## ^:^ERARTMENTO F BRIA NA WALLAES A: RAMSPORTAT'Oi V 

## ^^OCKbi•GPERAri0^j S ) Id

U r^O V 2 5 A q : 3 1 I nlli c matter

o\' : ) ) 

## FEDERALAVIATIO N ) FDM S No . FAA-2010-Q62 8 ADMINISTRATIO N ) Docket No . CPl'oWPOOIO ' ) Hon . Ronni e A . Yoder Complainant , )

) V . )

- 

### ) 

## BRIA NWALLAES A )

Respondent

) NO V 2 2 ^Tf l ) 

## Answe r t o Complainan t

Meniorandiin i Bria n WalJaes a(Respondent ) hcrb y file s a nanswe r t o tli e Federa

l Aviatio n Administratio n Complain t (Complainant ) pursuan t

l o th e October

20 , 201 1 Order

of the Chie f Adminislraliv e La

w Judge . Th e answer

t o th e Complainant' s Memorandu mwa s determine dby th e Administrativ e La w Judg e i nth e Prehearin g Conference . Rackuroun dt o Filina s Responden t

wa s sen t aNotic e o f

Propose dCivi l Penalt

y o nFebruar y 25 , 201 0 (se c Attachmen t

A) whic hcharge dtha

t th e Responden t

violate dSectio n121.58 0 of Titl e 14 , Cod e o f

Federal Regulations . J

hth e initial Notic e th e Complainan t state dtha

t the Respondent

wa s bein g cite dunder

4 9 U.S.C . 46301(a)(5)(A ) where th e maximu mpcnah y wa s $ 11,00 0 an

dth e propose dassessmen t wa s S5,500 . Respondent

thenrequeste da

ni n perso nconferenc e wit

hth e Complainan t

a t the Complainant' s office s o nApri l 5 , 201 0 (se e Attachmen t

B) . Respondent

wa s advise dthroug haNotic e o f Propose dCivi l Penalt

y as amende dApri l 7 , 201 0 tha t th e Complainan t

propose dt o asses s acivi l penall y i nthe

## amount orS5,500an dtha

t tli e initial charg e o f

violatio no f

Sectio n121.58 0 o f

Titl e 14 , Cod e of Federal Regulation s wa s now accompanie db y violation s of

Sectio n121.317(f

) an d12l.317(k ) (se e Attachment C) , whic hwa s state da s havin g the possibl e penall y of $11,00 0 fo

v eac hviohaion . agran dtota l possibl e of

533,000 . Respondent

ha drequeste d a ninforma l hearin g an

dthroughou t

several negotiation s includin g informa l meeting s an

d phon e coriyersation s wit

hComplainant , aresolutio nwa s not abl e to b e reached . I

l i s the belief.o f th e Responden t

tha t the Complainan t

offeredthe fina

l penall y t o b e $5,000 . A Una ! Notic e o f

Propose dCivi l Penalt

y wa s submitted , andb

y aletter date dJul y 13 , 2010 , Responden t

requeste dahearing . I n bot hinstance s of

Notice s the Responden t

wa s givenacop y of

Department

of Transportatio n Federal Aviatio n Administratio nRule s o f Practic e fo

r FA A Civi l Penalty Proceeding s 1 4 C.F. R(se e allachinent D) . Backgroun dof

Inciden t 1 . O nor about November

6 , 2009 , th e Responden t

wa s apassenge r

o nboard Southwes t

Airline s fligh

t 3049 , operatin g fro

mBaltimore , MD l o Las Vegas , NV . 2 . Prio r

to th e flight

th e Responden t

bega naconversatio nwit

hafemal e passenger . 3 . Afte

r boardin g the plane , the Responden t notice dth e femal e passenge r si t i nih e sam e ro w he ha

dalready occupie dandaske dafello w passenger , later identifie das Barr y Grabon , to switc hseal s s o tha t h e coul dcontinu e th e conversatio ntha t ha dbegun prio r t o boardin g the plane . 4 . Afte

r approximatel y 3 0 minute s into th e llight , th e lligh l attendant s serve d acomplimentary "Iris hCoffee " t o th e Respondent , whic hIhc Responden t drank .

## 5 . Th e Respondent continue dthe conversatio nfo r a t leas t tw o hour s into the 5 hour flight . 6 . Th e Femal e Passenger ha dlef t he r seal an dlef

t the conversatio n unfinishe dwit

hthe Respondent . 7 . Th e Responden t

sough t assistanc e fro

mih e fligh

t crew aboardih c plane , jComplainant' s witnesse s Ms . Wendy Moorman , Ms . Penn y Green , an dMr . Rober t Dimiond , i

n orde r t o resum e the conversatio nwit hthe Femal e Pa.sscnge

r later determine d to b e Ms . Jaim e Tomchik . 8 . For

aperio dof

tim e undetermine dby th e Respondent , the Responden t sought assistanc e fro

mth e tligh t

crew to resum e th e unfinishe dconversatio nwit hth e Femal e Passenger , h

i whic hth e Responden t

respectfull y treate dthe fligh t crew' s assistanc e wit

hth e situatio n i

n askin g politel y wit

hus e o f 'Please ' and'Than k

You' an d respectin g the request s of th e tlight crew . 9 . Nearl y five hour s into th e Hight , th e Responden t approache dth e fligh

t crew , wh o were all gathere da t th e fron t of th e aircraft , fo

r on e las t attemp t t o spea k wit h the Femal e Passenger . 10 . Th e flioh

t cre w calle dagentlemanto assis t wit hth e situation , who mwa s late r identilie da s off-duiy FB I agent Jame s Mollie ato th e Respondent . Discussio no nCod e of

Regulation s I n th e Rule s o f

Practic e fo

r FA A Civi l Penall y Proceeding s 14 C.F.R . §13.1 6 an d Subpar t Gth e cod e state s "Civi l Penalties : Administrativ e assessmen t agains t aperso n other tha n a n individual actin g a s apilot , fligh t engineer , mechanic , or

repairman. " Th e

## Notic e of Propose dCivi l Penalty State s tha t th e Complainan t

i s subjec t t o 4 9 U.S.C . 46301(a)(5)(A) . Afte r Revie w of

Eac hSectio nof

th e 4 9 U.S.C . 4630i(a)(5)(A) , th e Responden t sate s th e followin g sectio n to b e worde das th e following : "An individual (excep t

a nairma nservin g a s a

nairman ) or

small busines s concer

n i s liabl e t o th e Governmen t fo r acivi l penalty of

not more tha n$10,00 0 fo

r violatin g - (i ) Chapter

40 ! (excep t

section s 40103(a ) and(d)) , 40105.40106(b) , 40106 , and40117) , sectio n4450 2 (b ) o r (c) , chapte r

44 7 (excep t

section s 44717

- 44723) , or

chapte r 44 9 (excep t

section s 44902 , 44903(d) , 44904 . an d 44907-44909 ) o f

thi s title. " Afte r the Responden t

ha dreviewe deac hsectio nof code , th e Respondent

make s th e followin g assessment : 1 ) Chapte r

40 1 applie s to Economi c Regulatio nandDutie s of th e Secretary of Transportation . 2 ) Chapte r

4450 2 (b ) an d(c ) Applie s l o Conformit y of Airport s an

dAirspac e t o Governmen t

Standards . 3 ) Chapte r

44 7 Applie s to requirement s o f Pilot s andAircraf

t to Confor

mto Safet

y Standards . 4 ) Chapte r

44 9 List th e requirement s of

Airline s an dAirport s to provid e the proper security standard s to passenger s o naircraft . I t i s th e Respondent' s Understandin g afte r revie w o f th e cod e tha

t takeni nthei r entirely , th e Chapter s andSection s of Cod e Liste dwithi n4 9 U.S.C . 46301(a)(5)(A ) appl y to Aiiporis , Airlines , the employee s o f sai dentities , th e contractor s of sai dentities , and

## th e employee s an dcontractor s o f th e FA A andDepartmen l o f

Transportatio ntha

t overse e sai dentitie s (i f

th e Administrativ e La

w Judg e wishes , th e Responden t ca ngiv e furthe

r discussio non the individual chapters) . I nother word s th e cod e specifie s the lega l responsibility of

thos e providin g th e service , an dno t thos e usin g the servic e (passengers) . Furthermore , i

t i s the Respondent s standin g tha t 46301(a)(5)(A ) doe s no

t appl y to passengers , andtherefore doe s not appl y t o hi s action s onthe 6 ' of November , 2009 . I

n support of thi s premise , th e Respondent state s thi s lack

o f codificatio nof

passenge r

right s andresponsibilitie s are partl y addresse dby U.S.C . 4 9 §4170 6 and§4630 3 whic hspecif y prohibition s agains t

smokin g o

n schedule dflight s an

dcarryin g aweapo nonboar d respectively ; whic har c passenge r responsibilities . Als o o f

note i s whil e §4630 3 state s tha t "th e individual.. . i s liabl e to th e Unite dStale s Governmen t fo r acivi l penalty of

no t more tha n $10,00 0 fo

r eac hviolation"' , §4170 6 doe s no t specif y apenalty whil e U.S.C . 4 9 §4630l(b ) "Smok e alar mdevic e penalty " define s on e i nsubsectio n(2 ) a s the following : "A n individual violatin g thi s subsectio ni s liabl e l o th e Governmen t fo r acivi l penalty o f not more tha n $2,000. " I n summation , i

l i s th e Respondent' s positio ntha t the assessmen t

under 4 9 U;S.C . 46301(a)(5)(A ) by th e Complainan t i s invalid , andn o actual codifie dguideline s i n4 9 U.S.C . exis t

fo r th e violation s a s cited . Discussio n o n Complainant' s Positio no nSanctio n I n th e Memorandu mO

n Sanctio ndate dNovember 15" , 20 1 1 , the Complainan t state s the following : "Th e applicabl e sanctio n guidanc e i s foun di nFAA Order

2150.3 B whic hbecame

## effectiv e on Octobe r 1 , 2007 . Th e sanctio nguidanc e provide dtha t Complainan t

coul d impos e acivi l penalty i

n the nia.ximu

mrang e fo

r interferenc e wit

hacrewmembe r

i n violatio nof

14C.F.R . § 121.580 . FA A Order2150.3B , Appendi x B , Fig . B-3-p(l) , pag e B-28 . Th e maximu mrang e applicabl e to a nindividual no

t servin g i nthe capacity of

a nairma n i s $4,00 0 - $11,000 . kka t pag e B-8 . Thus , th e Complainant , upo n issuin g th e original Notice , propose da$5,50 0 sanction . Thi s amount fall s withi n th e low en dof

th e maximu mrang e sanctio napplicabl e to asectio n121.58 0 violatio n under

FA A Order 21530.B. " Th e Respondent

wa s previousl y unaware of FA A Order 2150.3B , andwa s no t informe db

y th e FA A previousl y o r

sen t informatio no

nthe Order

a s th e Respondent

wa s fo r Rule s o f Practic e fo

r FAA Civi l Penalty Proceeding s 14 C.F.R . §13.1 6 an dSubpar t G . Th e Complainan t

ha dnever mentione dFA

A Order 2150.3B , andha

dnot , unti l th e Memorandu mO

n Sanction , give n any prio r backgroun dl o th e reason s fo r th e assessmen t of th e $5,50 0 sanction . I

t i s th e Respondenfs positio nbase do nth e testimon y an

daction s o f the Complainan t

tha t the $5,50 0 sanctio nha

dbeensolel y base do

nguideline s set

fort h i nFA A Orde r 2150.3B , whic hwa s discusse di nth e thirdparagrap hspannin g page s I and 2 o f th e Memorandu mO

n Sanction . Discussio no f

FA A Orde r 2I5Q,3 B A s state dpreviously , th e Responden t wa s unaware o f

FA A Orde r 2I50.3 B unti l receivin g th e Complainant' s Memorandu mO nSanction . Order

2150.3 B clearl y state s i

n Chapte r 1 , section s 2 (b ) and(c ) tha t th e order i s a"Staf f Manual... " an

dtha i th e orde r "doc s no t giv e any right

o r benefit , substantiv e or

procedural , enforceabl e a t an y la w b y any parl y agains t

th e FAA , it s officers , or

it s employees... " Onthi s basis , i t is th e

## Respondent' s positio n tha t FA A Order 2150.3 B i s intende dto b e aguidelin e fo r employee s of

ihe FA A o n how to act , especiall y throug hth e us e o f th e ter m"Staf f Manual.* ' I

t i s the.positio n of

the Respondent

tha t i ndefinin g th e document

a s a"Staf

f Manual" , i

t ha s no lega

l basi s i n U.S . Code . I

t i s the Respondent' s belie f thai FA A Order 2150.3 B i s essentiall y aset of guideline s outsid e of

th e U.S . Code . I

ntw o case s tha

t receive dnational attention . State v . Hoga n33 6 N.J.Super . 319 , 76 4 A.2d101 2 (N J Super 2001 ) an dState v . Kenn a16

7 N.J . 635 , 77 2 A.2 d93 7 (N J Supe r 2001) , the existenc e o

f a cod e of operatio n outsid e of

codifie dla

w wa s highlighte das ho w greatl y negativ e suc h action s coul dbecome , an

dlea dl o a ninvestigatio nof

th e New Jerse y Slate Polic e by the New Jerse y Senate Judiciary Committee , Governmen t oversight , anda

nimplementatio n o f permanen t

codifie dchange s to law . T o b e place dbluntl y an dharshly : FAA Order 2150.3 B i s alega

l equivalen t

of "Ho w t o interi^re

t U.S . Cod e a s i

t applie s to the FAA fo

r Dummies. " I l i s th e positio n of

th e Respondent

tha t FA A Order 2150.3 B ha s n o basi s i

nU.S . code , andtherefore , an

y presumptions , argument s o r position s base do

nFA A Order 2150.3 B are invalid , andtherefore , any argument made by th e Complainan t afte r th e third paragraj) hof

th e Memorandu mO

nSanctio ni s base do

na ninvali dstatement , an

dthereb y itsel f invali d(jus t

a s hous e buil do

nn o foundatio ncanno t

stand , the Complainant' s argumen t ha s no basis) . Discussio no nRespondents ' Action s Th e Complainan t

allempt s to pain t

apicture of

the Responden t

i nahighl y negativ e light , i

n fact , the Complainan t

use s the word s 'several ' ant i "egregious ' multipl e times . Thi s i s hardl y th e case .

## I n th e Complainant' s own document "Adminislraliv e Witnes s Lis t andSiniimar

y of Testimony " submitte dto the Administrativ e La w Judg e o

nN(n'eniber

15 , 2010 , th e Complainan t

ha s liste dfive (5 ) wiincssc s fo r Icstiniony . Ms . Penn y Green , Mr . Rober t Dumond , an dMs . Wendy Moorma nwere tlight

attendant s o

nSouthwes t

Airlines ' fligh

t 304 9 an dare (3 ) of

th e witnesses , andha

dthe majorit

y o f contac t wit hthe Respondent . Th e other tw o witnesse s ar

e Jame s J . Molliea , a

noff-dut y FB I agent , an

dJaim e Tomchik , the Femal e Passenge r

i n question . Jame s J . Mollie atestifie dBefore th e Special Federal Gran dJury , i

n La s Vegas , N

V o n Tuesday , December

1 , 200 9 (se c Attachment

E) . Jame s J . Molliea , th e Complainant' s ownwitnes s testifie dbefor e Ihe Federal Gran dJur

y on pag e 000057 , line s 14-16 , tha t the Responden t

wa s describe dby th e High t attendant s "...a s bein g no t

combative , bu

t 'reluctantl y compliant'... " an dtha t uponinteractio nwit

h th e FB I agent

"H e didn' t

offe r any resistance..." . I

t i s th e expectatio nof

th e Respondent tha t i f the Complainan t

call s the thre e (3 ) fligh

t attendant s andth e Special FB I agent Jame s J . Mollie athey wil l describ e the Responden t a s polite , courteous , andno t combative . Thi s hardl y constitute s egregiou s behavio r a s pu t fort hb y the Complainant . Th e Responden t

wishe dto spea

k wit hth e femal e passenger , andrequeste dassistanc e fro mthe fligh

t attendant s i

ndoin g so . Th e Responden t

ha dname dseveral case s withi nthe Memorandu mOnSanction , many were liste di

n attemp t to sho w tha

t there exist s apreceden t

fo r th e sanction , h

i on e argimient th e Complainan t

attempt s circular

logi c b y mentionin g FA

A v . Salcido . describin g th e case , then merel y slatin g th e ease s are simila r by th e charge s of

121.580 , 121.317(f) , 121.317(k) , (considerin g tha t th e FA A assigne dtw o of

th e charge s to th e Respondent

afte r th e fact) . Als o withi nth e Complainant' s argument , the Complainan t

## doe s not mentio n specifi c material facts o r testimon y o f

the allege dincident

i nrelatio nto an y o f the mentione dcase s othe r tha nthe informatio ni

nthe section s o f

code . ] nth e Complainant' s argument , the Complainan t als o neglecte dt o mentio nUnite dStale s v . Grzeganek

(1993 , S D Fla ) 84 ! FSup p where aGctnm nspeakin g passenge r

boarde da fligh t fro mFlorid al o German y drunk , an dexpresse dhi s intent

l o us e th e lavatory by th e phras e "th e roo f

i s goin g to go. " I

n Gizcganek . th e plan e ha dalready takenfiighi, an

da s aresul t o f th e High l cre w assumin g abojTi

b wa s o nboard , th e plan e wa s turne daroun d andflown back

to th e departur e airport . Th e pas.senge r became belligeren t

when attendant s aitempte dto prevent himfro musin g th e lavator

y andrefus e to b e sealed . Th e passenger wa s arrested , andfinally sentence dt o time serve danda$20 0 fine. Th e Responden t

wa s indicte do

ncriminal charge s December 1 . 200 9 regardin g the incident

includin g violatio n of

1 8 U.S.C . § 111(a

) - Assaulting , Resisting , o r Impedin g aFederal Officer ; and4 9 U.S.C . § 4650 4 - hitcrferenc e wit hFlight Crew

Member s andAttendant s i n Unite dStale s v . Bria

nAllenWallaesa . Cas e No . 02:09-CR

0492 . Throug htria

l byjur y concludin g o

nDecember

16 , 2010 , th e Responden t wa s acquitte dof

bot hcharges . L

i th e tria l yo u will fin dtha t th e Respondent

was.foun dnot

to pos e an y threat o r intimidatio n t o any of

th e fligh t crew o r passenger s o

nboardfligh

t 3049 , an dtha t he di dnot

grab , push , point , touch , or eve nrais e hi s voic e to th e member s of the tlight crew . Yo u wil l als o fin

dtha t the Responden t

reacte dto tw o gentleme n rushin g towardth e fron

t of th e plane , whic hcause dth e Respondent t o step back

into Federa l A^en t Jame s J . Molliea .

