RECEIVED 

U.S. DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS FEB 2 4 2014 

WASHINGTON, HEARING DOCKET D.C. 

In the Matter of Mary E. Bochiardy 

2011EA170066 

FDMS No. FAA-2013-0853 

Administrative Law Judge J.E. Sullivan 

AGENCY'S MOTION TO STRIKE RESPONDENT'S RESPONSE TO AGENCY'S MOTION 

TO DISMISS LATE-FILED APPEAL 

COMES NOW the Agency, the Federal Aviation Administration, by and through its designated and 

authorized representative, the Regional Counsel for the Eastern Region, and his designated and 

authorized representatives, to move to strike the Respondent's response to the Agency's Motion to 

Dismiss Late-Filed Appeal. The basis for this motion is as follows: 

1. On January 17, 2014, the Agency filed a copy of the Respondent's Request for a Hearing, a 

Notice of Appearance, a Complaint and a Motion to Dismiss Late-Filed Appeal. 

2. On January 17, 2014, the above-referenced documents were served upon Respondent via 

Federal Express. 

3. On January 20, 2014, the above-referenced documents were delivered to Respondent. See 

Exhibit A. 

4. Pursuant to 14 C.F.R. §l3.218(d), Respondent had 10 days to file a response to the Agency's 

Motion to Dismiss Late-Filed Appeal. Respondent's response was due on January 30, 2014. 

5. Respondent did not mail her response to the motion until February 11,2014. 1 

6. On February 14,2014, the Agency received Respondent's response. 

1 Respondent indicates that she did not begin to prepare her response until February 3, 2014. 

1 
7. Respondent's response is twelve (12) days late. 

8. In her response, Respondent offers no explanation as to why her response is filed late. 

9. Respondent was directed to the rules that govern civil penalty actions on multiple occasions. 

Specifically: 

a. On February 12, 2013, Respondent was provided with a copy of the Rules of Practice 

in FAA Civil Penalty Actions contained in Subpart G of 14 C.F.R. § 13 with the 

Notice of Proposed Civil Penalty. See Exhibit B. 

b. On October 29, 2013, Respondent was directed to 14 C.F.R. § 13.16 to inform her 

about how to request an appeal. See Exhibit C. 

c. 14 C.F.R. §13.16(h), instructs that hearings are "to be conducted in accordance with 

the procedures in subpart G of [part 13]" of the Federal Aviation Regulations. 

d. On January 10, 2014, Respondent sent a subsequent request for hearing form, 

indicating that she wanted a hearing in accordance with Subpart G of Part 132

• See 

Exhibit D. 

e. The Agency's Complaint and Motion to Dismiss Late Filed Appeal contained 

numerous references to 14 C.F.R. Part 13. Respondent received these documents on 

January 20,2014. 

I. Respondent's Response to the Agency's Motion to Dismiss is Untimely and 

Respondent Has Not Proffered Any Good Cause For Its Untimeliness. 

"Although pro se pleadings are held to less stringent standards than those drafted by an 

attorney, a party's pro se status does not exempt him from compliance with procedural or 

substantive law." In the Matter of Fritz Haiss, F AA-2003-15767 (2006). Respondent was 

provided with notice that civil penalty proceedings were to be governed by Subpart G of 14 

C.F.R. Part 13. Moreover, she was provided with a copy of that Subpart on February 12, 2013. 

Thereafter, she was directed to various parts of those regulations at different times, most 

recently, on January 20, 2014 when she received the Agency's Complaint and Motion to 

Dismiss. Notwithstanding, Respondent did not comply with the time requirements set forth in 14 

2 On January 8, 2014, Respondent sent a letter via facsimile to the FAA Hearing Docket requesting a hearing. 

2 
C.F.R. §13.218(d). She filed her response to the Agency's Motion to Dismiss twelve (12) days 

late. In doing so, she did not offer any justification or explanation for the delayed response. 

"Absent good cause, time periods under the Ru1es of Practice are to be strictly 

construed." In the Matter of Evans Air Corporation, FAA-2001-9000 (2001). "[G]ood cause has 

not been found to exist and civil penalties have been assessed where a respondent neglected to 

explain an untimely filing." I d. As Respondent has been provided with and directed to the rules 

governing civil penalty proceedings and has not demonstrated good cause, her response should 

not be considered. See generally, In the Matter of Ace Pilot Training, FAA-2002-11975 (2005). 

See also In the Matter of Aviation Resources, Inc., FAA-2002-11515 (2002). As a result of the 

above, the Agency's motion to strike should be granted. 

B. Should the Agency's Motion to Strike Not Be Granted, its Motion to Dismiss Should 

Be Granted Because Respondent Has Not Provided Good Cause For Filing Her 

Appeal Late. 

In her response, Respondent does not refute that during the underlying proceedings she 

was represented by counsel experienced in aviation proceedings. As previously discussed, 

"Where a respondent is represented by counsel, all communications must be sent to counsel; and 

receipt by counsel, not the respondent triggers the deadline for submitting a hearing request." In 

the Matter of Alpine Aviation, FAA-2005-22218 (2005). By serving the Final Notice upon her 

attorney on October 29, 2013, Respondent's appeal was required to be filed by November 20, 

2013. Respondent did not direct her attorney to file an appeal until November 22, 2013 - two 

days after the expiration of her appeal deadline. Ultimately, no appeal was filed by Respondent 

until January 8, 2014 - sixty-four (64) days late. Under such circumstances, Respondent's 

appeal must be dismissed. In the Matter ofCanuck Industries, Inc., FAA-2000-7726 (2000). 

Moreover, Respondent states that as of December 17, 2013, she was still being 

represented by her attorney. The Order Assessing Civil Penalty was filed on December 12, 

20 13. It was received by both parties on December 17, 2013. Despite this, neither Respondent 

nor her attorney filed an appeal. It is unclear from Respondent's response when she and her 

attorney severed their professional relationship, however, her attorney clearly stated that at some 

point, he wa~ provided with instructions from Respondent that she was "going to pursue the 

appeal on [her] own or using [sic] a local attorney who may be more cost effective and [that he] 

3 
confirmed that he would not be doing anything further on the matter." See Agency's Motion to 

Dismiss Exhibit E page 5. 

In conclusion, Respondent's attempts to rely upon a "condensed work load", personal 

obligations, and alleged miscommunications with her attorney are not sufficient to justify the 

significant delay in filing her appeal, nor does it establish good cause under these circumstances. 

The Department has long held that "[p ]rocedural rules must be enforced in a non-arbitrary 

manner to ensure the integrity of the civil penalty process, even where this results in severe 

consequences." In re Jimmy Lee Harkins, CP93AL214 (1994). See also In the Matter of 

Panalpina, Inc., CP06S00029 (2006). 

WHEREFORE, for all of the above reasons and for the reasons previously set forth in the 

Agency's Jaimary 17, 2014 motion to dismiss, the Agency respectfully requests that the 

Agency's motion to dismiss late-filed appeal be granted. 

Respectfully submitted, 

Alfred R. Johnson, Jr. 

Regional Counsel 

By: Cfk:uu; NbrW;ML f0c Dwjb,\:' -Rx· Judith L\:::,Vaughan \_J 

Attorney 

4 
CERTIFICATE OF SERVICE 

I hereby certify that on this d/ 5.!:. day of February, 2014, copies of the foregoing 

Agency's Motion to Strike has been seiVed upon the following via Federal Express: 

m 211o14 Dated: _____ _ 

Hearing Docket 

Attention Hearing Docket Clerk 

Federal Aviation Administration 

600 Independence Avenue, SW 

Washington DC 20591 

Wilbur Wright Building-Suite 2W1000 

Washington, DC 20591 

Hon. J.E. Sullivan 

Office of Hearings, M-20 

U.S. Department of Transportation 

1200 New Jersey Avenue, S.E. (Ell-310) 

Washington, DC 20590 

Ms. Mary E. Bochiardy 

1450 Sunset Point Blvd. 

Clearwater, Florida 33755 

j1Sal00ks ~st~~ Paralegal Specialist 

Federal Aviation Administration 

Office of Regional Counsel 

1 Aviation Plaza 

Jamaica, NY 11434 

5 
February 20,2014 

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U.S. Department 

of Transportation 

Federal Aviation 

Administration 

Eastern Region 

Regional Counsel 

Telephone: 718 553-3255 

Facsimile: 718 995-5699 

CERTIFIED MAIL- RETURN RECEIPT REQUESTED 

Ms. Mary E. Bochiardy 

1450 Sunset Point Blvd. 

Clearwater, Florida 33755 

Docket No. 2011EA170066 

1 Aviation Plaza 

Jamaica, NY 11434 

NOTICE OF PROPOSED CIVIL PENALTY 

EXHIBIT 

,·"~ 

.!) 

',=,;~" 

TAKE NOTICE, that this office has received a11 investigative report from whlch it appears 

that you violated the Federal A via lion Regulation(s) by reason of the following: 

1. On or about June 22, 2011, you were a passenger aboard U.S. Airways 

Flight No. 738 (hereinafter "the aircraft") from Tampa, Florida to 

Philadelphia, Pennsylvania (hereinafter "the flight"). 

2. In preparation for flight, all passengers onboard the aircraft were ad1 ~c:d by 

flight crewmembers to tum off all elechical devices. 

3. Notwithstanding the above, during the flight, you operated a portable 

electronic device. 

4. Specifically, you operated a cellphone whlle a flight crewmember was 

providing passengers with a mandatory safety briefing. 

5. Further, during the above-described flight, you interfered with a 

crewmember in the performance of the crewmember's duties aboard the 

aircraft being operated. 

6. Specifically, the flight crewmember that was providing the mandatory 

safety briefmg, was required to stop her briefing to instruct you to tum off 

the cellphone. 

7. In addition, the flight crewmember was required to stop her briefing and 

provide notification of your conduct to another crewmember. 
8. When the flight crewmember returned to complete the mandatory safety 

briefmg, you were once again operating a cell phone. 

9. The flight crewmember repeated her instruction to you to tum off the 

cellphone. 

10. You responded that you "wrote the rules, and I know what interferes and 

what does not interfere" or words to that effect. 

11. After the mandatory safety briefmg was completed, you were instructed by 

a flight crewmember to refrain from operating the cellphone during the 

flight. 

12. Despite this instruction you operated the cellphone during the flight on 

approximately four ( 4) additional occasions. 

13. Specifically, you sent approximately four (4) text messages during the 

flight. 

By reason of the foregoing, you violated the following section(s) of the Federal Aviation 

Regulations: 

a. Section 121.580, which states that no person may assault, threaten, intimidate, or 

interfere with a crewmember in the performance of the crewmember's duties 

aboard an aircraft being operated under this part. 

b. Section 121.306(a), which states that except as provided in paragraph (b) of this 

section, no person may operate, nor may any operator or pilot in com_rnand of an 

aircraft allow the operation of, any portable electronic device on any U.S.-

registered civil aircraft operating under this part. 

In accordance with 49 U.S.C. §4630l(a)(5), you are liable for a civil penalty not to exceed 

$11,000 for each violation of the regulation(s). Additionally, in accordance with 49 U.S.C. 

46318, you are liable for a civil penalty of not more than $27,500 for each violation of the 

statute. After reviewing our investigative file, we propose to assess a civil penalty in the 

amount of $7,700.00 for these violations. 

2 
Enclosed is information on your options in responding to this Notice. The options include 

participating in an informal conference with an FAA attorney and submitting information 

to the FAA for consideration. You must submit, in writing, your choice of the 

alternatives explained on the enclosed information form on or before thirty (30) days after 

you receive this Notice. If you fail to submit your choice within that time, you will have 

no further right to participate in the informal procedures. 

Alfred R. Johnson, Jr. 

Regional Counsel 

By: 

Judith 1. Vaughan 

Attorney 

Enclosures 

Information Sheet 

Reply Form 

Subpart G of 14 C.F.R. 

Informal Conference Location List 

3 
INFORMATION KEGARDING CIVIL PENAL TIES UNDER TITLE 49 U.S.L. SECTION 4630I 

Under 49 U.S.C § 46301, any person who violates pet1inent provisions of 49 U.S.C. §§ 40101, ~~.,or any rule, regulation, or order issued thereunder, is subject to a 

civil penalty for each violation. The maximum assessment for each violation is also prescribed by law, as specified in the notice to which this is attached. The notice also 

states the amount of the proposed civil penalty for the alleged violation(s). 

This proceeding is governed by the Federal Aviation Regulations (FAR) set forth in 14 C.F.R. § 13.16 and 14 C.F.R. Pmt 13, Subpart G. Copies of these regulations are 

enclosed. WITHIN THIRTY (30) DAYS AFTER YOU RECEIVE THE KOTICE TO WHICH THIS INFORMATION SHEET IS ATTACHED, you may elect to pmceed 

in one or more of the following ways by marking the appropriate box( es) on the attached election sheet and returning it by mail or personal-delivery to the address provided 

below. An explanation of each option is set forth below. 

1. You may submit the amount of the civil penalty specified in the notice by certified check or money order payable to the "Federal Aviation Administration" to the Office 

of Accounting FAA/MMAC- AttentionAlvlZ-310-EA, Post Office Box 25770, Oklahoma City, OK 73125. 

