# RECEIVED
U.S. DEPARTMENT OF TRANSPORTATION OFFICE OF HEARINGS 

# FEB 242014 HEARING DOCKET WASHINGTON, D.C.

In the Matter ofMary 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-FiledAppeal. The basis for this motion is as follows: 1. 

### On January 17, 2014, the Agency filed a copy ofthe Respondent's Request for a Hearing, a Notice ofAppearance, 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. OnFebruary 14,2014, the Agency received Respondent's response.

1 

### Respondent indicates that she did not begin to prepare herresponse 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. OnFebruary 12, 2013, Respondent was provided with a copy ofthe Rules ofPractice in FAA Civil Penalty Actions contained in Subpart G of 14 C.F.R. § 13 with the Notice ofProposed Civil Penalty. See Exhibit B. b. On October 29, 2013, Respondent was directed to 14 C.F.R. § 13.16 to inform her abouthow 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]" ofthe 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 ofPart 13 2• 

### 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 NotProffered 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, FAA-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 ofthat 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 anyjustification or explanation for the delayed response. "Absent good cause, time periods under the Ru1es of Practice are to be strictly construed." In the Matter ofEvans 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." Id. 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 ofAce Pilot Training, FAA-2002-11975 (2005). See also In the Matter ofAviation Resources, Inc., FAA-2002-11515 (2002). As a result ofthe 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 ofAlpine 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 ofher 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 ofthe above reasons and for the reasons previously set forth inthe Agency's Jaimary 17, 2014 motion to dismiss, the Agency respectfully requests that the Agency's motionto 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

### CERTIFICATEOF SERVICE



### I hereby certify that onthis 

# d/ 5.!:. day ofFebruary, 2014, copies ofthe 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 ofHearings, M-20 U.S. Department ofTransportation 1200 New Jersey Avenue, S.E. (Ell-310) Washington, DC 20590
Ms. Mary E. Bochiardy 1450 Sunset Point Blvd. Clearwater, Florida 33755

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Paralegal Specialist Federal Aviation Administration Office ofRegional Counsel 1AviationPlaza Jamaica, NY 11434

5February 20,2014
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## ;'i**;;~**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. MaryE. Bochiardy 1450 Sunset Point Blvd. Clearwater, Florida 33755

DocketNo. 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 Avialion Regulation(s) byreason ofthe 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 offall 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 safetybriefing. 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 ofyour conduct to another crewmember.

## 8. When the flight crewmember returned to complete the mandatory safety briefmg, you were once again operating a cellphone. 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" orwords 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 ofthe foregoing, you violated the following section(s) ofthe 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 operatedunderthis part. b. Section 121.306(a), which states that except as provided in paragraph (b) ofthis section, no person may operate, nor may any operator or pilot in com_rnand ofan aircraft allow the operation of, any portable electronic device on any U.S.- registered civil aircraft operating underthis 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 ofthe regulation(s). Additionally, in accordance with 49 U.S.C. 46318, you are liable for a civil penalty ofnot more than $27,500 for each violation ofthe 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 inresponding 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 onthe enclosed information form on orbefore thirty (30) days after you receive this Notice. Ifyou fail to submit your choice within that time, you will have no further right to participate in the informal procedures.
AlfredR. 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

3INFORMATION KEGARDING CIVIL PENALTIES UNDER TITLE 49 U.S.L. SECTION 4630I
Under 49 U.S.C §46301, any person who violates pet1inent provisions of49 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 ofthe 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 ofthese 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 ofthe 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 ofeach option is set forth below. 1. You may submit the amount ofthe civil penalty specified in the notice by certified check ormoney orderpayable to the "Federal Aviation Administration" to the Office ofAccounting 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 ofthe 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 ofthese 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. SUBMmiNGTHE AMOUNT OF CIVIL PENALTY ALSO CONSTITUTES YOUR AGREEMENT THAT YOU WAIVE YOUR RIGHT TO AHEARL'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 theproposed civil penalty. Information provided will be considered in detennining whether a civil penalty should be assessed or imposed and the amount ofany such civil penalty. This infonnation maybe submitted in conjunction with a request for an informal conference under paragraph 6. Choosing this option willnot affectyourright to ahearing, unless you also electparagraph 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 wouldprevent you from continuing inbusiness. Choosingthis option will not affect yourtight to ahearing, 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. 

### ifyou 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. Ifthe 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 FA.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 ofthe following locations: an FAA regional office; the FAA Aeronautical Center in Oklahoma City; or FAA Headquarters in Washington, DC. A list ofthe 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 ofthe offices on the Informal Conference Location list will be granted, regardless ofwhether the office you choose is the office thatissued the notice to whichthis information sheet is attached.
Ifyou 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) ofFAA Order No. 2150-38provided 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 ofbusiness.
VVhen conditions (1) and (2) are not present, the case will be transfeiTed to the office you request for purposes ofthe infonnal conference only. Moreover, the office receiving the case only for purposes ofthe informal conference will consult and coordinate with the officethat issued the noticebefore settling orotherwise disposing ofthe case after the infonnal conference.
You also mayrequest an in-person infonnal conference at an FAA office other than those on the Infonnal Conference Location list Ifyou 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 ofunusual 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 ofthe 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 otherthan those on the list, choose option 6.c.
Ifyou 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 conferencewill not affect yourright 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 theproposed action. Any additional infmmation you submit will be given our careful consideration. Since the attached letter maybecome a part ofthepubliclyavailable records, you may wish to submit a letter whichwould be included inthese 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. Ifthe FAA accepts your offer, yourrequest 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 ofthe FAR. Your request must be dated and**sigu~d.** Ifyou request a hearing, a Complaint will be filed and an administrative lawjudge 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 ofproof. At the conclusion ofthe 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. Ifeither party, the agency or you, is dissatisfied with thejudge's decision, that pmty can appeal thejudge's decision to the FAA decisionmaker. Ifyou are dissatisfied with the FAA decisionmaker's decision, you may seekreview ofthe FAA decisionmaker's decision in the United States CoUJts ofAppeals.
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 attorneyhandling this case at the address indicated below. 9. Ifyou 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 ofentitlement to a waiver ofpenalty 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 ofany civil penalty. Following issuance ofthe 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 ofcompetency orqualificationto be the holder ofa certificate;

c. You have not paid a civil penalty pursuant to 49 U.S.C. §§ 46301, 5<! .§.m. (formerly Section 901 ofthe Federal Aviation Act), or been found in any prior FAA enforcement actionto 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 ofthe incident or occurrence to NASA under the Aviation Safely Reporting Program.
All correspondence in this matter shouldbe forwarded to the Office ofthe Regional Counsel Federal Aviation Administration 1Aviation Plaza Jamaica, NY 11434
Yourresponse to the Notice ofProposed Civil Penalty may be delivered personallyto 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 ofrecords may be disclosed in If you do not provide the thereunder, codified in Part 13 of Title 14 ofthe 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 timeto time in the fedeml Register. investigation.

2Office ofthe Regional Counsel Federal Aviation Administration 1Aviation Plaza Jamaica, 'NY 11434 Date

Mary E Bochiardy- 20 12EA170066 Subject: Notice ofProposed Civil Penalty In reply to yourNotice ofCivil Penalty, I elect to proceed as indicated b my check markbesidethe numberedparagr'!'Qll below: l. [ ] Ihereby submit the amount 2. [ ] I have paid the proposed civil 3. [ ] I hereby submit evidence 4. [ ] I hereby submit information and records ofthe proposed civil penalty with penalty with a credit card overthe and infonnation, demonstrating showing that I am financially unable to paythe the understanding that an order Internet at the following website: that a violation ofthe regulations proposed civil penalty, orthat payment ofthe 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 inbusiness. 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 IAM WANING NlYRIGHT HEARJNG. TO A HEARJNG.
5. [ 

### JIhereby 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 penaltybe assessed in the amount infonnal conferenceto discuss this FAA impose a civilpenalty without hearing in accordance with claim entitlement to of$ and I submit the matter with an FAA attorney. (An making findings ofviolations, and Subpart G of Part 13 of the a waiverofpenalty reasons for the reduction. My attorney will call you at the telephone submit my reasons. Myrequest Federal Aviation Regulations underthe Aviation request constitutes my agreement numberyou provide here: constitutes my agreement that if with the understanding that a Safety Reporting that ifthis offeris accepted by the ( ) You will be this offeris accepted, a Complaint will be filed. I Program and FAA, an orderassessing civil provided at least 2 weeks advance compromise order will be issued in request that the hearing be enclose evidence penalty intheamount I have notice ofthe date and time ofthis the amount set forth in the Notice held in I am that a timely report specified maybeissued without conference.) NOTE: Ifyou choose to ofProposed 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 offact 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 MYRIGHT TO A wish to have considered onyour HAVE WANED MY RIGHT TO the Hearing Docket, Federal [ ] I request that HEARING IF MY OFFERIS behalfbefore the date ofthe 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. [ ] Ihereby request an in-person Room 924A, Washington, waiver ofpenaltybe OFFER, HOWEVER, MY informal conference with an FAA DC 20591, Attention: issued and I waive RIGHTTO A HEARJNG IS NOT attorney to discuss this matter at Hearing Docket Clerk. my right to a AFFECTED. hearing.