## I n summary , i

t i s th e expectatio nof

th e Responden t

tha t th e testimon y o f

th e Complainant' s witnesse s wil l sho w tha i th e Responden t never induce dthought s o f

fea r o r harm , whil e possibl y bein g insisten t an dreluctant , wa s polite an

dcomplaint . Concern s o f

Respondent' s Interactio nwithFAA Th e Respondent

ha s ha dconcern s withi nhi s interactio nwit hth e Complainan t

i n •Orderjo.resolv e th e issue s a t hand . I r i s th e Respondent' s positio ntha t (he Complainan t intentionall y or

uninientionali y opene ditsel f to action s tha

t border o nlarcen y and extortion . Us e of

th e claus e "ability to pay " under Rule s o f Practic e fo

r FA A Civi l Penalt y Proceeding s 1 4 C.F.R . §13.1 6 (b)(2) , leatl s t o the followin g paraphias e of activity : "Yo u submi t

you r financia l information , an

dw e will determin e th e sanction. " Noi e tha t i s not a n actual fact , but

aparaphras e of

phon e conversations . Als o th e fac t tha t th e charge s o f

§ § 121.317(f

) and121.317(k) were adde dafte r the Respondent

indicate d tha t the Respondent

wa s requestin g a

ninforma l meeting . Thi s expose dthe possibility of $33,00 0 i n fines a s oppose dto th e initial $11,00 0 maximu mi nfines accordin g to Attachment

C . Finally , th e filing of

th e Complainant' s Motio nfo r Protectiv e Order furthe r concerne dth e Respondent a s t o the intent

of the action s o

f the Complainant . Summar y o f

Responden t I t i s th e Respondent' s positio ntha t throug hthe Citatio no f

4 9 U.S.C . 46301(a)(5)(A ) there i s n o basi s fo r afine schedul e fo

r violation s o f

§§ § 121.580 , 121.317(0 , I2l.3l7(k) , a s suchviolation s are no t mentione dwithi nth e sectio nof code , andtha t there exist s n o informatio nwithi nth e section s of cod e liste da s toguid e afin e schedule . I

t i s als o th e Respondent' s positio nthai the us e of FA A Order 2150.3B , make s an y andal l discussio n of

sanctio n invalid . I

t i s apparent

tha t the.FAA Order

i s a"Staf f

## Manual. " an dnot codifie dlaw . Thi s inake s ih e Order invali dfo

r discussio na s i

t i s no t base di nUS Code , an

dany premis e base donth e order invali dfo

r discussion . Finally , i

t i s th e positio n o

f th e Responden t

tha t th e Complainant , withi nth e Complainant' s ow n argument , never

provide dalin

k t o th e fact s of

th e Respondent' s action s to an y precedent , or fo r tha t matter , th e actual citation s under §§§121.580 , 121.317(f) , 121.317(k) . Th e Complainan t

simpl y presente da

nexcellen t

cas e history of

case s surroundin g §§ § 121.580 , 121.317(0 , I2l.317(k) . WHEREFORE , th e Respondent , respectfull y request s tha t th e Administrativ e La w Judg e ente r

a n orde r tha t th e Civi l Proceeding s agains t the Respondent

b e dismissed , andno civi l penalty assessed , a s there i s no basi s fo r th e Complainant' s argument . Eve n i f th e Administrativ e La

w Judg e finds th e Responden t guilt y of an y or al l of §§ § 121.580 , 121.317(0

- 121.317(k) h e mus t asses s aCivi l Penalt

y of $0 , as there arc no Codifie d provision s fo

r alega l penalty under

4 9 U.S.C . 4630 1 (a)(5)(A) , the argumen t pu t fort hb y th e Complainan t

doe s no t relate material fact s of

the Respondent' s action s t o an y precedent tha t th e Complainan t

describes , andfinally th e FA A Order 2150.3 B i s a"Staf

f Manual " an dnot

actual eodifie dla

w andthereb y ha s no lega l weight .

Date dNovembe r

22 , 201 1 Respectfull y Submitted , Wallaes a Responden t 1127 2 WorthamCres t

Circl e Manassas , V A 2010 9 (570)778-133 5

# --jtCTT^cMnBA} ! A

^^^2 2 

# TO

U.S . Departinen

t Western-Pacifi c Regio nP.O . Bo x 9200 7 o f Tnmsjwi-latio

n Offic e o f

th e Regional Counse l Lo s Angeles , C A 90009-200 7 Federal Aviatio n Telephone : (310 ) 725-711 2 Adminrstrah'o n Facsimile : (310 ) 725-681 6 Februar y 25 , 201 0 Cas e No . 201OWP19001 8 CERTIFIE D MAIL- RETURN RECEIP T r^QUESTED"aird'RBGUL'AR-MA-If. : Mr . Bria nWallaes a 1127 2 WorthamCres t

Circl e Manassas , V

A 20109-569 7

NOTIC K O FPROPOSE D CIVI LPENALT Y Base donareport

o f investigation , i

t appear s that : 1 . O n o r abou t Novembe r

6 , 2009 , yo u were apassenge r o nboardSouthwes t Airlines ' fliglit

3049 , operatin g fromBaltimore , Maryland , to La s Vegas , Nevada . 2 . O n th e abov e occasion , Southwes t Airlines ' fiight

304 9 wa s operatin g under par t 12 1 o f th e Federal Aviatio nRegulations . 3 . Durin g th e passenge r briefin g prio r

to th e flight , passenger s wer e advise do f the regulation s requirin g you to compl y wit hcrewmembe r

instruction s durin g th e flight . 4 . Durin g th e flight , whenth e seatbel t sig nwa s ilkmiinated , yo u wer e aske dsevera

l time s b y erewmember s to take you r seat , but yo u refused . 5 . You

r conduc t reference dinthe abov e paragraph s interfere dwit hthe performanc e o f th e erewmembers ' duties . For thes e reasons , i

t appear s tha

t yo u violate dth e followin g Federal Aviatio nRegulatio n(Titl e 14 , Cod e of

Federal Regulations) : Sectio n 121.58 0 i

n that yo u threatened , intimidated , o r interfere dwit

hacrewmember

i n (h e perfomianc e o f

th e crewme/jiber' s dutie s aboarda naircraf t bein g operated . Under 4 9 U.S.C . 46301(a)(5)(A) , you are subjec t t o acivi l penalty fo

r th e violatio nnoted . Th e maximu mpenalty fo

r eac hviolatio n i s $ 11,000.00 . We propos e to asses s acivi l penalty fo r th e violatio nnote di

n th e tota l amoun t o f $5,500.00 .

### • A ')ZAC^.^L-A J r

S

U.S . Departmen t Western-Pacifi cRegio n P.O . Box9200 7 o f Transportatio n Oftic e o f th e Regiona l Counse l Lo s Angeles , C A90009-200 7 FederalAviaUo n Telephone : (310)725-710 0 Administratio n 

## ^p ^ . 7 201

0 Cas e No 201OWP19001 8 BRIA N WALLAES A 1127 2 WORTH/V

M CRBS T CIRCLE—^ ' iVL^VNASSAS , VA 20109-569 8 Re : Reques t

fo r a n informa l conferenc e Dea r Mr . Wallaesa ; Thi s letter

wil l eontlrmm

y conversatio n wit

hyou on Monday , Apri l 5 , 2010 , wherei n you advise dyou wishe dt o hav e a n iii-perso n inlbrma

j conferenc e a

t th e Federa

l Aviatio n Administration' s headquarter s in Washington , D.C . I advise dyo u tha t mth e event

th e cas e wa s no t resolve da s aresul t

o f th e inibmia l conference , yo u woul dstil l b e abl e to reques t ahearin g b y followin g th e instruction s fo r doin g s o whe n o r

i f w e issue daFinal Notic e o f Propose dCivi l Penalty . I advise dyou I woul db e sendin g your fil e to Wasliington , D.C . fo r furtlie r handling , an dyou woul db e hearin g fromour Headquarter s t o schedul e atim e to r you r informa l conierenee . A s I wa s reviewin g your

cas e fo r sendm g on , I notice dtha t tvv o violation s were inadvertentl y omine d fromtli e Notic e o f

Propose dCivi l Penalty . Thus , yo u wil l not e tli e addition s o f 1 4 CFRsection s 121.317( 0 and12L3I7(k ) i n th e enclose dAmende dNotic e o f Propose dCivi l Penalty . Th e factua l allegations , paragraph s 1 throug h5 , hav e no t changed , no r

ha s th e total amoun t

o f th e civi l penaJt

y propose dagains t

you . Pleas e call me direc t

a t (310 ) 725-7101 , o r

you ma y e-mai l m e a

t jNao]i]i.T5udaf^F/\A.2o

v i f yo u I',av e an y liirther questions . Sincerely , NAON Q TSUI) A Regiona l Counse l Enclosure : Amende dNotic e o f Propose dCivi l Penalty ec : AWP-230 , LA S FSD O

# krp^H^Ej r

c

U.S . Departmen

t Western-Pacifi c Regio nP.O . Bo x 9200 7 o f Transportation Offic e o f th e Regional Counse l Lo s Angeles , C A 90009-200 7 Federa l Aviatio n Telephone ; (310 ) 725-711 2 Administrario n Facsimile : (310)725-681 6 ^pi ^ - 7 201 0 Cas e No . 2010WP19001 8 CERTIFIE D MAI L- RETURN RECEIP T REOUESTE D an dREGULA RMAIL Mr . BrianWallaes a 1127 2 WorthamCres t

Circl e Manassas , V A 20109-569 7

AMEtVDE D NOTIC EO FPROPOSE D CIVI LPENALT Y Th e Notic e o f

Propose dCivi l Penalt

y date dFebruar

y 25 , 2010 , i s hereb y amende d( o rea dinful l a s follows : Base do n areport o f investigation , i

t appear s that : 1 . O no r

abou t Novembe r

6 , 2009 , yo u wer e apassenge r o nboardSouthwes t Airlines ' flight

3049 , o'^cmim

g fromBaltimore , Maryland , i o La s Vegas , Nevada . 2 . O n th e abov e occasion . Southwes t Airlines ' flight

304 9 wa s operatin g unde r par t 12 1 o f th e Federal Aviatio nRegulations . 3 . Durin g th e passenge r brietln g prior

to th e flight, passenger s wer e advise do f th e regulation s requirin g you t o compl y wit hcrewmembe r

instruction s durin g th e flight. 4 . Durin g th e flight, whe n th e seatbel t sig nwa s illuminated , yo u were aske dseveral time s b y erewmember s t o tak e your seat , but yo u refused . 5 . Your

conduc t reference dinth e abov e paragraph s interfere dwit hth e performanc e o f th e erewmembers ' duties . Fo r thes e reasons , i

t appear s that

yo u violate dth e followin g Federal Aviatio nRegulatio n(Titl e 14 , Cod e o f

Federa l Regulations) : (a) Sectio n121.317(f) , in that , a s apassenge r require db

y sectio n121.311(b ) t o occup y a sea t o r bertii , yo u faile dt o fasten you r safet y bel t abou t yoursel f andkee p it

fastene d whil e th e "Faste n Seat

Belt " sig n wa s lighted ; (b ) Sectio n121.317(k) , in that yo u faile dt o compl y withinstruction s give nyo u by a crewmembe r

regardin g comphanc e wit hparagrap h(f

) o f this section ; and

## Mr . BrianWallaes a. 2

(c ) Sectio n 121.58 0 i

n tha t yo u threatened , intimidated , o r interfere dwit

hacrewmembe r i nth e performanc e o f

tli e crewmember' s dutie s aboarda naircraf t bein g operated . Unde r 4 9 U.S.C . 46301(a)(5)(A) , yo u ar e subjec t t o acivi l penalt y fo r

th e violatio nnoted . Th e maximumpenalty for

eac hviolatio n i s $11,000.00 . We propos e t o asses s acivi l penalty for th e

. violation s note di

n the total amoun t

o f $5,500.00 . Enclose di s informatio n o n you r options i nrespondin g t o this Notice . Th e option s includ e -participating.in.an.infomial.conference_with.an.FAA.attorney,.and.submission.ofinformation_to _ th e FA A fo

r consideration . Yo u mus t submit , i nwriting , you r

choic e o f

th e alternative s explaine do nth e enclose dinformatio n form , o nor before 3 0 day s after

yo u receiv e this Notice . I f yo u fail l o submi t

you r choic e withi ntha

t time , yo u wil l hav e n o ftirther right t o participat e i

n th e informal procedures . Inth e alternative , yo u may pay you r civi l penalty withacredi t car dove r

th e Internet . T o pa

y electronically , visi t

tli e we b site a

t httn:/Avw>v.i)av.go v andclick o n"Civi l Fine s an dPenalt y Payments " whic hwil l brin g yo u t o tli e "FA A Civi l Penalt y Payment s - Western-Pacifi c Region " page . Yo u mus t the n complet e th e requeste dinformatio nan dclic k "submit " t o pay by credi t card . Pleas e direc t

al l communication s in thi s matte r to Theodore P . Byrne , FAA Attorney , AWP-7.5 , FAA , Offic e o f

Regional Counsel , P.O . BO X 92007 , LO S ANGELES , C A 90009-2007 , telephon e numbe r

(310 ) 725-7112 . NAOM I TSUD A Regiona l Counse l By : Theodor e P . Byrn e Attorne y Enclosure s cc : AWP-230 , LAS-FSD O

# AiTAcm^M

T p DEPARTMEN T O FTRANSPORTATIO N

FEDERA LAVIATIO NADISIINISTRATIO N



# ^Oy22[' .

Rule s o f Practic e fo r

F.\ A Civi l Penalty ' Proceeding s 1 4 C.F.R . § 13.1 6 an dSubpar t G

FA A Handou t 2 FA A Rule s o f Practice fo r Civi l Penalt y Proceeding s§13.1 6 1 4 CF R Ch . i (1-1-0 8 Edilion ) (j ) 550,000 , i f

th e violatio n wa s com mitte db y an y perso n befor e Decembe r 12 , 200i3 ; (ii ) S4OO,0OO

, i f th e violatio n .wa s com-' ' mitte db y aperso nothe r tha na n indl

- ~-v]dual"or-EmaI3-busLness-concern-on-or _ afte r Decembe r

32 , 2003 ; (iji ) J50,000, ' i f

th e violatio n wa s com mitte db y a n individua l o r smal l busi

nes s concer no n o r

afte r Decembe r

12 , 2003 ; o r (2 ) A n i nre maction , seizur e o f alr ~ craf t subjec t

t o lien , sui t

fo r injunctiv e relief , o r

fo r collectio no f

a nassesse d civi l penalty . (c ) Th e Administrato r ma y com promis e an y civi l penalt y propose d unde r thi s section , befor e referra l t o t h e Unite dState s Attorne y General , o r th e delegat e o f

th e Attorne y General , fo r prosecDtion . (1) Th e Administrator , throug hth e Chie f CounBel ; the.Deput y Chie f Coun

se l fo r Operations ; th e Assistan t Chie f Counse l fo r

Enforcement ; th e Assistan t Chie f Counsel , Europe , Africa , an dMid

di e Eas t

Area . Office ; th e Regiona l Counsel ; th e .Aeronautica l Cente r Counsel ; o r

th e Technica l Cente r Coun

se l send s aciv U penalt y lette r t o th e perso ncharge dwit haviolatio n cite d i nn3.14(ft) . Th e civi l penalt y lette r contain s astatemen t o f th e charges , th e applicabl e law , rule , regulation , o r order , th e amoun t

o f civi l penalt y tha t th e AdmlniBtrato r

wil l accep t

I n full ' settlemen t

o f th e actio n o r

a noffe r

t o compromis e th e civi l penalty . (2) No t late r tha n 3 0 day s afte r re ceip t o f th e civi l penalt y letter , th e perso ncharge dwit haviolatio n ma y presen t an y materia l o r

informatio n I n answe r t o th e charge s t o th e agenc y at torney , eithe r

orail y o r

i nwriting , tha t mayexplain , mitigate , o r den y th e vio

latio no r

tha t ma y sho w extenuatin g circumstances . Th e Administrato r wU l conside r an y materia l or-informatio n submitte di naccordanc e wit hthi s paragrap ht o determine ' whethe r th e perso n i s sabject.t o acivi J penaJt y o r t o determin e th e amoun t fo r whic hth e Administrato r

wil l compromis e th e ac - tion . (3 ) I f th e perso ncharge dwit hth e vio

latio n offer s t o compromis e fo r aspe cifi c amount , tha t

perso n mus t

sen dt o th e airenc y attorne y acertifie dchec k o r mone y orde r

fo r tha t amount , pay abl e t o th e Federa l Aviatio n Adminis

tration , Th e Chie f

ConnBel ; th e Deput y Chie f Coimse l fo r

Operations ; th e AB

sistan t Chie f Counse l fo r

Enforcement ; th e Assistan t

Chie f Counsel , Enropo , ,Africa.,and_Mlddl e Eas t Are aOtClce ; th e Regiona l Counsel ; Aeronautical " Cente r Counsel ; o r

th e Technica l Cen

t e r Coimse l ma y accep t th e certifie d check ' o r

mone y orde r

o r ma y refus e an dretur n th e certlflB dchec k o r mone y order . (4) I f th e offe r

t o compromis e I s ac - cepte db y th e Administrator , th e agen c y attorne y wil l sen dalette r t o th e perso n charge dwit hthe.violatio n stat in g tha t th e certifie dchec k o r mone y orde r i s accepte di n ful l settlemen t o f th e civi l penalt y action . (5) I f th e • partie s canno t agre e t o compromlB e th e civ U penalt y actio n o r th e offe r

t o comproraiB ai s rejecte dan d th e certifie dchoc k

o r mone y orde r

sub

mitte dI n compromis e I s returned , Xii e Administrato r

ma y refe r

th e civi l pen alt y actio n t o th e Unite dState s Attor

ne y General , o r

the'delegat e o f

th e At

torne y General , t o begi n proceedlng B I n aUnite dState s distric t court , pursu a n t t o th e authorit y I n 4 9 U.S.C : 46305 , t o prosecut e an dcollec t th e civi l pen alty . [Anidt . I3-ia . 6 3 F RS4653 , Bept . T. 1968 ; u amendtj db ; Aindt . 13-30 , 5 5 F RlulZS , Apr . 20 . 1990 ; Amdt . lS-29 . 62 F R468C5 . Sept . 4 . ISffl ; Amdt . J3-32 ; 6

9 t H SMBS . Oct . 4 , 20M 1 i 13.3 6 Civ U Pezia]ties : Adminiatratiy c DsecEsmeD t

Bgains t

aperso n otbc r tha n a n mdividua l actin g a s apUot , fligh t engineer , mechfuuc , o r rc > painnon . AdminiEtretiv e BBSdrs