2. In the alternative, you may pay your civil penalty \Yith a credit card over the Internet. To pay electronically\ visit the web site at http://YI'ww.pav.1!0V and 

enter the term 'FEA'' in the search bar labeled "Search Public Forms" located on the left hand side of the screen. After following the link, click on "FAA Civil 

Penalties-FAA Eastern Region." You must then enter the above-listed "Docket Number" under the "Civil Penalties Case Number" and you must then complete 

the remainder of the requested information. Once you have submitted the requested information you will be taken to a page which allows you to either pay by 

electronic transfer, or by credit card. Fill in the requested information in one of these two sections\ and submit to complete your payment. 

SUBMITTING THE AMOUNT OF CIVIL PENALTY IN ACCORDANCE WITH PARAGRAPHS l AND 2 CONSTITUES YOUR AGREEMENT THAT AN ORDER 

ASSESSING CIVIL PENALTY IN THAT AMOUNT MAY BE ISSUED WITHOUT FURTHER NOTICE. SUBMmiNG THE AMOUNT OF CIVIL PENALTY ALSO 

CONSTITUTES YOUR AGREEMENT THAT YOU WAIVE YOUR RIGHT TO A HEARL'iG IN THIS MATTER. 

3. You may submit, in Vlriting, infonnation and evidence demonstrating that a violation of the regulations was not committed or that, if it were, the facts and 

circumstances do not wan-ant the proposed civil penalty. Information provided will be considered in detennining whether a civil penalty should be assessed or imposed and 

the amount of any such civil penalty. This infonnation may be submitted in conjunction with a request for an informal conference under paragraph 6. Choosing this option 

will not affect your right to a hearing, unless you also elect paragraph 5. 

4. You may submit, in writing, infonnation and records indicating that you are financially unable to pay the proposed civil penalty, or showing that payment of the 

proposed penalty would prevent you from continuing in business. Choosing this option will not affect your tight to a hearing, unless you also elect paragraph 5. 

5. You may request that a civil penalty be assessed in a specific amount other than that proposed in the notice. if you choose this option, you should explain why a 

reduction in the civil penalty is appropriate, and provide any supporting documentation. The information you provide will be considered in determining \vhether the 

amount you specified should be assessed. If the FAA accepts your offer, your request constitutes your agreement that an order assessing civil penalty in that amount may 

be issued without further notice. YOUR REQUEST ALSO CONSTITUTES YOUR AGREEMENT THAT YOU WAIVE YOUR RJGHT TO A HEARING. IF THE F A.P,._ 

DOES NOT ACCEPT YOUR OFFER, HOWEVER, YOUR RIGHT TO A HEARING WILL NOT BE AFFECTED. 

6. You may request an opportunity to discuss the matter with an FAA attorney by a telephonic infonnal conference, or at an in-person infonnal conference at one of the 

following locations: an FAA regional office; the FAA Aeronautical Center in Oklahoma City; or FAA Headquarters in Washington, DC. A list of the addresses of these 

offices (hereafter referred to as "the Infonnal Conference Location list" or "the list") is attached to the endosed reply form. 

A request for an in-person infotmal conference at any of the offices on the Informal Conference Location list will be granted, regardless of whether the office you choose is 

the office that issued the notice to which this information sheet is attached. 

If you choose an office on the Infonnal Conference Location list other than the office that issued the notice, the case ordinarily will be transferred to the office you request 

for full disposition and handling in accordance with the FAA's existing transfer policy, which is set forth in paragraph 208(e) of FAA Order No. 2150-38 provided that (1) 

a transfer is in the public interest, and (2) the transfer is to an office more convenient to your domicile or principal place of business. 

VVhen conditions (1) and (2) are not present, the case will be transfeiTed to the office you request for purposes of the infonnal conference only. Moreover, the office 

receiving the case only for purposes of the informal conference will consult and coordinate with the office that issued the notice before settling or otherwise disposing of the 

case after the infonnal conference. 

You also may request an in-person infonnal conference at an FAA office other than those on the Infonnal Conference Location list If you do so, you should indicate on the 

response form your reason for requesting that particular location. NOTE: Requests for in-person informals at locations not on the list will be granted only in very limited 

circumstances. You should not, therefore, expect to have an in-person informal conference at a location other than those on the list. The FAA attorney assigned to your 

case has discretion to grant a request for an in-person infonnal conferences at a location other than those on the list only when (1) because of unusual circumstances, the 

public interest is better served by holding an in-person informal conference at such location, or (2) an in-person informal conference can be scheduled to coincide with 

other previously scheduled business at the location requested. In addition, the FAA attorney must be able to schedule the conference within approximately 90 days of the 

date you request an informal conference. Because of these restrictions, you are requested to indicate both the FAA office you prefer and one of the offices 'from the 

Infonnal Conference Location list. 

To elect a telephone infonnal conference, choose option 6.a. on the reply fonn. To elect an in-person infonnal conference at one of the locations on the Infonnal 

Conference Location list, choose option 6.b. To elect an in-person informal conference at a location other than those on the list, choose option 6.c. 

If you request an infonnal conference with an FAA attorney, do not also request at this time a fmmal hearing under 14 C.F.R. § 13.16, i.e., option 8. Your request for an 

infonnal conference will not affect your right to request a fonnal hearing later. 

![iVliP'ORTANT: The informal conference is intended to provide you with an oppmtunity to present your reasons why the FAA should not proceed with the action as 

proposed. It also is intended to provide you with an opportunity to present any supporting documentation or infonnation you wish the FAA to consider before the agency 

decides whether to proceed with the proposed action. Any additional infmmation you submit will be given our careful consideration. Since the attached letter may become 

a part of the publicly available records, you may wish to submit a letter which would be included in these records. 

7. You may request that the FAA impose a civil penalty without making findings of violations, and submit the reasons and any additional infonnation in writing (with 

appropriate supporting documentation) to support your request. If the FAA accepts your offer, your request will constitute your agreement that a Compromise Order in that 

amount may be issued. YOUR REQUEST WILL ALSO CONSTITUTE YOUR AGREEMENT THAT YOU WAIVE YOUR RIGHT TO A HEARING. IF THE FAA 

DOES ClOT ACCEPT YOLK OFFER, HOWEVER, YOUR RIGHT TO A HEARING WILL NOT BE AFFECTED. 
8. You may request a hearing in accordance with seLuon 13.16 of the FAR. Your request must be dated and sigu~d. If you request a hearing, a Complaint will be filed 

and an administrative law judge will be appointed to decide the case. At the hearing, held under Subpmt G of 14 C.ER. Part 13, the agency will present witnesses and 

other evidence. You also will have the opportunity to present witnesses and other evidence. The FAA will have the burden of proof. At the conclusion of the heming, all 

issues of fact and law will be decided and a decision will be rendered whether, and in what amount, a civil penalty will be assessed. If either party, the agency or you, is 

dissatisfied with the judge's decision, that pmty can appeal the judge's decision to the FAA decisionmaker. If you are dissatisfied with the FAA decisionmaker's decision, 

you may seek review of the FAA decisionmaker's decision in the United States CoUJts of Appeals. 

Your request for a hearing must be made to the Hearing Docket, Federal Aviation Administration, 800 Independence Avenue, SW., Room 924A, Washington, DC, 20591, 

Attention: Hearing Docket Clerk. You must mail a copy to the FAA attorney handling this case at the address indicated below. 

9. If you are an individual and have filed an FAA Aviation Safety Report with the National Aeronautics and Space Administration (NASA) concerning the incident or 

occurrence set forth in the attached Notice of Proposed Civil Penalty, you may be entitled to a waiver of any penalty. THIS PROGRAM DOES NOT APPLY TO 

VIOLATIONS OF FEDERAL RULES GOVERNING CIVIL AVIATION SECURITY, SUCH AS CARRYING WEAPONS ON AN AJRCRAFT. You may p•·esent 

evidence of entitlement to a waiver of penalty under the ASRP in connection with options 3, 4, 5, 6, 7 or 8, above, or you may present it separately, under this option (i.e., 

option 9). YOUR CLAJM OF ENTITLEMENT TO A WAIVER OF PENALTY UNDER THIS OPTION CONSTITUTES YOUR AGREEMENT THAT AN ORDER 

ASSESSING CIVIL PENALTY MAY BE ISSUED WITHOUT FURTHER INFORMAL PROCEEDINGS. In the event that you prove you are entitled to a waiver of 

penalty, an order assessing civil penalty will be issued finding you in violation but waiving imposition of any civil penalty. Following issuance of the order, you will have 

the right to appeal the order to the FAA decisionmaker under the provisions of 49 U.S.C. §§ 4630l(d)(2) and (d)(7). You will be entitled to waiver only if all of the 

following are found: 

a. That this violation was inadvertent and not deliberate; 

b. That this violation did not involve a criminal offense, or an accident, or disclose a lack of competency or qualification to be the holder of a certificate; 

c. You have not paid a civil penalty pursuant to 49 U.S.C. §§ 46301, 5<! .§.m. (formerly Section 901 of the Federal Aviation Act), or been found in any prior 

FAA enforcement action to have committed a violation of49 U.S.C. §§ 40101, .§~,for a period of5 years before the date ofthe occunence; and 

d. You prove that within 10 days after the violation, you completed and delivered or mailed a written report of the incident or occurrence to NASA under the 

Aviation Safely Reporting Program. 

All correspondence in this matter should be forwarded to the Office of the Regional Counsel Federal Aviation Administration 1 Aviation Plaza Jamaica, NY 11434 

Your response to the Notice of Proposed Civil Penalty may be delivered personally to the Office ofthe Regional Counsel for the Eastern Region at the above address 

during normal business hours. 

Telephone: 718 553-3255 (Collect calls cannot be accented.) 

PRIVACY ACT NOTICE 

This notice is provided in accordance '"·ith §(e)(3) of the Privacy Act, 5 U.S.C. §552a(e)(3), and concerns the information requested in the letter or form with 

which this Notice is enclosed. 

A. Authoritv. This infonnation is solicited pursuant to B. Princi:Qal :twmose. The C. RQutine uses. Records from this D. Effect of failure to resnond: 

49 u.s.c. §§ 40101, 5<! §..m,., and regulations issued requested information is system of records may be disclosed in If you do not provide the 

thereunder, codified in Part 13 of Title 14 of the Code of intended to assist us in accordance with the routine uses set requested infonnation, there may 

Federal Regulations. Submitting the telephone number is contacting you regarding this forth in System of Records No. be delay in contacting you 

voluntary. The request for information is intended to enforcement case. DOT/FAA 847, as published from regarding this enforcement case. 

provide you with an opportunity to participate in the time to time in the fedeml Register. 

investigation. 

2 
Office of the Regional Counsel 

Federal Aviation Administration 

1 Aviation Plaza 

Jamaica, 'NY 11434 

Date 

Mary E Bochiardy- 20 12EA170066 

Subject: Notice of Proposed Civil Penalty 

In reply to your Notice of Civil Penalty, I elect to proceed as indicated b my check mark beside the numbered paragr'!'Qll below: 

l. [ ] I hereby submit the amount 2. [ ] I have paid the proposed civil 3. [ ] I hereby submit evidence 4. [ ] I hereby submit information and records 

of the proposed civil penalty with penalty with a credit card over the and infonnation, demonstrating showing that I am financially unable to pay the 

the understanding that an order Internet at the following website: that a violation of the regulations proposed civil penalty, or that payment of the penalty 

assessing a civil penalty will be www.pav,o-ov. I also understand that did not occur or that the amount of would prevent me from continuing in business. 

issued in that amount without an order assessing civil penalty will be the penalty is not warranted by the 

further notice. I ALSO issued in the amount without further circumstances. 

UNDERSTAND THAT I AM notice. I ALSO UNDERSTAND 

WANING IVIY RIGHT TO A THAT I AM WANING NlY RIGHT 

HEARJNG. TO A HEARJNG. 

5. [ J I hereby request that a civil 6. a. [ ] I hereby request a telephonic 7. [ ] I hereby request that the 8. [ ] I hereby request a 9. [ ] I hereby 

penalty be assessed in the amount infonnal conference to discuss this FAA impose a civil penalty without hearing in accordance with claim entitlement to 

of$ and I submit the matter with an FAA attorney. (An making findings of violations, and Subpart G of Part 13 of the a waiver of penalty 

reasons for the reduction. My attorney will call you at the telephone submit my reasons. My request Federal Aviation Regulations under the Aviation 

request constitutes my agreement number you provide here: constitutes my agreement that if with the understanding that a Safety Reporting 

that if this offer is accepted by the ( ) You will be this offer is accepted, a Complaint will be filed. I Program and 

FAA, an order assessing civil provided at least 2 weeks advance compromise order will be issued in request that the hearing be enclose evidence 

penalty in the amount I have notice of the date and time of this the amount set forth in the Notice held in I am that a timely report 

specified may be issued without conference.) NOTE: If you choose to of Proposed Civil Penalty. MY sending this request both to was filed. As to the 

further notice. MY REQUEST discuss this matter infonnally by REQUEST ALSO CONSTITUTES the FAA attorney at l allegations of fact 

ALSO CONSTiTUTES MY telephone, you should provide any MY AGREEMENT THAT IF Aviation Plaza and violations --

AGREEMENTTHATIHAVE documents or other infonnation you THIS OFFER IS ACCEPTED. I Jamaica, NY 11434, and to 

WAIVED MY RIGHT TO A wish to have considered on your HAVE WANED MY RIGHT TO the Hearing Docket, Federal [ ] I request that 

HEARING IF MY OFFER IS behalf before the date of the informal AHEARll-.iG. Aviation Administration, 800 an order assessing 

ACCEPTED. IF THE FAA conference. Independence Avenue, SW., civil penalty with 

DOES NOT ACCEPT THIS b. [ ] I hereby request an in-person Room 924A, Washington, waiver of penalty be 

OFFER, HOWEVER, MY informal conference with an FAA DC 20591, Attention: issued and I waive 

RIGHT TO A HEARJNG IS NOT attorney to discuss this matter at Hearing Docket Clerk. my right to a 

AFFECTED. hearing. 