-- (choose an FM office from the attached list). [ ] I request a c. [ 

### JIherebyrequest an in-person hearing inthis informal conference with an FAA matterin 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 analternate location from the attached list under item 6.b. in the event the FAA is unable to grant my request underthis option. MY ATTORNEY/REPRESENTATIVE Name: Finn: Mary E. Bochiardy DATE Address: Address Phone No. Home Phone No. Business Phone 't'-!o.



### 3AERONAUTICAL CENTER Federal Aviation Administration FAA LEGAL COUNSEL OFFICE LOCATIONS FOR INFORMAL CONFERENCES
ALASKA REGION Federal Aviation Administration Office ofthe Regional Counsel (AMC-7) Room 251 Office ofthe 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 ofthe Regional Counsel (AEA-7) Office ofthe 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 ofthe Regional Counsel (ANM-7) Office ofthe 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 ofthe Regional Counsel (AWP-7) Office ofthe ChiefCounsel 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 ofthe Regional Counsel (ACE-7) Central Region Headquarters 901 Locust Room 506 Kansas City, MO 64106-2641
NEW ENGLA>'ID REGION Federal Aviation Administration Off1ce oftheRegional Counsel (ANE-7) New England Region Headqumters 12 New England Executive Park, Room 311 Burlington, MA 01803 SOUTHWESTREGION Federal Aviation Administration Office ofthe Regional Counsel (ASW-7) Southwest Region Headquarters 2601 Meacham Boulevard Ft. Worth, TX 76193-0007 EUROPE, AFRICA & MIDDLE EAST FAA/American Embassy Office ofthe Assistant ChiefCounsel (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~**

# Westlaw

Code ofFederal Regulations Currentness

Title 14. Aeronautics and Space

Chapter 

### I. Federal Aviation Administration, Department ofTransportation

SubchapterB. Procedural Rules

Part 13. Investigative and Enforcement Procedures (Refs & Annas)

.,. Subpart G. Rules ofPractice in FAA Civil Penalty Actions (Refs & Annas) 

### § 13.201 Applicability.

(a) This subpart applies to all civil penalty ac· lions initiatedunder§ 13.16 ofthis 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 otherproceedings pending or inprogress before September

### 7, 1988, are not affected by the rules in tois subpart.



### § 13.202 Definitions.

Administrative lawjudge means an administrat· ive lawjudge appointedpursuantto the provisions of5 U.S.C. 3105. Agency attorney means the Deputy ChiefCou.l'1- sel for Operations, the Assistant ChiefCounsel, Enforcement, the Assistant ChiefCounsel, Europe, Africa, and Middle East Area Office, eachRegional Counsel, the Aeronautical Center Counsel, orthe Technical Center Counsel, or an attorney on the staffofthe Assistant ChiefCoun· sel, Enforcement, the Assistant ChiefCounsel, Europe, Africa, and Middle East Area Office, each Regional Counsel, the Aeronautical Center Counsel, orthe Technical Center Counsel who prosecutes a civil penalty action. An agency attorney shall notinclude: 

# Page 1 of23

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(1) The ChiefCounsel, the Deputy ChiefCounsel for Policy and Adjudication, orthe Assistant ChiefCounsel for Litigation; (2) Any attorney on the staffofthe Assistant ChiefCounsel 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 ofColumbia, or a territory ofthe United States to practice law or appear before the courts ofthat state or territory. Complaint means a document issuedby an 

### agency attorney alleging aviolation ofaprovision ofthe Federal aviation statute listed in the frrst sentence of49 U.S.C. 4630l(d)(2) or in 49 U.S.C. 47531, or ofthe Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, 

### or arule, regulation, or order issued under those statutes, thathas been filed with the Hearing Docket after a hearing has beenrequestedunder § 13 .16(t)(3) or (g)(2)(ii) ofthis part. FAA decisionmaker means the Administrator of the Federal Aviation Administration, acting in the capacity ofthe decision.'!la.'<:er on appeal, or any personto whomthe Administratorhas 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 ofthe Administrator 

### in a civil penalty action. Mail includes U.S. certified mail, U.S. registered mail, or use ofan overnight express courier service. Order assessing civilpenalty means a document that contains a finding ofa violation ofa provi· sian ofthe Federal aviation statute listed in the

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works.rrrst sentence of49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or ofthe Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, or a rule, regulation or order issuedunderthose statutes, and may directpayment ofa civil penalty. Unless an appeal is filed withthe FAA de

### cisionmaker in atimely manner, an initial**de~.,·** cision or order ofan administrative lawjudge shallbe considered an orderassessing civil penalty ifan administrative lawjudge fmds that an alleged violation occurred and determines that a civilpenalty, in an amount found appropriate by the administrative lawjudge, is warranted. Unless a petition for review is filed with aU.S. CourtofAppeals in 

### a timely ma:JL'ler, 

### afmal decision and order ofthe 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. Partymeans the respondent orthe Federal AviationAdministration (FAA). Personal delivery includes hand-delivery oruse ofa 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 ofthese documents permitted under this subpart. Properly addressed means a document 

### that shows an 

### address contained in 

### agency 

### records, aresidential, business, or other address submitted by a person on any documentprovided under this subpart, or any other address shown by other reason-. able and available means. 

### Respondent means aperson, corporation, or companynamed in a complaint.


### § 13.203 SeparatiolJ! offilmctions.

(a) Civil penalty proceedings, including bearings, shall be prosecuted by an agency attorney. 

# Page 2 of23

Page2

(b) An agency employee engaged in the perform

### ance ofinvestigative 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 lawjudge or by the FAA decisionmaker on appeal, except as counsel or a witness inthe public proceedings.
(c) The ChiefCounsel, the Deputy ChiefCounsel for Policy and Adjudication, and the Assistant ChiefCounsel for Litigation, or 

### an attorney on the staffofthe Assistant ChiefCounse1 for Litigation will advise the FAA decisionmaker regard

### ing an initial decision or any appeal ofa civil penalty action to the FAA decisionmaker.



### § 13.204 Appearances and rights ofparties.

(a) Any party may appear andbe heard in person.
(b) Any party may be accompanied, represented, 

### or advised by an attorney or representative designated bythe party and may be exarnined by that attorney orrepresentative in any proceeding governed by this subpart. An attorney or representat

### ive who 

### represents aparty may file anotice of 

### appearance 

### in the action, in

### the manner 

### provided in§ 13.210 ofthis subpart, and shall serve a copy 

### ofthe notice 

### ofappeara1J.ce 

### on each pa.."*iy, it'1**L~e** mannerprovidedin§ 13.211 ofthis subpart, before participating in any proceeding governed by this subpart. The attorney orrepresentative shall include the name, address, andtelephone number ofthe attorney or 

### representative in 

### the notice of 

### appearance.
(c) Any personmay request a copy ofa document 

### upon payment ofreasonable costs. A person may keep an original document, data, or evidence, with the consent ofthe administrative lawjudge, by substituting a legible copy ofthe document for the record.