XDcnt sgsisv l B U •perBOOB fo r baz

- erdou B material s violatioiio . (aj Th e FA A use s thes o procednre a •whe n I t aasesae s acivi l penalt y agains t aperso n othe r

tha n a n IndlvidQa l act in g a s apilot , fligh t engineer , me - chanic , o r

repairma n fo r

aviolatio n cite di n th e firs t

sentenc e o f

4 9 U.S.C . 46301(d)(2 ) o r

i n 4 9 U.S.C . 47531 , o r an y implementin g rale . regoJatlo n o r order . (h ) Distric t

couT i jurisdiction . Notwith

- standin g th e provlelon e o f paragrap h (a ) o f thi s section , th e Unite dState s distric t court s hav e exclnsiv e Jurisdic

tio n o f an y civi l penalt y actio n Initi

ate db y th e FA A fo r violation s de

scribe dI n thos e paragraphs , unde r 4 9 U.S.C . 46301(d)(4) , if — 

### 3 8Federa l Aviatio n Administration , DOT §13.1 6 (1 ) Th e amoun t

i ncantrovera y i s mor e tha n S50.00 0 fo r aviolatio n com mitte db y an y perso n befor e Decembe r 32 , 2003 ; (2 ) Th e amoun t

i n controvers y i s

~ TTiore-tha n1100,00 0 {oT-a-TiQ\ation.com ^ mitte db y apersonothe r tha na n indi

vidua l o r

smal l busine.3 S concer n o n o r afte r Decembe r

12 , 2003 ; (3 ) Th e amoun t

i n controvers y i s mor e tha ni50,00 0 fo r aviolatio n com mitte db y a nindividua l or - asmal l busines s concern'o n o r afte r Decembe r 12 . 2003 ; (4 ) Th e actio n i s i n re mor'anothe r actio n i nre mbase do nth e sam e viola

tio n ha s bee n brought ; (5 ) Th e actio ninvolve s an - aircraf t subjec t t o alie ntha t

ha s bee n seize d b y th e Government ; o r (6 ) Anothe r

actio n ha s bee n brough t fo r a n injunctio n base do n th e f^am e violation . • (c ) HazoTdDu s maieria hviolatior^s, ' Th e FA A ma y asses s acivi l penalt y agains t an y perso n wh o knowingl y commit s a n ac t I nviolatio n o f

4 9 U.S.C . chapte r

5 1 o r . aregulatio n prescribe do r orde r issue dunde r

tha t chapter , unde r

4 9 U.S.C . 532 3 an d4 9 CF RJ.i7(k) . A n orde r assessin g acivi l penalt y fo r aviolatio n unde r 4 9 U.S.C . chapte r

51 , or - arule , regulation , o r

orde r issue dthereunder , i s issue donl y afte r th e followin g fac

tor s ba^ehee n considered : (3 ) The . nature , circumstances , ex tent , an dgravit y o f

th e violation ; (2 ) 'Wit hrespec t

t o th e violator , th e degre e o f

culpability , an y histor y o f prio r violations , th e abilit y t o pay , an d an y effec t

o n th e abilit y t o continu e t o d o business ; an d (3 ) Suc hothe r

matter s a s justic e ma y require . (d ) Orde r

assessin g civi l pena\t]j . A n orde r assessin g ci'vi l penalt y ma y b e issue dfo r

aviolatio n describe di n para - graph s (a ) o r

(c ) o f thi s section , o r

a s otherwis e provide db y statute , afte r notic e an dopportunit y fo r ahearing . A perso n charge d-wit ha-violatio n ma y b e subjec t t o a norde r

asse.nsin g civi l pen alt y I D th e followin g circumstances : (1) A norde r

assessin g civi l penalt y ma y b e issue di f

aperso ncharge dwit h aviolatio n submit s o r agree s t o submi t acivi l penalt y fo r

aviolation . (2) A norde r

assessin g civi l penalt y ma y b e issue di f

aperso n charge dwit h aviolatio n doe s no t reques t

ahearia e unde r paragrap h(g){2)(ii) ' o f thi s sec - tio n withi n 1 5 day s afte r receip t

o f a fina l notic e o f

propose dcivi l penalty . (3) Unles s a n appea l I s file dwit htb e FA A deciaionmake r

i n atimel y mari

ner , a n initia l decislon'or'orde r of-an — administrativ e la w JudR- e shal l b e con sidere da n orde r

RssesBin g civi l penalt y i f a n administrativ e la w judg e find s tha t a n allege dviolatio n occurre dan d determine s tha t

aclv H penalty , i n a n amoun t foun dappropriat e b y th e ad

ministrativ e la w Judge , i s warranted . (4 ) Unles s apetitio n fo r revie w i s file dwit haU.S . Oonr t o f Appeal s i n a timel y manner , afinal ' decisio n an d orde r o f th e Administrato r shal l b e considere da n orde r

assesBin g civi l pen - alt y i f th e FA A decisionmake r find s tha t a n allege di-iolatlo n occurre dan d acivi l penalt y i s warranted . (e ) Delegatio n o f

authority . (3 ) Th e au - thorit y o f

th e Administrato r unde r 4 9 U.S.C . 46301(d) , 47531 , an d5123 , an d4 9 CF R1.47(k ) t o initiat e an dasses s civi l penaltie s fo r

aviolatio n o f

thos e stat ute s o r arule , regulation , o r orde r issue dthereunder , i s delegate dt o th e Deput y Chief , Counse l fo r Operations ; th e Assistan t

Chie f Counse l fo r

En

- forcement ; th e Assistan t Chie f Counsel , Europe , Africa ; an dMiddl e Eas t Are a Office ; th e Regiona l Counsel ; th e Aero

- nautical'Cente r

Counsel ; an dth e Tech

- nica l Cente r

Counsel . (2 ) Th e authorit y o f th e Adminis

trato r under . 4 9 U.S.C . 5123 . 4 9 CF R 1.47(k) , 4 9 U.S.C . 46301(d) , an d4 9 U.S.C . 4630 5 t o refe r

case s t o th e Attorne y Genera l o f

th e Unite dStates , o r th e delegat e o f

th e Attorne y General , fo r collectio n o f

civi l penaltie s I s dele

- gate dt o th e Deput y Chie f Counse l fo r Operations ; th e Assistan t Chie f Coun

se l fo r Enforcement ; Assistan t Chie f Counsel , Europe, " Africa , an dMiddl e Eas t Are aOffice ; th e Regiona l Counsel ; t h e Aeronautica l Cente r Counsel ; an d t b e Technica l Cente r Counsel . (3 ) Th e authorit y o f th e Adminis

trato r unde r 4 9 U.S.C . 46301(f

) t o com promis e th e amoun t o f acJ-vU penalt y impose di s delegate dt o th e Deput y Chie f Counse l fo r

Operations ; tb e As

sistan t Chie f Counse l fo r

Enforcement ; Assistan t

Chie f Counsel , Europe , Afri

ca , an dMiddl e Eas t Are aOffice ; th e Regiona l Counsel ; th e Aeronautica l 3 9§13.1 6 1 4 CF R Ch . I (1-1-0 8 Edition ) Cente r Counsel ; an dtb e Technica l Cen

te r CoonseJ . (4 ) Th e authorit y o

f th e Adminis

trato r unde r 4 9 U.S.C . 512

3 (e ) an d( 0 an d4 9 CF R1.47(k

) t o compromis e th e amount~o f

"a^clvil " penalty-imposed-is

delegate dt o th e Deput y Chie f Counse l fo r Operations ; th e Assistan t Chie f Counse l fo r

Enforcement ; Assistan t Chie f Counsel , Europe , Africa , an dMid

dl e Eas t

Are aOffice ; th e Regiona l Counsel ; th e Aeronautica l Center ' Counsel ; an dth e Technica l Cente r Counsel . ( D Notic e o f

propose dcivi l pe-nalty . A civi l penalt y actio nI s initiate db y

. sendin g anotic e o f

propose dcivl ] pen alt y t o th e perso ncharged'wit haviola

tio no r t o th e agen t

fo r service s fo r

tb e perso nunde r

4 9 U.S.C . 46103 . A notic e o f propose dc]-\rl] penalt y wil l b e sen t t o th e individua l charge dwit haviolatio n o r t o th e presiden t

o f th e corporatio n o r compan y charge dwit haviolation . I nrespons e t o anotic e of propose dcivi l penalty , acorporatio no r compan y ma y designat e i nwritin g anothe r perso n t o receiv e document s i ntha t ci-vi l penalt y action . Th e notic e o f propose dcivi l penalt y contain s astatemen t of th e charge s an dth e amoun t o f th e pro pose dcivi l penalty . No t late r tha n 30 day s afte r

receip t o f th e notic e of

pro pose dcivi l penalty , th e perso ncharge d wit haviolatio nshall — (! ) Submi t

th e amoun t

of the

- pro pose dcivi l penalt y o r a nagreed-upo n amount , i nwhic hcas e eithe r a norde r assessin g ci-vi l penalt y o r compromis e orde r shal l b e issue di ntha t amount ; (2 ) Submi t

t o th e agenc y attorne y on e o f tb e following ; (i ) 'Writte n information , includin g document s an dwitnes s statements , demonstratin g tha t

aviolatio n o f

th e regulation s di dno t

occu r o r tha t apen alt y o r th e amoun t

o f th e penalt y I s no t warrante dby th e circumstances , (11 ) A writte nreques t t o reduc e th e propose dcivi l penalty , th e amoun t o f reduction , an dth e reason s an dan y document s supportin g areductio n o f th e propose dcivi l penalty , includin g record s indicatin g afinancial-inabilit y t o pa y o r

record s showin g tha t pay men t of th e propose dcivi l penalt y woul dpreven t

th e perso nfro mcon tinuin g i nbusiness . (lii ) A writte n reques t fo r a n Infor

ma l conferenc e t o discus s th e matte r wit hth e agenc y attorne y an dt o sub

mi t relevan t

informatio no r

docn

ments ; o r

—(3)-Reqoes t

ahearing,.In.whlch.cas e a_ complain t

Bhal l b o file dwit hth e hear

in g docke t

clerk . (g ) Fina l notic e of

propose dciui l pen alty . A fina l notice ' o f propose dcivi l penalt y ma y b e issue dafte r participa

tio ni nInforma l procedure s provide di n paraETaph(0(2 ) o

f thi s sectio no r

fail

ur e t o respon di natimel y manne r t o a notic e of propose dcivi l penalty . A fina l notic e of

propose dcivi l penalt y wil l b e een t to-th e indlvidaa l charge dwit ha violation , t o th e presiden t o f th e cor poratio no r

compan y charge dwith , a violation , o r

aperso n previousl y des

ignate di n-writin g b y th e individual , corporation , o r

compan y t o . receiv e document s i ntha t

civi l penalt y action . I f no t previousl y don e i n respons e t o a notic e o f

propose dcivi l penalty , acor poratlono r

company-ma y designat e i n writin g anothe r

perso nt o receiv e docu

ment s i ntha t

civi l penalt y action . Th e fina l notic e o f

propose dcivi l penalt y contain s a'statemen t o f th e charge s an dth e amoun t

o f th e propose dcivi l penalt y and , a s aresul t o f informatio n submitte dt o th e agenc y attorne y dur

in g informa l procedures , ma y modif y a nallegatio no r

apropose dcivi l pen alt y containe dI nanotic e o f propose d civi l penalty . (1 ) A fina l notic e o f

propose dcivi l penalt y ma y b e Issued

—. (i ) I f th e perso n charge dwit haviola

tio nfall s t o respon dt o th e notic e o f propose dci-vi l penalt y within . 30 day s afte r receip t of tha t notice ; o r (ii ) I f th e partie s participate dI naay . informa l procedure s unde r paragrap h (f^(2 ) o f thi s sectio n an dth e partie s hav e no t agree dt o compromis e th e ac tio no r th e agenc y attorne y ha s no t agree dt o withdra w th e notic e o f pro pose dcivi l penalty , (2 ) No t late r tha n 1 5 day s afte r

re ceip t o f th e fina l notic e o f

propose d civi l penalty , th e perso ncharge dwit h aviolatio n shal l d o on e o f th e fol

lowing — (1 ) Submi t

th e amoun t

o f th e pro pose dcivi l penalt y o r a n agreed-upo n amount , i nwhic hcas e eithe r a n orde r 4 0Federa l Aviatio n Adminislration , DO T §13.1 6 assessin g civi l penalt y o r acom promis e orde r

shal l b e Issue di ntha t amount ; o r (ii ) Reqoea t

ahearing , i n whic hcas e qcomplain t

shal l b o file dwit hth e hearin g doclretlilerk : ' (h ) Reques t

fo r ahearing . An y person , charge dwit ha\Tolatio nma y reques t a bearing , pursuan t

t o paragrap h{f)(3 ) o r paragraph . (g)(2)(ll ) of thi s section , t o b e conducte di naccordanc e wit hth e procedure s i nsubpar t

Go f thi s part . A perso nrequestin g ahearin g shal l fil e a -writte nreques t

fo r ahearin g -wit

hth e hearin g docke t

clerk. ' usin g th e appro priat e addres s se t

fort hi nSlS.ZlOfa

) of thi s part , an dshal l mai l acop y of th e reques t t o th e agenc y attorney . Th e re ques t fo r ahearin g ma y b e i nth e for m o f alette r

bet ' mus t

b e date dan d signe db y th e perso n requestin g ahear

ing . Th e reques t

lo r ahearin g ma y b e typewritte no r

ma y b e legibl y hand

- •wrJtten . (i ) Hearing . I f

th e perso n charge d wit haviolatio nrequest s ahearin g pursuan t t o paragrap h(0(3 ) o r para grap hfg)(2)(ii ) of

thi s section , th e origina l complain t

shal l b e file d-wit

h th e hearin g docke t

cler k an dacop y shal l b e sen t

t o th e perso nrequestin g th e hearing . Th e procedura l rule s I n subpar t Gof thi s par t

appl y t o th e bearin g an dan y appeal . A t th e clos e of th e hearing , th e administrativ e la w judg e shal l issue , eithe r orall y o n th e recor do r

i n-writing , a nmltia l deci

sion , includin g th e reason s fo r th e deci

sion , tha t

contain s (indlngs

- o r

conclu

sion s o n th e allegation s contained , an d th e civi l penalt y sought , i nth e com plaint . (J ) Appeal . Eithe r

part y ma y appea l th e administrativ e la w judge' s initia l "decisio nto - th e FAA

- decisionmaker-

- pursuan t t o th e procedure s I nsubpar t Go f thi s part . I f

apart y flie s anotic e of appea l pursuan t

t o 513.23 3 o

f subpar t G , th e effectivenes s o f th e Initia l deci

sio nI s staye dunti l afina l decisio n an d orde r o f th e Administrato r

hav e bee n entere donth e record . Th e FA A deci

sionmake r

shal l revie w th e recor dan d issu e afina l decisio nan dorde r of th e Administrato r

tha t affirm , modify , o r revers e th e initia l decision . Th e FA A decisionmake r

ma y asses s acivi l pen alt y bu t shal l no t

asses s acivi l penalt y i na n amoun t greate r tha ntha t

sough t i nth e complaint . (k ) Payment . A perso nshal l pa y a civi l penalt y b y sendin g acertifie d chec k o r mone y order , payabl e t o th e -Federal—Aviation-Administration , _to _ th e agenc y attorney . (1 ) CoIZecIio

no f civi l penalties . I

f a nin

di-vidua l doe s no t

pa y acivi l penalt y impose db y a norde r assessin g civi l penalt y o r

othe r fina l order , th e Ad

ministrato r

ma y tak e actio nprovide d unde r th e la w t o collec t

th e penalty , <m ) A part y ma y see k

revie w onl y o f afina l decisio n an dorde r o f th e FA A decisionmake r

involvin g aviolatio n of th e Federa l aviatio nstatut e o r th e Federa l hazardou s material s transpor tatio n law . Judicia l revie w i s I nth e Unite dState s Cour t

o f Appeal s fo r

th e - Distric t o f Columbi aCircui t

_ or.^ .th e Unite dState s cour t

o f appeal s fo r

th e circui t I n whic hth e part y reside s o r ha s th e party' s principa l plac e o f busi

nes s a s provide dI n{13.23 5 o f thi s part . Neithe r a n initia l decisio n o r a norde r issue db y a nadministrativ e la w judg e tha t ha s no t bee nappeale dt o th e FA A decisionmaker , no r

o norde r

compro misin g acivi l penalt y action , ma y b e appeale dunde r

an y o f thos e sections . (n ) Compromise' . Th e FA A nia y com promis e th e amoun t

o f an y civi l -pen alt y impose dunde r

thi s section , unde r 4 9 U.S.C . 5123(e) , 46031(f) . 4B303(b) , o r 4633 8 a t an y tim e befor e referring , th e actio n t o th e Unite dState s Attorne y General , o r

tb e delegat e o f

th e Attor

ne y General , fo r

collection . (J ) A nagenc y attorne y ma y com promis e an y civi l penalt y actio n wher e aperso n charge dwit haviolatio n agree s t o pa y acivi l penalt y an dth e FA A agree s no t

t o mak e afindin g o f violation . Unde r

suc hagreement , a compromlB e orde r

i s issue dfollowin g th e paymen t

of th e agreed-o n amoun t o r tb e signin g o f

apromissor y note . Th e compromis e orde r state s th e fol

lowing : (i ) Th e perso nha s pai dacl-vi l penalt y o r ha s signe dapromissor y not e pro vidin g fo r

installmen t

payments . (ii ) Th e FA A mate s n o findin g o f a violation . fill ) Th e compromis e orde r shal l no t b e use da s evidenc e o f aprio r violatio n 

### 4 1§13.1 7 MCFRCh . HI-1-0 8 Edilion ) i n an y subsequen t

civi l penalt y pro - ceedin g o r

certificat e actio n pro ceeding . (2 ) A n agenc y Bttorae y ma y com promis e th e amoun t o f acivi l penalt y propose d~Ln~a-notice—assessod-in-on

order , or ' impose di nacompromis e order . fAmdt . 13-32 : 7

0 F R1B13 , Jan . 31 , 2005 : 7 0 FR . 2925 . Jan . IB , 2005 . a s amende da t 7 0 F R8238 . Feb . IS , 2005 ; 7 1 F R7fr]« . Dec . 5 . 2006J § ]3.) 7 ' Seizur e o f

aircraf L (a ) Unde r

sectio n SO

S o f th e Federa l Aviatio nAc t

o f 195 S (4 9 U.S.C . 1473) , a Stat e o r

Federa l la w enforcemen t offi

cer , o r aFedera l Aviatio nAdministra

- tio nsafet y inspector , authorize diij a n orde r o f seizur e issue db y th e Regiona l AdminisLroto r

o f tb e region , o r

b y th e Chie f Counsel , ma y summaril y seiz e o n aircraf t tha t i s involve di n aviolatio n fo r whic hacivi l penalt y ma y b e im