--(choose an F M office from the 

attached list). [ ] I request a 

c. [ J I hereby request an in-person hearing in this 

informal conference with an FAA matter in 

attomey to discuss this matter at accordance with 

paragraph 8, above. 

I am requesting an in-person infonnal 

conference at this location 

because 

I 

have also indicated an alternate 

location from the attached list under 

item 6.b. in the event the FAA is 

unable to grant my request under this 

option. 

MY ATTORNEY/REPRESENTATIVE 

Name: 

Finn: 

Mary E. Bochiardy DATE Address: 

Address Phone No. 

Home Phone No. 

Business Phone 't'-!o. 

3 
AERONAUTICAL CENTER 

Federal Aviation Administration 

FAA LEGAL COUNSEL OFFICE LOCATIONS 

FOR INFORMAL CONFERENCES 

ALASKA REGION 

Federal Aviation Administration 

Office of the Regional Counsel (AMC-7) Room 251 Office of the Regional Counsel (AAL-7) 

Mike Monroney Aeronautical Center Alaskan Region Headquarters 

6500 South MacArthur Boulevard 222 West 7th Avenue 

Oklahoma City, OK 73125 Anchorage, AK 99513 

EASTER!'/ REGION GREAT LAKES REGION 

Federal Aviation Administration Federal Aviation Administration 

Office of the Regional Counsel (AEA-7) Office of the Regional Counsel (AGL-7) 

Eastern Region Headquarters Great Lakes Region Headquarters 

1 Aviation Plaza O'Hare Lake Office Center, Room 419 

Room 561 2300 East Devon Avenue 

Jamaica, NY 11434 Des Plaines, IL 60018 

NORTHWEST MOUNTAIN REGION SOUTHERN REGION 

Federal Aviation Administration Federal Aviation Administration 

Office of the Regional Counsel (ANM-7) Office of the Regional Counsel (AS0-7) 

Northwest Mountain Region Headquarters Southern Region Headquarters 

1601 Lind Avenue, SW. 1701 Columbia Avenue, Room 530 

Renton, WA 98055-4056 College Park, GA 30337 

WESTERN-PACIFIC REGION FAA HEADQUARTERS 

Federal Aviation Administration Federal Aviation Administration 

Office of the Regional Counsel (A WP-7) Office ofthe Chief Counsel 

Western-Pacific Region Headquarters 800 Independence Avenue, SW. 

15000 Aviation Boulevard Washington, DC 20591 

HaYVthorne, CA 90261 

4 

CEI\TRAL REGION 

Federal Aviation Administration 

Office of the Regional Counsel (ACE-7) 

Central Region Headquarters 

901 Locust Room 506 

Kansas City, MO 64106-2641 

NEW ENGLA>'ID REGION 

Federal Aviation Administration 

Off1ce of the Regional Counsel 

(ANE-7) 

New England Region Headqumters 

12 New England Executive Park, Room 311 

Burlington, MA 01803 

SOUTHWEST REGION 

Federal Aviation Administration 

Office of the Regional Counsel (ASW-7) 

Southwest Region Headquarters 

2601 Meacham Boulevard 

Ft. Worth, TX 76193-0007 

EUROPE, AFRICA & MIDDLE EAST 

FAA/American Embassy 

Office of the Assistant Chief Counsel 

(AEU-7) 

27 Blvd. du Regent, Brussels, Belgium 

(for mailing from U.S.:PSC 82, Box 002, APO 

AE 09710) 
f''C\ 

' 

·~ \ 

I "" 

·.~ (\ 

',:[:: 

;;,~:: 

--~~ i ;-----'------~-'· 

~692 E2h~ DODD 06DE D~D~ 
West law 

Code of Federal Regulations Currentness 

Title 14. Aeronautics and Space 

Chapter I. Federal Aviation Administration, 

Department of Transportation 

Subchapter B. Procedural Rules 

Part 13. Investigative and Enforcement 

Procedures (Refs & Annas) 

.,. Subpart G. Rules of Practice in FAA 

Civil Penalty Actions (Refs & Annas) 

§ 13.201 Applicability. 

(a) This subpart applies to all civil penalty ac· 

lions initiated under§ 13.16 of this part in which 

a hearing has been requested. 

(b) This subpart applies only to proceedings initi· 

ated after September 7, 1988. All other cases, 

hearings, or other proceedings pending or in progress before September 7, 1988, are not affected 

by the rules in tois subpart. 

§ 13.202 Definitions. 

Administrative law judge means an administrat· 

ive law judge appointed pursuant to the provisions of 5 U.S.C. 3105. 

Agency attorney means the Deputy Chief Cou.l'1-

sel for Operations, the Assistant Chief Counsel, 

Enforcement, the Assistant Chief Counsel, 

Europe, Africa, and Middle East Area Office, 

each Regional Counsel, the Aeronautical Center 

Counsel, or the Technical Center Counsel, or an 

attorney on the staff of the Assistant Chief Coun· 

sel, Enforcement, the Assistant Chief Counsel, 

Europe, Africa, and Middle East Area Office, 

each Regional Counsel, the Aeronautical Center 

Counsel, or the Technical Center Counsel who 

prosecutes a civil penalty action. An agency attorney shall not include: 

Page 1 of23 

Page 1 

(1) The Chief Counsel, the Deputy Chief Counsel 

for Policy and Adjudication, or the Assistant 

Chief Counsel for Litigation; 

(2) Any attorney on the staff of the Assistant 

Chief Counsel for Litigation; 

(3) Any attorney who is supervised in a civil penalty action by a person who provides such advice 

to the FAA decisiomnaker in that action or a factually-related action.· 

Attorney means a person licensed by a state, the 

District of Columbia, or a territory of the United 

States to practice law or appear before the courts 

of that state or territory. 

Complaint means a document issued by an 

agency attorney alleging a violation of a provision ofthe Federal aviation statute listed in the 

frrst sentence of 49 U.S.C. 4630l(d)(2) or in 49 

U.S.C. 47531, or of the Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, 

or a rule, regulation, or order issued under those 

statutes, that has been filed with the Hearing 

Docket after a hearing has been requested under § 

13 .16(t)(3) or (g)(2)(ii) of this part. 

FAA decisionmaker means the Administrator of 

the Federal Aviation Administration, acting in the 

capacity of the decision.'!la.'<:er on appeal, or any 

person to whom the Administrator has delegated 

the Administrator's decisiomnaking authority in a 

civil penalty action. As used in this subpart, the 

FAA decisiomnaker is the official authorized to 

issue a final decision and order of the Administrator in a civil penalty action. 

Mail includes U.S. certified mail, U.S. registered 

mail, or use of an overnight express courier service. 

Order assessing civil penalty means a document 

that contains a finding of a violation of a provi· 

sian of the Federal aviation statute listed in the 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
rrrst sentence of 49 U.S.C. 46301(d)(2) or in 49 

U.S.C. 47531, or of the Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, 

or a rule, regulation or order issued under those 

statutes, and may direct payment of a civil penalty. Unless an appeal is filed with the FAA decisionmaker in a timely manner, an initial de~.,· 

cision or order of an administrative law judge 

shall be considered an order assessing civil penalty if an administrative law judge fmds that an 

alleged violation occurred and determines that a 

civil penalty, in an amount found appropriate by 

the administrative law judge, is warranted. Unless a petition for review is filed with aU .S. 

Court of Appeals in a timely ma:JL'ler, a fmal decision and order of the Administrator shall be 

considered an order assessing civil penalty ifttl.e 

FAA decisionmaker finds that an alleged violation occurred and a civil penalty is warranted. 

Party means the respondent or the Federal Aviation Administration (FAA). 

Personal delivery includes hand-delivery or use 

of a contract or express messenger service. ~< 

"Personal delivery" does not include the use of 

Government interoffice mail.service. 

Pleading means a complaint, an answer, and any 

amendment of these documents permitted under 

this subpart. 

Properly addressed means a document that shows 

an address contained in agency records, a residential, business, or other address submitted by a 

person on any document provided under this subpart, or any other address shown by other reason-. 

able and available means. 

Respondent means a person, corporation, or company named in a complaint. 

§ 13.203 SeparatiolJ! of filmctions. 

(a) Civil penalty proceedings, including bearings, 

shall be prosecuted by an agency attorney. 

Page 2 of23 

Page2 

(b) An agency employee engaged in the performance of investigative or prosecutorial functions in 

a civil penalty action shall not, in that case or a 

factually-related case, participate or give advice 

in a decision by the administrative law judge or 

by the FAA decisionmaker on appeal, except as 

counsel or a witness in the public proceedings. 

(c) The Chief Counsel, the Deputy Chief Counsel 

for Policy and Adjudication, and the Assistant 

Chief Counsel for Litigation, or an attorney on 

the staff of the Assistant ChiefCounse1 for Litigation will advise the FAA decisionmaker regarding an initial decision or any appeal of a civil 

penalty action to the FAA decisionmaker. 

§ 13.204 Appearances and rights of parties. 

(a) Any party may appear and be heard in person. 

(b) Any party may be accompanied, represented, 

or advised by an attorney or representative designated by the party and may be exarnined by that 

attorney or representative in any proceeding governed by this subpart. An attorney or representative who represents a party may file a notice of 

appearance in the action, in the manner provided 

in§ 13.210 of this subpart, and shall serve a copy 

of the notice of appeara1J.ce on each pa.."*iy, it'1 L~e 

manner provided in§ 13.211 of this subpart, before participating in any proceeding governed by 

this subpart. The attorney orrepresentative shall 

include the name, address, and telephone number 

of the attorney or representative in the notice of 

appearance. 

(c) Any person may request a copy of a document 

upon payment of reasonable costs. A person may 

keep an original document, data, or evidence, 

with the consent of the administrative law judge, 

by substituting a legible copy of the document for 

the record. 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
' " 

§ 13.205 Adlllinistrative law judges. 

(a) Powers of an administrative law judge. In accordance with the rules of this subpart, an administrative law judge may: 

(1) Give n~tice of, and hold, prehearing conferences and hearings; 

(2) Administer oaths and affirmations; 

(3) Issue subpoenas authorized by law and issue notices of deposition requested by the parties; 

(4) Rule on offers of proof; 

(5) Receive relevant and material evidence; 

(6) Regulate the course of the hearing in accordance with the rules of this subpart; 

(7) Hold conferences to settle or to simplify the 

issues by consent of the parties; 

(8) Dispose of procedural motions andrequests; and 

(9) Make fmdings offact and conclusions of 

law, and issue an initial decision. 

(b) Limitations on the power of the administrative law judge. The administrative law judge shall 

not issue an order of contempt, award costs to 

any party, or impose any sanction not specified in 

this subpart. If the administrative law judge imposes any sanction not specified in this subpart, a 

party may file an interlocutory appeal of right 

with the FAA decisionmaker pursuant to § 

13.219(c)(4) of this subpart. This section does not 

Page 3 of23 

Page 3 

preclude an administrative law judge from issuing an order that bars a person from a specific 

proceeding based on a finding of obstreperous or 

disruptive behavior in that specific proceeding. 

(c) Disqualification. The administrative law 

judge may disqualify'himself or herself at any 

time. A party may file a motion, pursuant to § 

13.218(!)(6), requesting that an administrative 

law judge be disqualified from the proceedings. 

§ 13.206 Intervention. 

(a) A person may submit a motion for leave to intervene as a party in a civil penalty action. Except 

for good cause shown, a motion for leave to intervene shall be submitted not later than 10 days 

before the hearing. 

(b) If the administrative law judge fmds that intervention will not unduly broaden the issues or 

delay the proceedings, the administrative law 

judge may grant a motion for leave to intervene if 

the 11erson will be bound by any order or decision 

entered in the action or the person has a property, 

fmancial, or other legitimate interest that may not 

be addressed adequately by the parties. The administrative law judge may determine the extent 

to which a..TJ. i.'ltervenor may pa..Tticipate i.11 the proceedings. 

§ 13.207 Certification of documents. 

(a) Signature required. The attorney of record, the 

party, or the party's representative shall sign each 

document tendered for filing with the hearing 

docket clerk, the administrative law judge, the 

FAA decisionmaker on appeal, or served on each 

party. 

(b) Effect of signing a document. By signing a 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 

,, 
document, the attorney of record, the party, or the 

party's representative certifies that the attorney, 

the party, or the party's representative has read 

the document and, based on reasonable inquiry 

and to the best of that person's knowledge, information, and belief, the document is--

(1) Consistent with these rules; 

(2) Warranted by existing law or that a good 

faith argument exists for extension, rnodifica~ 

tion, or reversal of existing law; and 

(3) Not unreasonable or unduly burdensome or 

expensive, not made to harass any person, not 

made to cause unnecessary delay, not made to 

cause needless increase in the cost of the proceedings, or for any other improper purpose. 

