order issued by the Adminis- that establish a civil monetary penalty trator may file a petition for review in range applies to actions initiated under the United States Court of Appeals for this part for violations occurring on or the District of Columbia Circuit or in after December 30, 2024, notwith- the United States Court of Appeals for standing references to specific civil the circuit in which the party resides penalty amounts elsewhere in this or has its principal place of business. part.

(d) The party must file the petition (c) Minimum and maximum civil for review no later than 60 days after monetary penalties are as follows: 14 CFR Ch. I (1–1–25 Edition) § 13.301 or penalty amount for after December 30, U.S.C. 46301(a)(1) and (a)(5). U.S.C. 46301(a)(1).

violations occurring on New adjusted maximum See entries for 49 See entries for 49 $102,348. $238,809. $102,348. $1,212, 278. $1,212,278. $31,207. $75,000.

IOLATIONS V ERTAIN C 2024 amount maximum penalty U.S.C. 46301(a)(1) and (a)(5). U.S.C. 46301(a)(1).

$99,756 ......................... $232,762 ....................... $99,756 ......................... $1,181,581 .................... $1,181,581 .................... See entries for 49 See entries for 49 $30,417 ......................... $41,577 .........................

MOUNTS FOR N/A N/A N/A N/A N/A N/A N/A N/A A $617 penalty or after amount minimum ENALTY for violations occurring on P New adjusted December 30, N/A N/A N/A N/A N/A N/A N/A N/A $601 ONETARY penalty amount M minimum IVIL C AXIMUM M INIMUM AND Civil monetary penalty description § 13.301(c)—M law. law resulting in death, serious illness, severe injury, or substantial property destruction. law relating to training. for issuance of an initial airworthiness certifi- cate by a production certificate holder. type certificate to submit safety critical infor- mation or include certain such information in an airplane flight manual or flight crew oper- ating manual. pilot (ATP) certificate holder with respect to the submission of certain safety critical infor- mation. ganization designation authorization (ODA) holder that manufactures a transport category airplane with an ODA unit member’s perform- ance of authorized functions. aircraft system equipped or armed with a dan- gerous weapon. small business concern under 49 U.S.C. 46301(a)(1)(A) or (B).

TO Violation of hazardous materials transportation Violation of hazardous materials transportation Violation of hazardous materials transportation Knowing presentation of a nonconforming aircraft Knowing failure by an applicant for or holder of a Knowing false statement by an airline transport Interference by a supervisory employee of an or- Operation of an unmanned aircraft or unmanned Violation by a person other than an individual or ABLE T citation United States Code 49 U.S.C. 5123(a)(1) ...... 49 U.S.C. 5123(a)(2) ...... 49 U.S.C. 5123(a)(3) ...... 49 U.S.C. 44704(d)(3) .... 49 U.S.C. 44704(e)(4) .... 49 U.S.C. 44704(e)(5) .... 49 U.S.C. 44742 ............. 49 U.S.C. 44802 note ..... 49 U.S.C. 46301(a)(1) ....

Federal Aviation Administration, DOT § 13.301 No change.

$1,875. $1,875. $17,062. $17,062. $17,062. $17,062. $17,062. $5,000. $32,646. $5,478. $29,748.

wise applicable max- imum amount not to exceed 3 times the amount of revenues used in violation of such section.

$1,828 ........................... $1,828 ........................... Increase above other- $16,630 ......................... $16,630 ......................... $16,630 ......................... $16,630 ......................... $16,630 ......................... N/A ................................ $31,819 ......................... $5,339 ........................... $28,995 .........................

N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered by 46301(a)(5)(A) or (B)). cern under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered in 49 U.S.C. 46301(a)(5)). ance made under such section) or 49 U.S.C. 47133. cern (except an airman serving as an airman) under 49 U.S.C. 46301(a)(5)(A)(i) or (ii). cern related to the transportation of hazardous materials. cern related to the registration or recordation under 49 U.S.C. chapter 441, of an aircraft not used to provide air transportation. cern of 49 U.S.C. 44718(d), relating to limita- tion on construction or establishment of land- fills. cern of 49 U.S.C. 44725, relating to the safe disposal of life-limited aircraft parts. any grant assurances made under that section. at an aircraft in the airspace jurisdiction of the United States, or at the flight path of such an aircraft. leged violation involving the special aircraft ju- risdiction of the United States.

Violation by an airman serving as an airman Violation by an individual or small business con- Violation of 49 U.S.C. 47107(b) (or any assur- Violation by an individual or small business con- Violation by an individual or small business con- Violation by an individual or small business con- Violation by an individual or small business con- Violation by an individual or small business con- Violation of 49 U.S.C. 41707(a)(22), including Individual who aims the beam of a laser pointer Tampering with a smoke alarm device ................ Knowingly providing false information about al- 46301(a)(5)(B)(i). 46301(a)(5)(B)(ii). 46301(a)(5)(B)(iii). 46301(a)(5)(B)(iv).

49 U.S.C. 46301(a)(1) .... 49 U.S.C. 46301(a)(1) .... 49 U.S.C. 46301(a)(3) .... 49 U.S.C. 46301(a)(5)(A) 49 U.S.C. 49 U.S.C. 49 U.S.C. 49 U.S.C. 49 U.S.C. 46301(a)(8) .... 49 U.S.C. 46301 note ..... 49 U.S.C. 46301(b) ......... 49 U.S.C. 46302 .............