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

## ' " 

### § 13.205 Adlllinistrative law

### judges. (a) Powers ofan administrative lawjudge. In accordance with the rules ofthis subpart, an admin

### istrative lawjudge may:

(1) Give

### n~tice of, and hold, prehearing confer

### ences and hearings;
(2) Administer oaths and affirmations;
(3) Issue subpoenas authorized by law and issue notices ofdeposition requested by the parties;
(4) Rule on offers ofproof;
(5) Receiverelevant and material evidence;
(6) Regulate the course ofthe hearing in accordance with the rules ofthis subpart;
(7) Hold conferences to settle orto simplify the 

### issues by 

### consent ofthe parties;
(8) Dispose ofprocedural motions andrequests; and
(9) Make fmdings offact and conclusions of 

### law, and issue an initial decision.
(b) Limitations on the power ofthe administrative lawjudge. The administrative lawjudge shall 

### not issue an order ofcontempt, award costs to any party, or impose any sanctionnot specified in this subpart. Ifthe administrative lawjudge imposes any sanction not specified inthis subpart, a party may file an interlocutory appeal ofright with the FAA decisionmaker pursuantto 

### § 13.219(c)(4) ofthis subpart. This section does not 

# Page 3 of23

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preclude an administrative lawjudge 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'himselfor herselfat any time. A party may file a motion, pursuantto 

### § 13.218(!)(6), requesting that an administrative lawjudge 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, amotion for leave to 

### intervene shall be submittednot later than 10 days before the hearing.
(b) Ifthe administrative lawjudge fmds that in

### tervention 

### 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 boundby 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 bythe parties. The administrative lawjudge may determine the extent 

### to 

### which a..TJ. 

### i.'ltervenor may pa..Tticipate i.11 

### the proceedings.

§ 

### 13.207 Certification ofdocuments.

(a) Signature required. The attorney ofrecord, the party, orthe party's representative shall sign each document tendered for filing with the hearing docket clerk, the administrative lawjudge, the FAA decisionmaker on appeal, or served on each party.
(b) Effect ofsigning a document. By signing a



### © 2012 ThomsonReuters. No Claim to Orig. US Gov. Works.



### ,,

### document, the attorney ofrecord, the party, orthe party's representative certifies that the attorney, the party, orthe party's representative has read the document and, based on reasonable inquiry andto the best ofthat person's knowledge, information, and belief, the document is--



### (1) Consistent with these rules;
(2) Warranted by existing law orthat a good 

### faith argument exists for extension,**rnodifica~** 

### tion, or reversal ofexisting law; and
(3) Not unreasonable or unduly burdensome or 

### expensive, notmade to harass any person, not made to cause unnecessary delay, not made to cause needless increase 

### in the cost ofthe pro

### ceedings, or for any other improper purpose.
(c) Sanctions. 

### lftbe attorney ofrecord, the party, or the partis representative signs a document in 

### violation ofthis 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 ofthis sec

### tion andpreclude further discovery by the party;
(3) Deny the motion orrequest signed in violation ofthis 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 bythe party 

# Page 4 of23

Page4

who filed the appeal until an initial decision has been entered on the record; or
(6) Dismiss the appeal ofthe administrative lawjudge's initial decision to the FAA de

### cisionmaker.

§ 13.208 Complaint.

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

### hearing dOcket clerk, ormay file awritten motion pursuant to§ l3.218(f)(2)(i) ofthis SJ}bpart instead offiling a complaint, not later than20 days after receiptbythe agency attorney ofarequest 

### 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 ofthe complaint on the respondent, the president ofthe corporation or company 

### named as arespondent, or 

### aperson des

### ignatedby the respondentto accept service of documents in the civil penalty action.
(c) Contents. A complaint shall set forth the facts alleged, any regulation allegedly violatedby the respondent, and the proposed civil penalty in sufficient detail to provide notice ofany factual or legal allegation and proposed civil penalty.
(d) Motion to dismiss allegations or complaint. Instead offiling an answer to the complaint, arespondent may move to dismiss the complaint, or that part ofthe complaint, alleging a violation 

### that occurred on or after August 2, 1990, and more than 2 years before an agency attorney is

### sued anotice ofproposed civil penalty to therespondent.

© 

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

### (I) An administrative lawjudge may not grant the motion·and dismiss the complaint or part of the complaint ifthe administrative lawjudge fmds that the agency has shown good cause for any delay in issuing the notice ofproposed civil penalty.
(2) If

### the agency fails to show good cause for any delay, an administrative lawjudge may dismiss the complaint, orthat part ofthe complaint, alleging a violationthat occurred more than 2 years before an agency attorney issued the notice ofproposed civil penalty to therespondent.
(3) A party may appeal the administrative law judge's ruling on the motion to dismiss the 

### complaint orany part ofthe complaint in accordance with§ l3.219(b) ofthis subpart.



### § 13.209 

### Answer.

(a) Writing required. A respondent shall file a written answerto the complaint, or may file a 

### written motionpursuant to § 13.208(d) or§ 13.218(1)(1-4) ofthis subpart instead offiling an answer, not later than 30 days after service ofthe complaint. The answer may be inthe form ofa letterbutmustbe 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 ofthe answer for filing with the hearing docket clerk, not later than 30 days after service ofthe complaint to the Hearing Docket at the appropriate address set forth in§ 13.210(a) ofthis subpart. The person filing an answer should suggest a location for the bearing when filing the answer. 

# F'age 5 

# of23

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(c) Service. A person filing an a11swer shall serve a copy ofthe 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 abriefstatement ofany reliefrequested in the answer.
(e) Specific denial ofallegations required. A personflling an answer 

### shall admit, deny, or state that the person is without sufficient knowledge or 

### information to admit or deny, each numbered paragraph ofthe complaint. Any statement orallegation contained inthe complaint thatis not specifically denied in the answermay be deemed an admission ofthe truth ofthat 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 shallbe deemed an admission ofthe truth ofeach allegation contained inthe complaint.



### § 13.210 

### Filing ofdocuments.

(a) Address and method offiling. A person tendering a document for filing shall personally deliver ormail 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) Ifdelivery 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 offiling. A document shall be consideredto be filed onthe date ofpersonal delivery; or ifmailed, the mailing date shown on the 

### certificate ofservice, the date shown on the postmark ifthere is no certificate ofservice, or other mailing date shown by other evidence ifthere is 

### no certificate ofservice or postmark.
(c) Form. Each document shall be typewritten or legibly handwritten. ·•
(d) Contents. Unless otherwise specified inthis subpart, each document must contain a short, plain statement ofthe facts on which the person's 

### case rests and abriefstatement ofthe action requested in the document.
(e) Internet accessibility ofdocuments filed inthe Hearing Docket.

(I) Unless protected from public disclosure by an order ofthe ALJunder§ 13.226, all documents filed in the Hearing Docket are accessible through the Federal DocketManagement 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 issuedby the Administrator in civil penalty cases, indexes ofde

### cisions, contact information for the FAA HearingDocket and the administrative lawjudges, the rules ofpractice, and other information are available onthe FAA civil penalty adjudication Web site at: http://www.faa.gov /about/office_ orglheadquarter 

# Page 6 of23

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s offices/age/ pol_adjudication/AGC400/Civil]enalty.



### § 13.211 Service ofdoclHnelllts.

(a) General. A person shall serve a copy ofany document filed with the Hearing Docket on each party at the time offiling. Service on a party's attorney ofrecord or a party's designated represent

### ative may be considered adequate service on the party.


### (b) Type ofservice. A person may serve documents by personal delivery orby mail. 

### ' (c) Certificate ofservice. A personmay attach a certificate ofservice to a document tendered for filing with the hearing docket clerk. A certificate 

### ofservice shall consist ofa statement, dated and signedby the person filing the document, that the document was personally delivered ormailed to each party on a specific date.
(d) Date ofservice. The date ofservice shallbe the date ofpersonal delivery; or ifmailed, the mailing date shown on the certificate ofservice, 

### the date shown on the postmark ifthere is no certificate ofservice, or other mailing date shown by other evidence 

### ifthere is no certificate ofservice orpostmark.
(e) Additional time after service by mail. Whenever a party has a right or a duty to act orto 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 lawjudge. The administrative lawjudge shall serve a copy of each document including, butnot limited to, no-

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

## ' " 

### tices ofprehearing conferences andhearings, rul

### ings on motions, decisions, and orders, upon each party tothe proceedings by personal delivery or bymail.
(g) Valid service. 

### A document that was properly 

### addressed, was sent 

### in accordance 

### with this subpart, and that was returned, that was not claimed, orthat was refused, is deemedto have been served in accordance with this subpart. The service shall be considered valid as ofthe date and the time that the document was deposited with a 

### contract or express messenger, the document was mailed, or personal delivery ofthe documentwas refused.
(b) Presumption ofservice. There shall be a pre

### sumption ofservice where aparty or aperson, who customarily receives mail, or receives 

### it in the ordinary course ofbusiness, at either the per

### son's residence or the person's principal place of business, acknowledges receipt ofthe document.



### § 13.212 Cm11putation oftime.

(a) This section applies to any period oftime prescribed or allowed by this subpart, by notice or order ofthe administrative lawjudge, orby any 

### applicable statute.
(b) The date ofan act, event, or default, after which a designated time period begins to run, is not included in a computation oftime under this subpart.
(c) The last day ofa time periodis included in a 

### computation oftime unless it is a Saturday, Sunday, or a legal holiday. Ifthe last day ofthe time period is a Saturday, Sunday, orlegal holiday, the time period runs until the end ofthe next day that is not a Saturday, Sunday, or legal holiday. 