(c) Sanctions. lftbe attorney of record, the party, 

or the partis representative signs a document in 

violation of this section, the administrative law 

judge or the FAA decisionmaker shall: 

(I) Strike the pleading signed in violation of 

this section; 

(2) Strike the request for discovery or the discovery response signed in Violation of this section and preclude further discovery by the party; 

(3) Deny the motion or request signed in violation of this section; 

( 4) Exclude the document signed in violation of 

this section from the record; 

(5) Dismiss the interlocutory appeal and preclude further appeal on that issue by the party 

Page 4 of23 

Page4 

who filed the appeal until an initial decision 

has been entered on the record; or 

(6) Dismiss the appeal of the administrative 

law judge's initial decision to the FAA decisionmaker. 

§ 13.208 Complaint. 

(a) Filing. The agency attorney shall file the original and one copy of the complaint with the 

hearing dOcket clerk, or may file a written motion 

pursuant to§ l3.218(f)(2)(i) of this SJ}bpart instead of filing a complaint, not later than 20 days 

after receipt by the agency attorney of a request 

for hearhJ.g. The agency attorney should suggest a 

location for the hearing when filing the com- pla]nt. 

(b) Service. An agency attorney shall personally 

deliver or mail a copy of the complaint on the respondent, the president of the corporation or 

company named as a respondent, or a person designated by the respondent to accept service of 

documents in the civil penalty action. 

(c) Contents. A complaint shall set forth the facts 

alleged, any regulation allegedly violated by the 

respondent, and the proposed civil penalty in sufficient detail to provide notice of any factual or 

legal allegation and proposed civil penalty. 

(d) Motion to dismiss allegations or complaint. 

Instead of filing an answer to the complaint, arespondent may move to dismiss the complaint, or 

that part of the complaint, alleging a violation 

that occurred on or after August 2, 1990, and 

more than 2 years before an agency attorney issued a notice of proposed civil penalty to therespondent. 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
(I) An administrative law judge may not grant 

the motion· and dismiss the complaint or part of 

the complaint if the administrative law judge 

fmds that the agency has shown good cause for 

any delay in issuing the notice of proposed 

civil penalty. 

(2) If the agency fails to show good cause for 

any delay, an administrative law judge may 

dismiss the complaint, or that part of the complaint, alleging a violation that occurred more 

than 2 years before an agency attorney issued 

the notice of proposed civil penalty to therespondent. 

(3) A party may appeal the administrative law 

judge's ruling on the motion to dismiss the 

complaint or any part of the complaint in accordance with§ l3.219(b) of this subpart. 

§ 13.209 Answer. 

(a) Writing required. A respondent shall file a 

written answer to the complaint, or may file a 

written motion pursuant to § 13.208(d) or§ 

13.218(1)(1-4) of this subpart instead of filing an 

answer, not later than 30 days after service of the 

complaint. The answer may be in the form of a 

letter but must be dated and signed by the person 

responding to the complaint. An answer may be 

typewritten or may be legibly handwritten. 

(b) Filing and address. A person filing an answer 

shall personally deliver or mail the original and 

one copy of the answer for filing with the hearing 

docket clerk, not later than 30 days after service 

of the complaint to the Hearing Docket at the appropriate address set forth in§ 13.210(a) of this 

subpart. The person filing an answer should suggest a location for the bearing when filing the answer. 

F'age 5 of23 

Page 5 

(c) Service. A person filing an a11swer shall serve 

a copy of the answer,on the agency attorney who 

filed the complaint. 

(d) Contents. An answer shall specifically state 

any affrrmative defense that the respondent intends to assert at the hearing. A person filing an 

answer may include a brief statement of any relief requested in the answer. 

(e) Specific denial of allegations required. A person flling an answer shall admit, deny, or state 

that the person is without sufficient knowledge or 

information to admit or deny, each numbered 

paragraph of the complaint. Any statement orallegation contained in the complaint that is not 

specifically denied in the answer may be deemed 

an admission of the truth of that allegation. A 

general denial ofthe·complaint is deemed a failure to file an answer. 

(f) Failure to file answer. A person's failure to 

file an answer without good cause shall be 

deemed an admission of the truth of each allegation contained in the complaint. 

§ 13.210 Filing of documents. 

(a) Address and method of filing. A person tendering a document for filing shall personally deliver or mail the signed original and one copy of 

each document to the Hearing Docket using the 

appropriate address: 

(I) If delivery is in person, or via expedited 

cdllrier service: Federal Aviation Administration, 600 Independence Avenue, SW., Wilbur 

Wright Building--Suite 2Wl000, Washington, 

DC 20591; Attention: Hearing Docket Clerk, 

AGC-430. 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 

L/1 t::llfl.fl11,-, 
(2) If delivery is via U.S. Mail: Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591; Attention: 

Hearing Docket Clerk, AGC-430, Wilbur 

Wright Building--Suite 2WIOOO. 

(b) Date of filing. A document shall be considered to be filed on the date of personal delivery; or if mailed, the mailing date shown on the 

certificate of service, the date shown on the postmark if there is no certificate of service, or other 

mailing date shown by other evidence if there is 

no certificate of service or postmark. 

(c) Form. Each document shall be typewritten or 

legibly handwritten. ·• 

(d) Contents. Unless otherwise specified in this 

subpart, each document must contain a short, 

plain statement of the facts on which the person's 

case rests and a brief statement of the action requested in the document. 

(e) Internet accessibility of documents filed in the 

Hearing Docket. 

(I) Unless protected from public disclosure by 

an order of the ALJ under§ 13.226, all documents filed in the Hearing Docket are accessible through the Federal Docket Management 

System (FDMS): http://w'-"W.regulations.gov. 

To access a particular case file, use the FDMS 

number assigned to the case. 

(2) Decisions and orders issued by the Administrator in civil penalty cases, indexes of decisions, contact information for the FAA Hearing Docket and the administrative law judges, 

the rules of practice, and other information are 

available on the FAA civil penalty adjudication 

Web site at: http://www .faa.gov /about/ office_ orglheadquarter 

Page 6 of23 

Page6 

s offices/age/ 

pol_ adjudication/ A GC400/Civil]enalty. 

§ 13.211 Service of doclHnelllts. 

(a) General. A person shall serve a copy of any 

document filed with the Hearing Docket on each 

party at the time of filing. Service on a party's attorney of record or a party's designated representative may be considered adequate service on the 

party. 

(b) Type of service. A person may serve documents by personal delivery or by mail. 

' 

(c) Certificate of service. A person may attach a 

certificate of service to a document tendered for 

filing with the hearing docket clerk. A certificate 

of service shall consist of a statement, dated and 

signed by the person filing the document, that the 

document was personally delivered or mailed to 

each party on a specific date. 

(d) Date of service. The date of service shall be 

the date of personal delivery; or if mailed, the 

mailing date shown on the certificate of service, 

the date shown on the postmark if there is no certificate of service, or other mailing date shown by 

other evidence if there is no certificate of service 

or postmark. 

(e) Additional time after service by mail. 

Whenever a party has a right or a duty to act or to 

make any response within a prescribed period 

after service by mail, or on a date certain after 

service by mail, 5 days shall be added to the prescribed period. 

(f) Service by the administrative law judge. The 

administrative law judge shall serve a copy of 

each document including, but not limited to, no-

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
' " 

tices of prehearing conferences and hearings, rulings on motions, decisions, and orders, upon each 

party to the proceedings by personal delivery or 

by mail. 

(g) Valid service. A document that was properly 

addressed, was sent in accordance with this subpart, and that was returned, that was not claimed, 

or that was refused, is deemed to have been 

served in accordance with this subpart. The service shall be considered valid as of the date and 

the time that the document was deposited with a 

contract or express messenger, the document was 

mailed, or personal delivery of the document was 

refused. 

(b) Presumption of service. There shall be a presumption of service where a party or a person, 

who customarily receives mail, or receives it in 

the ordinary course of business, at either the person's residence or the person's principal place of 

business, acknowledges receipt of the document. 

§ 13.212 Cm11putation oftime. 

(a) This section applies to any period of time prescribed or allowed by this subpart, by notice or 

order of the administrative law judge, or by any 

applicable statute. 

(b) The date of an act, event, or default, after 

which a designated time period begins to run, is 

not included in a computation of time under this 

subpart. 

(c) The last day of a time period is included in a 

computation of time unless it is a Saturday, 

Sunday, or a legal holiday. If the last day of the 

time period is a Saturday, Sunday, or legal holiday, the time period runs until the end of the next 

day that is not a Saturday, Sunday, or legal holiday. 

Page 7 of23 

Page 7 

§ 13.213 Extension oftime. 

(a) Oral requests. The parties may agree to extend 

for a reasonable period the time for filing a document under this subpart.lfthe parties agree, the 

administrative law judge shall grant one extension of time to each party. The party seeking the 

extension of time shall submit a draft order to the 

administrative law judge to be signed by the administrative law judge and filed with the hearing 

docket clerk. The administrative law judge may 

grant additional oral requests for an extension of 

time where the parties agree to the extension. 

(b) Written motion. A party shall file a written 

motion for an extension of time with the admirlistrative law judge not later than 7 days before the 

document is due unless good cause for the late 

filing is shown. A party filing a written motion 

for an extension of time shall serve a copy of the 

motion on each party. The administrative law 

judge may grant the extension of time if good 

cause for the extension is shown. 

(c) Failure to rule. if the administrative law judge 

fails to rule on a written motion for an extension 

of time by the date the document was due, the 

motion for an extension of time is deemed granted for no more than 20 days after the original 

date the document was to be filed. 

§ 13.214 Amendm·entof piearlings. 

(a) Filing and service. A party shall file the 

amendment with the administrative law judge and 

shall serve a copy of the amendment on all 

parties to the proceeding. 

(b) Time. A party shall file an amendment to a 

complaint or an answer within the following: 

(I) Not later than 15 days before the scheduled 

© 2012 Tnomson Reuters. No Claim to Orig. US Gov. WoJks. 

'' n '~ _1 -;t D ___ _ .n.._TT 
date of a hearing, a party may amend a complaint or an answer without the consent of the 

administrative law judge. 

(2) Less than 15 days before the scheduled date 

of a hearing, the administrative law judge may 

allow amendment of a complaint or an answer 

only for good cause shown in a motion to amend. 

(c) Responses. The administrative law judge shall 

allow a reasonable time, but not more than 20 

days from the date of filing, for other parties to 

respond if an amendment to a complaint, answer, 

or other pleading has been filed with the administrative law judge. 

§ 13.215 Withdrawal of complaint or request for 

hearing. 

At any time before or during,.a hearing, an agency 

attorney may withdraw a complaint or a party 

may wit,':!draw a request for a hearing without the 

consent of the administrative law judge. If an 

agency attorney withdraws the complaint or a 

party withdraws the request for a hearing and the 

answer, the administrative law judge shall dismiss the proceedings under this subpart with prejudice. 

§ 13.216 Waivers. 

Waivers of any rights provided by statute or regulation shall be in writing or by stipulation made 

at a hearing and entered into the record. The 

parties shall set forth the precise terms of the 

waiver and any conditions. 

§ 13.217 Joint procedural or discovery schedule. 

(a) General. The parties may agree to submit a 

schedule for filing all preheating motions, a 

Page 8 of23 

Page 8 

schedule for conducting discovery in the proceedings, or a schedule that will govern all prehearing 

motions and discovery in the proceedings. 

(b) Fonn and content ofschedule.lfthe parties 

agree to a joint procedural or discovery schedule, 

one of the parties shall file the joint schedule 

with the administrative law judge, setting forth 

the dates to which the parties have agreed, and 

shall serve a copy of the joint schedule on each 

party. 

(1) The joint schedule may include, but need 

not be limited to, requests for discovery, any 

objections to discovery requests, responses to 

discovery requests to which there are no objections, submission of prehearing motions, responses to prehearing motions, exchange of exhibits to be introduced at the hearing, and a list 

of witnesses that may be called at the hearing. 

(2) Each party shall sign the original joint 

schedule to be filed with the administrative law 

judge. 

(c) Time. The parties may agree to submit all prehearing motions and responses and may agree to 

close discovery in the proceedings under the joint 

schedule within a reasonable time before the date 

of the hearing, but not later than 15 days before 

the hearing. 

(d) Order establishing joint schedule. The administrative law judge shall approve the joint schedule filed by the parties. One party shall submit a 

draft order establishing a joint schedule to the administrative law judge to be signed by the administrative law judge and filed with the,hearing 

docket clerk. 

(e) Disputes. The admh-llstrative law judge shall 

resolve disputes regarding discovery or disputes 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
regarding compliance with the joint schedule as 

soon as possible so that the parties may continue 

to comply with the joint schedule. 

(f) Sanctions for failure to comply with joint 

schedule. If a party fails to comply with the administrative law judge's order establishing a joint 

schedule, the administrative law judge may direct 

that party to comply with a motion to discovery 

request or, limited to the extent of the party's failure to comply with a motion or discovery request, 

the administrative law judge may: 

(!) Strike that portion of a party's pleadings; 

(2) Preclude prehearing or discovery motions 

by that party; 

(3) Preclude admission of that portion of a 

party1s evidence at the hearing, or 

(4) Preclude that portion of the testimony of 

that party's witnesses at the hearing. 

§ 13.218 Motiiiios. 

(a) General. A party applying for an order or ruling not specifically provided in this subpart shall 

do so by motion. A party shall comply with the 

requirements of this section when filing a motion 

with the administrative law judge. A party shall 

serve a copy of each motion on each party. 

