Document
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.
14 CFR Ch. I (1–1–25 Edition) § 14.01 14.12 Documentation of fees and expenses.
tive Process under part 17 of this chap- ter and the AMS.
Subpart C—Procedures for Considering (b) If a proceeding includes both mat- Applications ters covered by the Act and matters specifically excluded from coverage, 14.20 When an application may be filed.
any award made will include only fees 14.21 Filing and service of documents.
and expenses related to covered issues.
14.22 Answer to application.
(c) Fees and other expenses may not 14.23 Reply.
14.24 Comments by other parties. be awarded to a party for any portion 14.25 Settlement. of the adversary adjudication in which 14.26 Further proceedings.
such party has unreasonably pro- 14.27 Decision.
tracted the proceedings.
14.28 Review by FAA decisionmaker.
[54 FR 46199, Nov. 1, 1989, as amended by 14.29 Judicial review.
Amdt. 14–03, 64 FR 32935, June 18, 1999] 14.30 Payment of award.
UTHORITY : 5 U.S.C. 504; 49 U.S.C. 106(f), A § 14.03 Eligibility of applicants.
40113, 46104 and 47122.
(a) To be eligible for an award of at- S OURCE : Docket No. 25958, 54 FR 46199, Nov.
torney fees and other expenses under 1, 1989, unless otherwise noted.
the Act, the applicant must be a party to the adversary adjudication for which Subpart A—General Provisions it seeks an award. The term ‘‘party’’ is defined in 5 U.S.C. 504(b)(1)(B) and 5 § 14.01 Purpose of these rules.
U.S.C. 551(3). The applicant must show that it meets all conditions or eligi- The Equal Access to Justice Act, 5 bility set out in this subpart.
U.S.C. 504 (the Act), provides for the award of attorney fees and other ex- (b) The types of eligible applicants penses to eligible individuals and enti- are as follows: ties who are parties to certain adminis- (1) An individual with a net worth of trative proceedings (adversary adju- not more than $2 million at the time dications) before the Federal Aviation the adversary adjudication was initi- Administration (FAA). An eligible ated; party may receive an award when it (2) The sole owner of an unincor- prevails over the FAA, unless the agen- porated business who has a net worth cy’s position in the proceeding was sub- of not more than $7 million, including stantially justified or special cir- both personal and business interests, cumstances make an award unjust. The and not more than 500 employees at the rules in this part describe the parties time the adversary adjudication was eligible for awards and the proceedings initiated; that are covered. They also explain (3) A charitable or other tax-exempt how to apply for awards, and the proce- organization described in section dures and standards that the FAA De- 501(c)(3) of the Internal Revenue Code cisionmaker will use to make them. As (26 U.S.C. 501(c)(3)) with not more than used hereinafter, the term ‘‘agency’’ 500 employees at the time the adver- applies to the FAA.
sary adjudication was initiated; and (4) A cooperative association as de- § 14.02 Proceedings covered.
fined in section 15(a) of the Agricul- tural Marketing Act (12 U.S.C. 1141j(a)) (a) The Act applies to certain adver- with not more than 500 employees at sary adjudications conducted by the the time the adversary adjudication FAA under 49 CFR part 17 and the Ac- was initiated; and quisition Management System (AMS).
These are adjudications under 5 U.S.C. (5) Any other partnership, corpora- 554, in which the position of the FAA is tion, association, or public or private represented by an attorney or other organization with a net worth of not representative who enters an appear- more than $7 million and not more ance and participates in the pro- than 500 employees at the time the ad- ceeding. This subpart applies to pro- versary adjudication was initiated.
ceedings under 49 U.S.C. 46301, 46302, (c) For the purpose of eligibility, the and 46303 and to the Default Adjudica- net worth and number of employees of Federal Aviation Administration, DOT § 14.05 an applicant shall be determined as of was substantially justified shall be de- the date the proceeding was initiated. termined on the basis of the record (in- (d) An applicant who owns an unin- cluding the record with respect to the corporated business will be considered action or failure to act by the agency an ‘‘individual’’ rather than a ‘‘sole upon which the civil action is based) owner of an unincorporated business’’ which was made in the civil action for if the issues on which the applicant which fees and other expenses are prevails are related primarily to per- sought. The burden of proof that an sonal interests rather than to business award should not be made to an eligi- interest.