# Page 7 of23

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### § 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 lawjudge shall grant one extension oftime to each party. The party seeking the extension oftime shall submit a draft orderto the administrative lawjudgeto be signed by the administrative lawjudge and filed with the hearing docket clerk. The administrative lawjudge 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 oftime with the admirlistrative lawjudge notlaterthan 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 oftime shall serve a copy ofthe motion on each party. The administrative law judge may grant the extension oftime ifgood cause for the extension is shown.


### (c) Failure to rule. ifthe administrative lawjudge 

### fails to rule on a written motion for an extension oftime by the date the documentwas due, the motion for an extension oftime is deemed gran

### tedfor nomore than 20 

### days after the original date the documentwas to be filed.

§ 13.214 Amendm·entofpiearlings.

(a) Filing and service. A 

### party shall file the amendment with the administrative lawjudge and shall serve a copy ofthe 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 laterthan 

### 15 days before the scheduled

© 

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



## '' n**'~** _1 -;t D

___ _ .n.._TTdate ofa hearing, a party may amend a complaint or an answer without the consent ofthe administrative lawjudge.
(2) Less than 15 days before the scheduled date ofa hearing, the administrative lawjudgemay allow amendment of

### a complaint or an answer only for good cause shown in a motionto amend.
(c) Responses. The administrative lawjudge shall allow areasonable time, butnot more than 20 days from the date offiling, for otherparties to 

### respond if

### an amendment to a complaint, answer, or other pleading has been filed with the administrative lawjudge.



### § 13.215 Withdrawal ofcomplaint 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 ofthe administrative lawjudge. If

### an agency attorney withdraws the complaint or a party withdraws the request for a hearing andthe answer, the administrative lawjudge shall dismiss the proceedings under this subpart withprejudice.


### § 13.216 Waivers.

Waivers ofany rights providedby statute or regulation shall be in writing orby stipulation made 

### at ahearing and entered into the record. The parties shall set forth the precise terms ofthe 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 ajointprocedural or discovery schedule, one ofthe parties shall file thejoint schedule with the administrative lawjudge, setting forth the dates to which the parties have agreed, and shall serve a copy ofthejoint schedule on each party.

(1) Thejoint 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 ofprehearing motions, responses to prehearing motions, exchange ofexhibits to be introduced at the hearing, and alist ofwitnesses that may be called at the hearing.


### (2) Each party shall sign the originaljoint schedule to be filed withthe administrative law judge.
(c) Time. The parties may agree to submit all prehearingmotions and responses and may agree to close discovery in the proceedings under thejoint schedule 

### within a reasonable time before the date ofthe hearing, butnot laterthan 15 days before the hearing.
(d) Order establishingjoint schedule. The administrative lawjudge shall approve thejoint schedule filed by the parties. One party shall submit a draft order establishing ajoint schedule to the administrative lawjudge to be signed by the administrative lawjudge and filed withthe,hearing docket clerk.
(e) Disputes. The admh-llstrative lawjudge shall resolve disputes regarding discovery or disputes

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works.regarding compliance with thejoint schedule as soon as possible so that the parties may continue to comply with thejoint schedule.


### (f) Sanctions for failure to comply withjoint schedule. Ifa party fails to comply with the administrative lawjudge's order establishing ajoint schedule, the administrative lawjudge may direct thatparty to comply with a motion to discovery request or, limitedto the extent ofthe party's fail

### ure to comply with a motion or discovery request, the administrative lawjudge may:

(!) Strike thatportion ofa party's pleadings;
(2) Preclude prehearing or discovery motions by thatparty;
(3) Preclude admission ofthat portion ofa 

### party1s evidence at the 

### hearing, or
(4) Preclude that portion ofthe testimony of that party's witnesses atthe 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 ofthis section when filing a motion with the administrative lawjudge. A party shall serve a copy ofeachmotion on eachparty.
(b) Form and contents. A party shall state thereliefsoughtbythe motion and the particular grounds supporting that relief. Ifa party has evidence in support ofa motion, the party shall attach any supporting evidence, including affidavits, to the motion. 

# Page 9 of23

Page 9

(c) Filing ofmotions. 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 bemade orally on the record unless the administrative lawjudge directs otherwise.
(d) Answers to motions. Any party may file an 

### answer, with affidavits or other evidence in support ofthe answer, n9t later than I0 days after 

### service ofa written motion on that party. When a 

### moti_sm is made during ahearing, t.'l)_e answer may be made at the hearing onthe record, orally or in 

### writing, 

### within areasonable time determined

### by the administrative lawjudge.
(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 laterthan·7 days beforethe hearing. If 

### t.1J.e administrative lawjudge issues aruling 

### or order orally, the administrative lawjudge shall serve a written copy ofthe ruling or order, within 3 days, on each party. In all other cases, the administrative Jaw judge shall issue rulings and orders inwriting and shall serve a copy of the 

### ruling ororder on each party.
(3) Motions made during the bearing. The administrative lawjudge may issue rulings and 

### orders on motions made during the hearing orally. Oralrulings 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 lawjudge:

(1) Motion to dismiss for insufficiency. Arespondent may file a motion to dismiss the complaint for insufficiency instead offiling an answer. Ifthe administrative lawjudge denies the motion to dismiss the complaint for insufficiency, the respondent shall file an answer not later than 10 days after service ofthe administrative lawjudge's denial ofthe motion. A motionto dismiss the complaint for insufficiency must show that the complaint fails to state a vi

### olation ofa provision ofthe Federal aviation statute listed

### iTl the flrst sentence in 49 U.S.C. 

### 4630l(d)(2) orin 49 U.S.C. 47531, or any implementing rule, regulation, or order, or a violation ofthe 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 amotionto dismiss, specifyingthe grounds for dismissal. If

### an administrative lawjudge grants a motion to dismiss in part, a party may appeal the administrative lawjudge's ruling on the 

### motionto dismiss under§ !3.219(b) ofthis subpart.
(i) Motion to dismiss arequest for a hearing. An agency attorney may file a motion to dismiss arequest for a hearing instead offiling a complaint. Ifthe motion to dismiss is not granted, the agency attorney shall file the complaint and shall serve a copy ofthe complaint on each party not later than I0 days after service ofthe administrative lawjudge's ruling or order on the motion to dismiss. Ifthe motion to dismiss is granted and the proceedings are terminated without a hearing, the respondent may file an appealpursuant to § 

### 13.233 ofthis subpart. If required bythe decision on appeal, the agency attorney sball file a complaint and shall serve a 

# Page 10 of23

Page 10

copy ofthe complaint on each party not later than 10 days after service ofthe decision on appeal.
(ii) Motion to dismiss a complaint.,A respondent may file a motion to dismiss a complaint instead offiling an answer. Ifthe motion to dismiss is not granted, the respondent shall file an answer and shall serve a copy ofthe answer on each party not later than I0 days after service ofthe administrative lawjudge's ruling or order on the motion to dismiss. Ifthe motion to dismiss is granted and the proceedings are ter

### minated without ahearing, the agency attorney may file an appeal pursua'lt to§ 13.233 ofthis subpart. Ifrequiredbythe decision on appeal, the respondent shall file an answer and shall serve a copy ofthe answer on each party not 

### later than 10 days after service ofthe decision on appeal.
(3) Motion for more definite statement. A party may file a motion for more 

### defmite statement 

### ofany pleading which requires aresponse underthis 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 wouldmak:e the allegation or response defmite and certain.
(i) Complaint. A respondent may file a motion requesting a more definite statement ofthe 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 ofthe ruling granting the motion. If

### the agency attorney fails to supply a more definite statement, the administrative lawjudge shall strike the allegations in the complaint to which the motion is directed. If the administrative lawjudge denies the motion,

© 

### 2012 Thomson Reuters. No Claim to Orig. US Gov. Works.the respondent shall file an answer and shall serve a copy ofthe answer on each party not later than I0 days after service ofthe order of denial.
(ii) Answer. An agency attorney may file a motion requesting a more defmite statement ifan answer fails to respond clearly to the allegations in the complaint. Ifthe administrative law judge grants the motion, the respondent shall supply a more definite statement not laterthan 15 days after service ofthe ruling onthe motion. 