(b) Form and contents. A party shall state therelief sought by the motion and the particular 

grounds supporting that relief. If a party has evidence in support of a motion, the party shall attach 

any supporting evidence, including affidavits, to 

the motion. 

Page 9 of23 

Page 9 

(c) Filing of motions. A motion made prior to the 

hearing must be in writing. Unless otherwise 

agreed by the parties or for good cause shown, a 

party shall file any prehearing motion, and shall 

serve a copy on each party, not later than 30 days 

before the hearing. Motions introduced during a 

hearing may be made orally on the record unless 

the administrative law judge directs otherwise. 

(d) Answers to motions. Any party may file an 

answer, with affidavits or other evidence in support of the answer, n9t later than I 0 days after 

service of a written motion on that party. When a 

moti_sm is made during a hearing, t.'l)_e answer may 

be made at the hearing on the record, orally or in 

writing, within a reasonable time determined by 

the administrative law judge. 

(e) Rulings on motions. The administrative law 

judge shall rule on all motions as follows: 

(I) Discovery motions. The administrative law 

judge shall resolve all pending discovery motions not later than 10 days before the hearing. 

(2) Prehearing motions. The administrative law 

judge shall resolve all pending prehearing motions not later than·7 days before the hearing. If 

t.1J.e administrative law judge issues a ruling or 

order orally, the administrative law judge shall 

serve a written copy of the ruling or order, 

within 3 days, on each party. In all other cases, 

the administrative Jaw judge shall issue rulings 

and orders in writing and shall serve a copy of 

the ruling or order on each party. 

(3) Motions made during the bearing. The administrative law judge may issue rulings and 

orders on motions made during the hearing orally. Oral rulings or orders on motions must be 

made on the record. 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works . 

·' . ' 
(f) Specific motions. A party may file the following motions with the administrative law judge: 

(1) Motion to dismiss for insufficiency. Arespondent may file a motion to dismiss the complaint for insufficiency instead of filing an answer. If the administrative law judge denies the 

motion to dismiss the complaint for insufficiency, the respondent shall file an answer not 

later than 10 days after service of the administrative law judge's denial of the motion. A motion to dismiss the complaint for insufficiency 

must show that the complaint fails to state a violation of a provision of the Federal aviation 

statute listed iTl the flrst sentence in 49 U.S.C. 

4630l(d)(2) or in 49 U.S.C. 47531, or any implementing rule, regulation, or order, or a violation of the Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, or any 

implementing rule, regulation or order. 

(2) Motion to dismiss. A party may file a motion to dismiss, specifying the grounds for dismissal. If an administrative law judge grants a 

motion to dismiss in part, a party may appeal 

the administrative law judge's ruling on the 

motion to dismiss under§ !3.219(b) ofthis 

subpart. 

(i) Motion to dismiss a request for a hearing. 

An agency attorney may file a motion to dismiss a request for a hearing instead of filing a 

complaint. If the motion to dismiss is not granted, the agency attorney shall file the complaint 

and shall serve a copy of the complaint on each 

party not later than I 0 days after service of the 

administrative law judge's ruling or order on 

the motion to dismiss. If the motion to dismiss 

is granted and the proceedings are terminated 

without a hearing, the respondent may file an 

appeal pursuant to § 13.233 of this subpart. If 

required by the decision on appeal, the agency 

attorney sball file a complaint and shall serve a 

Page 10 of23 

Page 10 

copy of the complaint on each party not later 

than 10 days after service of the decision on 

appeal. 

(ii) Motion to dismiss a complaint.,A respondent may file a motion to dismiss a complaint 

instead of filing an answer. If the motion to 

dismiss is not granted, the respondent shall file 

an answer and shall serve a copy of the answer 

on each party not later than I 0 days after service of the administrative law judge's ruling or 

order on the motion to dismiss. If the motion to 

dismiss is granted and the proceedings are terminated without a hearing, the agency attorney 

may file an appeal pursua'lt to§ 13.233 of this 

subpart. If required by the decision on appeal, 

the respondent shall file an answer and shall 

serve a copy of the answer on each party not 

later than 10 days after service of the decision 

on appeal. 

(3) Motion for more definite statement. A party 

may file a motion for more defmite statement 

of any pleading which requires a response under this subpart. A party shall set forth, in detail, the indefinite or uncertain allegations contained in a complaint or response to any pleading and shall submit the details that the party 

believes would mak:e the allegation or response 

defmite and certain. 

(i) Complaint. A respondent may file a motion 

requesting a more definite statement of the allegations contained in the complaint instead of 

filing an answer. If the administrative law 

judge grants the motion, the agency attorney 

shall supply a more definite statement not later 

than 15 days after service of the ruling granting 

the motion. If the agency attorney fails to supply a more definite statement, the administrative law judge shall strike the allegations in the 

complaint to which the motion is directed. If 

the administrative law judge denies the motion, 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
the respondent shall file an answer and shall 

serve a copy of the answer on each party not 

later than I 0 days after service of the order of 

denial. 

(ii) Answer. An agency attorney may file a motion requesting a more defmite statement if an 

answer fails to respond clearly to the allegations in the complaint. If the administrative law 

judge grants the motion, the respondent shall 

supply a more definite statement not later than 

15 days after service of the ruling on the motion. If the respondent fails to supply a more 

defmite statement, the alliuinistrative law judge 

shall strike those statements in the answer to 

which the motion is directed. The respondent's 

failure to supply a more defmite statement may 

be deemed an admission of unanswered allegations in the complaint. 

(4) Motion to strike. Any party may make a 

motion to strike any insufficient allegation or 

defense, ot.!IDY redundant, immaterial, or irrelevant matter in a pleading. A party shall file a 

motion to strike with the administrative law 

judge and shall serve a copy on each party before a response is required under this subpart 

or, if a response is not required, not later than 

I 0 days after service of the pleading. 

(5) Motion for decision. A party may make a 

motion for decision, regarding all or any part of 

the proceedings, at any time before the administrative law judge has issued an initial decision 

in the proceedings. The administrative law 

judge shall grant a party's motion for decision 

if the pleadings, depositions, answers to interrogatories, admissions, matters that the administrative law judge has officially noticed, or 

evidence introduced during the hearing show 

that there is no genuine issue of material fact 

and Ll-)at fhe party making the motion is entitled 

to a decision as a matter oflaw. The party makPage 11 of23 

Page 11 

ing the motion for decision has the burden of 

showing that there is no genuine issue of material fact disputed by the parties. 

( 6) Motion for disqualification. A party may 

file a motion for disqualification with the administrative law judge and shall serve a copy 

on each party. A party may file the motion at 

any time after the administrative law judge has 

been assigned to the proceedings but shall 

make the motion before jhe administrative law 

judge files an initial decision in the proceed-ings. 

(i) Motion and supporting affidavit. A party 

shall state the grounds for disqualification, including, but not limited to, personal bias, pecuniary interest, or other factors showing disqualification, in the motion for disqualification. A 

party shall submit an affidavit with the motion 

for disqualification that sets fortb, in detail, the 

matters alleged to constitute grounds for dis~ 

qualifiCation. 

(ii) Answer. A party shall respond to the motion for disqualification not later than 5 days 

after service of the motion for disqualification. 

(iii) Decision on motion for disqualification. 

The administrative law judge shall render a decision on the motion for disqualification not 

later than 15 days after the motion has been 

filed. Ifthe administrative law judge finds that 

the motion for disqualification and supporting 

affidavit show a basis for disqualification, the 

administrative law judge shall withdraw from 

the proceedings immediately. If the administrative law judge fmds that disqualification is 

not warranted, fhe administrative law judge 

shall deny the motion and state the grounds for 

the denial on fhe re.cord. If the administrative 

law judge fails to rule on a party's motion for 

di§.qualification within 15 days after the motion 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
has been filed, the motion is deemed granted. 

(iv) Appeal. A party may appeal the administrative law judge's denial of the motion for disqualification in accordance with§ 13.219(b) of 

this subpart. 

§ 13.219 Interlocutory appeals. 

(a) GeneraL Unless otherwise provided in this 

subpart, a party may not appeal a ruling or dO"' 

cision of the administrative law judge to the FAA 

decisiomna..lcer until the initial decision has been 

entered on the record. A decision or order of the 

FAA decisionmaker on the interlocutory appeal 

does not constitute a final order of the Administrator for the purposes of judicial appellate review as provided in § 13 .23 5 of this subpart. 

(b) Interlocutory appeal for cause. If a party files 

a written request for an interlocutory appeal for 

cause with the administrative law judge, or orally 

requests an interlocutory appeal for cause, the 

proceedings are stayed until the administrative 

law judge issues a decision on the request. If the 

administrative law judge grants the request, the 

proceedings are stayed until the FAA decisionmaker issues a decision on the interlocutory appeal. The administrative law judge shall grant' an 

interlocutory appeal for cause if a party shows 

that delay of the appeal would be detrimental to 

the public interest or would result in undue prejuclice to any party. 

(c) Interlocutory appeals of right. If a party notifies the administrative law judge of an interlocutory appeal of right, the proceec!ings are 

stayed until the FAA decisionrnaker issues a decision on the interlocutory appeal. A party may 

file an interlocutory appeal with the FAA decisionmaker, without the consent of the administrative law judge, before an initial decision has 

Page 12 of23 

Page 12 

been entered in the case of: 

(I) A mling or order by the administrative law 

judge barring a person from the proceedings. 

(2) Failure of the administrative law judge to 

dismiss the proceedings in accordance with § 

13.215 of this subpart. 

(3) A mling or order by the administrative law 

judge in violation of§ 13.205(b) of this sub- part. 

(d) Procedure. A party shall file a notice of interlocutory appeal, with supporting documents, with 

the FAA decisionmaker and the hearing docket · 

clerk, and shall serve a copy of the notice and 

supporting documents on each party and the administrative law judge, not later than 10 days 

after the administrative law judge's decision 

forming the basis of an interlocutory appeal of 

right or not later than 10 days after the administrative law judge's decision granting an interlocutory appeal for cause, whichever is appropriate. A party shall file a reply brief, if any, with 

the FAA decisionrn&'<er and serve a copy of the 

reply brief on each party, not later than I 0 days 

after service of the appeal brief. The FAA decisiomnaker shall render a decision on the :interlocutory appeal, on the record and as a part of the 

decision in the proceedings, within a reasonable 

time after receipt of the interlocutory appeal. 

(e) The FAA decisionmaker may reject frivolous, 

repetitive, or dilatory appeals, and may issue an 

order precluding one or more parties from making further interlocutory appeals in a proceeding 

in which there have been frivolous, repetitive, or 

dilatory interlocutory appeals. 

§ 13.220 Discovery. 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
(a) Initiation of discovery. Any party may initiate 

discovery described in this section, without the 

consent or approval of the administrative law 

judge, at any time after a complaint has been 

filed in the proceedings. 

(b) Methods of discovery. The following methods 

of discovery are pennitted under this section: depositions on oral examination or written questions of any person; written interrogatories directed to a party; requests for production of documents or tangible items to any person; andrequests for admission by a party. A party is notrequired to file written interrogatories andresponses, requests for production of doctUnents or 

tangible items and responses, and requests for admission and -response with the administrative law 

judge or the hearing docket clerk In the event of 

a discovery dispute, a party shall attach a copy of 

these documents in support of a motion made under this section. 

(c) Service on the agency. A party shall serve 

each discovery request directed to the agency or 

any agency employee on the agency attorney of 

record. 

(d) Time for response to discovery requests. Unless otherwise directed by this subpart or agreed 

by the pa..rties, a party shall respond to a request 

for discovery, including filing objections to are~ 

quest for discovery, not later than 30 days of service of the re;quest. 

(e) Scope of discovery. Subject to the limits on 

discovery set forth in paragraph (f) of this section, a party may discover any matter that is not 

privileged and that is relevant to the subject matter of the proceeding. A party may discover information that relates to the claim or defense of 

any party including the existence, description, 

nature, custody, condition, and location of any 

document or other tangible item and the identity 

Page 13 of23 

Page 13 

and .Jocation of any person having knowledge of 

discoverable matter. A party may discover facts 

known, or opinions held, by an expert who any 

other party expects to call to testifY at the hearing. A party has no ground to object to a discovery request on the basis that the information 

sought would not be admissible at the hearing if 

the infonnation sought during discovery is reasonably calculated to lead to the discovery of admissible evidence. 

(f) Limiting discovery. The administrative law 

judge shall limit the frequency and extent of discovery pennitted by this section if a party shows 

that--

(1) The infonnation requested is cumulative or 

repetitious; 

(2) The information requested can be obtained 

from another less burdensome and more convenient source; 

(3) The party requesting the ioformation has 

had ample opportunity to obtain the information through other discovery methods permitted 

under this section; or 

(4) The method or scope of discovery requested 

by the party is unduly burdensome or expens- ive. 

(g) Confidential orders. A party or person who 

has r-eceived a discovery request for information 

that is related to a trade secret, confidential or 

sensitive material, competitive or commercial information, proprietary data, or information on research and development, may file a motion for a 

confidential order with the administrative law 

judge and shall serve a copy of the motion for a 

confidential order on each party. 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
(1) The party or person making the motion 

must show that the confider1tial order is necessary to protect the information from disclosure 

to the public. 

(2) If the administrative law judge determines 

that the requested material is not necessary to 

decide the case, the administrative law judge 

shall preclude any inquiry into the matter by 

any party. 