ble prevailing applicant is on the agen- (e) The employees of an applicant in- cy counsel, who may avoid an award by clude all persons who regularly per- showing that the agency’s position was form services for remuneration for the reasonable in law and fact.
applicant, under the applicant’s direc- (b) An award will be reduced or de- tion and control. Part-time employees nied if the applicant has unduly or un- shall be included on a proportional reasonably protracted the proceeding basis.
or if special circumstances make the (f) The net worth and number of em- award sought unjust.
ployees of the applicant and all of its affiliates shall be aggregated to deter- § 14.05 Allowance fees and expenses.
mine eligibility. Any individual, cor- (a) Awards will be based on rates cus- poration, or other entity that directly tomarily charged by persons engaged or indirectly controls or owns a major- in the business of acting as attorneys, ity of the voting shares or other inter- agents, and expert witnesses, even if est of the applicant, or any corporation the services were made available with- or other entity of which the applicant out charge or at a reduced rate to the directly or indirectly owns or controls applicant.
a majority of the voting shares or (b) No award for the fee of an attor- other interest, will be considered an af- ney or agent under this part may ex- filiate for purposes of this part, unless ceed $125 per hour, or such rate as pre- the ALJ or adjudicative officer deter- scribed by 5 U.S.C. 504. No award to mines that such treatment would be compensate an expert witness may ex- unjust and contrary to the purposes of ceed the highest rate at which the the Act in light of the actual relation- agency pays expert witnesses. However, ship between the affiliated entities. In an award may also include the reason- addition, the ALJ or adjudicative offi- able expenses of the attorney, agent, or cer may determine that financial rela- witness as a separate item, if the attor- tionships of the applicant, other than ney, agent, or witness ordinarily those described in this paragraph, con- charges clients separately for such ex- stitute special circumstances that penses.
would make an award unjust.
(c) In determining the reasonableness (g) An applicant that participates in of the fee sought for an attorney, a proceeding primarily on behalf of one agent, or expert witness, the ALJ or or more other persons or entities that adjudicative officer shall consider the would be ineligible if not itself eligible following: for an award.
(1) If the attorney, agent, or witness [54 FR 46199, Nov. 1, 1989, as amended by is in private practice, his or her cus- Amdt. 14–03, 64 FR 32935, June 18, 1999] tomary fee for similar services, or if an employee of the applicant, the fully al- § 14.04 Standards for awards.
located cost of the services; (a) A prevailing applicant may re- (2) The prevailing rate for similar ceive an award for attorney fees and services in the community in which the other expenses incurred in connection attorney, agent, or witness ordinarily with a proceeding, or in a significant performs services; and discrete substantive portion of the (3) The time actually spent in the proceeding, unless the position of the representation of the applicant; agency over which the applicant has (4) The time reasonably spent in light prevailed was substantially justified. of the difficulty or complexity of the Whether or not the position of the FAA issues in the proceeding; and 14 CFR Ch. I (1–1–25 Edition) § 14.10 (5) Such other factors as may bear on (2) It states that it is a cooperative the value of the services provided. association as defined in section 15(a) (d) The reasonable cost of any study, of the Agricultural Marketing Act (12 analysis, engineering report, test, U.S.C. 1141j(a)).
project, or similar matter prepared on (c) The application shall state the behalf of a party may be awarded, to amount of fees and expenses for which the extent that the charge for the serv- an award is sought.
ice does not exceed the prevailing rate (d) The application may also include for similar services, and the study or any other matters that the applicant other matter was necessary for prepa- wishes this agency to consider in deter- ration of the applicant’s case. mining whether and in what amount an award should be made.
(e) Fees may be awarded only for (e) The application shall be signed by work performed after the issuance of a the applicant or an authorized officer complaint, or in the Default Adjudica- or attorney for the applicant. It shall tive Process for a protest or contract also contain or be accompanied by a dispute under part 17 of this chapter written verification under oath or and the AMS.
under penalty of perjury that the infor- [Amdt. 13–18, 53 FR 34655, Sept. 7, 1988, as mation provided in the application is amended by Amdt. 14–1, 55 FR 15131, Apr. 20, true and correct.