14 CFR Ch. I (1–1–25 Edition) § 13.301 or penalty amount for after December 30, U.S.C. 46301(a)(1) and (a)(5).

violations occurring on New adjusted maximum See entries for 49 $44,792. $17,062. $26,116.

—Continued IOLATIONS V amount ERTAIN maximum penalty C U.S.C. 46301(a)(1) and (a)(5).

$43,658 ......................... $16,630 ......................... $25,455 ......................... See entries for 49 N/A N/A N/A N/A MOUNTS FOR A penalty or after amount minimum for violations occurring on New adjusted December 30, ENALTY P N/A N/A N/A N/A penalty amount minimum ONETARY M IVIL C AXIMUM M INIMUM AND Civil monetary penalty description or sexually assault crewmember or other indi- vidual on an aircraft, or action that poses an imminent threat to the safety of the aircraft or individuals on board. viding sufficient notice. knowingly or recklessly interfering with a wild- fire suppression, law enforcement, or emer- gency response effort. relating to the prohibition of operating certain aircraft not complying with stage 3 noise levels.

Physical or sexual assault or threat to physically Permanent closure of an airport without pro- Operating an unmanned aircraft and in so doing Violation of 49 U.S.C. 47528–47530 or 47534, § 13.301(c)—M TO ABLE T citation United States Code 49 U.S.C. 46318 ............. 49 U.S.C. 46319 ............. 49 U.S.C. 46320 ............. 49 U.S.C. 47531 .............

Federal Aviation Administration, DOT Pt. 14 [84 FR 37068, July 31, 2019, as amended at 86 dertaken pursuant to paragraph (c)(2) FR 1753, Jan. 11, 2021; 86 FR 23249, May 3, of this section.

2021; 87 FR 15863, Mar. 21, 2022; 88 FR 1122, (d) Submission of aggregate data. The Jan. 6, 2023; 88 FR 6971, Feb. 2, 2023; 88 FR operator will provide the FAA with ag- 89557, Dec. 28, 2023; 89 FR 106291, Dec. 30, 2024] gregate FOQA data in a form and man- ner acceptable to the Administrator.

Subpart I—Flight Operational (e) Enforcement. Except for criminal Quality Assurance Programs or deliberate acts, the Administrator will not use an operator’s FOQA data § 13.401 Flight Operational Quality As- or aggregate FOQA data in an enforce- surance Program: Prohibition ment action against that operator or against use of data for enforcement its employees when such FOQA data or purposes.

aggregate FOQA data is obtained from (a) Applicability. This section applies a FOQA program that is approved by to any operator of an aircraft who op- the Administrator.

erates such aircraft under an approved (f) Disclosure. FOQA data and aggre- Flight Operational Quality Assurance gate FOQA data, if submitted in ac- (FOQA) program.

cordance with an order designating the (b) Definitions. For the purpose of this information as protected under part 193 section, the terms— of this chapter, will be afforded the (1) Flight Operational Quality Assur- nondisclosure protections of part 193 of ance (FOQA) program means an FAA- this chapter.

approved program for the routine col- (g) Withdrawal of program approval.

lection and analysis of digital flight The Administrator may withdraw ap- data gathered during aircraft oper- proval of a previously approved FOQA ations, including data currently col- program for failure to comply with the lected pursuant to existing regulatory requirements of this chapter. Grounds provisions, when such data is included for withdrawal of approval may in- in an approved FOQA program.

clude, but are not limited to— (2) FOQA data means any digital (1) Failure to implement corrective flight data that has been collected action that analysis of available FOQA from an individual aircraft pursuant to data indicates is necessary in the inter- an FAA-approved FOQA program, re- est of safety; or gardless of the electronic format of (2) Failure to correct a continuing that data.

pattern of violations following notice (3) Aggregate FOQA data means the by the agency; or also summary statistical indices that are (3) Willful misconduct or willful vio- associated with FOQA event cat- lation of the FAA regulations in this egories, based on an analysis of FOQA chapter.

data from multiple aircraft operations.

(c) Requirements. In order for para- [Doc. No. FAA–2000–7554, 66 FR 55048, Oct. 31, graph (e) of this section to apply, the 2001; Amdt. 13–30, 67 FR 31401, May 9, 2002] operator must submit, maintain, and adhere to a FOQA Implementation and PART 14—RULES IMPLEMENTING Operation Plan that is approved by the THE EQUAL ACCESS TO JUSTICE Administrator and which contains the ACT OF 1980 following elements: (1) A description of the operator’s Subpart A—General Provisions plan for collecting and analyzing flight recorded data from line operations on a Sec.

routine basis, including identification 14.01 Purpose of these rules.

of the data to be collected; 14.02 Proceedings covered.

(2) Procedures for taking corrective 14.03 Eligibility of applicants.

14.04 Standards for awards.

action that analysis of the data indi- 14.05 Allowance fees and expenses.

cates is necessary in the interest of safety; Subpart B—Information Required From (3) Procedures for providing the FAA Applicants with aggregate FOQA data; (4) Procedures for informing the FAA 14.10 Contents of application.

as to any corrective action being un- 14.11 Net worth exhibit.