### Ifthe respondent fails to supply a more 

### defmite statement, the alliuinistrative lawjudge shall strike those statements in the answer to which the motion is directed. Therespondent's failure to supply a more defmite statement may be deemed an admission ofunanswered allegations in the complaint.
(4) Motionto strike. Any party may make a motionto strike any insufficient allegation or 

### defense, ot.!IDY redundant, immaterial, or irrelevantmatter in apleading. A party shall file a 

### motion to strike with the administrative law judge and shall serve a copy on each party be

### fore a response is required under this subpart or, 

### ifaresponse is not required, not later than I0 days after service ofthe pleading.
(5) Motion for decision. A party may make a motionfor decision, regarding all or any part of 

### the proceedings, 

### at any time before the administrative 

### lawjudgehas issued 

### an initial decision in the proceedings. The administrative law judge shall grant a party's motionfor decision 

### ifthe pleadings, depositions, answers to inter

### rogatories, admissions, matters that 

### the administrative lawjudge

### 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 mak

# Page 11 of23

Page 11

ing the motion for decision has the burden of 

### showing that there is no genuine issue ofmaterial fact disputedby the parties.
(6) Motion for disqualification. A party may file a motion for disqualification with the administrative lawjudge and shall serve a copy oneach party. A party may file the motion at any time afterthe 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, personalbias, pecu

### niary 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 shallrespondto the motion for disqualification not later than 5 days 

### after service of

### the motion for disqualification.
(iii) Decision onmotion for disqualification. 

### The administrative lawjudge shall render a decision on the 

### motionfor disqualificationnot later than 15 days after the motionhas been filed. Ifthe administrative lawjudge finds that the motion for disqualification and supporting affidavit show a basis for disqualification, the administrative lawjudge shall withdraw from the proceedings immediately. Ifthe administrative lawjudge fmds that disqualification is not warranted, fhe administrative lawjudge shall deny the motion and state the grounds for the denial onfhe re.cord. Ifthe administrative lawjudge 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 lawjudge's denial ofthe motion for disqualification in accordance with§ 13.219(b) of this subpart.



### § 13.219 Interlocutory appeals.

(a) GeneraL Unless otherwise provided inthis subpart, a party may not appeal aruling or dO"' cision ofthe administrative lawjudge to the FAA 

### decisiomna..lcer until the initial decision has been entered onthe record. A decision or order ofthe FAA decisionmaker on the interlocutory appeal does not constitute a final order ofthe Administrator for the purposes of judicial appellate review 

### as provided in § 13 .235 ofthis subpart.
(b) Interlocutory appeal for cause. Ifa party files a writtenrequest for an interlocutory appeal for cause with the administrative lawjudge, or orally 

### requests an interlocutory appeal for cause, the proceedings are stayed until the administrative lawjudge issues a decision on the request. Ifthe administrative lawjudge grants the request, the proceedings are stayeduntil the FAA decision

### maker issues a decision on the interlocutory appeal. The administrative lawjudge shall grant'an interlocutory appeal for cause ifaparty shows that delay ofthe appeal wouldbe detrimental to the public interest or wouldresult in undue prejuclice to any party.
(c) Interlocutory appeals ofright. Ifa party notifies the administrative lawjudge ofan interlocutory appeal ofright, the proceec!ings are stayeduntil the FAA decisionrnaker issues a decision on the interlocutory appeal. A party may file an interlocutory appeal with the FAA de

### cisionmaker, without the consent ofthe administrative lawjudge, before an initial decision has 

# Page 12 of23

Page 12

been entered in the case of:



### (I) Amling or orderbythe administrative law judgebarring 

### a person from the proceedings.
(2) Failure ofthe administrative lawjudge to dismiss the proceedings in accordance with § 13.215 ofthis subpart.
(3) A mling or order by the administrative law judge in violation of§ 13.205(b) ofthis sub- part.
(d) Procedure. A party shall file a notice ofinter

### locutory appeal, with supporting documents, with the FAA decisionmaker and the hearing docket · clerk, and shall serve a copy ofthe notice and supporting documents on each party andthe ad

### ministrative lawjudge, not later than 10 days after the administrative lawjudge's decision forming the basis ofan interlocutory appeal of right or not later than 10 days after the administrative lawjudge's decision granting an interlocutory appeal for cause, whichever is appropriate. A party shall file a reply brief, ifany, with the FAA decisionrn&'<er and serve a copy ofthe reply briefon eachparty, not laterthan I0 days after service ofthe appeal brief. The FAA de

### cisiomnaker shall render a decision on the :interlocutory appeal, on the record and as a part ofthe 

### decision 

### in the proceedings, within areasonable time after receipt ofthe 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 ofdiscovery. Any party may initiate discovery described in this section, withoutthe consent or approval ofthe administrative law judge, at any time after a complaint has been filed in the proceedings.
(b) Methods ofdiscovery. The following methods ofdiscovery are pennittedunder this section: de

### positions on oral examination or written questions ofany person; written interrogatories directed to a party; requests for production ofdocuments or tangible items to any person; andre

### quests for admission by a party. A party is notrequired to file written interrogatories andresponses, requests for production ofdoctUnents or 

### tangible items and responses, and requests for ad

### mission and -response with 

### the administrative law judge or the hearing docket clerk In the event of 

### a discovery dispute, aparty shall attach a copy of these documents in support ofa motion made under this section.


### (c) Service onthe 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 directedbythis 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 ofser

### vice ofthe re;quest.
(e) Scope ofdiscovery. Subject to the limits on discovery set forth inparagraph (f) 

### ofthis section, a 

### party may discover any matter that is not 

### privileged and that is relevant to the subject matter oftheproceeding. A party may discover information that relates to the claim or defense of any party including the existence, description, 

### nature, custody, condition, and location ofany document or other tangible item and the identity 

# Page 13 of23

Page 13

and .Jocation ofany 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 ofad

### missible evidence.
(f) 

### Limiting discovery. The administrative law judge shall limit the frequency and extent ofdiscovery pennittedby this section ifa 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 ofdiscovery requested by the party is unduly burdensome or expens- ive.
(g) Confidential orders. A party or personwho 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 ofthe motion for a confidential order on each party.

© 2012 Thomson Reuters. No Claim to Orig. US Gov. Works.(1) 

### The party orperson making the motion must show that the confider1tial order is necessary to protect the information from disclosure to the public.


### (2) Ifthe administrative lawjudge determines thatthe requested material is not necessary to decide the case, the administrative lawjudge shall preclude any inquiry into the matter by any party.
(3) Ifthe administrative lawjudge determines thatthe requested material maybe disclosed 

### during discovery, the ad..7Jlinistrative lawjudge may orderthatthe material may be discovered and disclosed under limited conditions or may be used only under certain terms and condi:tions.
(4) Ifthe administrative lawjudge determines that the requested material is necessary to decide the case and that a confidential order is 

### warranted, the administrative lawjudge shall provide:
(i) An 

### opportunity for review ofthe document bythe parties offthe record;
(ii) Procedures for excluding the information from the record; and
(iii) Order that the parties shall not disclose_):he information in any manner andthe parties shall not use the information in 

### 1J11Y other proceed- 

### ing.


### (h) Protective orders. A party ora person who has received a request for discovery may file a motion for protective order 

### with the administrative 

### lawjudge and shall serve a copy ofthe 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 ofthe protective order, the administrative law judgemay:
(1) 

### Deny the discovery request;
(2) Orderthat discovery be conducted only on specified terms and conditions, including a designation ofthe time orplace for discovery or a determination ofthe method ofdiscovery; or
(3) Limit the scope ofdiscovery or preclude any inquiry into certainmatters during discovery. (i) 

### Dut-y to supplement or amendresponses. A party who has respondedto a discovery request has a duty to supplement or amendthe 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 ofany 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 de

### positions**ta~en** 

### pursuant to this section:

© 

### 2012 Thomson Reuters. No Claimto Orig. US Gov. Works.

### '



## .. (1) Form. A deposition shall be taken ontherecord andreduced to writing. The person being deposed shall sign the deposition unless the parties agree to waive the requirement ofa signature.
(2) Administration ofoaths. Within the United 

### States, or aterritory or possession subjectto thejurisdiction ofthe United States, a party shall take a deposition before a person authorized to administer oaths bythe laws ofthe United States or authorized bythe law ofthe place wherethe examination is held. In foreign countries, a party shall take a deposition in any manner allowedbythe Federal Rules ofCivil Procedure.
(3) Notice ofdeposition. A party shall serve a notice ofdeposition, stating the time and place ofthe deposition and the name and address of 

### each person to be examined, on liJ.e person to be deposed, on the administrative lawjudge, on the hearing docket clerk, and on each party not later than 7 days before the deposition. A party 

### may serve anotice ofdeposition less than 7 days beforethe deposition only with consent of the administrative lawjudge. Ifa subpoena duces tecum is to be served onthe person to be examined, the party shall attach a copy ofthe 

### subpoena duces tecum that describes the materials to be produced at the deposition to the notice ofdeposition.
( 4) Use ofdepositions. A party may use any part or all ofa 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 orrepresented at the deposition or who hadreasonable notice ofthe deposition.
(k) Interrogatories. A party, the party's attorney, or the party's representative may signthe party's 

# Page 15 of23

Page 15

responses to interrogatories. A party shall answer each interrogatory separately and completely in writing. Ifa 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 ofa 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 shallnot serve more than 30 interrogatories to each other party. Each subpart of an interrogatory shallbe counted as a separate interrogatory.
(2) A party shall f!le a motionfor leave to 

### serve additional interrogatories on aparty with the administrative lawjudge before serving additional interrogatories on a party. The administrative lawjudge shall grantthe motion only ifthe party shows good cause for the paliy's 

### failure to Lnquire about the information previously and that the information cannot reasonably be obtainedusing less burdensome discovery methods orbe obtainedfrom other sources.
(l) Requests for admission. A partymay serve a written request for admission ofthe truth ofany matter 

### within the scope ofdiscovery under this 

### section or tb.e authenticity 

### ofai'1Y 

### docum_ent described inthe request. A party shall set forth each request for admission separately. A party shall serve copies ofdocuments referenced 

### in therequest for admission unless the documents have beenprovided or are reasonably available for inspection and copying.