1990; Amdt. 14–03, 64 FR 32935, June 18, 1999] (f) If the applicant is a partnership, corporation, association, organization, Subpart B—Information Required or sole owner of an unincorporated From Applicants business, the application shall state that the applicant did not have more § 14.10 Contents of application.
than 500 employees at the time the ad- (a) An application for an award of versary adjudication was initiated, giv- fees and expenses under the Act shall ing the number of its employees and identify the applicant and the pro- describing briefly the type and purpose ceeding for which an award is sought. of its organization or business.
The application shall show that the ap- § 14.11 Net worth exhibit.
plicant has prevailed and identify the position of the agency in the pro- (a) Each applicant except a qualified ceeding that the applicant alleges was tax-exempt organization or cooperative not substantially justified. Unless the association must provide with its ap- applicant is an individual, the applica- plication a detailed exhibit showing tion shall also state the number of em- the net worth of the applicant and any ployees of the applicant and describe affiliates when the proceeding was ini- briefly the type and purpose of its or- tiated. If any individual, corporation, ganization or business.
or other entity directly or indirectly (b) The application shall also include controls or owns a majority of the vot- a statement that the applicant’s net ing shares or other interest of the ap- worth does not exceed $2 million (if an plicant, or if the applicant directly or individual) or $7 million (for all other indirectly owns or controls a majority applicants, including their affiliates) of the voting shares or other interest of at the time the adversary adjudication any corporation or other entity, the was initiated. However, an applicant exhibit must include a showing of the may omit this statement if: net worth of all such affiliates or of the (1) It attaches a copy of a ruling by applicant including the affiliates. The the Internal Revenue Service that it exhibit may be in any form convenient qualifies as an organization described to the applicant that provides full dis- in section 501(c)(3) of the Internal Rev- closure of the applicant’s and its affili- enue Code (26 U.S.C. 501(c)(3)), or in the ates’ assets and liabilities and is suffi- case of a tax-exempt organization not cient to determine whether the appli- required to obtain a ruling from the In- cant qualifies under the standards in ternal Revenue Service on its exempt this part. The administrative law judge status, a statement that describes the may require an applicant to file addi- basis for the applicant’s belief that it tional information to determine the qualifies under such section; or eligibility for an award.
Federal Aviation Administration, DOT § 14.21 (b) The net worth exhibit shall de- each individual, a description of the scribe any transfers of assets from, or specific services performed, the rate at obligations incurred by, the applicant which each fee has been computed, any or any affiliate, occurring in the one- expenses for which reimbursement is year period prior to the date on which sought, the total amount claimed, and the proceeding was initiated, that re- the total amount paid or payable by duced the net worth of the applicant the applicant or by any other person or and its affiliates below the applicable entity for the services provided. The net worth ceiling. If there were no such administrative law judge may require transactions, the applicant shall so the applicant to provide vouchers, re- state. ceipts, or other substantiation for any (c) Ordinarily, the net worth exhibit expenses claimed.
will be included in the public record of the proceeding. However, an applicant Subpart C—Procedures for that objects to public disclosure of the Considering Applications net worth exhibit, or any part of it, may submit that portion of the exhibit § 14.20 When an application may be directly to the ALJ or adjudicative of- filed.
ficer in a sealed envelope labeled (a) An application may be filed when- ‘‘Confidential Financial Information,’’ ever the applicant has prevailed in the accompanied by a motion to withhold proceeding, but in no case later than 30 the information.
days after the FAA Decisionmaker’s (1) The motion shall describe the in- final disposition of the proceeding, or formation sought to be withheld and service of the order of the Adminis- explain, in detail, why it should be ex- trator in a proceeding under the AMS.
empt under applicable law or regula- (b) If review or reconsideration is tion, why public disclosure would ad- sought or taken of a decision to which versely affect the applicant, and why an applicant believes it has prevailed, disclosure is not required in the public proceedings for the award of fees shall interest.
be stayed pending final disposition of (2) The net worth exhibit shall be the underlying controversy.
served on the FAA counsel, but need (c) For purposes of this part, final not be served on any other party to the disposition means the later of: proceeding.