- pose do nit s owne r

o r operator . (h ) Eac hperso n seizin g a n aircraf t unde r thi s sectio n shal l plac e it-i n th e nearest'availabl e an dadequat e publi c storag e facilit y i n th e judicia l distric t i n whic hi t

wa s seized . (c ) Th e Regiona l Administrato r o r Chie f Counsel , withou t

delay , send s a writte nnotic e an dacop y of

- thi s sec - tion , t o th e registere downe r o f th e seize daircraft , an dt o eac hothe r per son s show n b y FA A record s t o hav e a n interes t i nit , atatin g the — (1 ) Time , date , an dplac e o f seizure ; (2 ) Nam e an daddres s o f th e custodisj i o f th e aircraft ; (3) Reason s fo r

th e seizure , inclndin g t b e violation s believed , o r judJclall y determined , t o hav e bee ncommitted ; an d (4 ) Amoun t

tha t may . b e tendere d as — (i ) A-compromis e o f acJvl J penalt y fo r th e allege dviolation ; o r (ii ) Paymen t

for' acivi l penalt y im

pose db y aFedera l cour t fo r aprove n violatiDE . (d ) Th e Chie f

Counsel , o r

th e Re

- giona l Counse l o r Assistan t

Chie f Counse l fo r

th e regio n o r

area.i n wMc h a naircraf t

i s seize dunde r

thi s section , immediatel y .send s arepor t t o th e Unite dState s Distric t Attorney , fo r

th e judicia l distric t

i n-whic hi t

wa s seized , requestin g th e Distric t Attomey-t o in

stitut e proceeding s t o enforc e alie n agains t th e aircraft . (e ) Th e Regiona l Administrato r o r Chie f CoTuiBel direct s th e releas e o f a seize daircraf t

whenever — —(l)-Tbe-all6ged~vi6lator_pays^a_cIvI l penalt y o r

a n amoun t

agree dupo n I n compromise , an dth e cost s o f seizing . storing , an dmaintainin g th e aircraft ; (2 ) Th e aircraf t

i s seize dunde r

a n orde r o f aFedera l Cour t

i n proceeding s i n Te mt o enforc e alie n agaiDs t th e air

craft , o r th e Unite dState s Distric t At

torne y fo r

th e judicia l distric t con cerne dnotifie s th e FA A tha t th e DJB

tric t Attorne y refuse s t o institat e thos e proceedings ; o r (3 ) A bon di n th e amoun t an dwit h th e Boretie s prescribe db y th e Clilc f Counsel , th e Regiona l Counsel , o r th e Assistan t

Chie f Counse l I s deposited , conditione do n paymen t o f th e penalty , o r th e compromis e amount , an dth e cost s o f seizing , storing , an dmaintain

- in g th e aircraft . [Doc . No . 18684 . *

4 F R63723 , Nov . 5 . 197B . u Rnicnde db y Amdt . I3~I9 . M F R39290 , Sept . 25 . 1989 ; Amdt . 13-29 . 6 2 F R40865 . Bept . 4 . 1997] filS.18 Ci\'l l peiiBltieii : AdminiBirativ c BEtesenien t

agniiiR t

a n iudividuD l actin g a s H pilot , fligh t cngiDCer , niecbBiiic , o r

rGpainnan .

- (a ) Generol . (1) Thi s sectio n appllest o eac hactio n i n -whic hth e FA A seelc s t o asses s acivi l penalt y b y administrativ e procedure s agains t

B ^ individua l actin g a s apilot , fligh t

engineer , mechanic , o r repairman , unde r

4 9 U.S.C . 46301((J)(5) . fo r aviolatio n liste di n 4 9 U.S.C . 4G3Dl(d)(2) . Thi s sectio n doe s no t appl y t o acivi l penalt y assesse dfo r violatio n o f 4 9 U.S.C . chapte r

51, . o r arule , regu - lation , o r

orde r issue dthereunder . (2 ) Distric t

cour t jvrisdiction.

- Notv^ith

Btandin g th e pro-vision s o f paragrap h (a)(l } o f thi s section , th e Unite dState s distric t coDTt B hav e exclusiv e Jurisdic

- tio n o f an y civi l penalt y actio n Involv

- in g a n Individua l actin g a s apilot , fligh t engineer , mechanic , o r repair

m a n fo r

violation s describe di n tha t paragraph , unde r

4 9 U.S.C . 46301(d)(4) , if : (1) Th e amoun t

i n controvers y i s mor e tha n 550,000 . 4 21ft . - * *

Federa l Avialio n Adminislrotion , DOT (b ) Th e Presidin g Office r ma y issu e a n orde r

unde r thi s sectio n if

— (1 ) Th e testimon y o r othe r informa

tio n fro mth e -witnes s ma y b e necessar y -to-th e publiclnterest;^n d; (2 ) Th e witnes s ha s refuse do r i s lilie ^ l y t o refus e t o testify.o r provid e othe r informatio no n th e basi s o f aprivileg e agains t self-incrimination . (c ) Immunit y provide db y thi s sec tio n wil l no t

becom e effectiv e unti l th e perso nha s refuse dt o testif y o r pro-vid e othe r informatio no n th e basi s o f a privileg e agains t

- self-incrimination , an da norde r

unde r thi s sectio n ha s bee nissued . A norder , however , ma y b e issue dprospectivel y t o becom e effec

tiv e i nth e even t

o f aclai mo f

th e privilege . SJ3.IZ I Witnes s fees . •Al l wltnesEC B appearin g ahal l b e com pensate da t

th e sam e rat e a s awitnes s appearin g befor e aUnite dState s Dis

tric t Court . S 13.12 3 SubinisBion'b y part y t o th e in

vcfftigstioD . - (a) ' DnrlJi g a ninvestigatio n con ducte dunde r

thi s subpart , apart y ma y submi t t o th e Presidin g Officer — (1 ) A lis t

o f witnesse s t o b e called , specifyin g th e subjec t matte r o f th e ex pecte dtestimon y o f

eac hwitness , an d (2) A lis t

o f exhibit s t o b e considere d fo r inclusio n i nth e record . (b ) I f th e Presidin g Office r deter

mine s tha t

th e testimon y o f

awitnes s o r th e receip t

o f a nexhibi t

i n accord

anc e wit hparagrap h(a ) o f thi s sectio n wil l b e relevant , competen t an dmate - rial t o th e investigation , th e Presidin g Office r ma y subpoen ath e witnes s o r us e th e exhibi t

durin g th e investiga

- tlon r filS.lZS Depositions . Deposition s fo r

investigativ e pur pose s ma y b e take na t th e discretio n o f th e Presidin g Office r wit hreasonabl e notic e t o th e part y unde r investiga

- tion . Suc hdeposition s shal l b e take n befor e th e Presidin g Office r o r othe r perso n authorize dt o administe r oath s an ddesignated . b y th e Presidin g Offi

cer . Th e testimon y shal l b e reduce dt o writin g b y th e perso ntakin g th e depo

sition , o r

unde r th e directio n of-tha t person , an dwher e possibl e shal l the n §13.20 1 b e subscribe db y th e deponent . An y perso n ma y b e compelle dt o appea r an d testif y an dt o produc e physica l an d documentar y evidence . " 5 13;i27~Ileporls,-deciBionB-and-order s Th e Presidin g Office r shal l issu e a \\Titte n repor t

base do n th e recor dde

velope ddurin g th e forma l investiga

- tion , inclndin g asummar y o f principa l conclusions . A summar y o f principa l conclusion s shal l b e prepare db y th e of

ficia l wh o Issue dth e orde r o f investiga

- tio n I n ever y cas e -whic hresult s i n n o action , o r

n o actio n a s t o aparticula r part y t o tb e Investigation . Al l suc hre - port s shal l b e famishe dt o th e partie s t o th e investigatio n an dfile di n th e . publi c docltet . Insertio n o f th e repor t i n th e Publi c Docke t shal l constitut e "enterin g o f

record " an dpublicatio n a s prescribe db y Bectlon'313(b ) o f th e Fed

era l Aviatio n Act . S 13.12 9 PoEt-invcstigatio n action . A decisio n o n -whethe r t o initiat e subsequen t

action.shal l b e mad e o n th e basi s o f

th e recor ddevelope ddurin g t h e forma l investigatio n an dan y othe r informatio n i n th e possesiiio n o f th e Administrator . 513.131 ' Othe r

procedures . An y questio n concernin g tb e scop e o r conduc t o f aforma l Investigatio n no t covere dI n thi s subpar t ma y b e rule do n b y th e Presidin g Office r o n motio n o f t h e Presidin g Officer , o r o n th e motio n o f apart y o r

aperso n testifyin g o r pro ducin g evidence . 

### Subpart G—Rule s o t Proctic e i n FA ACivi l Penalt yAction s SOURCE : Amdt . 13~21 , 55 F R2:7575 . Jul y 3 . 1990 , naleB S oLfaerwls e noted . S 13.20 1 ApplicabUity . (a ) Thi s subpar t

applie s t o al l civi l penalt y action s initiate dunde r §13.1 6 o f thi s par t

i n whic hahearin g ha s bee n requested . (b ) Thi s subpar t

applie s onl y t o pro ceeding s initiate dafte r Septembe r

7 , 398B . Al l othe r

cases , bearings' , o r othe r 

### 5 7§13.20 2 1 4 CFRCh . 1 (Kl-0 8 Edilion ) proceeding s pendin g o r i nprogren s be

for e Septembe r

7 , 398B , ar e no t

affecte d b y th e rule s i nthi s subpart . __[Anidt . 13-21 , 5 5 F R21bl5 , Jul y 3 , 1990 , d s aineDded-by-AnidL.-13-32 ; 6 9 F Rb?47],.Oc U fl, §13.20 2 Definilioaa . > i dmr ni s (ratin e la w judg e mean s a n ad

ministrativ e la- w judg e appointe dpur suan t t o th e provision s o f 5 U.S.C . 3105 . Agenc y attorne y mean s th e Deput y Chie f Counse l fo r

Operations , th e As

BiKtan t 'Chie f Counsel , .Enforcement , t h e AKsistan' t

Chie f Counsel , Europe , Africa , an dMiddl e Eas t Are aOffice , eac hRegiona l Counsel , th e Aero

BBLUticB. } Cente r

Coansel , o r

th e Tech

nica l Cente r

Counsel , o r

a nattorne y o n t b e staf f

o f th e Assistan t

Chie f Coun

sel , Enforcement, , th e Assistan t Chie f Counsel , Europe , Africa , an dMiddl e Eas t Are aOffice , eac hRegiona l Coun

sel , th e Aeronautica l Cente r Counsel , o r th e Technica l Cente r Counse l wh o prosecute s acivi l penalt y action . An ' agenc y attorne y shal l no t include : (1) Th e Chie f

Counsel , th e Deput y Chie f Counse l fo r

Polic y an dAdjudica

tion , o r th e Assistan t

Chie f Counse l fo r Litigation ; (2) An y attorne y o nth e staf f o f th e Assistan t

Chie f Counse l fo r

Litigation ; (3 ) An y attorne y wh o i s supervise di n acivi l penalt y actio nb y aperso n wh o • provide s scc hadvic e t o th e FA A deci

sionmake r

i ntha t

actio n o r

afactu

ally-relate daction . Aitorne p mean s n perso n license db y a state , th e Distric t

o f Columbia , o r

a territor y o f

th e Unite dState s t o prac - tic e la w o r

appea r befor e th e court s o f tha t stat e o r

territory . Complain t

meeja s adocumen t issue d b y a n agenc y attorne y allegin g a-viola

tio n o f aprovisio no f

th e Federa l avia

tio n statut e liste di n th e firs t sentenc e o f 49 U.S.C . 46303(d)(2 ) o r i n 4 9 U.S.C . ^7531 , o r

o f th e Federa l hazardou s ma - terial s transportatio nstatute , 4 9 U.S.C . 5121-5128 , o r

arule , regulation , o r orde r issue dunde r

those " statutes , tha t ha s bee nfile dwit hth e Hearin g Docke t afte r ahearin g ha g bee n re - qoe.^e dunde r

§13.iecf)(3 } o r

(g)(2)(il ) o f thi s part . fji A deasionmake r

mean s th e Admin

- istrato r o f th e Federa l Aviatio n Ad

ministration , actin g i n th e capacit y o f t b e decisionmake r o n appeal , o r

an y perso n t o who mth e Administrato r ha a delegate dtb e Administrator' s decision

roaking authorit y I n acivi l penalt y ac - tion . A s use di n thi s subpart , th e PA A ~deciEionmaker-is-the-official-author- . . ize dt o issu e afina l decisio n an dorde r o f th e Administrato r

i n acivi l penalt y action . Mai l Include s U.S . certifie dmail , U.S . registere dmail , o r

us e o f a n overnigh t expres s courie r

service . Orde r assessin g civi l penall y mean s a documen t

tha t contain s afindin g o f a violatio n o f

aprovisio n o f

th e Federa l aviatio n statut e liste di n th e firs t sen - tenc e o f

4 9 U.S.C . 46301(d)(2 ) o r I n 4 9 U.S.C , 47531 , o r

o f th e Federa l bar

ardou s material s transpori-atio n stat - ute , 4 9 U.S.C . 5121-5126 , Or arule , regn - Jatio n o r

orde r issue dunde r

thos e etat utes , an dma y direc t paymen t

o f acivi l penalty . Unles s a n appea l i s filed-wit h th e PA A decisionmake r i n atimel y manner , a n initia l decisio n o r orde r o f a n administrativ e la w judg e shal l b e considere da n orde r

assessin g civi l pen alt y i f a n administrativ e la w judg e find s tha t

a n allege dviolatio n occurre d an ddetermine s tha t aci-vi l penalty , i n a n amoun t

foun dappropriat e b y th e - administrativ e la w judge , i s warranted . Unles s apetitio n fo r revie w I s file d wit haU.S . Cour t

o f Appeal s i n atime

- l y manner , afina l docisto n an dorde r o f t b e Administrato r

shal l b e considere d a n orde r

aBsessin g civi l penalt y I f th e FA A decisionmake r find s tha t

a n al

lege d-violatio n occurre dan dacivi l penalt y i s warranted . Part y mean s th e responden t o r th e Federa l Aviatio n Administratio n (FAA) , Persona l deliver y include s hand-deliv

- er y o r us e o f acontrac t

o r expres s mes senge r service , "Persona l delivery " doe s no t

includ e th e us e o f

Govemmen t interoffic e mai l service . Fleadinf l mean s acomplaint , a n an - swer , an dan y amendmen t o f thes e doc

- urhent s permitte dunde r thi s subpart . Properl y addresse dmean s adocumen t tha t show s a n addres s containe di n agenc y records , aresidential , business , o r othe r addres s submitte db y aperso n o n an y documen t

provide dunde r

thi s subpart , o r

an y othe r

addres s show n b y othe r reasonabl e an davailabl e mean.^ . 

### 58Fedt-ra l Aviolio n Adminisffolion , DOT § 13.20 5 Responden t

mean s aperson , corpora tion , o r

comp'aji y name di nacom plaint , - - lAmdt . 13-21 , &

5 F R27575 , Jul y 3 . 1990 . a s -amendcd-by-Amdl..13-24 . S B F R50241 , Sept . 24 . 1993 ; Amdt . 13-29 , 6 2 F R4G866 , Septr^, " 159T , 7 0 T RB23B . J-cti . IB . 2005 ; 7 1 T H 1tHS4 , Dec . U . 2006 ) { 15.20 3 Separntio D o f functions . (a ) Ci-vi l penalt y proceedings , includ

in g heoriugs , shal l b e prosecute db y a n agenc y attorney . (b ) AJ Q agenc y employe e engage di n th e performajic e o f investigativ e o r prosecutoria l function s i nacivi l pen alt y actio n shal l not , i n tha t cas e o r

a factually-relate dcase , participat e o r giv e advic e i nadecisio n b y th e admin

istrativ e la w judg e o r b y th e FA A deci

sionmake r

o nappeal , excep t

a s counse l o r awitnes s i ntb e publi c proceedings . (c ) Th e Chie f

Counsel , tb e Deput y Chie f Counse l fo r

Polic y an dAdjudica

tion , an dth e Assistan t Chie f Counse l • fo r Litigation. ' o r

a n attorne y o n th e staf f o f th e Assistan t

Chie f CoDnse i fo r Litigatio n wil l ad-vis e tb e FA A deci

sionoiake r

regardin g a ninitia l decisio n o r an y appea l o f

acivi l penalt y actio n t o th e FA A decisionmaker . lAmdt . 33-21 . 5 5 F R21575 . Jal y 3 , 1990 , & a nmenije db y Amdt . 13-24 , 5 8 F RM24I . Sept , 24 , JUaa ; 7 0 T B S23B , Feb . 38, 2005 ) 513.20 4 Appearance s an dright s o f parties . (a ) An y part y ma y appea r an db e hear ai nperson . (b ) An y part y ma y b e accompanied , represented , o r

advise db y a nattorne y • o r rijpresentativ e designate db y th e part y an dma y b e examine db y tha t at torne y o r

representativ e i nan y pro ceedin g governe db y thi s subpart . A n attorne y o r

representativ e wh o rep resent s apart y ma y fil e anotic e o f ap pearanc e i n th e action , i nth e manne r provide di n §13,21 0 o f thi s subpart , an d shal l serv e acop y o f th e notic e o f

ap - pearainc e o n eac hparty , i nth e manne r provide di n §13.21 3 o f thi s subpart , be

- for e participatin g i na-ny proceedin g governe db y thi s subpart.'Th e attorne y o r representativ e shal l includ e th e name , address , an dtelephon e numbe r o f th e attorne y o r

representativ e i n th e notici ! o f

appearance . (c ) An y perso n ma y reques t acop y o f adocumen t

upo n paymen t

o f reason - abl e costs , A perso n ma y kee p a n origi

na l document , data , o r evidence , wit h t h e consen t

o f th e administrativ e la- w -judge,~by-subEtitutin g alegible^cop y o f th e documen t

fo r th e record . fi 13.20 5 AdminlEtrativ e la w jud|;eB . (a ) Power s o f

a n administrativ e la w judge . I n accordanc e wit hth e rule s o f thi s subpart , a n administrativ e la- w judg e may : (1 ) Giv e notic e of

, an dhold , pre - hearin g conference s an dhearings ; (2) Administe r

oath s an daffirma

- tions ; (3 ) Issu e subpoena s authorize db y la- w . an dissu e notice s o f depositio n re- ' queste db y th e parties ; (4) Rul e o n offer s o f

proof ; (5) Receiv e relevan t

an dmateria l evi

dence ; (6 ) Regulat e th e cours e o f tb e hearin g i n accordanc e wit hth e rule s o f thi s subpart ; (7) Hol dconference s t o settl e o r t o simplif y th e issue s b y consen t o f th e parties ; (8 ) Dispos e o f

procedura l motion s ajj d requests ; an d (9) Mak e finding s o f fac t an dconclu