(3) If the administrative law judge determines 

that the requested material may be disclosed 

during discovery, the ad..7Jlinistrative law judge 

may order that the material may be discovered 

and disclosed under limited conditions or may 

be used only under certain terms and condi:tions. 

(4) If the administrative law judge determines 

that the requested material is necessary to decide the case and that a confidential order is 

warranted, the administrative law judge shall 

provide: 

(i) An opportunity for review of the document 

by the parties off the record; 

(ii) Procedures for excluding the information 

from the record; and 

(iii) Order that the parties shall not disclose_):he 

information in any manner and the parties shall 

not use the information in 1J11Y other proceed- in g. 

(h) Protective orders. A party or a person who has 

received a request for discovery may file a motion for protective order with the administrative 

law judge and shall serve a copy of the motion 

for protective order on each party. The party or 

Page 14 of23 

Page 14 

person making the motion must show that the 

protective order is necessary to protept the paii"j 

or the person from annoyance, embarrassment, 

oppression, or undue burden or expense. As part 

of the protective order, the administrative law 

judge may: 

(1) Deny the discovery request; 

(2) Order that discovery be conducted only on 

specified terms and conditions, including a designation of the time or place for discovery or a 

determination of the method of discovery; or 

(3) Limit the scope of discovery or preclude 

any inquiry into certain matters during discovery. 

(i) Dut-y to supplement or amend responses. A 

party who has responded to a discovery request 

has a duty to supplement or amend the response, 

as soon as the information is known, as follows: 

(1) A party shall supplement or amend any response to a question requesting the identity and 

location of any person having knowledge of 

discoverable matters. 

(2) A party shall supplement or amend any response to a question requesting the identity of 

each person who will be called to testify at the 

hearing as an expert witness and the subject 

matter and substance oftha! witness' testimony. ' 

(3) A party shall supplement or amend any response that was incorrect when made or any response that was correct when made but is no 

longer correct, accurate, or complete. 

(j) Depositions. The following rules apply to depositions ta~en pursuant to this section: 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
' .. 

(1) Form. A deposition shall be taken on therecord and reduced to writing. The person being 

deposed shall sign the deposition unless the 

parties agree to waive the requirement of a signature. 

(2) Administration of oaths. Within the United 

States, or a territory or possession subject to 

the jurisdiction of the United States, a party 

shall take a deposition before a person authorized to administer oaths by the laws of the 

United States or authorized by the law of the 

place where the examination is held. In foreign 

countries, a party shall take a deposition in any 

manner allowed by the Federal Rules of Civil 

Procedure. 

(3) Notice of deposition. A party shall serve a 

notice of deposition, stating the time and place 

of the deposition and the name and address of 

each person to be examined, on liJ.e person to 

be deposed, on the administrative law judge, on 

the hearing docket clerk, and on each party not 

later than 7 days before the deposition. A party 

may serve a notice of deposition less than 7 

days before the deposition only with consent of 

the administrative law judge. If a subpoena 

duces tecum is to be served on the person to be 

examined, the party shall attach a copy of the 

subpoena duces tecum that describes the materials to be produced at the deposition to the notice of deposition. 

( 4) Use of depositions. A party may use any 

part or all of a deposition at a hearing authorized under this subpart only upon a showing of 

good cause. The deposition may be used 

against any party who was present or represented at the deposition or who had reasonable notice of the deposition. 

(k) Interrogatories. A party, the party's attorney, 

or the party's representative may sign the party's 

Page 15 of23 

Page 15 

responses to interrogatories. A party shall answer 

each interrogatory separately and completely in 

writing. If a party objects to an interrogatory, the 

party shall state the objection and the reasons for 

the objection. An opposing party may use any 

part or all of a party's responses to interrogatories 

at a hearing authorized under this subpart to the 

extent that the response is relevant, material, and 

not repetitious. 

(I) A party shall not serve more than 30 interrogatories to each other party. Each subpart of 

an interrogatory shall be counted as a separate 

interrogatory. 

(2) A party shall f!le a motion for leave to 

serve additional interrogatories on a party with 

the administrative law judge before serving additional interrogatories on a party. The administrative law judge shall grant the motion only 

if the party shows good cause for the paliy's 

failure to Lnquire about the information previously and that the information cannot reasonably be obtained using less burdensome discovery methods or be obtained from other sources. 

(l) Requests for admission. A party may serve a 

written request for admission of the truth of any 

matter within the scope of discovery under this 

section or tb.e authenticity of ai'1Y docum_ent described in the request. A party shall set forth each 

request for admission separately. A party shall 

serve copies of documents referenced in therequest for admission unless the documents have 

been provided or are reasonably available for inspection and copying. 

(I) Time. A party's failure to respond to arequest for admission, in writing and signed by 

the attorney or the party, not later than 30 days 

after service of the request, is deemed an admission of the truth of the statement or statements contained in the request for admission. 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 

" 
The administrative law judge may determine 

that a failure to respond to a request for admission is not deemed an admission of the truth if 

a party shows that the failure was due to circumstances beyond the control of the party or 

the party's attorney. 

(2) Response. A party may object to a request 

for admission and shall state the reasons for objection. A party may specifically deny the truth 

of the matter or describe the reasons why the 

party is unable to truthfully deny or admit the 

matter. If a party is unable to deny or admit the 

truth of the matter, the party shall show that the 

party has made reasonable inquiry into the matter or that the information known to, or readily 

obtainable by, the party is insufficient to enable 

the party to admit or deny the matter. A party 

may admit or deny any pa<1 of the request for 

admission. If the administrative law judge determines that a response does not comply with 

the requirements of this rule or that theresponse is insufficient, the matter is deemed admitted. 

(3) Effect of admission. Any matter admitted or 

deemed admitted under this section is conClusively established for the purpose of the hearing 

and appeal. 

(m) Motion to compel discovery. A party may 

make a motion to compel discovery if a person 

refuses to answer a question during a deposition, 

a party fails or refuses to answer an interrogatory, 

if a person gives an evasive or incomplete answer 

during a deposition or when responding to an interrogatory, or a party fails or refuses to produce 

documents or tangible items. During a deposition, 

the proponent of a question may complete the deposition or may adjourn the exam.ination before 

making a motion to compel if a person refuses to 

answer. 

Page 16 of23 

Page 16 

(n) Failure to comply with a discovery order or 

order to compel. If a party fails to comply with a 

discovery order or an order to compel, the administrative law judge, limited to the extent of the 

party's failure to comply with the discovery order 

or motion to compel, may: 

(1) Strike that portion of a party's pleadings; 

' 

(2) Preclude prehearing or discovery motions 

by that party; 

(3) Preclude admission of that portion of a 

party's evidence at the hearing; or 

(4) Preclude that portion of the testimony of 

that party's witnesses at the hearing. 

§ 13.221 Notice of hearing. 

(a) Notice. The administrative law judge shall 

give each party at least 60 days notic~ of the date, 

time, and location of the hearing. 

(b) Date, time, and location of the hearing. The 

administrative law judge to whom the proceedings have been assigned shaH set a reasonable 

date, time, and location for the hearing. The administrative law judge shall consider the need for 

discovery and any joint procedural or discovery 

schedule submitted by the parties when determining the hearing date. The administrative law 

judge shall give due regard to the convenience of 

the parties, the location where the majority of the 

witnesses reside or work, and whether the location is served by a scheduled air carrier. 

(c) Earlier hearing. With the consent of the administrative law judge, the parties may agree to 

hold the hearing on an earlier date than the date 

specified in the notice of hearing. 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
§ 13.222 Evidence. 

(a) General. A party is entitled to present the 

party's case or defense by oral, documentary, or 

demonstrative evidence, to submit rebuttal evidence, and to conduct any cross-examination that 

may be required for a full and true disclosure of 

the facts. 

(b) Admissibility. A party may introduce any oral, documentary, or demonstrative evidence in 

support of the party's case or defense. The administrative law judge shall admit any oral, documentary, or demonstrative evidence introduced 

by a party but shall exclude irrelevant, immaterial, or unduly repetitious evidence. 

(c) Hearsay evidence. Hearsay evidence is admissible in proceedings governed by this subpart. 

The fact that evidence submitted by a party is 

hearsay goes only to the weight of the evidence 

and does not affect its admissibility. 

§ 13.223 Standard of proof. 

The administrative law judge shall issue an initial 

decision or shall rule in a party's favor only if the 

decision or ruling is supported by, and in accordance with, the reliable, probative, and subst~ntial 

evidence contained in the record. In order to prevail, the party with the burden of proof shall 

prove the party's case or defense by a preponderance of reliable, probative, and substantial evidence. 

§ 13.224 Burden of proof. 

(a) Except in .. the case of an affmnative defense, 

the burden of proof is on the agency. 

(b) Except as otherwise provided by statute or 

rule, the proponent of a motion, request, or order 

Page 17 of23 

Page 17 

has the burden of proof. 

(c) A party who has asserted an affumative defense bas the burden of proving the affmnative 

defense. 

§ 13.225 Offer of proof. 

A party whose evidence has been excluded by a 

ruling of the administrative law judge may offer 

the evidence for the record on appeal. 

§ 13.226 Public disclosure of evidence. 

(a) The administrative law judge may order that 

any information contained in the record be withheld from public disclosure. Any person may object to disclosure of information in the record by 

filing a written motion to withhold specific information with the administrative law judge and 

serving a copy.ofthe..motion on each party. The 

party shall state the specific grounds for nondisclosure in the motion. 

(b) The administrative law judge shall grant the 

motion to withhold information in the record if, 

based on the motion and any response to the motion, t.lJ.e administrative law judge determines that 

disclosure would be detrimental to aviation 

safety, disclosure would not be in the public interest, or that the ·information is not othervvise required to be made available to the public. 

§ 13.227 Expert or opinion witnesses, 

An employee of the agency may not be called as 

an expert or opinion witness, for any party other 

than the FAA, in any proceeding governed by 

this ·subpart. An employee of a respondent may 

not be called by an agency attorney as an expert 

or opinion witness for the FAA in any proceeding 

governed by this subpart to which the respondent 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 

~-..J......L.-.ff ____ ·L~ - _ _.._11- . I._ • 'I 
is a party. 

§ 13.228 Subpoenas. 

(a) Request for subpoena. A party may obtain a 

subpoena to compel the attendance of a witness at 

a deposition or hearing or to require the production of documents or tangible items from the 

hearing docket clerk. The hearing docket clerk 

shall deliver the subpoena, signed by the hearing 

docket clerk or an administrative law judge but 

otherwise in blank, to the party. The party shall 

complete the subpoena, stating the title of the action a11d the date a11d tin1e for the witness' attendance or production of doclL'lllents or items. The 

party who obtained the subpoena sball serve the 

subpoena on the witness. 

(b) Motion to quash or modify the subpoena. A 

party, or any person upon whom a subpoena has 

been served, may file a motion to quash or modify tbe subpoena with the administrative law judge 

at or before the tin1e specified in the subpoena for 

compliance. The applicant shall describe, in detail, the basis for the application to quash or 

modify the subpoena including, but not limited 

to, a statement that the testimony, document, or 

tangible evidence is not relevant to the proceeding, that the subpoena is not reasonably tailored 

to the scope of the proceeding, or that the subpoena is lUITeasonable and oppressive. A motion 

to quash or modify the subpoena will stay the effect of the subpoena pending a decision by the 

administrative law judge on the motion. 

(c) Enforcement of subpoena. Upon a showing 

that a person has failed or refused to comply with 

a subpoena, a party may apply to the local federal 

district court to seek judicial enforcement of the 

subpoena in accordance with 49 U.S.C. 46104 in 

cases under the Federal aviation statute. 

Page 18 of23 

Page 18 

§ 13.229 Witness fees. 

(a) General. Unless otherwise authorized by the 

administrative law judge, the party who applies 

for a subpoena to compel the attendance of a witness at a deposition or hearing, or the party at 

whose request a witness appears at a deposition 

or hearing, shall pay the witness fees described in 

this section. 

(b) Amount. Except for an employee of the 

agency who appears at the direction of the 

agency, a witness who appears at a deposition or 

hearing is entitled to the same fees and mileage 

expenses as are paid to a witness in a court of the 

United States in comparable circumstances. 

§ 13.230 Record. 

(a) Exclusive record. The transcript of all testimony in the hearing, all exhibits received it1to 

evidence, and all motions, applications, requests, 

and rulings shall constitute the exclusive record 

for decision of the proceedings and the basis for 

the issuance of any orders in the proceeding. Any 

proceedings regarding the disqualification of an 

administrative law judge shall be included in the 

record. 

(b) Examination and copying of record. Any person may examine the record at the Hearing Docket, Federal Aviation Administration, 600 Independence Avenue, SW., Wilbur Wright Building-

-Room 2014, Washington, DC 20591. Documents 

may also be examined and copied at the U.S. Department of Transportation, Docket Operations, 

West Building Ground Floor, Room Wl2-140, 

1200 New Jersey Avenue, SE., Washington, DC 

20590. Any person may have a copy of the record 

after payment of reasonable costs to copy the record. 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
" ' ' 

§ 13.231 Argument before the administrative law 

judge. 

(a) Arguments during the hearing. During the 

hearing, the administrative law judge shall give 

the parties a reasonable opportunity to present arguments on the record supporting or opposing 

motions, objections, and rulings if the parties request an opportunity for argument. The administrative law judge may request written arguments 

during the hearing if the administrative law judge 

fmds that submission of written arguments would 

be reasonable. 