(I) Time. A party's failure to respond to arequest for admission, inwriting and signedby the attorney orthe party, not later than 30 days 

### after service ofthe request, is deemed an admission ofthe truth ofthe statement or state

### ments contained in the request for admission.

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



## "

### The administrative lawjudgemay determine that a failure to respond to a request for admission is not deemed an admission ofthe truth if a party shows that the failure was due to circumstances beyondthe control ofthe party or the party's attorney.
(2) Response. Aparty may objectto a request for admission and shall state the reasons for objection. A party may specifically deny the truth ofthe matter or describe the reasons why the party is unable to truthfully deny or admit the matter. Ifa party is unable to deny or admit the truth ofthe matter, the party shall show that the party has made reasonable inquiry into the mat

### ter 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 ofthe request for admission. Ifthe administrative lawjudge determines that aresponse does not comply with the requirements ofthis rule or that theresponse is insufficient, the matter is deemed ad

### mitted.
(3) Effect ofadmission. Any matter admitted or deemed admitted under this section is conClus

### ively established for the purpose ofthe hearing and appeal.
(m) Motion to compel discovery. A party may make a motion to compel discovery ifa 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 aparty fails or refuses to produce documents or tangible items. During a deposition, the proponent ofa questionmay complete the deposition or may adjourn the exam.ination before making a motion to compel 

### ifa 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 lawjudge, limitedto the extent ofthe party's failure to comply with the discovery order 

### or motion to compel, may:

(1) 

### Strike that portion ofa party's pleadings; 

### ' (2) Preclude prehearing or discovery motions by that party;
(3) Preclude admission ofthat portion ofa party's evidence at the hearing; or
(4) Preclude that portion ofthe testimony of 

### that party's witnesses at the hearing.



### § 13.221 Notice ofhearing.

(a) Notice. The administrative lawjudge shall give each party at least 60 days**notic~** 

### ofthe date, 

### time, and location ofthe hearing.
(b) Date, time, and location ofthe hearing. The administrative lawjudge to whom the proceedings have been assigned shaH set areasonable date, time, and location for the hearing. The ad

### ministrative lawjudge shall consider the need for discovery and anyjointprocedural or discovery schedule submittedby 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 ofthe witnesses reside or work, and whether the loca

### tion is served by a scheduled air 

### carrier.
(c) Earlier hearing. With the consent ofthe administrative lawjudge, the parties may agree to hold the hearing on an earlier date thanthe date specified in the notice ofhearing.

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

### § 13.222 Evidence. (a) General. A party is entitledto present the party's case or defense by oral, documentary, or demonstrative evidence, to submit rebuttal evid

### ence, and to conduct any cross-examination that may berequired for a 

### full and true disclosure of the facts.
(b) Admissibility. A party may introduce any or

### al, documentary, or demonstrative evidence 

### in support ofthe party's case or defense. The administrative lawjudge shall admit any oral, docu

### mentary, or demonstrative evidence introduced by a partybut shall exclude irrelevant, immateri

### al, or unduly repetitious evidence.
(c) Hearsay evidence. Hearsay evidence is admissible in proceedings governedbythis subpart. The fact that evidence submitted by a party is hearsay goes only to the weight ofthe evidence and does not affect its admissibility.

§ 

### 13.223 Standard ofproof.

The administrative lawjudge shall issue an initial decision or shallrule 

### in a party's favor only ifthe decision or ruling is supportedby, and in accord

### ance with, the reliable, probative, 

### and**subst~ntial** 

### evidence contained 

### in the record. In order to prevail, the party with the burden ofproofshall prove the party's case or defense by a preponderance ofreliable, probative, and substantial evid

### ence.
§ 

### 13.224 Burden ofproof.

(a) Except 

### in

..the case ofan affmnative defense, the burden ofproofis onthe agency.


### (b) Except as otherwise provided by statute or 

### rule, the proponent ofamotion, request, or order 

# Page 17 of23

Page 17

has the burden ofproof.
(c) A party who has asserted an affumative defense bas the burden ofproving the affmnative defense.



### § 13.225 Offer ofproof.

A party whose evidence has been excluded by a ruling ofthe administrative lawjudge may offer the evidence for the record on appeal.


### § 13.226 Public disclosure ofevidence.



### (a) The administrative lawjudge may orderthat any information contained in the recordbe withheld from public disclosure. Any person may objectto disclosure ofinformation inthe record by filing a written motion to withhold specific information with the administrative lawjudge and serving a copy.ofthe..motion on each party. The party shall state the specific grounds for nondisclosure 

### in the motion.
(b) The administrative lawjudge shall grant the motion to withhold information inthe record if, based on the motion and any response to the mo

### tion, t.lJ.e administrative lawjudge determines that disclosure wouldbe detrimental to aviation safety, disclosure would notbe 

### inthe public in

### terest, or that the ·information is not othervvise requiredto be made available to the public.



### § 13.227 Expert or opinion witnesses,

An employee ofthe 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 ofa respondent may notbe calledby an agency attorney as an expert or opinion witness for the 

### FAA in any proceeding governed by this subpartto which the respondent

© 2012 Thomson Reuters. No Claimto Orig. US Gov. Works.**~-..J......L.-.ff**____**·L~** - _ _.._11-

. I._ • 'Iis a party.

§ 

### 13.228 Subpoenas.

(a) Request for subpoena. A party may obtain a subpoenato compelthe attendance ofa witness at a deposition orhearing or to require the production ofdocuments 

### ortangible items from the hearing docket clerk. The hearing docket clerk shall deliver the subpoena, signedby the hearing docket clerk or 

### an administrative lawjudge but otherwise inblank, to the party. The party shall completethe subpoena, statingthe title ofthe action a11d the date a11d tin1e for the witness' attend

### ance or production ofdoclL'lllents or items. The party who obtained the subpoena sball serve the subpoena on the witness.
(b) Motion to quash ormodify the subpoena. A 

### party, or any 

### person upon whom asubpoena has been served, may file a motion to quash or modify tbe subpoenawith the administrative lawjudge at orbefore the tin1e specified in the subpoenafor compliance. The applicant shall describe, in detail, the basis for the application to quash or modify the subpoenaincluding, but not limited to, a statement that the testimony, document, or tangible evidence is not relevantto the proceeding, that the subpoena is notreasonably tailored to the scope ofthe proceeding, orthatthe sub

### poena is lUITeasonable and oppressive. A motion to quash ormodify the subpoena will stay the effect ofthe subpoenapending a decision by the administrative lawjudge on the motion.
(c) Enforcement ofsubpoena. 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 seekjudicial enforcement ofthe 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 lawjudge, the party who applies for a subpoena to compel the attendance ofa witness at a deposition or hearing, or the party at whose request a witness appears at a deposition or hearing, shallpay the witness fees described in this section.
(b) Amount. Except for an employee ofthe 

### agency who appears at the direction ofthe agency, awitness who appears at a deposition or hearing is entitled to the same fees and mileage expenses as are paid to awitness in a court ofthe United States 

### in comparable circumstances.



### § 13.230 Record.

(a) Exclusive record. The transcript ofall testi

### mony in

### the hearing, all exhibits received it1to 

### evidence, and all motions, applications, requests, 

### and rulings shall constitute the exclusive record for decision ofthe proceedings and the basis for the issuance ofany orders 

### in the 

### proceeding. Any 

### proceedings regarding the disqualification ofan administrative lawjudge shall be includedinthe 

### record.
(b) Examination andcopying ofrecord. Any person may examinethe 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 ofTransportation, Docket Operations, West Building GroundFloor, Room Wl2-140, 1200 NewJersey Avenue, SE., Washington, DC 20590. Any person may have a copy ofthe record after payment ofreasonable 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 lawjudge shall give the parties a reasonable opportunity to present arguments on the record supporting or opposing motions, objections, and rulings ifthe parties request 

### an opportunity for argument. The administrative lawjudgemay request written arguments during the hearing ifthe administrative lawjudge fmds that submission ofwritten arguments would be reasonable.
(b) Final oral argument. At the conclusion ofthe hearing and before the administrative lawjudge 

### issues an initial decision in the proceedings, the parties are entitled to submit oral proposed 

### findings offact and conclusions oflaw, exceptions to rulings oftheadministrative lawjudge, and supporting argumentS for the fmdings, conclusions, or exceptions. 