-

- sion s o f

law , an dissu e a n initia l deci

sion , (b ) Limitation s o n th e powe r o f th e ad

ministrativ e la w judge . Th e administra ^ tiv e la w jndg e shal l no t issu e a n orde r o f contempt , awar dcost s t o an y party , o r impos e an y sanctio n no t specifie dI n thi s subpart . I f

th e administrativ e la w Judg e impose s an y sanctio n no t speci

fie di n thi s subpart , apart y ma y fil e a n interlo'cutor y appea l o f right wit hth e F A A decisionmake r pursuan t

. t o § 13.239(c)(4 ) o f

thi s subpart . Thi aaec tio n doe s no t

preclud e a n administra

- tiv e la w judg e fro missuin g a n orde r tha t bar s aperso n fro maspecifi c pro ceedin g base do n afindin g o f obstrep- ' erou s o r

disruptiv e behavio r i n tha t specifi c proceeding , (c ) DisQualification . Th e adminlstra

- tiv c la w Judg e ma y disqualif y himsel f o r hersel f a t an y time . A part y ma y fil e amotion , pursuan t t o §13.218(f)(6) . re - questin g tha t

a n administrativ e la w 

### 5 9§13.20 6 1 4 CF RCh . 1 (1-1-0 8 Edilion ) Judg e b e disqualifie dfro mth e pro ceedings . (Arodt . 13-21 . 5

5 FB 27576

. Jn] y 3 , 1990; 5

5 F H 29293 , Jul y 18 , 1990

) § 13.20 6 Intervention ^ ' (a ) A perso nma y submi t amotio n fo r leav e t o interven e a s apart y i nacivi l penalt y action . Excep t for goo dcaua e shown ; amotio n for

leav e t o Interven e shal l b e submitte dno t late r tha n 1 0 day s befor e th e hearing . (b ) I f th e administrativ e la w Judg e find s tha t

Interventio nwil l no t

undul y ' broade nth e Issue s o r dela y th e pro ceedings , th e administrativ e la w judg e ma y gran t

amotio nfo r

leav e t o inter

ven e i f th e perso nwil l b e boun db y an y orde r o r decisio nentere di n tb e actio n o r th e perso nha s aproperty , financial , o r othe r legitimat e interes t

tha t ma y no t b e addresse dadequatel y b y th e par ties . Th e administrativ e la w Judg e ma y determin e th e exten t

t o whic ha nin

terveno r ma y participat e i n th e pro ceedings . S 13-207 , Certificatio no f dDcujnents . (a ) Signatur e required . Th e attorne y of record , th e party , o r

th e party' s rep resentativ e shal l sig neac hdocumen t tendere dfo r

filin g wit hth e hearin g docke t clerk ; th e administrativ e la w judge , th e FA A decisionmake r o nap peal , o r seiTe do n eac hparty . (b ) Effec t

Q j signin g adocument . B y signin g adocument , th e attorne y o f record , th e party , o r

th e party' s rep resentativ e certifie s tha t th e attorney , th e party , o r

th e party' s representativ e ha s rea dth e documen t and , base do n reasonabl e inquir y an dt o th e bes t o f tha t person' s knowledge , information , an dbelief, th e documen t is — (1 ) Consisten t

wit hthes e rules ; (2 ) 'Warrante db y existin g la w o r tha t agoo dfait hargumen t eiist s fo r

eiten

sion . modification , o r

reversa l o f

exist

in g law ; an d (3 ) No t unreasonabl e o r

undul y bur

densom e o r

expensive , no t

mad e t o har

as s an y person , no t

mad e t o caus e un necessar y delay , no t

mad e t o caus e needles s increas e i nth e coa t o f th e pro ceedings , o r

fo r an y othe r

imprope r purpose . (c ) Sanctions . I f

th e attorne y o f record , th e party ; o r

tb e party' s rep resentativ e sign s adocumen t i nviola

tio nof

thi s section , th e administrativ e la w judg e or . th e FA A decisionmake r shall : <1 ) Strik e th e pleadin g signe dI n vio

latio nof thi s section ; —(2 ) Strike.tb e requestJpj^diBCDv^er y o r th e discover y respons e slgned'i n viola^ ^ tio nof thi s sectio nan dpreclud e fur

the r discover y b y th e party ; (3 ) Den y th e motio n o r reques t signe d i n violatio no f

thl asection ; (4 ) Exclud e th e documen t signe dI n violatio n o f

thi s sectio nfro m. th e record ; {5>

- Dismis s th e -interlocutor y appea l an dpreclud e furthe r

appeal

- o n tha t issu e b y th e part y wh o file dth e appea l unti l a ninitia l decisio nha s bee n en tere do nth e record ; o r (6 ) Dismis s th e appea l of th e admliilB

trativ e la w judge' s initia l decisio nt o th e FA A decisionmaker . I ]S.£Of i Complaint . (a ) Filing . Th e agenc y attorne y shal l fil e th e origina l an don e cop y o f th e complain t

wit hth e hearin g doclie t clerk , o r

ma y fil e a-writte n motio n pursuan t t o 5i3.Zlfl(f)C2)(l ) of

thi s sub

par t Instea d.of

filin g acomplaint , no t late r tha n20 day s afte r

receip t by . th e agenc y attorne y o f

areques t

fo r hear

ing . Th e agenc y attorne y shoul daug ges t alocation , fo r

th e bearin g whe n filin g th e complaint , (b ) Service . A n Eigency nttorDo y shal l personall y delive r

o r mai l acop y o f

th e complain t

o nth e respondent , th e presi

den t of th e corporatio n o r

compan y name da s arespondent , o r aperso ndee

ignate db y th e • responden t t o accep t servic e o f

document s i nth e civi l pen alt y action , (c ) Contents . A complain t shal l se t fortJ i th e fact aalleged , .an y regulatio n allegedl y -violate db y th e respondent , an dth e propose dcivi l penalt y i nsuffi

cien t detai l t o provid e notic e o f any . factua l o r

lega l allegatio nan dpro pose dcivi l penalty . (d ) Motio n t o dismis s allegation s o r com plaint . Instea do f

filin g a n answe r

t o th e complaint , aresponden t ma y mov e t o dismis s th e complaint , o r tha t par t o f th e complaint , allegin g a-violatio n tha t occurre do no r

afte r Augus t

2 , 1990 , an dmor e tha n2 year s befor e a n agenc y attorne y iiisue danotic e o f pro pose dcivi l penalt y t o th e respondent . 6 0Federa l Aviatio n AdmfnistfQtion . DO T §13.21 0 (1 ) A n administrativ e la w judg e may ' n o t gran t th e motio n an ddismis s th e complain t

o r par t o f th e complain t

i f t h e administrativ e la w Judg e find s tha t _the_agency_ha 6 sho-w n goo dcaus e fo r an y dela y i nissbing"the~notice-of-pro-

- pose dcivi l penalty, ' (2 ) I f th e agenc y fall s t o sho w goo d caus e fo r

an y delay , a nadministrativ e la w Judg e ma y dismis s th e complaint , o r tha t por t o f th e complaint , allegin g aviolatio n tha t

occurre dmor e tha n 2 year s befor e a nagenc y attorne y issue d th e notic e o f

propose dcivi l penalt y t o t h e respondent . (3) A part y ma y appea l th e admlole

trativ e la w judge' s rulin g o n th e mo tio n t o dismis s th e complain t o r an y por t o f th e Complain t

i n accordanc e wit h§ 33.219(b ) o f

thi s subpart . [Admt , 13-21, . 5 5 F R27575 , Jijl y 3 , IWO . M amende db y Admt . J3-22 , 5 5 F R31176 , Aue , I , 1990 ] §13.20 9 AnBWer . (a ) Writin g rcquir-ed . A responden t shal l fil e awritte nans-we r t o th e com plaint , o r

ma y fil e awritte nmotio n pursuan t

t o Sl3.208(d ) o r

§13.Z18(f)(l-4 ) o f thi s Eobpartinsteado l tUin g a n an swer , no t

late r tha n3 0 day s afte r

serv ic e o f th e complaint . Th e answe r ma y b e i n th e for mc f

alette r

bu t mus t b e elate dan dsigTiB db y th e perso n re -

. spendin g t o th e complaint . A nanswe r ma y b e typewritte n o r ma y b e legibl y handwritten . (b ) Filin g an daddress . A perso n filin g a n answe r

shal l personall y delive r o r mal l th e origina l an don e cop y o f th e answe r fo r filin g wit hth e hearin g docke t clerk,-no t

later'tha n3 0 day s afte r servic e o f

th e complain t

t o th e Hearin g Docke t

a t th e appropriat e ad

dres s se t

fort hi n 513.2]CKa ) o f thi s sub

port . Th e perso nfilin g a nanswe r shoul dsugges t

alocatio n fo r

th e hear

in g whe n filin g th e answer . (c ) Service . A perso n filin g a nanswe r shal l serv e acop y o f .th e answe r

o n th e agenc y attorne y wh o file dth e com plaint . (d ) Contend , A nanswe r shal l Bpecift

call y stat e an y affirmativ e defens e tha t th e responden t

intend s t o asser t a t th e hearing . A perso nfilin g a n en- : Ewe r ma y includ e abrie f statemen t

o f an y relie f

requeste di nth e answer . (e ) Specifi c denia l o f allegation s re quired . A perso n filin g a n answe r shal l admit , deny , o r

stat e tha t

th e perso n i s withou t sufficien t

knowledg e o r

infor

matio n t o admi t

o r deny , eac hnum - -bered.paragrap ho f th e complaint . An y statemen t

o r allegatioh^contained-in — t h e complain t

tha t i s no t specificall y denie di n th e answe r ma y b e deeme da n admissio n o f

th e trut ho f

tha t allega

- tion , A genera l denia l o f th e complain t i s deeme dafailur e t o flic a n answer . . ( 0 Failur e t o fil e answer , A person' s failur e t o fil e a n answe r withou t

goo d caus e shal l b e deeme da n admissio n o f the.trut ho f

eac hallegatio n containe d i n th e complaint , [Docke t No . 1BBB4

, 4 4 P R«3723 . Nov . 5 . lS79.a a arocDde d& l 7 0 F B B238 , Feb . IB , 3005 ] fi iS.21 0 Filin g o f

documcnta . (a ) Address.an dmetho do f filing.- A per so n tenderin g adocumen t fo r filin g shal l personall y delive r o r mai l the ' signe dorigina l an don e cop y o f eac h documen t

t o th e Hearin g Docke t usin g t h e appropriat e address : (1 ) / / deliver y i s i n person , o r vi aexpe dite dcoTin'e r

service : Federa l Aviatio n Administration , 60 0 Independenc e Ave

nue , SW. , Wilbu r

Wrigh t

Building

- Suit e 2W1000 , Washington, . D C 20591 ; Attention : Hearin g Docke t Clerk , AGO-430 . (2 ) U deliver y i s vi aU.S . Mail : Federa l A-viatlo n AdministraUon , 80 0 Independ

enc e Avenue , SW. , Washington , D C 20591 ; Attention : Hearin g Docke t Clerk , AGC-430 . Wilbu r

Wrigh t

Building — Suit e 2W3000 . (b ) Dat e o f

filing . A do.cumen t

shal l b e considere dt o b e file do n th e dat e o f persona J .delivery ; o r if ' mailed , th e mailin g dat e show n o n th e certificat e o f senrice , th e dat e sho-w n o n th e post mar k i f ther e i s n o certificat e o f serv ice , o r othe r mailin g da-t e show n b y othe r evidenc e If

ther e i s n o certificat e o f servic e o r

postmarlc . (c ) Form . Eac hdocumen t shal l b e typewritte n o r

legibl y handvn-itten . (d ) Contents , Unles s otherwis e speci

fie di n thi s subpart , eac hdocumen t mus t contai n ashort , plai n statemen t o f th e fact s o n whic hth e person' s cas e rest s an dabrie f

statemen t

o f th e ac - tio n requeste di n th e document , (e ) Interne t

acctssibilit y o f

document s file di n th e Hearin g Docket . (1 ) Unles s 

### 6 1§13.21 1 1 4 CFRCh . I (1-1-0 8 Edilion ) protecte dfro mpubli c disclosur e b y a n orde r of th e AL J unde r

13.226 , al l docu

ment s file di nth e Hearin g Docke t ar e accessibl e throug hth e Federa l Docke t -Manaeement_Sy5tcm_(FDMS) : http:// www.regulations'.gov . T o acceK s apar " ticulo r cas e file , us e th e FDM S numbe r aiisigne dt o tb e case . (2) Decision s an dorder s issue db y th e Administrato r

i n ci-vi l penalt y cases , indexe s of

decisions , contact-informa

tio nfo r th e FA A Hearin g Docke t

an d th e • administrativ e la w judges , th e rule s of practice , an dothe r

informa

tio nar e availabl e o nth e FA A civi l penalt y adjudicatio nWe b sit e at:/i((p.-/

/ www.faa.gov/about/offic e org / headquarter s offices/agc/ pol^adiudication/AGC400/Civi}__Penalty , I Amdt . 13-21 . 5 5 F H 27575 . Jal y 3 , 1»0 ; 5 5 F R 29293 , Jnl y 18 i 1990 , B. B amende da t

7 0 F R8238 . Feb . IB . 2O0i ; 1 1 F R7MS4 , Dec . 5 . 2(»6 ; 7 2 F R J45SS , M*r . 29 , -2007 ; 7 2 F B 6M1A , Dec . 5 , 2007 1 E13J21 ] Servic e o f documenta . (a ) General . A perso nEhal l serv e a cop y o f an y doconien t

file dwit hth e Hearin g Docke t

o neac hpart y a t

tb e tim e of filing . Servic e o naparty' s at torne y o f recor do r

aparty' s designate d representativ e ma y b e considere dade

quat e servic e o nth e party . (b ) Typ e o

f seritice . A perso n ma y serv e document s b y persona l deliver y o r b y mail . (c ) Certificat e of

service . A perso n ma y attac hacertificat e o f

servic e t o adoc

umen t tendere dfo r

filin g wit hth e hearin g docke t

clerk ! A certificat e o f servic e shal l consis t

o f astatement , date dan dsigne db y th e perso n filin g th e document , tha t

th e documen t

wa s personall y delivere do r maile dt o eac h part y anaspecifi c date . (d ) Dat £o f service . Th e dat e o f

aervic e shal l b e th e dat e of

persona l delivery ; o r i f mailed , th e mailin g dat e show no n th e certificat e o f

service , th e dat e sho-wnonth e postmar k i f ther e i s n o certificat e of

service , o r

othe r maUln g dat e show nb y othe r

e-videnc e If

ther e i s n o certificat e of

servic e o r

postmark . (e ) j4dditional tim e afte r

seruic e b y mail . •\\rhenever

apart y ha s aright

o r adut y t o ac t o r t o mak e an y respons e withi n a . prescribe dperio dafte r servic e b y mail , o r o n adat e certai nafte r servic e b y mail , 5 day s shal l b e adde dt o th e prescribe dperiod . (f ) Servic e b

y th e odministratiu e la w judge . Th e administrativ e la w Jndg e shal l serv e acop y of

eac hdocumen t

in

cloding , bu t

no t limite dto , notice s o f prehearin g conference s an dhearings , "rollngs-on-motlons , - decisions , ^an dor ders, ' upo neac hpart y t o th e pro ceeding s by . persona l deliver y o r b y mail . (g ) 'Validservice . A documen t Uia t wa s properl y addressed , -wa s sen t i naccord

anc e wit hthi s subpart , an dtha t wa s returned , tha t

wa s no t claimed , o r

tha t wa s refused , i s deeme dt o hav e bee n serve di naccordanc e wit hthi s subpart . Th e servic e shal l b e considere dvali da s of tb e dat e an dth e tim e tha t th e docu

men t wa s deposite dwit hacontrac t o r expres s messenger , th e documen t wa s mailed , o r

persona l deliver y o f

th e doc

umen t wa s refused . (h ) Presumptio n o f

service . Ther e shal l b e apresumptio n o f

servic e wher e a part y o r aperson , wh o customaril y re ceive s mail , o r

receive s i t

i n th e ordi

nar y cours e of

buslnefts , a t

eithe r th e person' s residenc e o r

th e person' s prin

cipa l plac e of

business , acknowledge s receip t of th e document . ilSSl ZComputatio no f tinie . (a ) Thi s sectio napplie s t o an y perio d o f tim e prescribe do r

allowe db y thi s subpart , b y notic e o r

orde r of th e ad

ministrativ e la w judge , o r b y aa y ap plicabl e statute . - ' (b ) Th e dat e o f

a n act , event , o r

de

fault , afte r

whic hadesignate dtim e pe riodbegin s t o ran , i s no t inclade din. a computatio nof

tim e unde r

thi s eab

part . (c ) Tb e las t

da y o f atim e perio dI s In

clude di n acomputatio n o f tim e ujiles s i t I s aSaturday , Sunday , o r alega l hol

iday . If the-las t da y of th e tim e perio d I s aSaturday , Sunday , o r lega l holi

day , th e tim e perio drun s unti l th e en d of th e nez t

da y tha t

i s no t aSaturday , Sunday , o r

lega l holiday . i 13.21 3 ExtenBio no f

time . (a ) Ora l requests . Th e partie s ma y agre e t o exten dfo r

areasonabl e perio d th e tim e fo r

filing adocumen t

unde r thi s subpart , U th e partie s agree , th e administrativ e la w Judg e shal l gran t on e extensio no f

tim e t o eac hparty . Th e part y seekin g tb e crttenslo u o f tim e shal l submi t

adraf t orde r t o th e 

### 6 2fedetO i Aviatio n AdmlmsiToiion , DO T §13,21 7 administrativ e la w judg e t o b e signe d b y th dadministrativ e la w judg e an d file d\vit hth e hearin g docke t clerk . Th e administrativ e law judge , ma y —-grant-additiona l ora l request s fo r a n extensio nof

tim e wher e th e parties " agre e t o th e extension . (b ) ]\'ntLe nmotion . A part y Bhal l fil e a writte nmotio n for

anextensio nof tim e wit htb e administrativ e law judg e no t late r tha n7 day s befor e th e docu

men t i s du e unles s goo dcaus e fo r th e lat e filin g i s shown . A part y filin g a writte nmotio nfo r

o nextensio nof lim e shal l serv e acop y o f th e motio n oneac hparty . Th e administrativ e la w judg e ma y gran t

th e extenslon'o f

tim e if goo dcaus e fo r

th e extensio n I s shown . (c ) Failur e t o rule . If

th e adminlGtra

-

. tiv e la\ f judg e fail s t o rul e o nawritte n motio nfo r

a nextensio n o f

tim e b y th e dat e th e documen t

wa s due , th e motio n fo r a nextensio no f

tim e i s deeme d grante dfo r

n o mor e tha n20 day s afte r th e origina l dat e th e documen t wa s t o b e filed . §13.21 4 Aracndmcn t

o f pleudings . (a ) Filin g an dseruice . A part y shal l fil e th e amendmen t

wit hth e adminis

trativ e la w Judg e an dshal l serv e acop y of th e amendmen t

o nal l partie s t o th e proceeding . (b ) J^we . A part y shal l fil e a n amend

men t C O acomplain t

o r a nanswe r withi nth e following : (3 ) Np t late r tha n1 5 day s befor e th e schedule ddat e of

a-hearing , apart y ma y amen dacomplain t o r a nanswe r withou t th e consen t

o f th e adniinistra

- ...tiyejla w JTidge . (2 ) Les s tha n1 5 day s befor e th e schedule ddat e of

ahearing , th e admin

istrativ e la w Judg e ma y allo w amend

men t o f acomplain t

o r a nanswe r

onl y fo r goo dcaus e show ni namotio nt o amend . (c ) Responses . Th e administrativ e la- w judg e shal l allo w areasonabl e time , bu t no t mor e tha n2