(b) Final oral argument. At the conclusion of the 

hearing and before the administrative law judge 

issues an initial decision in the proceedings, the 

parties are entitled to submit oral proposed findings of fact and conclusions of law, exceptions to 

rulings of the administrative law judge, and supporting argumentS for the fmdings, conclusions, 

or exceptions. At the conclusion of the hearing, a 

party may waive final oral argument. 

(c) Posthearing briefs. The administrative law 

judge may request written posthearing briefs before the administrative law judge issues an initial 

decision in the proceedings if the administrative 

law judge finds that submission of written arguments would be reasonable. If a party files a written posthear..nig brief, the pa.rty shall :include proposed findings offact and conclusions oflaw, exceptions to rulings of the administrative law 

judge, and supporting arguments for the fmdings, 

conclusions, or exceptions. The administrative 

law judge shall give the parties a reasonable opportunity, not more than 30 days after receipt of 

the transcript, to prepare and submit the briefs. 

§ 13.232 lillitlal decision. 

(a) Contents. The administrative law judge shall 

issue an initial decision at the conclusion of the 

Page 19 of23 

Page 19 

hearing. In each oral or written decision, the administrative law judge shall include findings of 

fact and conclusions oflaw, and the grounds supporting those findings and conclusioru;, upon all 

material issues of fact, the credibility of witnesses, the applicable law, any exercise of the administrative law judge's discretion, the amount of 

any civil penalty found appropriate by the administrative law judge, and a discussion of the basis 

for any order issued in the proceedings. The administrative law judge is not required to provide 

a written explanation for rulings on objections, 

procedural motions, and other matters not directly relevant to the substance of the initial decision. lfthe administrative law judge refers to 

any previous unreported or unpublished initial 

decision, the administrative law judge shall make 

copies of that initial decision available to all 

parties and the FAA decisionmaker. 

(b) Oral decision. Except as provided in paragraph (c) of this section, at the conclusion of the 

hearing, the administrative law judge shall issue 

the initial decision and order orally on the record. 

(c) Written decision. The administrative law 

judge may issue a written initial decision not later 

than 30 days after the conclusion of the hearing 

or submission of the last posthearing brief if the 

administrative law judge finds that issuing a written Lrlltial decision is reasonable. The administrative law judge shall serve a copy of any written 

initial decision on each party. 

(d) Order assessing civil penalty. Unless appealed 

pursuant to § 13.233 of this subpart, the initial 

decision issued by the administrative law judge 

shall be considered an order assessing civil penalty if the administrative law judge fmds that an 

alleged violation occurred and determines that a 

civil penalty, in an amount found appropriate by 

the administrative law judge, is warranted. 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 

·' 
§ 13.233 Appeal from initi2l gecision. 

(a) Notice of appeal. A party may appeal the initial decision, and any decision not previously appealed pursuant to § 13.219, by filing a notice of 

appeal with the FAA decisionmaker. A party 

must file the notice of appeal ill the FAA Hearing 

Docket using the appropriate address listed m § 

!3.210(a). A party shall file the notice of appeal 

not later than 10 days after entry of the oral initial decision on the record or service of the written initial decision on the parties and shall serve a 

copy of the notice of appeal on each party. 

(b) Issues on appeal. In any appeal from a decision of an administrative law judge, the FAA 

decisionmaker considers only the following issues: 

(I) Whether each finding of fact is supported 

by a preponderance of reliable, probative, and 

substantial evidence; 

(2) Whether each conclusion oflaw is made in 

accordance with applicable law, precedent, and 

public policy; and 

(3) Whether the administrative law judge committed any prejudicial errors that support tbe 

appeal. 

(c) Perfecting an appeal. Unless otherwise agieed 

by the parties, a party shall perfect an appeal, not 

later than 50 days after entry"ofthe ora! initial 

decision on the record or service of the written 

initial decision on the party, by filing an appeal 

brief with the FAA decisionmaker. 

( l) Extension of time by agreement of the 

parties. The parties may agree to extend the 

time for perfecting the appeal with the consent 

of the FAA decisionmaker. If the FAA dePage 20 of23 

Page 20 

cisionmaker grants an extension of time to perfect the appeal, the appellate docket clerk shall 

serve a letter confrrmmg the extension of time 

on each party. 

(2) Written motion for extension. If the parties 

do not agree to an extension of time for perfecting an appeal, a party desiring an extension 

oftime may file a written motion for an extension with the FAA decisionmaker and shall 

serve a copy of the motion on each party. The 

FAA decisionmaker may grant an extension if 

good cause for the extension is shown in the 

motion. 

(d) Appeal briefs. A party shall file the appeal 

brief with the FAA decisiomnaker and shall serve 

a copy of the appeal brief on each p~J. 

(I) A party shall set forth, ill detail, the party's 

specific objections to the initial decision or rulings ill the appeal brief. A party also shall set 

forth, in detail, the basis for the appeal, the 

reasons supporting the appeal, and the relief requested ill the appeal. If the party relies on 

evidence contained in the record for the appeal, 

the party shall specifically refer to the pertinent 

evidence contained in the transcript in the appeal brief. 

(2) The FAA decisiornnaker may dismiss an 

appeal, on the FAA decisionmaker's own initiative or upon motion of any other party, where 

a party has f:tled a notice of appeal but fails to 

perfect the appeal by timely filing an appeal 

brief with the FAA decisionmaker. 

(e) Reply brief. Unless otherwise agreed by the 

parties, any party may file a reply brief with tbe 

FAA decisionmaker not later than 35 days after 

tbe appeal brief has been served on that party. 

The party filing the reply brief shall serve a copy 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 

lL+-J...._, I 1--~-L..-. --~---1-1---- _ ---- / __ --~--_.~__ / __ _ 
of the reply brief on each party. If the party relies 

on evidence contained in the record for the reply, 

the party shall specifically refer to the pertinent 

evidence contained in the transcript in the reply 

brief. 

(I) Extension ofthne by agreement of the 

parties. The parties may agree to extend the 

thne for filing a reply brief with the consent of 

the FAA decisionmaker. If the FAA decisionmaker grants an extension of thne to file the 

reply brief, the appellate docket clerk shall 

serve a letter confirming the extension of time 

on each party. 

(2) Written motion for extension. If the parties 

do not agree to an extension of thne for filing a 

reply brief, a party desiring an extension of 

time may fi1e a written motion for an extension 

with the FAA decisionmaker and shall serve a 

copy of the motion on each pa.rty. The FAA decisionmaker may grant an extension if good 

cause for the extension is shovvn in the motion. 

(f) Other briefs. The FAA decisionmaker may allow any person to submit an amicus curiae brief 

in an appeal of an initial decision. A party may 

not file more than one appeal brief or reply brief. 

A party may petition the FAA decisionmaker, in 

\Yriting, for leave to file an additional brief and 

shall serve a copy of the petition on each party. 

The party may not file the additional brief with 

the petition. The FAA decisionmaker may grant 

leave to file an additional brief if the party 

demonstrates good cause for allowing additional 

argument on,the appeal. The FAA decisionmaker 

will allow a reasonable thne for the party to file 

the additional brief. 

(g) Number of copies. A party shall file the original appeal brief or the original reply brief, and 

two copies of the brief, with the FAA decisionmaker. 

Page 21 of23 

Page 21 

(h) Oral argument. The FAA decisionmaker has 

sole discretion to permit oral argument on the appeal. On the FAA decisionmaker's own initiative 

or upon written motion by any party, the FAA decisionmaker may fmd that oral argument will 

contribute substantially to the development of the 

issues on appeal and may grant the parties an opportunity for oral argument. 

(i) Waiver of objections on appeal. !fa party fails 

to object to any alleged error regarding the proceedings in an appeal or a reply brief, the party 

waives any objection to the alleged error. The 

FAA decisionmaker is not required to consider 

any objection in an appeal brief or any argument 

in the reply brief if a party's objection is based on 

evidence contained on the record and the party 

does not specifically refer _to the pertinent evidence from the record in the brief. 

UJ FAA decisionmaker's decision on appeal. The 

FAA decisionmaker will review the record, the 

briefs on appeal, and the oral argument, if any, 

when considering the issues on appeal. The FAA 

decisionmaker may affirm, modify, or reverse the 

initial decision, make any necessary findings, or 

may remand the case for fuJ.Y proceedings that the 

FAA decisionmaker determines may be necessary. 

(1) The FAA decisionmaker may raise any issue, on the FAA decisionmaker's own initiative, that is required for proper disposition of 

the proceedings. The FAA decisionmaker will 

give the parties a reasonable opportunity to 

submit arguments on the new issues before 

making a decision ·on appeal. If an issue raised 

by the FAA decisionmaker requires the consideration of additional testimony or evidence, the 

FAA decisionmaker will remand the case to the 

administrative law judge for further proceedings and an initial decision related to that issue. 

If an issue raised by the FAA decisionmaker is 

© 2012 Thomson Reuters. No Clahn to Orig. US Gov. Works. 

" 
solely an issue oflaw or the issue was ad- ~ 

dressed at the hearing but was not raised by a 

party in the briefs on appeal, a remand of the 

case to the administrative li!W judge for further 

proceedings is not required but may be 

provided in the discretion of the FAA decisionmaker. 

(2) The FAA decisionmaker will issue the fmal 

decision and order of the Administrator on appeal in writing and will serve a copy of the decision and order on each party. Unless a petition for review is filed pursuant to§ 13.235, a 

fmal decision and order of the Administrator 

shall be considered an order assessing civil 

penalty if the FAA decisiomnaker finds that an 

alleged violation occurred and a civil penalty is 

warranted. 

(3) A fmal decision and order of the Administrator after appeal is precedent in any other 

civil penalty action. Any issue, fmding or conclusion, order, ruling, or initial decision of an 

administrative law judge that has not been appealed to the FAA decisiomnaker is not precedent in any other civil penalty action. 

§ 13.234 PetitiDil to reconsider or modify a final 

decision and order of the FAA dec]sio:nmaker on 

appeal. 

(a) General. Any party may petition the FAA decisionmaker to reconsider or modify a fmal decision and order issued by the FAA decision-. 

maker on appeal from an initial decision. A party 

shall file a petition to reconsider or modify with 

the FAA decisiomnaker not later than 30 days 

after service of the FAA decisiomnaker's fmal decision and order on appeal and shall serve a copy 

of the petition on each party. The FAA decisionmaker will not reconsider or modify an initial decision and order issued by an administrative law 

judge that has not been appealed by any party to 

Page 22 of23 

Page 22 

the FAA decisionmaker. 

(b) Form and number of copies. A party shall flle 

a petition to reconsider or modify, in writing, 

with the FAA decisiomnaker. The party shall file 

the original petition with the FAA decisionmaker 

and shall serve a copy of the petition on each party. 

(c) Contents. A party shall state briefly and specifically the alleged errors in the fmal decision 

and order on appeal, the relief sought by the 

party, and the grounds that support, the petition 

to reconsider or modify. 

(1) If the petition is based, in whole or in part, 

on allegations regarding the consequences of 

the FAA decisionmaker's decision, the party 

shall describe these allegations and shall describe, and support, the basis for the a!lega- lions. 

(2) Jfthe petition is based, in whole or in part, 

on new material not previously raised in the 

proceedings, the party shall set forth the new 

material and include affidavits of prospective 

witnesses and authenticated documents that 

would be introduced in support of the new material. The party shall explain, in detail, why 

the new material was not discovered through 

due diligence prior to the hearing. 

(d) Repetitious and frivolous petitions. The FAA 

decisionmaker will not consider repetitious or 

frivolous petitions. The FAA decisiomnaker may 

summarily dismiss repetitious or frivolous petitions to reconsider or modify. 

(e) Reply petitions. Any other party may reply to 

a petition to reconsider or modify, not later than 

10 days after service ofthe petition on that paft';, 

by filing a reply with the FAA decisiomnaker. A 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 

·' 
party shall serve a copy of the reply on each party. 

(f) Effect of filing petition. Unless otherwise 

ordered by the FAA decisiomnaker, filing of a 

petition pursuant to this section will not stay or 

delay the effective date ofthe FAA decisionmaker's fmaLdecision and order on appeal and 

shall not toll the time allowed for judicial review. 

(g) FAA decisiomnaker's decision on petition. 

The FAA decisiomnaker has sole discretion to 

grant or deny a petition to reconsider or modify. 

The FAA decisiomnaker will grant or deny apetition to reconsider or modify within a reasonable 

time after receipt of tb.e petition or receipt of the 

reply petition, if any. The FAA decisiomnaker 

may affrrm, modify, or reverse the fmal decision 

and order on appeal, or may remand the case for 

any proceedings that the FAA decisiomnaker determines may be necessary. 

§ 13.235 Judicial review of a final decision and 

order. 

(a) In cases under the Federal aviation statute, a 

party may seek judicial review of a fmal decision 

and order of the Administrator, as provided in 49 

U.S.C. 46110(a), and, as applicable, in 49 U.S.C. 

4630l(d)(7)(D)(iii), 4630l(g), or 47532. 

(b) In cases under the Federal hazardous materials transportation statute, a party may seek judicial review of a final decision and order of the 

Administrator, asprovidedin49 U.S.C. 5127. 

(c) A party seeking judicial review of a fmal order issued by the Administrator may file a petition for review in the United States Court of Appeals for the District of Columbia Circuit or in 

the United States Court of Appeals for the circuit 

in which the party resides or has its principal 

Page 23 of23 

Page 23 

place of business. 