### At the conclusion ofthe hearing, a party may waive final oral argument.
(c) Posthearing briefs. The administrative law judge may request written posthearing briefs before the administrative lawjudge issues an initial decision 

### in the proceedings 

### ifthe administrative 

### lawjudge finds that submission ofwritten arguments wouldbe reasonable. If

### aparty files a written

### posthear..nig brief, the 

### pa.rty shall :include proposed findings offact and conclusions oflaw, exceptions to rulings ofthe administrative law judge, and supporting arguments for the fmdings, conclusions, or 

### exceptions. The administrative lawjudge shall give the parties areasonable opportunity, notmore than 30 days after receipt of the transcript, to prepare and submitthe briefs.



### § 13.232 lillitlal 

### decision.

(a) Contents. The administrative lawjudge shall issue an initial decision at the conclusion ofthe 

# Page 19 of23

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hearing. In each oral or written decision, the administrative lawjudge shall include findings of fact and conclusions oflaw, and the grounds supporting those findings and conclusioru;, upon all material issues offact, the credibility ofwitnesses, the applicable law, any exercise ofthe administrative lawjudge's discretion, the amount of any civil penalty found appropriate by the administrative lawjudge, and a discussion ofthe basis for any order issued in the proceedings. The administrative lawjudge is notrequired to provide 

### awritten explanation for rulings on objections, procedural motions, and other matters not directly relevant to the substance ofthe initial decision. lfthe administrative lawjudge refers to any previous unreported 

### or unpublished initial decision, the administrative lawjudge shallmake copies ofthat initial decision available to all parties andthe FAA decisionmaker.
(b) Oral decision. Except as provided in paragraph (c) ofthis section, at the conclusion ofthe hearing, the administrative lawjudge shall issue the initial decision and order orally onthe record.
(c) Written decision. The administrative law judge may issue a written initial decision not later than 30 days after the conclusion ofthe hearing or submission ofthe last posthearing briefifthe administrative lawjudge finds that issuing a writ

### ten Lrlltial decision is reasonable. 

### The administrative lawjudge shall serve a copy ofany written initial decision on eachparty.
(d) Order assessing civil penalty. Unless appealed pursuant to 

### § 

### 13.233 ofthis subpart, the initial decision issuedbythe administrative lawjudge 

### shall be considered an order assessing civil penalty ifthe administrative lawjudge fmds that an alleged violation occurred and determines that a civil penalty, in 

### an amount found appropriate by the administrative lawjudge, is warranted.

© 2012 ThomsonReuters. No Claim to Orig. US Gov. Works.



## ·'

### § 

### 13.233 Appeal from initi2l gecision. (a) Notice ofappeal. A party may appeal the initial decision, and any decision not previously appealedpursuantto § 

### 13.219, by filing a notice of appeal with the FAA decisionmaker. A party must file the notice ofappeal illthe FAA Hearing Docket using the appropriate address listed m § 

### !3.210(a). A party shall file the notice ofappeal not laterthan 10 days after entry ofthe oral initial decision on the record or service ofthe written initial decision on the parties and shall serve a copy ofthe notice ofappeal on each party.
(b) Issues on appeal. In any appeal from a decision ofan administrative lawjudge, the FAA decisionmaker considers only the following issues:



### (I) Whether each finding offact is supported by 

### apreponderance ofreliable, probative, and substantial evidence;
(2) Whether each conclusion oflaw is made in accordance with applicable law, precedent, and public policy; and
(3) Whetherthe administrative lawjudge committed any prejudicial errors that support tbe appeal.
(c) Perfecting an appeal. Unless otherwise agieed by theparties, a party shall perfect an appeal, not later than 50 days after entry"ofthe ora! initial decision on the record or service ofthe written initial decision on the party, by filing an appeal briefwith the FAA decisionmaker.

(l) Extension oftime by agreement ofthe parties. The parties may agree to extend the time for perfecting the appeal with the consent ofthe FAA decisionmaker. Ifthe FAA de

# Page 20 of23

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cisionmaker grants an extension oftime to perfect the appeal, the appellate docket clerk shall serve a letter confrrmmg the extension oftime on each party.
(2) Written motion for extension. Ifthe parties do not agree to an extension oftime 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 ofthe motion on each party. The FAA decisionmaker may grant an extension if good cause for the extension is shown in 

### the motion.


### (d) Appealbriefs. A party shall file the appeal briefwith the FAA decisiomnaker and shall serve a copy ofthe appeal briefon each**p~J.**



### (I) A party shall set forth, ill detail, the party's specific objections to the initial decision or rulings illthe appeal brief. A party also shall set forth, in detail, the basis for the appeal, the reasons supporting the appeal, and the reliefrequested illthe appeal. If

### the party relies on evidence contained in 

### the record for the appeal, the party shall specificallyrefer 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 ofany otherparty, where a party has f:tled a notice ofappeal but fails to perfect the appeal bytimely filing an appeal briefwith the FAA decisionmaker.
(e) Reply brief. Unless otherwise agreed bythe parties, any party may file a reply briefwith tbe FAA decisionmaker not later than 35 days after tbe appeal briefhas been served on thatparty. The party filing the reply briefshall serve a copy

© 

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

lL+-J...._, I**1--~-L..-. --~---1-1----**  _ ---- /

__**--~--_.~__** /

__ _ofthe reply briefon each party. Ifthe 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 ofthe parties. The parties may agree to extend the thne for filing a reply briefwith the consent of the FAA decisionmaker. Ifthe FAA decisionmaker grants an extension ofthne to file the reply brief, the appellate docket clerk shall 

### serve aletter confirming the extension oftime on each party.
(2) Written motion for extension. Ifthe parties do not agree to an extension ofthne 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 ofthe motion on each pa.rty. The FAA decisionmaker may grant an extension ifgood 

### cause for the extension is shovvn 

### in the motion.
(f) Otherbriefs. The FAA decisionmaker may al

### low any person to submit an amicus curiae brief in an appeal ofan initial decision. A party may not file more than one appeal briefor reply brief. A party may petitionthe FAA decisionmaker, in 

### \Yriting, for 

### leave to 

### file an 

### additional briefand shall serve a copy ofthe petition on each party. The party may not file the additionalbriefwith the petition. The FAA decisionmaker may grant leave to file an additionalbriefifthe 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 additionalbrief.
(g) Number ofcopies. A party shall file the original appeal brieforthe original reply brief, and two copies ofthe 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 ofthe issues on appeal and may grant the parties an opportunity for oral argument.
(i) Waiver ofobjections on appeal. !faparty 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 notrequired to consider any objection in an appeal briefor any argument in the reply briefifa party's objection is based on evidence contained onthe 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, ifany, 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 initiat

### ive, 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. 

### Ifan issue raised by the FAA decisionmaker requires the consid

### eration ofadditional testimony 

### or evidence, the FAA decisionmaker will remand the case tothe administrative lawjudge for further proceedings and an initial decision relatedto that issue. Ifan 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 raisedby a party inthe briefs on appeal, a remand ofthe case to the administrative li!Wjudge for further proceedings is notrequired butmay be providedinthe discretion ofthe FAA decisionmaker.
(2) The FAAdecisionmaker will issue the fmal decision and order ofthe Administrator on appeal in writing and will serve a copy ofthe decision and order on eachparty. Unless a petition for review is filed pursuant to§ 13.235, a fmal decision and order ofthe Administrator 

### shall be considered an order assessing civil penalty ifthe FAA decisiomnaker finds that an alleged violation occurred and

### a civil penalty is warranted.
(3) A fmal decision and order ofthe Administrator after appeal is precedent in any other 

### civil penalty action. Any 

### issue, fmding or conclusion, order, ruling, or initial decision ofan administrative lawjudge that has not been appealed to the FAA decisiomnaker is notprecedent in any other civil penalty action.