0 day s fro mth e dat e o f fJliiig , fo r

othe r partie s t o re spon di f a namendmen t

t o acomplaint , answer , o r

othe r pleadin g has-bee n file d wit hth e administrativ e la w judge . 913.21 6 Wjtbdr-B-wa l of cojnplain t

o r reques t fo r hearing . A t an y tim e befor e o r

durin g ahear

ing , a n agenc y attorne y ma y withdra- w acomplain t

o r apart y ma y withdra- w a ~requegt"for-a-heajlng-wltbout.tbe_con t sen t o f th e administrativ e la w judge . I f a nagenc y attorne y withdraw s th e complain t

o r apart y withdraw s th e re ques t fo r ahearin g an dth e answer , th e administrativ e la w Judg e shal l dismis s th e proceeding s unde r thi s subpar t vrit hprejudice . j 13.21 6 Waiven . Waiver s o f

an y rights provide db y statut e o r

regulatio nshal l b e i n writ

ingo r b y stipnlatlo n mad e a t ahearin g an dentere dint o tb e record . Th e par ^ tie s shal l se t

fort hth e precis e term s of th e waive r

an dan y conditions . 51SJ2I 7 Join t

procedura l o r

discover y schedul e (a ) General . Th e partie s ma y agre e t o submi t aschedul e fo r

filin g al l pre hearin g motions , aschedul e fo r con ductin g discover y i nth e proceedings . o r aschedul e tha t

wil l gover n al l pre hearin g motion s an ddiscover y i nth e proceedings . (h ) Forman dconten t

of schedule , I S th e partie s agre e t o ajoin t procedura l o r discover y schedule , on e o f tb e partje s shal l fil e th e join t

schedul e wit hth e administrativ e la w Judge , settin g fort h th e date s t o whic htb e partie s hav e agreed , an dshal l serv e acop y o f th e Join t schedul e o n eac hparty , (1 ) Th e join t

schedul e ma y include , bu t nee dno t

b e limite dto , request s fo r discovery , an y objection s t o discover y requests , response s t o discover y re quest s t o whic hther e or e n o objec

tions , - -Bubmlasio n o f - prehearin g • mo tions , response s t o prehearin g motions , exchang e o f

exhibit s t o b e introduce d a t th e bearing , an dalis t o f witnesse s tha t ma y b e calle da t

th e hearing . (2 ) Eac hpart y shal l sig nth e origina l Join t schedul e t o b e file dwit hth e ad

ministrativ e la w Judge . (c ) Tirm. . Th e partie s ma y agre e t o submi t al l prehearin g motion s an dre sponse s an dma y agre e t o clos e dis

cover y i nth e proceeding s unde r th e join t schedul e withi n arieasonabl e tim e befor e th e dat e o f

tb e hearing , bn t

no t late r tha n 1 5 day s befor e th e bearing . 6 3513.21 8 1 4 CFRCh . I (1-1-O aEdition ) fd ) Orde r

establishing'join t

schedule . Th e administrativ e law judg e shal l ap prov e th e Join t

schedul e file db y th e _p^ties^On e part y shal l Eubml t adraft orde r establishinga-Joint-Bchedul e -t o th e administrativ e la w Judg e t o b e signe db y th e administrativ e la w judge ' an dfile dwit hth e hearing ' docke t clerk . (e ) Disputes . Th e administrativ e la w judg e shal l resolv e dispute s regardin g discover y o r

dispute s regardin g compli

anc e wit hth e join t

schedul e a s soo n a s possibl e s o tha t

th e partie s ma y con tinu e t o compl y -wit

hth e Join t

sched

ule . (D Sanction s fo r

failur e t o compl y with join t schedule . If

apart y fail s t o compl y wit hth e administrativ e la w judge' s orde r establishin g aJoin t

schedule , th e administrativ e la w judg e ma y direc t tha t part y t o compl y wit hamotio n t o discover y reques t

or , limite dt o th e ei

-

- ten t of th e party' s failur e t o compl y wit hamotio no r

discover y request , th e administrativ e la w Judg e may : (1 ) Strik e tha t

portio no f

aparty' s pleadings ; (2 ) PrecJnd e prehearin g o r discover y motion s b y tha t

party ; (3 ) Preclud e admissio nof tha t por tio nof aparty' s evidenc e a t

th e hear

ing , o r (4 ) preclud e tha t

portio nof

th e testi

mon y o f tha t party' s witnesse s a t

th e hearing . 513.21 6 Motions . <a) General , A part y applyin g fo r a n orde r o r rulin g no t

specificall y pro vide di nthi s subpar t

shal l d o s o b y mo tion . A part y shal l compl y wit hth e re quirement s o f

thi s sectio n whe n filin g amotio nwit hth e administrativ e la w judge . A part y shal l serv e acop y o f eac hmotio n oneac hparty , (b ) Fer man dcontents . A part y shal l stat e th e relie f

sough t b y th e motio n an dth e particula r

ground s supportin g .tha t relief . I f

apart y ha s evidenc e i n suppor t of amotion , th e part y shal l at tac han y supportin g evidence' , includ

in g affidavits , t o th e motion , (c ) Filin g of

motions . A motio nmad e prio r t o th e hearin g mus t

b e i nwriting . Unles s otherwis e agree db y th e partie s o r fo r goo. dcaus e shown , apart y shal l fil e any ' prehearin g motion' / an dshal l serv e acop y o neac hparty , no t late r tha n30 ' day s befor e th e hearing . Mo

tion s introduce ddurin g ahearin g ma y b e mad e orall y on th e recor dunles s th e administrativ e la

w judg e direct s other

wise . - ; '

_ (d ) Answer s l o Tnotion3.'~Any-party-may— fil e a n answer , wit haffidavit s o r othe r e-ridenc e i nsuppor t

o f tb e answer , no t late r tha n 1 0 day s afte r

servic o o f

a. writte n motio non tha t party . Whe n a motio ni s mad e durin g ahearing , th e answe r ma y b e mad e a t

th e hearin g o u th e record, ' orall y o r

i n writing , withi n areasonabl e tim e determine db y th e administrativ e la w judge . (e ) Ruling s onmotions . Tb e ndroinie

trativ e la w judg e shal l rul e o n al l mo tion s a s follows : ' (1 ) Discover

y motions . Th e adminlstra

- • tiv e la w judg e shal l resolv e al l pendin g diBcover y motion s no t late r tha n 1 0 day s befor e th e hearing , (2 ) Prehearin g motions . Th e admlnlB

tratlv e la w Judg e shal l resolv e al l pend ~ in g prehearin g motion s no t late r tha n 7

- day s befor e th e hearing . I f th e adminis

trativ e la w Judg e Issue s arulin g o r orde r orally , th e administrativ e la w jndg e shal l eerv e awritte ncop y o f th e rulin g o r

order , withi n 3 days , o neac h party . I nal l othe r

cases , th e adminls

- -trativ e la w Jndg e shal l issu e rullng B an dorder s i n writin g an dshal l serv e a cop y o f th e rulin g o r

orde r o neac h party . (3 ) Motion s mad e durin g th e heari-ng . Th e administrativ e la w judg e may . Issu e ruling s an dorder s on . motion s mad e durin g th e bearin g orally . Ora l ruling s o r

order s o nmotion s mus t b e mad e o n th e record , (f ) Specift c motions , A part y ma y fil e th e foilo-wto g motion s -wit hth e admin

istrativ e la w Judge : " " • (1 ) Motio nt o dismis s fo r insufficiency . A responden t

ma y fil e amotio n t o dis

mis s th e complain t

fo r insufficienc y in

stea do f filin g a n answer . I f

th e admin " Istrativ e la w Judg e denie s th e motio n t o dismis s th e complain t fo r insuffi

ciency , tb e responden t shal l fil e a n an swe r no t late r tha n1 0 day s afte r

serv ic e of th e administrative'la w judge' s denia l o f th e motion . A motio nt o dis

mis s th e complain t

fo r insufficienc y mus t sho w tha t

th e complain t

fail s t o stat e aviolatio n o f

aprovisio no f

th e Federa l aviatio n statut e liste di n tb e firs t sentenc e i n 4 9 U.S.C , 46301(d)(2 ) o r 6 4Federa l Aviatio n Administtalion , DO T §13.21 8 i n4 9 U.S.C . 47531 , o r an y implementin g rule , regulation , o r order , o r

aviola

tio n o f th e Federa l bazardousmateiial s transportatio nstatute , 4 9 U.S.C . 5121

-

—5128 , - or-any . imp i e me^nti n B_ralc,_regula

tio n o r order . (2 ) Motio nt o dismiss . A part y ma y fil e amotio nt o dismiss , Epecifyin g th e ground s fo r

dismissal . If

a n administra

- tiv e la w jadg e grant s amotio n t o dis

mis s i n part , apart y ma y appea l th e administrativ e law

- judge' s rulin g o n t h e motio nt o dismis s unde r § 13.219(b ) o f thi s subpart , (J ) Motio nC

o dismis s areques t

fo r a hearing , -A

nagenc y attorne y ma y fil e a motio nt o dismis s areques t fo r ahear

in g instea do f

filin g acomplaint . I f th e motio n t o dismis s is.no t granted , th e agenc y attorne y shal l fil e th e com plain t an dshal l serv e acop y o f th e complain t

o neac hpart y no t

late r tha n 1 0 day s afte r

servic e o f

th e administra

- tive'la w judge' s rulin g o r orde r o n th e motio n t o dismiss . I f tbe'motio n t o dia

miS B i s grante dan dth e proceeding s ar e terminated-withou t

ahearing , th e re - sponden t

ma y fil e a nappea l pursuan t t o S 13.23 3 o f

thi s subpart . I f

require db y th e decisio no n appeal , th e agenc y at - torne y shal l fil e acomplain t an dshal l serv e acop y o f

th e complain t

o n eac h party.no t

late r tha n1 0 day s afte r

serv - ic e o f th e decisio no nappeal , (ii ) Motio n t o dismis s acomplaint . A re - sponden t

ma y fil e amotio nt o dismis s acomplain t

instea do f

filin g a n answer . I f th e motio n t o dismis s i s no t granted , th e responden t

shal l fil e a n aostre r an d shal l serv e a'cop y o f th e answe r

o n eac hpart y no t

late r tha n 1 0 day s afte r servic e o f

th e administrativ e la- w judge' s rulin g o r

orde r o n tb e motio n t o dismiss . I f

th e motio n t o dismis s i s grante dan dth e proceeding s ar e termi

nate dwithou t

ahearing , th e agenc y attorne y ma y fil e a n appea l pursuan t t o { 13,23 3 o f

thi s subpart . I f

require db y th e decisio n o n appeal , th e responden t shal l fil e a nanswe r an dshal l serv e a cop y o f th e answe r

o n eac hpart y no t late r tha n 1 0 day s afte r

servic e o f

th e decisio n o nappeal .

- (3 ) Motio nfo r

mor e definit e statement . A part y ma y fil e amotio nfo r mor e defmit e statemen t

o f an y pleadin g -whic hrequire s arespons e unde r thi s subpart . A part y shal l se t forth , i n de

- tail , tb e indefinit e o r uncertai n allega

- tion s containe di n acomplain t o r re - spons e t o an y pleadin g an dshal l sub

m i t th e detail s tha t

th e part y believe s woul dmak e th e allegatio n o r respons e definit e an dcertain . (l}Co77;p/oin^-A-responden t may-file.a _ motio n requestin g amor e . definit e statemen t

o f th e allegation s containe d i n th e complain t

instea do f

filin g a n answer . I f

th e administrativ e la w judg e grant s th e motion , th e agenc y attorne y shal l suppl y amor e definit e statemen t no t late r tha n 1 5 day s afte r servic e o f th e rulin g grantin g th e motion . I f th e agenc y attorne y fall s t o suppl y amor e definit e statement , th e administrativ e la w judg e shal l strik e the-allegation s i n th e complain t

t o whic hth e motio n i s directed . I f

th e administrativ e la w • judg e denie s th e motion , th e respond

en t shal l fil e a n answe r an dshal l serv e acop y o f

th e answe r

o n eac hpart y no t late r tha n 1 0 day s afte r

servic e o f

th e orde r o f denial . (II ) Answer . A n agenc y attorne y ma y fil e amotio n requestin g amor e defi

nit e statemen t

i f a n ans-we r

fail s t o re - spon dclearl y t o th e allegation s i n the . complaint . I f

th e administrativ e la w judg e grant s th e motion , tb e respond

e n t shal l suppl y amor e definit e etate - men t not-late r

tha n 1 5 day s afte r

serv- - ic e o f th e rulin g o n th e motion . I f th e responden t

fail s t o suppl y a. mor e defi

nit e Btatement , th e a dmini s trativ e la w judge-shal l strik e thos e statement s i n t b e answe r

t o whic hth e motio n i e di

rected . Th e respondent' s failur e t o sup pl y amor e definite ' statemen t ma y b e deeme da n admissio n of-unanswere dal

legation s I n th e complaint . (4 ) Afoiio n t o strike . An y part y ma y mak e amotio n t o strik e an y Insufll

cien t allegatio n o r

defense , o r

an y re dundant , immaterial , o r irrelevan t "matte r I n apleading . A part y Ehal l filo

amotio n t o strik e with.th e adminis

trativ e la w Judg e aja dshal l serv e acop y o n eac hpart y befor e arespons e i s re - quire dunde r

thi s subpar t

or , i f are spons e i s no t

required , no t

late r tha n 1 0 day s tifte r

servic e o f

th e pleading , (5) Motio n fa r

decision . A part y ma y mak e amotio n fo r

decision , regardin g al l o r an y par t

o f th e proceedings , a t an y tim e .befor e th e administrativ e law ' judg e ha s issue da n initia l decisio n i n t h e proceedings . Th e administrativ e la w Judg e shal l gran t aparty' s motio n 

### 6 5§13.21 9 1 4 CF RCh . I {1-H3 B Edition ) fo r decisio n i f

th e pleadings , deposi

tions , answer s t o interrogatories , ad

missions , matter s tha t th e administra

- tiv e la w judg e ha s officiall y noticed , o r —evidence-introduced,durin g th e hearin g sho w tha t

ther e i s n o genuin e issu e o f materia l fac t

an dtha t

th e part y mak

in g th e motio ni s entitle dt o adecisio n a s amatte r

o f law . Th e part y makin g th e motio n fo r

decisio n ha s th e burde n o f show-Jn g tha t

ther e i s n o genuin e issu e o f materia l fac t

dispute db y th e paxtJes . (6 ) Motio nfo r

disQuahfication . A part y m a y fil e amotio nfor'di-squalificatio n wit hth e administrativ e la w judg e an d shal l serv e acop y o neac hparty . A , part y ma y fil e th e motio n a t an y tim e afte r th e administrativ e la w judg e ha s bee n ossigne dl o tb e proceeding s bu t shal l mak e .th e lYiotlo n befor e th e ad

ministrativ e la w judg e file s a ninitial . decisio ni n th e proceedings

- (1 ) Motio n an dsupportin g affidavit . A part y shal l stat e th e ground s fo r dis

qualification , includine , bu t no t lim

ite dto , persona l bias , pecuniar y inter

est , o r othe r factor s sho-win g disquali

fication , i n th e motio n fo r disqualifica

tion . A part y shal l submi t a haffidavi t wit hth e motio n fo r disqualificatio n tha t set s forth , i ndetail , the-matter s allege dt o constitut e ground s fo r dis

qualification . (ii ) Answer . A part y shal l respon dt o th e motio n fo r

disqualificatio n no t late r tha n5 day s afte r

servic e o f

th e motio nfo r

disqualification . (ill ) Decisio n o nmotio nfo r disqualifica

tion . Th e ' administrativ e Ja w judge ' shal l rende r

adecisio n o nth e motio n fo r disqualificatio n no t late r tha n 1 5 day s afte r

tb e motio n ha s bee nfiled . I f th e administrativ e la w Judg e find s tha t tb e motio nfo r

disqualificatio n an d supportin g affidavi t sho- w abasi s fo r disqualification , th e administrativ e la w judg e shall,withdra w fro mth e pro ceeding s immediately . I f th e adminis

trativ e la w Judg e find s tha t disquali

ficatio ni s no t

warranted , th e adminlE

trativ e la w judg e shal l den y th e motio n an dstat e th e ground s fo r th e denia l o n th e record . I f

th e administrativ e la w judg e fail s t o rul e o n aparty' s motio n fo r disqualificatio n withi n 1 5 days'afte r the.motio n ha s bee n fi^ed , th e motio n i s deeme dgranted . (Iv ) Appeal . A part y ma y appea l th e administrativ e la w judge' s denia l o f th e motio n fo r

disqualificatio n i n ac - cordanc e wit h§13-219(b ) o f thi s sul>

- part . [Amdt. ' 13^21 , 65'FR"27&75,-Jaly-3.-lB90.-aB _ arnendei l b y 7 1 F R10464 . Doc . 5 . 2006 ] { 13^1 9 Interlocutor y appeals . (a ) • General,

- Unles s otherwis e pro - vide di n thi s subpart , apoj-t y ma y no t appea l arulin g o r

decisio n o f

th e ad

- ministrativ e la w Judg e t o th e FA A de

- cisionmake r

unti l th e initia l decisio n ha s bee n entere do n th e record . A deci

sio n o r orde r o f th e FA A decisionmake r

. o n th e interlocutor y appea l doe s no t constitut e afina l orde r o f th e Admlnlo