(1) Under part 17 of this chapter and (3) If the ALJ or adjudicative officer the AMS, the date on which the order finds that the net worth exhibit, or any of the Administrator is served; part of it, should not be withheld from (2) The date on which an unappealed disclosure, it shall be placed in the initial decision becomes administra- public record of the proceeding. Other- tively final; wise, any request to inspect or copy (3) Issuance of an order disposing of the exhibit shall be disposed of in ac- any petitions for reconsideration of the cordance with the FAA’s established FAA Decisionmaker’s final order in the procedures. proceeding; (4) If no petition for reconsideration [54 FR 46199, Nov. 1, 1989, as amended by is filed, the last date on which such a Amdt. 14–03, 64 FR 32935, June 18, 1999] petition could have been filed; or § 14.12 Documentation of fees and ex- (5) Issuance of a final order or any penses.
other final resolution of a proceeding, such as a settlement or voluntary dis- The application shall be accompanied missal, which is not subject to a peti- by full documentation of the fees and tion for reconsideration.
expenses, including the cost of any study, analysis, engineering report, [54 FR 46199, Nov. 1, 1989, as amended by test, project or similar matter, for Amdt. 14–03, 64 FR 32936, June 18, 1999] which an award is sought. A separate § 14.21 Filing and service of docu- itemized statement shall be submitted ments.
for each professional firm or individual whose services are covered by the ap- Any application for an award or plication, showing the hours spent in other pleading or document related to connection with the proceedings by an application shall be filed and served 14 CFR Ch. I (1–1–25 Edition) § 14.22 on all parties to the proceeding in the § 14.24 Comments by other parties.
same manner as other pleadings in the Any party to a proceeding other than proceeding, except as provided in the applicant and the FAA’s counsel § 14.11(b) for confidential financial in- may file comments on an application formation. Where the proceeding was within 30 days after it is served, or on held under part 17 of this chapter and an answer within 15 days after it is the AMS, the application shall be filed served. A commenting party may not with the FAA’s attorney and with the participate further in proceedings on Office of Dispute Resolution for Acqui- the application unless the ALJ or adju- sition.
dicative officer determines that the [Doc. No. FAA–1998–4379, 64 FR 32936, June 18, public interest requires such participa- 1999] tion in order to permit full exploration of matters raised in the comments.
§ 14.22 Answer to application.
(a) Within 30 days after service of an [Doc. No. FAA–1998–4379, 64 FR 32936, June 18, application, counsel representing the 1999] agency against which an award is § 14.25 Settlement.
sought may file an answer to the appli- cation. Unless agency counsel requests The applicant and agency counsel an extension of time for filing or files may agree on a proposed settlement of a statement of intent to negotiate the award before final action on the ap- under paragraph (b) of the section, fail- plication, either in connection with a ure to file an answer within the 30-day settlement of the underlying pro- period may be treated as a consent to ceeding, or after the underlying pro- the award requested.
ceeding has been concluded. If a pre- (b) If the FAA’s counsel and the ap- vailing party and agency counsel agree plicant believe that the issues in the on a proposed settlement of an award fee application can be settled, they before an application has been filed, may jointly file a statement of their the application shall be filed with the intent to negotiate a settlement. The proposed settlement.
filing of this statement shall extend the time for filing an answer for an ad- § 14.26 Further proceedings.
ditional 30 days, and further extensions may be granted by the ALJ or adju- (a) Ordinarily the determination of dicative officer upon request by the an award will be made on the basis of FAA’s counsel and the applicant.
the written record; however, on request (c) The answer shall explain in detail of either the applicant or agency coun- any objections to the award requested sel, or on his or her own initiative, the and identify the facts relied on in sup- ALJ or adjudicative officer assigned to port of agency counsel’s position. If the the matter may order further pro- answer is based on any alleged facts ceedings, such as an informal con- not already in the record of the pro- ference, oral argument, additional ceeding, agency counsel shall include written submissions, or an evidentiary with the answer either supporting affi- hearing. Such further proceedings shall davits or a request for further pro- be held only when necessary for full ceedings under § 14.26.
and fair resolution of the issues arising [54 FR 46199, Nov. 1, 1989, as amended by from the application and shall be con- Amdt. 14–03, 64 FR 32936, June 18, 1999] ducted as promptly as possible.