(d) The party must file the petition for review no 

later than 60 days after service of the Administrator's fmal decision and order. 

END OF DOCUMENT 

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works. 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

Eastern Region 

Regional Counsel 

Telephone: 718 553-3255 

Facsimile: 718 995-5699 

CERTIFIED !VIAlL- RETURN RECEIPT REQUESTED 

Ms. Mar; E. Bochiardy 

1450 Sunset Point Blvd. 

Clearwater, Florida 33755 

Docket No. 2011EA170066 

1 Aviation Plaza 

Jamaica, NY 11434 

FINAL NOTICE OF PROPOSED CIVIL PENALTY 

TAI<:E NOTICE that on February 12, 2013, this office mailed to you a Notice of 

Proposed Civil Penally. An informal conference was held on July 2, 2013. 

This oftlce has received an investigative report from .which it appears that you 

violated the Federal Aviation Regulation(s) by reason of the follov;ing: 

l. On or about June 22, 2011, you v;ere a passenger aboard U.S . 

.[-'\irvvays Flight f-Jo. 738 (hereinafter "the aircraff') fro1n Tan1pa., 

.. ,flo!i~a toPhiladeiphia,Pennsylvcniia (herei!lafter'the flighO. -... ·. 

2. In preparation for flight, all passengers onboard the aircraft were 

advised by ±1ight crewmembers to tum off all electrical devices. 

3. Notwithstanding the above, during the flight, you operated a portable 

electronic device. 

4. Specifically, you operated a cellphone vvhile a ±1ight crewmember 

was providing passengers with a mandatory safety briefing. 

5. Further, during the above-described flight, you interfered with a 

crewmember in the perfonnance of the crewmember's duties aboard 

the aircraft being operated. 
6. Specifically, the flight crewmember that was providing the 

mandatory safety briefing, was required to stop her briefing to 

instruct you to turn off the cellphone. 

7. In addition, the flight crewmember was required to stop her briefing 

and provide notification of your conduct to another crewmember. 

8. When the flight crewmember returned to complete the mandatory 

safety briefing, you were once again operating a cellphone. 

9. The flight crewmember repeated her instruction to you to turn off the 

cellphone. 

10. You responded that you "wrote the rules, and I know what interferes 

and what does not interfere" or words to that etTect. 

11. After the mandatory safety briefing was completed, you were 

instructed by a flight crewmember to refrain from operating the 

cell phone during the flight. 

12. Despite this instruction you operated the cellphone during the flight 

on approximately four (4) additional occasions. 

13. Specitlcally, you sent approximately four (4) text messages during 

the flight. 

By reason of the foregoing, you violated the following section(s) of the Federal 

Aviation Regulations: 

a. Section 121.580, which states that no person may assault, threaten, 

intimidate, or interfere with a crevvmember in the perfonnance of the 

crewmember's duties aboard an aircraft being operated under this part. 

b. Section 121.306(a), which states that except as provided in paragraph (b) 

of this section, no person may operate, nor may any operator or pilot in 

command of an aircraft allow the operation of, any portable electronic 

device on any U.S.-registered civil aircraft operating under this part. 

In accordance w·ith 49 U.S. C. §4630l(a)(5), you are liable for a civil penalty not to 

exceed $11,000 for each violation of the regulations. After revie>ving our 

investigative file, we propose to assess a civil penalty in the amount of $7,700 for 

this violation. 

2 
Unless you mail or personally deliver, in writing, your request for a hearing in this 

matter, on or before fifteen (15) days after you receive this Final Notice, we will 

issue an Order Assessing Civil Penalty and you will have no further right to a 

hearing. If you do not submit a written request for a hearing, you m1:1st pay the 

proposed civil penalty. 

Your request for a hearing must be sent to the Hearing Docket, Federal Aviation 

Administration, 800 Independence Avenue, S.W., Room 924A, Washington, D.C. 

20591, Attention: Hearing Docket Clerk, and a copy must be sent to the undersigned 

FAA attorney. Your request must be dated and signed, in accordance with Section 

13.16 of the Federal Aviation Regulations, sent to you with the Notice of Proposed 

Civil Penalty (14 C.P.R. 13.16). 

You may pay the proposed penalty by submitting a certified check or money order 

payable to the "Federal Aviation Administration," to the undersigned. 

In the alternative, yon may pay yonr civil penalty with a credit card over the 

Internet. To pay electronically, visit the web site at http://www.pay.gov and 

enter the term 'FAA" in the search bar labeled "Search Public Forms" 

located on the left hand side of the screen. After following the link, click on 

"FAA Civil Penalties-FAA Eastem Region.'' You must then enter the abovelisted "Docket Number" under the "Civil Penalties Case Number" and yon 

must then complete the remainder of the requested information. Once yon 

have submitted the requested information yon will be take11 to a page which 

..,.]].,,,. ... ,.,. 'ilY.O.~~ 4-.o. .n.-:t.t... .... ,.,. ,... .... .,.T 1-.."'<T ..,.1A ... +~ ........ ~4'> 4-~9...,....,.£'0-f'-""'= ...,._,. h~r ~~~~1!4- ~i"""~~..ll TJ':lli !il "'-- ,o.a.o:li'V>'V'~ JVU ii.V '«~.il.i,jlti;;j_ _pa.J" VJ ~1~\...IL:iUH.l"'- (.l,Q.Jll;::\l.ii\:.i' Uil UJ 11..-Jlt::Uil! 'l:aJIUo .!'Hi H lUt:: 

requested information in one of these two sections,-and submit to complete 

your payment. 

Alfred R. Jolmson, Jr. 

Regional Cmmsel 

Enclosure (!) 

Option Selection Form 

3 
cc: Greg Reigel, Esquire 

Reigel Law Firm, Ltd. 

Aero Legal Services 

921 Mainstreet 

Hopkins, MN 55343 

4 
Regional Counsel for the Eastern Region Date 

Federal Aviation Administration 

1 Aviation Plaza 

Jamaica, NY 11434 

Ms. Mmy E. Bochiardy- 2011EA170066 

Subject: Final Notice of Prooosed Civil Penaltv 

Response Attachment 

Jn reply to your Final Notice of Proposed Civil Penalty, I elect to proceed as indicated by my check mark beside the numbered 

paragraph below: 

1. (_) I hereby submit the amount of the proposed civil penalty with the understanding tlnt an Order Assessing Civil Penalty will 

be issued in that amount. 

2. U I hereby request a formal hearing in accordance with Section 13.16 of the Federal Aviation Regulations. 

By sending this form to the Federal Aviation Administration, Eastern Region, I also hereby 

certify that a copy of this form has been filed with the Hearing Docket Clerk (Hearing Docket, 

federal Aviation Adrnil1istnution, 800 Independence Avenue, S."\V., Room 92"1A, '\-Vasbington, 

DC 20591, Attention: Hearing Docket Clerk). 

**Please note that you \Vill not be entitled to a l1earing ifvou tile this form with the Federal Aviation Administration. Eastern Region 

WITHOUT having filed this form or a written request for a bearing 1vith the HEARI\!"G DOCKET CLERK. 

MY ATTORNEY/REPRESENTATIVE 

Signature 

Name: 

Address: Firm: 

Home Pho_n_e~Nc-o.------ Address:---------

Business Phone No. ___ _ Phone No_---~----

PRIVACY ACT NOTICE 

This notice is provided in accordance with Section (e)(3) of the Privacy Act, 5 U.S.C. §552a(e)(3), and concerns the information 

requested in the letter or form with which tbis Notice is enclosed. 

A. Authoritv. This information is solicited pursurn1t to 49 U.S.C.l!Ol ~~-.and regulations issued thereunder 

coUifid in Part i3 of Tili10 14 of the Code of FeUer..!! Reguiatium. su·omission o[ rhe tt;!iephone number is 

voluntary~ J:h~ P;;quest_ for jnform:J.tion is in~Cl}ded_to provi_dc yoLt_ \_V(tl1 [111 oppo!Jun~ty to partic.ipllt;.! i1.1 the 

investigation. 

B. Principal Pumose. The requested infOrmation is intended to assist us in contacting you regarding this 

enforcement case. 

C. Routine Uses. Records from this system of records may be disclosed in accordanc~; with the routine uses as 

they appear in System of Records No. DOT/FAA 847 as published from time to time in the Federal Re2ister. 

D. Effect ofFailL;re to Respond. If you do not provide the requested information, there may be delay in contacting 

you regarding this enforcement case. 
ru 

D 

D 

D 

0 

ru 

"' D 
····-----------------------

Office of the Regional Counsel 

Federal Aviation Administration 

1 Aviation Plaza 

Jamaica, NY 11434 

Date :'11ntu::z(LJ 0_2ol4 C\ 

Mary E Bcchia.-dy- 2012EA170066 

Subject: Notice of Proposed Civil Penalty 

In reply to xour Notice of Civil Penalty, I elect to prnceed as indicated by my check mark: beside the numbered ~g§Ph below: 

l. [ J 1 hereby submit the amount 2. [ ] I have paid the proposed civil 3 .. WI hereby submit evidence 4 [ ] I hereby submit mfonnat10n and records I 

of the proposed civil peualty with penalty with a credit card over the and information, demonstrating showmg that I am financ1ally unable to pay the 

the understanding that au order Internet at the following website: that a violation of the regulations proposed c1v1l penalty, or that payment of the penalty j 

! assessing a civil penalty will be "l'CflYi.DaY.!'-!lV. I also understa..J.d that did not occur or that the amollilt of would prevent me from continuing in business. 

' issued in that amount wit~out an order assessing civil penalty will be the penalty is not warranted by the i 

further notice. I AlSO issued in the amount without furtber circumstances. 

UNDERSTA1'-IDTHATIM1 notice. IALSOUNDERSTA:"\fD 

WAIVING !Vfi RlGHT TO A TF..A T I AM W AIVJNG MY RIGHT 

HEARJNG. TOAHEARING. I 

5. [ ] I hereby request that a civil 

penalty be assessed in the amount 

of$ and I submit the 

reasons for the reduction. My 

request constitutes my agreement 

that if thi.s offer is accepterl by the 

FAA, an order assessing civll · 

penalty in the amount I have 

specified may be issued without 

further notice. I>.f"_{ REQUEST 

ALSO CO'NSTII1JTES l\if'{ . 

AGREE!'.IEJ'.IT THAT I HAVE 

WANED l\if':{ RIGHT TO A 

HEARJNG IF MY OFFER IS 

ACCEPTED. IF THE fAJt 

, DOES NOT ACCEPT THl5 

OFFER, HOWEVER, MY 

RIGHT TO A HEA.RlliG IS NOT 

AFFECTED. 

6. a. [ ] I hereby request a telephonic 

informal conference to discuss this 

matter 'With an FAA attorney. (An 

attorney will call you at the telephone 

number you provide here: 

( ) . You will be 

prov:ided at least 2 weeks advance 

notice of the date and time of this 

confe~ce.} NOTE: If you choose· to 

discuss tl-.is matter informally by 

telephone, you should provide any 

dccuments or oL':u:r :info:rnJ.Etion you 

-wish to h<rve considered on your 

behalfbefore the date of the informal 

con&--rence. 

b. [ ] I hereby request an in-per.;on 

informal conference w!th an F P....A. 

attorney to discms this ll'..Utt<:r .at 

(choose an FAA office from the 

attached list). 

c. [ ] I hereby reqnest an in-person 

informal conference with an FAA 

attorney to discuss this matter at. · 

I am requesting an in-person infonnal 

conf~=e at this location 

bcrrullie, __________________ _ 

have also indicated an alternate 

location frnm the attached list llilder 

item 6.b. in the event the FM is 

1ll1Lil.ble to grant my req"!J.I!St 1mder this 

option. 

7. btQ I hereby TP..quest that the 

FAA lmpose a civil penalty wid10ut 

making findings of violations, and 

submit my reasons. My request 

constitutes my agreement that if 

tlris offer is acc~ted, a 

compromise order will be issued in 

the amount set forth in the Notice 

of Proposed Civil Pe.nalty. NrY 

REQUEST ALSO CONSTITUTES 

f.f'{ AGREENIENT THAT IF 

TillS OFFER IS ACCEPTED, I 

HAVE WAIVED Nrt- RIGID 70 

AHEARJNG. 

3 

8. X I hereby request a 

hearing in acC"orda.nce with 

Subpart G of Part 13 of the 

Federal Aviation Regulations 

with the understanding that a 

Complillnt will be fJed. 1 

r?quest that the h~g be 

held in -'T?NlP.A .':H-... I am 

sending this request OOth to 

the F .A.A attorney at l 

A v:iation Plaza 

Jamaica, ~'Y 11434, and to 

the Hearing Docket, Federal 

Aviation Administration, 800 

Independence Avenue, SW., 

Room 924A, Washington, 

DC 2059 l, Attention: 

Hearing Dockct Clef'£ 

9. [ ] lhoreby 

claim entitlement to 

a waiver ofpep...alty 

under the Aviation 

Safety Reportic'lg 

Program and 

enclose evidence 

that a timely report 

was £led. As to the 

allegations of fact 

and violations ~~ 

!~ I request tlu!t 

),>'an order assessing 

civil penalty with 

wai¥er of penult'; be 

issued and l waive 

my right to a 

hea..-ing. 

M I request a 

fearing in this 

matter in 

accordance with 

parugraph 8, above. 

J