- • trato r fo r th e purpose s o f

judicia l ap - pellat e revie w a s pro-vide dI n . 5 13.23 5 o f thi s subpart . - (b ) Interlocutor y appea i fo r cause . I f

a part y file s awritte n reques t fo r a n in

- terlocutor y appea l fo r caus e vrit hth e administrativ e la w Judge , o r orall y re - quest s - a n interlocutor y appea l fo r cause , tti o proceeding s ar e staye dunti l t h e administrativ e la w judg e lasue e a decisio n o n th e request . I f th e adminis

trativ e la w Judg e grorit ath e requoet , t h e proceeding s ar e staye dunti l th e FA A decisionmake r issue s adecisio n o n th e interlocdtor y appeal . Th e ad

- ministrativ e la w judg e shal l gran t a n interlocutor y appea l fo r caus e i f

a part y show s tha t

dela y o f

th e appea l woul db e detrimenta l t o th e publi c in

- teres t o r -woul dresul t

i n undu e preju

- dic e t o an y party . (c ) fnterlocutor v appeal s o f right . I f

a part y notifie s th e administrativ e la w -judg e o f

a n interlocutor y appea l o f right, th e proceedlng B ar e staye dunti l t h e FA A decisionmake r issue s adeci

sio n on—th e .interlocutor y appeal . A part y ma y fil e a n interlocutor y appea l wit hth e FA A decisionmaker , withou t t h e consen t

of . th e administrativ e la- w judge , befor e a n initia l decisio n ha s bee n entere di n th e cas e of : (1 ) A rulin g o r

orde r b y th e adminis

trativ e la w Judg e barrin g aperso n fro m t b e proceedings . (2 ) Failur e o f

th e administrativ e la w judg e t o dismis s th e proceeding s i n ac cordanc e wit h§13.21 5 o f thi s subpart . (3 ) A rulin g o r

orde r b y th e adminis

trativ e la w judg e I n violatio n o f §13.205(b } o f

thi s subpart . 6 6Federa l Avialio n Administration , DOT §13.22 0 (d ) Procedure . A part y sbfll l fil e ano * tic e o f interlocutor y appeal, , wit hsup portin g documents , wit htb e FA A deci

sionmake r

an dth e hearin g docke t -^clerk . an dshal l serv e acop y of th e DO- ' tic e an dsupporting'documents^oneach

part y an dth e administrativ e .la w Judge , no t

late r tha n1 0 day s afte r

th e odministrativ e la w Judge' s decisio n formin g th e basi s o

f a n interlocutor y appea l o f

right o r no t late r tha n 10 ' day s afte r

th e - administrativ e la w judge' s decisio ngrantin g an interlocu

tor y appea l fo r

cause , whicheve r

i s ap propriate , A part y shal l fil e arepl y brief , i f any , wit hth e FA

A decision

make r an dserv e acop y o

f th e repl y brie f o n .eac hparty ; no t

later-tha n1 0 day s afte r

servic e o

f th e appea l brief . Th e FAA-decifiionrnate r shal l rende r

a decisio no n th e interlocutor y appeal , o nth e recor dan da s apar t of th e deci

sio ni n th e proceedings , withi n area sonabl e tim e afte r

receip t of th e inter

locutor y appeal . (e ) Th e FA A decisionmake r ma y re jec t frivolous , repetitive , o r dilator y appeals , an dmay , issne ' a n orde r pre cludin g on o o r

mor e partie s fro mmak

in g furthe r

interlocutor y appeal s i n a proceedin g i n whic hthere

- hav e bee n frivolous , repetitive , o r dilator y inter

locutor y appeals . [Amat . 1»-21 , &

5 F R27575 . Jal y 3 , 1990 , a s amende db y Amdl . 13-23 , 6 5 F B iMM , Oct. . 31 , 1090 ; 7 1 F B 7W64 , Dec . 5 , 2006 ] 513.22 0 Discovery . (a ) JnitiatioT i o

f discovery . An y part y ma y initiat e discover y describe di n thi s section , withou t

th e consen t

o r ap prova l o f

th e administrativ e la-w Judge , a t an y tim e afte r

acomplain t

ha s bee n file di n th e proceedings , (b ) 'Method s of

discovery . Th e fol

lowin g method s of

discover y ar e per mitte dunde r

thi s section : deposition s o nora l examinatio no r writte nques tion s o f an y person ; writte ninterrog

atorie s directe dt o aparty ; request s fo r productio nof

document s o r

tangibl e item s t o an y person ; an drequest s fo r admissio nb y aparty . A part y i s no t re quire dt o file writte ninterrogatorie s an dresponses , request s for productio n of document s o r

tangibl e item s an dre sponses , an drequest s fo r admissio nan d respons e wit hth e administrativ e ' la w Judg e o r th e hearin g docke t

clerk . I n - th e even t of adiscover y dispute , a part y shal l attac hacop y of thes e docu

ment s i n suppor t

o f amotio nmad e unde r thi s section , (c ) Servic e o n th e agency . A part y ^shall^Eerveeach-discovery-requested ! T recte dt o th e ag.enc y o r an y agenc y em ploye e o n th e agenc y attorne y o f record . (d ) Tim e fo r respons e t o discovery re guests . Unles s otherwis e directe db y thi s subpar t

o r agree db y th e parties , a part y shal l respon dt o areques t fo r dis

covery , includin g filin g objection s t o a reques t fo r discovery , no t

late r tha n3 D day s of servic e o

f th e request , (e)i5cDp e o f

discovery . Subjec t

t o th e limit s o n discover y se t fort hi n para grap h(/ ) of

thi s Bection , apart y ma y discove r an y matte r

tha t i s no t privi

lege dan dtha t

I s relevan t

t o th e sub

jec t matte r o f th e proceeding . A part y ma y discove r

informatio n tha t

relate s t o th e clai mo r

defens e of

an y part y in

cludin g th e existence , description , na ture , custody , condition , an dlocatio n o f an y documen t

o r othe r tangibl e ite m an dth e identit y an dlocatio n o f an y perso nha-vin g knowledg e of discover

abl e matter , A part y ma y discove r fact aknown , o r

opinion s held , b y a n exper t wh o an y othe r

part y eapect s t o cal l t o testif y a t

th e hearing . A part y ha s n o groun dt o objec t t o adiscover y reques t o n th e basi s tha t

th e infornia

tio nsough t

woul dno t

b e admissibl e a t th e hearin g I

f th e informatio n sough t durin g discover y i s reasonabl y cal

culate dt o lea dt o th e discover y o f ad-

- mlaslbl e evidence . If ) Limitin g discovery . Th e administra

tiv e la w judg e shal l limi t th e frequenc y an dexten t

o f discover y perinltte db y thi s sectio ni f

apart y show s that — (1 ) The ' informatio n requeste dl acu mulativ e o r

repetitious ; (2 ) Th e informatio n requeste dca n b e obtaine dfro manothe r les s burdensom e an dmor e convenien t

source ; (3 ) Th e part y requestin g th e informa

tio n ha s ha dampl e opportunit y .t o ob- . tai nth e infomiatio nthroug hothe r dis

cover y method s permitte dunde r thi s section ; o r (4 ) Th e metho do r

scope , o f

discover y requeste db y th e part y i e undul y bur

densom e o r

expensive . 6 7§ 13.22 0 M CF R Ch . I (1-1-O S Edition ) (g ) Confidentia l orders . A part y o r per so n who-ha s receive dadiscover y re - ques t fo r informatio ntha t

i s relate dt o atrad e secret , confidentia l o r sensitiv e

- material,-.compe^tjveo r commercia l information , proprietar y dstarorlnfor-

- matlo n o nresearc han ddevelopment , ma y fil e a.motio nio r aconfidentia l orde r wit hth e administrativ e la w judg e an dshal l serv e acop y o f tb e mo - tio nfo r

aCDUfidcntia l orde r o n eac h party . (3 ) Tb e part y o r

perso n maltin g th e motio n mus t

sho w tha t

th e confiden

tia l orde r

i s necessar y t o protec t th e informatio n fro mdisclosur e t o th e pub

lic . (2 ) I f tb e administrativ e la w Judg e de

termine s tha t

th e requeste dmateria l i s h o t necessar y t o decid e th e ca«e , th e odministrativ e la w Judg e shal l preclud e an y inquir y int o tb e - matte r b y an y party . (3) I f th e administrativ e la w judg e de

termine s tha t

th e requeste dmateria l ma y b e disclose ddurin g discovery , th e administrativ e la w judg e ma y orde r tha t th e materia l ma y b e discovere d Ein ddisclose dunde r

limite dcondition s o r ma y b e use donl y unde r certai n term s an dconditions . (4) I f th e administrativ e la w Judg e de

- termine s tha t

th e requeste dmateria l i s necessar y t o decid e th e cas e an dtha t a confidentia l orde r

I s -t^-arrantod . th e ad

- ministrativ e la w judg e shal l provide : . (i ) A n opportunit y fo r revie w o f

th e documen t

b y th e partie s of

f th e record ; (Ii ) Procedure s fo r

excludin g th e in

formatio nfro mth e record ; an d (ill ) Orde r

tha t th e partie s shal l no t disclos e th e informatio ni n an y manne r and.th e partie s shal l no t us e tb e infor

matio n i nan y othe r proceeding , (h ) Protectiv e orders . A part y o r aper so nwh o ha s receive dareques t fo r dis

cover y ma y fil e amotio nfo r protectiv e orde r wit hth e administrativ e la w judg e an dshal l serv e acop y o f th e mo - tio nfo r protectiv e orde r

o n eac hparty. - Th e part y o r

perso n making , th e mo - tio nmas t

sho w tha t

th e protectiv e orde r i s necessar y t o protec t th e part y o r th e perso nfro mannoyance , embar

rassment , oppression , o r undu e burde n o r expense . A s par t

o f th e protectiv e order , th e administrativ e la w judg e may : • (1) Den y th e discover y request ; (2 ) Orde r tha t discover y b e condncte d onl y o n specifie dterm s an dconditions , inclDdin g adesignatio n o f th e tim e o r plac e fo r

discover y o r

adeterminatio n o f th e metho do f

discovery ; o r —(S)-Limit-the-Bcope_of_disco^veiYo r preclud e an y inquir y int o certai n mat^~~ ^ ter s durin g discovery . (1 ) Dut y • t o supplemen t o r amen dre sponses . A part y wh o ha s responde dt o a discover y reques t

ha s adut y t o supple

- men t o r amen dth e response , a s soo n aj i t h e informatio n I s known , a s follows : (1) A part y shal l supplemen t o r amen dan y respons e t o aquestio n re - questin g th e identit y an dlocatio n o f an y perso n havin g knowledg e o f dlscov

erabl e matters , (2) A part y shal l supplemen t o r amen dan y respons e t o aquestio n re - questin g th e Identit y o f eac hperson ' wh o wil l b e calle dt o testif y a t tb e hearing ' a s o n exper t witnes s an dth e subjec t matte r

an dsahstanc e o f

tha t -witness ' testimony , (3) A part y shal l supplemen t o r amen dan y respons e tha t wa s incorrec t whe n mad e o r

an y respons e tha t wa s correc t whe n mad e bu t

I s n o longe r correct , accurate , o r complete . (J ) Depositions . Th e followin g rule s appl y t o deposition s take n pursuan t t o thi s section : (1 ) Form . A depositio n shal l b e take n o n th e recor dan dreduce dt o writing . Th e perso n bein g depose dshal l sig n th e depositio n unles s th e partie s agre e t o waiv e th e requiremen t o f asignature . (2 ) Administratio n o f

oaths . Withi n th e Unite dStates , o r

aterritor y o r

posses sio n subjec t

t o th e Jorlsdlctio n o f th e Unite dStates , apart y ehal l tak e adep

ositio n befor e aperso n anthorize dt o administe r

oath s b y th e law s o f th e Unite dState s o r

aathori2e db y th e la w o f th e plac e wher e th e examinatio n l a held . I n foreig n countries , apart y shal l tak e adepositio n i n an y manne r al

lowe db y th e Federa l Rule s o f Cl-vl l Procedure . (3 ) Notic e o f

deposition . A part y shal l serv e anotic e o f

deposition , statin g th e tirh e an dplac e o f

th e depositio n an d th e nam e an daddres s o f eac hperso n t o b e examined , o n th e perso n t o b e de

- posed , o n tb e administrativ e la w judge , o n th e hearin g docke t clerk , an do n eac hpart y no t

late r tha a7 day s befor e 6 BFedera l Aviatio n Administration , DOT §13.22 0 t h e depositioP

- A part y ma y serv e ano tic e o f depositio n les s tha n 7 day s be

for e th e depositio nonl y -wit hconsen t o f th e administrativ e la w Judge . I f a _subpoen aduce s tecu mi s t o b e serve do n t h e perBbn~tO"-be-examlnedrthe-part y shal l attac hacop y of th e subpoen a duce s iccu mtha t

describe s tb e mate - rial s t o b e produce da t th e depositio n

. t o th e notic e o f

deposition . (4 ) Us e o f

depositions . A part y ma y us e an y part , o r

al l o f adepositio n a t

a hearin g authorize dunde r thi s subpar t onl y upo nasJiowin g o f goo dcause . Th e depositio nma y b e use dagains t an y part y wh o wa s presen t o r represente d a t th e depositio n o r

wh o ha dreaaon able'notic e o f

th e deposition . (k ) Interrogatories . A party , th e par ty' s attorney , o r

th e party' s represent ^ ativ e ma y sig nth e party' s response s t o interrogatories . A part y shal l answe r eac hinterrogatorj ' separatel y an dcom pletel y I n writing . I f apart y object s t o a ninterrogatory , th e part y shal l stat e t h e objectio n an dth e reason s fo r th e objection . A nopposin g part y ma y us e an y par t

o r al l of. aparly' s response s t o interrogatorie s a t

ahearin g authorize d unde r thi s suljpar t

t o th e exten t

tha t t h e respons e i s relevant , material , an d n o t repetitious . (1 ) A part y shal l no t serv e mor e tha n 3 0 interrogatorie Et o eac hothe r party .

- Eac hsubpar t

o f a n interrogator y shal l b e counte da s aseparat e interrogatory : (2 ) A part y shal l fil e amotio n fo r leav e t o serv e additiona l Interrog

atorie s o n apart y wit hth e administra

- tiv e la w judg e befor e servin g additiona l interrogntorier

- o ne party . Tb e admin

- istrativ e la w judg e ehal l gran t th e mo tio nonl y I f

th e part y show s goo dcaus e fo r th e party' s failur e t o inquir e abou t the

- informatio n previousl y -an dtha t t h e informatio ncanno t reasonabl y b e obtaine dnsln f

les s burdensom e dis

cover y method s o r

b e obtaine dfro m othe r sources . • (1 ) Request s fo r

admission , A part y ma y serv e awritte n reques t fo r admis

sio no f th e trut ho f

an y matte r

withi n t h e scop e o f

discover y unde r

thi s sec tio no r th e authenticit y o f an y docu

men t describe di nth e request . A part y shal l se t

fort heac hreques t

fo r admis

sio nseparately . A part y shal l serv e copie s o f

document s reference di n th e reques t fo r adniissio nunles s th e docu

ment s hav e bee n provide do r ar c rea sonabl y availabl e fo r inspectio n an d copying . • (1) Time . A party' s failur e t o respon d t o areques t

to r admission , i n writin g

—and—signe d_by^th e ^attorne y o r th e party , no t

late r tha n 3 0 day s afte r

serv-" " ic e o f th e request . I s deeme da n admis

sio n o f tb e trot ho f

th e statemen t

o r statcment K

containe di n th e reques t fo r admission . Th e administrativ e la w judg e ma y determin e tha t afailur e t o respon dt o areques t fo r admissio n I s n o t deeme da n admissio n o f th e trut hI f apart y show s tha t

th e failur e wa s du e t o circumstance s beyon dth e contro l o f t h e part y o r

th e party' s attorney . (2) Response . A part y ma y objec t t o a reques t fo r admissio n an dshal l stat e t b e reason s fo r

objection . A part y ma y specificall y den y th e trut ho f th e mat t e r o r describ e th e reason s wh y th e part y i s unabl e t o truthfull y den y o r admi t th e matter . I f

apart y i s unabl e t o den y o r

admi t tb e trut ho f

th e mat -

. tcr , th e part y shal l sho w tha t th e part y h a s mad e reasonabl e inquir y Int o tb e matte r o r tha t th e Informatio n know n t o , o r readil y obtainable'.by , tb e part y i B insnfricien t

t o enabl e th e part y t o admi t o r den y th e matter . A part y ma y admi t o r den y an y par t

o f th e reques t fo r admission . I f

th e administrativ e la w judg e determine s tha t arespons e doe s no t

compl y -wit hth e requirement s • o f thi s rul e o r

tha t th e respono e l ain

sufficient , th e matte r i s deeme dadmit

ted . (3) Effec t

o f admissiori . An y matte r ad

mitte do r

deeme dadmitte dunde r thi s Gcctjo n i s conclusivel y establishe dfo r t b e purpos e o f

th e hearin g an dappeal , (m ) Afoiion ' f

o compe l discovery . A part y ma y mak e amotio n t o compe l discover y i f

aperso n refuse s t o answe r aquestio n durin g adeposition , apart y fail s o r refuse s t o answe r

a n interrog

- atory , i f

aperso n give s a n evasiv e o r incomplet e answe r

durin g adepositio n o r whe n respondin g t o a n interrog

- atory , o r

apart y fall s o r

refuse s t o produc e document s o r -tangibl e Items . Durin g adeposition , th e proponen t o f a questio n ma y complet e th e depositio n o r ma y adjour n th e examinatio n befor e makin g amotio n t o compe l I f aperso n refuse s t o ajiswer . (n ) Failur e t o compl y wit hadiscover y orde r o r orde r t o compel . 1 1 apart y fall s 6 9§13.22 1 1 4 CFRCh . 1(1-1-0 8 Edition ) t o compl y wit hadiscover y orde r o r a n orde r t o compel , tJi e administrativ e la w judge , limite dt o th e exten t o f th e party' s failur e t o compl y wit hth e dis

- —covery . orde r

o r motio n t o compel , may : ^ ^ ~ ~ (1 ) Strik e tha t

portio nof

aparty' s pleadings ; (Z) Preclud e preliearin g o r discover y motion s b y tha t

party; . " " (3 ) Preclud e admissio nof tha t por tio no f aparty' s e-videnc e a t tb e bear