### § 13.234 PetitiDil 

### to reconsider or modify a final decision and order ofthe FAA dec]sio:nmaker on appeal.

(a) General. Any partymay petition the FAA de

### cisionmaker to reconsider or modify a fmal decision and order issuedbythe FAA decision-. maker on appeal from an initial decision. A party shall file a petition to reconsider or modify with the FAA decisiomnakernot later than 30 days after service ofthe FAA decisiomnaker's fmal decision and order on appeal and shall serve a copy ofthe petition on eachparty. The FAA decisionmaker will not reconsider or modify an initial decision and order issuedby an administrative law judge that has notbeen appealed by any party to 

# Page 22 of23

Page 22

the FAA decisionmaker.
(b) Form andnumber ofcopies. 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 ofthe petition on eachparty.
(c) Contents. A party shall state briefly and specifically the alleged errors in the fmal decision and order on appeal, the reliefsought bythe party, andthe grounds that support, the petition to reconsider 

### or modify.

(1) Ifthe petitionis 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 ofprospective 

### witnesses and authenticated documents that wouldbe introduced in support ofthe 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 

### willnot consider repetitious or frivolous petitions. The FAA decisiomnakermay 

### summarily dismiss repetitious or frivolous petitions to reconsider or modify.
(e) Reply petitions. Any other party mayreply to 

### apetition to reconsider or modify, not later than 10 days after service ofthepetition onthat paft';, by filing a reply with the FAA decisiomnaker. A

© 2012 ThomsonReuters. No Claimto Orig. US Gov. Works.



### ·'party shall serve a copy ofthe reply on eachparty.


### (f)Effect offiling petition. Unless otherwise ordered by the FAA decisiomnaker, filing ofa petition pursuant to this section will not stay or delay the effective date oftheFAA decisionmaker's fmaLdecision and order on appeal and shall not toll the time allowedforjudicialreview.
(g) FAA decisiomnaker's decision on petition. TheFAA decisiomnaker has sole discretion to grant or deny a petitionto reconsider or modify. TheFAA decisiomnaker will grant or deny ape

### tition 

### to reconsider ormodify within areasonable time after receipt oftb.e petition or receipt ofthe reply petition, ifany. 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 ofa final decision and 

### order.

(a) In cases underthe Federal aviation statute, a party may seekjudicialreview ofa fmal decision and order ofthe Administrator, as provided in49 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 seekjudicial review ofa final decision and order ofthe Administrator, asprovidedin49 U.S.C. 5127.
(c) Aparty seekingjudicialreview ofa fmal order issued by the Administrator may file a petition for review inthe United States Court ofAppeals for the District ofColumbia Circuit or in the United States Court ofAppeals for the circuit in which the partyresides or has its principal 

# Page 23 of23

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place ofbusiness.
(d) The party must file the petition for review no laterthan 60 days after service ofthe Adminis

### trator's fmal decision and order.

END OF DOCUMENT

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

### U.S. Department ofTransportation
Federal Aviation 

### Administration Eastern Region Regional Counsel 

### Telephone: 718 553-3255 Facsimile: 718 995-5699



## CERTIFIED !VIAlL- RETURNRECEIPT REQUESTED
Ms. Mar;E. Bochiardy 1450 SunsetPoint Blvd. Clearwater, Florida 33755
DocketNo. 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 ofthe 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 offall electrical devices. 3. Notwithstanding the above, during the flight, you operated aportable 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 ofthe 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 offthe cellphone. 7. In addition, the flight crewmember was required to stop her briefing and provide notification ofyour 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 offthe 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 cellphone 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 operatedunderthis 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 

## ofthe Federal Aviation Regulations, sent to you with the Notice ofProposed 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 LawFirm, Ltd. Aero Legal Services 921 Mainstreet Hopkins, MN 55343

4Regional Counsel for the Eastern Region Date Federal Aviation Administration 1Aviation Plaza Jamaica, NY 11434
Ms. Mmy E. Bochiardy- 2011EA170066 Subject: Final Notice ofProoosed 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. (_) Ihereby submit the amount ofthe proposed civil penalty with the understanding tlnt an Order Assessing Civil Penalty will be issued in that amount. 2. 

### U Ihereby request a formal hearing in accordance with Section 13.16 ofthe 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 awritten request for a bearing 1vith the HEARI\!"G DOCKET CLERK.
MY ATTORNEY/REPRESENTATIVE
Signature Name: Address: Firm: Home**Pho_n_e~Nc-o.------** Address:--------- Phone**No_---~----** Business 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 ofrecords may be disclosed in**accordanc~;** with the routine uses as they appear in System ofRecords No. DOT/FAA 847 as published from time to time in the Federal Re2ister.
D. Effect ofFailL;re to Respond. Ifyou 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 ofthe Regional Counsel Federal Aviation Administration 1AviationPlaza Jamaica, NY 11434 Date 

## :'11ntu::z(LJ 

## 0_2ol4 C\

Mary E Bcchia.-dy- 2012EA170066 Subject: Notice ofProposedCivil Penalty Inreplyto xourNotice ofCivil Penalty, I electtoprnceed as indicated bymy checkmark: besidethe numbered**~g§Ph**below: l. [ J 1hereby submitthe amount 2. [ ] Ihavepaidtheproposed civil 3

..

## WI hereby submitevidence 4 [ ] I hereby submitmfonnat10n andrecords 

# I

ofthe proposed civilpeualtywith penalty with a credit card over the and information, demonstrating showmg that I amfinanc1ally unable topaythe the understanding that au order Internet at the following website: that a violation ofthe regulations proposed c1v1l penalty, orthat payment ofthe penalty j ! assessing a civilpenaltywill be "l'CflYi.DaY.!'-!lV. I also understa..J.d that did not occur orthatthe amollilt of would preventmefrom continuing in business. ' issued in that amount**wit~out** an order assessing civil penaltywill be thepenaltyis not warrantedbythe 

### i

furthernotice. I AlSO issued in the amount without furtber circumstances. UNDERSTA1'-IDTHATIM1 notice. IALSOUNDERSTA:"\fD WAIVING !Vfi RlGHT TO A TF..AT I AM WAIVJNG MY RIGHT HEARJNG. TOAHEARING. 

## I
5. [ ] Ihereby request that a civil penaltybe assessed intheamount of$ andI submit the reasons for the reduction. My request constitutes my agreement thatifthi.s offeris accepterl by the FAA, an order assessing civll · penalty inthe amount I have specifiedmay be issued without further notice. I>.f"_{ REQUEST ALSO CO'NSTII1JTES l\if'{

. AGREE!'.IEJ'.IT THAT IHAVE WANED l\if':{RIGHTTO A HEARJNG IF MYOFFERIS ACCEPTED. IF THE fAJt

, DOES NOT ACCEPT THl5

OFFER, HOWEVER, MY RIGHTTO AHEA.RlliGIS NOT AFFECTED. 6. a. [ ] I hereby requesta telephonic informal conference to discuss this matter'With an FAA attorney. (An attorney will call you at thetelephone number you provide here: ( ) . You will be prov:ided at least 2 weeks advance notice ofthe date and time ofthis**confe~ce.}** NOTE: Ifyou choose·to discuss tl-.is matterinformallyby telephone,you shouldprovide any dccuments oroL':u:r :info:rnJ.Etion you -wish to h<rve considered onyour behalfbeforethe date ofthe informal con&--rence. b. [ ] Ihereby request an in-per.;on informal conference w!th an F P....A. attorneyto discms this ll'..Utt<:r .at (choose anFAA office from the attached list). c. [ ] I hereby reqnest an in-person informal conferencewith an FAA attorney to discuss this matterat. · I am requesting anin-person infonnal**conf~=e** atthis location bcrrullie,

__________________ _

have also indicated an alternate location frnm the attached list llilder item 6.b. in the eventthe FM is 1ll1Lil.bleto grant my req"!J.I!St 1mderthis option. 7. 

### btQ IherebyTP..quest that the FAAlmpose a civil penalty wid10ut making findings ofviolations, and submit my reasons. My request constitutes my agreementthatif tlris offeris**acc~ted,** a compromiseorderwill be issued in the amount set forth intheNotice ofProposed Civil Pe.nalty. NrY REQUEST ALSO CONSTITUTES f.f'{AGREENIENT THAT IF TillS OFFERIS ACCEPTED,I HAVEWAIVED 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 Av:iation Plaza Jamaica,**~'Y** 11434, and to theHearing Docket, Federal Aviation Administration, 800 Independence Avenue, SW., Room 924A, Washington, DC 2059l,Attention: HearingDockct Clef'£ 9. [ ] lhoreby claim entitlement to a waiver ofpep...alty underthe Aviation Safety Reportic'lg Program and enclose evidence that atimelyreport was £led. As to the allegations offact and violations**~~ !~**  I requesttlu!t ),>'an order assessing civil penalty with wai¥erofpenult'; be issued and l waive myright to a hea..-ing. 

## M I request a fearing inthis matter in accordance with parugraph 8, above.



# J