(b) A request that the administrative § 14.23 Reply.
law judge order further proceedings Within 15 days after service of an an- under this section shall specifically swer, the applicant may file a reply. If identify the information sought or the the reply is based on any alleged facts disputed issues and shall explain why not already in the record of the pro- the additional proceedings are nec- ceeding, the applicant shall include essary to resolve the issues.
with the reply either supporting affida- vits or a request for further pro- [54 FR 46199, Nov. 1, 1989, as amended by ceedings under § 14.26. Amdt. 14–03, 64 FR 32936, June 18, 1999] Federal Aviation Administration, DOT § 14.30 after the completion of all submissions § 14.27 Decision.
related to the EAJA application. Upon (a) The ALJ shall issue an initial de- the Administrator’s action, the order cision on the application within 60 days shall become final, and may be re- after completion of proceedings on the viewed under 49 U.S.C. 46110.
application.
(b) An adjudicative officer in a pro- [Doc. No. FAA–1998–4379, 64 FR 32936, June 18, ceeding under part 17 of this chapter 1999, as amended at 70 FR 8238, Feb. 18, 2005] and the AMS shall prepare a findings and recommendations for the Office of § 14.29 Judicial review.
Dispute Resolution for Acquisition.
If an applicant is dissatisfied with (c) A decision under paragraph (a) or the determination of fees and other ex- (b) of this section shall include written penses made under this subsection, findings and conclusions on the appli- pursuant 5 U.S.C. 504(c)(2), that appli- cant’s eligibility and status as pre- cant may, within thirty (30) days after vailing party and an explanation of the the determination is made, appeal the reasons for any difference between the determination to the court of the amount requested and the amount United States having jurisdiction to re- awarded. The decision shall also in- view the merits of the underlying deci- clude, if at issue, findings on whether sion of the FAA adversary adjudica- the FAA’s position was substantially tion. The court’s determination on any justified, or whether special cir- appeal heard under this paragraph cumstances make an award unjust.
shall be based solely on the factual [Doc. No. FAA–1998–4379, 64 FR 32936, June 18, record made before the FAA. The court 1999] may modify the determination of fees and other expenses only if the court § 14.28 Review by FAA decisionmaker.
finds that the failure to make an award (a) In proceedings other than those of fees and other expenses, or the cal- under part 17 of this chapter and the culation of the amount of the award, AMS, either the applicant or the FAA was unsupported by substantial evi- counsel may seek review of the initial dence.
decision on the fee application in ac- cordance with subpart G of part 13 of § 14.30 Payment of award.
this chapter, specifically § 13.233. Addi- tionally, the FAA Decisionmaker may An applicant seeking payment of an decide to review the decision on his/her award shall submit to the disbursing own initiative. If neither the applicant official of the FAA a copy of the FAA nor the FAA’s counsel seeks review Decisionmaker’s final decision grant- within 30 days after the decision is ing the award, accompanied by a state- issued, it shall become final. Whether ment that the applicant will not seek to review a decision is a matter within review of the decision in the United the discretion of the FAA Decision- States courts. Applications for award maker. If review is taken, the FAA De- grants in cases involving the FAA shall cisionmaker will issue a final decision be sent to: The Office of Accounting on the application or remand the appli- and Audit, AAA–1, Federal Aviation cation to the ALJ who issue the initial Administration, 800 Independence Ave- fee award determination for further nue, SW., Washington, DC 20591. The proceedings.
agency will pay the amount awarded to (b) In proceedings under part 17 of the applicant within 60 days, unless ju- this chapter and the AMS, the adju- dicial review of the award or of the un- dicative officer shall prepare findings derlying decision of the adversary ad- and recommendations for the Office of judication has been sought by the ap- Dispute Resolution for Acquisition plicant or any other party to the pro- with recommendations as to whether or not an award should be made, the ceeding.
amount of the award, and the reasons therefor. The Office of Dispute Resolu- tion for Acquisition shall submit a rec- ommended order to the Administrator