- • ing ; o r (4 ) Preclud e tha t

portio n of

th e testi

mon y o f tha t party' s -wiLuesse aa t

th e hearing , lAnidt . 13-21 . 5 5 F R27575 , Jul y 3 , 1990 , a a amende db y Amdt . 13-23 , 5 5 F R459B3 , Oct . 31 , 1990 1 5 13.22 1 Notic e o f hearing . (a ) Notice . Th e administrativ e la w judg e shal l giv e eac hpart y a t leas t 6 0 day s notic e of

th e date , time , an dloca

tio no f th e hearing . (b ) Dale , time , an dlocatio nof th e hear

ing . Th e administrativ e la w Judg e t o who mth e proceeding s hav e bee nas signe dshal l se t

areasonabl e date , time , an dlocatio nfo r

th e hearing . Th e administrativ e la w judg e shal l conside r

- th e nee dfo r

discover y an dan y join t procedura l o r

discover y schedul e sub

mitte db y th e partie s whe ndeter

minin g th e hearin g date . Th e adminis

trativ e la w judg e shal l giv e du e regar d t o th e convenienc e of th e parties , th e locatio nwher e th e majorit y o f th e wit

nesse s resid e o r

work , an dwhethe r

th e locatio nl aserve db y aschedule dai r carrier . (c ) Earlie r

hearing . Wit hth e consen t o f th e administrativ e la w judge,

- th e partie s ma y agre e t o hol dth e hearin g o na nearlie r

dat e tha nth e dat e speci

fie di nth e notic e o f

hearing . (13.22 2 Evidence , (a ) Genera l A part y i s entitled , t o presen t th e party' s cas e o r

defens e b y oral , documentary , o r demonstrativ e evidence , t o submi t

rebutta l evidence , an dt o conduc t

an y cross-examinatio n tha t ma y b e require dfo r

aful l an dtru e disclosur e of

th e facts . (b ) AdmisEibility . A part y ma y intro

duc e an y oral , documentary , o r demon

strativ e evidenc e i n."Suppor t o f th e par ty' s cas e o r

defense . Th e administra

tiv e la w judg e shal l admi t an y oral , documentary , o r

demonstrativ e evi

denc e introduce db y apart y bu t shal l exclud e irrelevant , immaterlaj , o r un dul y repetitiou s evidence . ic)—Hearsay—evidenc e Hearsay^_evJ^ _ denc e is . admissibl e i n proceeding s gov erne db y thi s subpart . Th e fac t tha t evidenc e submitte db y apart y i s hear

sa y goe s onl y t o th e weigh t o f th e evi

denc e an ddoe s no t

affec t It s admissl

bility . E13.22 3 SU/idar dof

proof . Th e administrativ e la w judg e aha U issu e a n initia l decisio n o r shal l rul e I n aparty' s favo r

onl y I f th e decisio no r rulin g I s supported-by , an di naccord

anc e with , th e reliable , probative , an d substantia l evidenc e containe di nth e record . I norde r

t o prevail , th e part y wit htb e burde nof

proo f shal l prov e th e party' s cas e o r

defens e b y aprepon deranc e o f

reliable , probative , an dsnh

-

. Etantia l e-vidence . 513.22 4 Burde nof

proof . (a ) Excep t

i nth e cas e o f

a haffirma

tiv e defense , th e harde n o f proo f i s o n th e agency . (b ) Excep t

a s otherwis e provide db y statut e o r

rule , th e proponen t

o f amo tion , request , o r

orde r ha s th e burde n o f proof . (c ) A part y wh o ha s asserte da n af

firmativ e defens e ha s th e burde n of pro-vin g th e affirmativ e defense . ( 13.22 5 Ofl'e r

o f proof . A part y whos e evidenc e ha s bee nex clude db y arulin g o f th e administra

tiv e la- w judg e ma y offe r th e evidenc e fo r th e recor do n appeal . fi 13.22 6 ]>ub1i c disclosur e o f e-vidence . (a ) Th e admlniBtrativ e la w judg e ma y orde r tha t an y informatio ncontaine d i nth e recor db e withhel dfro mpubli c disclosure . An y perso n ma y objec t t o disclosur e o f

informatio n i n th e recor d b y filin g a-writte nmotio n t o withhol d specifi c informatio nwit hth e adminis

trativ e la w Judg e an dservin g acop y o f th e motio no n eac hparty . Th e part y shal l stat e th e specifi c ground s fo r non disclosur e i nth e motion . (b ) Th e administrativ e la w Judg e shal l gran t

th e motio n t o withhold , in

formatio ni n th e recor dif , base do nth e 7 0Federa l AvioNo n Administration , DO T § 13.23 0 motion

- an dan y respons e t o th e mo tion , the . administrativ e la w judg e de

termine s tha t

disclosur e woul db e det

rimental t o aviatio n safety , disclosur e -—woul dnot_be_in„the^pubH c interest , o r tha t th e informatio n i s not~oth~ei^'iBe " require dt o b e mad e availabl e t o th e public . § 13.22 7 Exper t

o r opinio n witneBKes . An'^roploye e o f

th e agenc y may-no t b e calle da s a n exper t o r opinio n wit

ness , fo r

an y part y othe r

tha n th e FAA , i n an y proceedin g governe db y thi s subpart . Ancmploye e o f arespond

e n t ma y no t

b e calle db y a n agenc y at torne y a s a n exper t o r opinio n witnes s fo r tb e FA A i nan y proceedin g gov erne db y thi s subpar t t o whic hth e re sponden t

I s aparty . 513.22 8 Subpoenas , (a ) Reques t

fo r subpoena . A part y ma y obtai nasubpoen at o compe l th e at tendanc e o f

awitnes s a t

adepositio n o r hearin g o r

t o requir e th e productio n o f document s o r

tangibl e item s fro mth e hearin g docke t

clerk . Th e hearin g docke t cler k shal l delive r

th e sub

poena , signe db y th e hearin g docke t cler k o r a nadministrativ e la w jadg e b u t otherwis e I nblank , t o th e party . Th e part y shal l complet e th e subpoena , statin g th e titl e o f

th e actio n an dth e dat e an dtim e fo r

th e witness ' attend

- anc e o r

productio n o f

docoment ao r items . Th e part y wh o obtaine dth e sub

poen ashal l serv e th e subpoen ao u th e •witness . (b ) Motio nt o quas ho r modif y th e sub

poena . A party , o r an y perso n upo n who masubpoen aha s bee n served , ma y fil e amotio nt o quas ho r modif y th e subpoen o wit hth e administrativ e la w judg e a t

o r befor e th e tim e specirie dI n t h e subpoen afo r

compliance . Th e ap - plican t shal l describe , i ndetail , th e basi s fo r

th e applicatio nt o quas ho r modif y th e supoen aincluding , bu t no t limite dto , astatemen t tha t tb e testi

mony , document , o r tangibl e evidenc e i s no t relevan t

t o th e proceeding , tha t th e subpoen ai s no t

reasonabl y tailore d t o th e scop e o f

th e proceeding , o r

tha t t b e subpoen ai s unreasonabl e an dop pressive . A motio nt o quas ho r modif y t h e subpoen awil l sta y th e effec t o f th e subpoen apendin g adecisio n b y th e ad

ministrativ e la w judg e o n th e motion . (c ) Enforcemen t o f subpoena . Upo n a showin g tha t

a - perso n ha s faile do r re fuse dt o compl y wit hasubpoena , a part y ma y appl y t o th e loca l federa l distric t cour t t o see k

judicia l enforce

-

~ ment-of-the-subpoena-in-accor dance _ wit h4 9 U.S.C . 4610

4 i n case s unde r

th e Federa l aviatio n statute . [Amdt. . 13-21 . 5 5 F R27575 , Jul y 3 . IQM,-a a tt.Tieadeda t

7 1 F R7M65 , Dec . 5 , 2006 ] (13.22 9 WitncEsfeeB . (a ) GenernI , Unles s otherwis e author

ize db y th e administrativ e la w judge , th e part y wh o applie s fo r asubpoen at o compe l th e attendanc e o f awitnes s a t a'depositio n o r

hearing , o r

th e part y a t whos e reques t

awitnes s appear s a t a depositio n o r

hearing , shal l pa y th e witnes s fee s describe dI n thi s section . (b ) Amount . Excep t

fo r a n employe e o f th e agenc y wh o appear s a t tb e direc

tio n o f th e agency , awitnes s wh o ap pear s a t adepositio n o r

hearin g i s enti

tle dt o th e sam e fee s an dmileag e ex pense s a s ar e pai dt o awitnes. ^ i n a cour t o f th e Unite dState s i n com parabl e circumstances . (13.23 0 Kecord . (a ) Exclusiv e record . Th e transcrip t o f al l testimon y i n th e bearing , al l exhib

it s receive dint o evidence , an dal l mo - tions,-applications , requests , and'rul

- ing s shal l constitut e th e exclusiv e recor dfo r

decisio n o f

tb e proceeding s an dth e basi s fo r

th e issuanc e o f

an y order s i n th e proceeding . An y pro ceeding s regardin g th e disqualificatio n o f a n administrativ e la w judg e shal l b e include di n th e record . (b ) Examinatio n an dcopyin g o f record . An y perso n ma y examin e th e recor da t t h e Hearin g Docket . Federa l Aviatio n Administration , 60 0 Independenc e Ave

- nue , SW. , Wilbu r

Wrigh t

Building

- Boo m2034 . Washington , D C 205S1 . Doc

- ument s ma y als o b e examine dan dcop ie d- a t tb e U.S . Departmen t o f Trans

portation , Docke t

Operations , Wes t Buildin g Groun dFloor , Roo mW13-140 , 120 0 Ne w Jerse y Avenue , SE. , Wash

ington , D C 20590 . An y perso n ma y hav e acop y o f

the . recor dafte r

paymen t

o f reasonabl e coat s t o cop y th e record , [Docke t No . 1BBB4

. 4 4 F R63723 , Nov . 5 , 1919 , a e amende da t

7 0 F RE23B . Feb . 18 , 2005 ; 7 2 F R 68474 , Dec . 5 . 2M7 ] 

### 7 1§13.23 1 1 4 CFRCh , I (1-1-O B Edition ) 513.23 1 Argumen t

befor e th e adminie

tratfv e law judge . (a ) Argument s durin g th e hearing . Dur

in g th e hearing , th e administrativ e la w ~judge-shall-give-the-parties_a.reasonT _ abl e opportunit y t o presen t arguments . o nth e recor dsupportin g o r opposin g motions , objections , an druling s I f th e partie s reques t

a nopportunit y fo r

ar gument . Th e administrativ e la w Judg e ma y reques t

writte nargument s durin g th e hearin g if

th e administrativ e la w Judg e find s tha t

submissio nof

writte n argument s woul db e reasonable . (b ) Fina l ora l argument . A t th e conclu

sio no f th e hearin g an dbefor e th e ad

ministrativ e la w judg e issue s a n initia l decisio ni nth e proceedings , th e partie s ar e entitle dt o submi t ora l propose d finding s of

fac t an dconclusion s of

law , exception s t o ruling s o f th e adminis

trativ e law judge , an dsupportin g argu ment s fo r

th e findings , conclusions , o r exceptions . A t

th e conclusio nof

th e hearing , apart y ma y -waiv e fma l ora l argument , (c ) Posthcarin g briefs . Th e administra

tiv e la w judg e ma y . reques t writte n posthearin g briefs befor e th e adminis

trativ e law judg e issue s a n initia l deci

sio ni nth e proceeding s i f th e admlniB

trativ e la w judg e find s tha t submissio n of writte nargument s woul db e reason able . I f apart y file s awritte n posthearin g brief, th e part y shal l in

clud e propose dfinding s of fac t an dcon clusion s of

law , exception s t o ruling s o f th e administrativ e la w Judge , and-sup

portin g argument s fo r th e findings , conclusions , o r

exceptions . The-admin

istrativ e law Judg e shal l giv e th e par tie s areasonabl e opportunity , no t mor e tha n3

0 day s afte r

receip t of th e transcript , t o prepare-an dsubmi t th e briefs . 5 13.23 2 Initia l diiciGion . (a ) Contents.

- Th e administrativ e la w judg e shal l issu e a ninitia l decisio na t th e conclusio no

f th e hearing . I n eac h ora l o r writte ndecision , th e adminis

trativ e law Judg e shal l includ e finding s of fac t an dconclusion s o f

law , an dth e ground s supportin g thos e finding s an d conclusions , upo nal l materia l issue s o f fact , tb e credibilit y o f witnesses , th e applicabl e Jaw , an y exercis e of th e ad

ministrativ e la w judge' s discretion , th e amoun t of an y civi l penalt y found , ap propriat e b y th e administrativ e la- w judge , an dadiscussio n o f th e basi s fo r an y orde r

issued

- i n th e proceedlngB . Th e administrativ e la w judg e i s no t re quire dt o provid e awritte nexplanatio n ~for~riilings~ou ~ objections—procedura l — motions , an dothe r

matter s no t

di

rectl y relevan t

t o th e substanc e o f

th e initia l decision . If

th e administrativ e la w judg e refer s t o an y previou s unre porte dO

r unpublishe dinitia l decision , th e administrativ e la w judg e shaj l mak e copie s of

tha t initia l decisio n availabl e t o al l partie s an dth e FA A de

cisionmaker . (b ) Ora l decuion.-Except-as-provide d i nparagrap h(c ) o

f thi s section , a t

th e conclusio nof

th e hearing , th e adminis

trativ e la w Judg e shal l issu e th e Initia l decisio nan dorde r

orall y o n tb e record . (c ) Writte n decision . Th e administra

tiv e la w Judg e ma y issu e awritte nini

tia l decision ' no t

late r tha n30 day s afte r th e conclusio n of

th e hearin g o r submissio n o f

th e los t posthearin g brie f I f th e administrativ e la w Judg e find s tha t issuin g awritten ' initia l decisio n i s reasonable . Th e administrativ e la w jndg e shal l serv e acop y of an y writte n initia l decisid n o n eac hparty . .(d ) Orde r

assessin g civi l penalty . Unles s appeale dpursuan t

t o S 13.23 3 of

thi s subpart , th e initia l decisio nissue db y th e administrativ e la w Judg e shal l b e considere do n orde r

assessin g civi l pen alt y if tb e administrativ e la w judg e find s tha t

a n allege dviolatio n occurre d an ddetermine s tha t

acivi l penalty , i n a namoun t

foun dappropriat e b y th e administrativ e la w judge , i s warranted . { 1SJU 3 Appea l fro minitia l dcciaion . (a ) Notic e of

appeal . A part y ma y ap pea l th e initia l decision , an dan y deci

sio n no t previousl y appeale dpursuan t t o S 13.219 , b y filin g anotic e of appea l -wit hth e PA A decisionmaker , A part y mus t fil e th e notic e of

appea l i nth e FA A Hearin g Docke t

usin g the'appro

priat e addres s liste di n§ 13.210(a) . A part y shal l fil e tb e notic e o f appea l no t late r tha n 1 0 day s afte r

entr y o f

th e ora l initia l decisio no nth e recor do r servic e o f

th e writte n initia l decisio n o nth e partie s an dshal l serv e acop y o f th e notic e o f

appea l o neac hparty . (b ) Issue s o n appeal . I n an y appea l fro madecisio no f

a n administrativ e 7 2Federo l Aviatio n Administration , DO T §13.23 3 la w judge , th e FAA decisionmake r con sider s onl y th e folJdwin g issues : (1 ) ^^Tiether

eac hfindin g o

f fac t i s supporte db y apreponderanc e of reli

- -able—probative,-an d~sobstantiai_evv: _ dence ; (2 ) Vfhethe r

eac hconclusio no

f la w i s mad e I n accordanc e wit happlicabl e law , precedent , an dpubli c policy ; an d (3 ) Whethe r

th e administrativ e la w judg e committe dan y prejudicia l error s thatsuppor t

th e appeal . (c ) Perfectin g a n appeal . Unles s other

wis e agree db y the ' parties , apart y shal l perfec t

a n appeal , no t

late r tha n & 0 .day s afte r

entr y of

tb e ora l Initia l decisio no n tb e recor do r servic e of

th e writte ninitia l decisio no n th e party , b y filin g a n appea l brie f wit hth e PA A decisionmaker . (1 ) Ertensio nof

time- b y agreemen t

of th e parties . Th e partie s ma y agre e t o exten dth e tim e fo r

perfectin g th e ap pea l wit hth e consen t

of th e FA A deci

sionmaker . If

th e FA A decisionmake r grant s a n extensio nof tim e t o perfec t th e appeal , th e appellat e docke t clerk

shal l serv e alette r

confirmin g th e ex tensio no

f tim e o n eac hparty . (2 ) Writte nmotio nfor

ertetision . I f

th e partiesd o ho t

agre e t o a n extensio n o f tim e fo r perfectin g a n appeal , apart y desirin g an extensio no f tim e ma y fil e a-writte nmotio nfo r

a n extensio n -wit

h th e FA A decisionmake r

an dshal l serv e acop y of

.th e motio no n eac hparty . Th e FAA decisionmake r ma y gran t

a n extensio ni f

goo dcaus e fo r

tb e exten sio ni s show n i n th e motion . (d ) Appea l briefs . A part y shal l fil e th e appea l brie f

-wit hth e FA A decision

maker.an dshal l serv e acop y of th e ap pea l brie f

o n eac hparty . (1 ) A part y shal l se t

forth , i n detail , th e party' s specifi c objection s t o th e initia l decisio no r

ruling s i n th e appea l brief . A part y als o shal l se t forth . I n

. detail , th e basi s fo r

th e appeal , th e rea son s supportin g th e appeal , an dth e re lie f requeste di n th e appeal . I f th e part y relie s o n evidenc e containe di n th e recor dfo r

th e appeal , tb e part y shal l specificall y refe r

t o th e i>ertinen t evidenc e containe di n th e transcrip t i n th e appea l brief . (2 ) Th e FA A decisionmake r ma y dis

mis s an appeal , o n th e F.A A decision

maker' s ow n initiativ e o r upo nmotio n o f an y othe r

party , -whEr

e apa.rt y ha s file danotic e o f appea l bn t

fall s t o per fec t th e appea l b y timel y filin g a n ap pea l brie f

wit hth e PAA decisionmaker , (e ) Repl g brief

. Unles s otherwis e agree dby'th e parties , an y part y ma y fil e areply^briofwiththe-FAA-decI

- — sionmake r

no t late r tha n3 5 day s afte r th e appea l brie f

ha s bee n serve do n tha t party . Th e part y filin g th e repl y brie f shal l serv e acop y o f th e repl y • brie f o n eac hparty . I f

tb e part y relie s o nevidenc e containe dinth e recor dfo r th e reply , the'part y shal l Bj>ecificall y refe r t o th e pertinen t

c-vldenc e con taine di n th e traascrip t i n th e repl y brief, (1 ) Extensio nof

• time b y agreemen t

o f th e parties . Th e partie s ma y agree't o exten dth e tim e fo r

filing c repl y brie f wit hth e consen t

o f th e PA A decision

maker . If

- th e FA A decisionmake r grant s a n extensio no f tim e t o fil e th e repl y brief

, th e appellat e docke t cler k shal l Eerv e alette r

confirmin g tb e ex tensio n o

f tim e o n eac hparty , (2 ) Writte nmotio nfo r

extension . I f

th e partie s d o no t

agre e t o a n extensio n o f tim e fo r filin g arepl y brief , apart y de

sirin g a n extensio n o f tim e ma y fil e a writte nmotio nfo r

a n extensio n -wit h th e FA A decisionmake r an dshal l serv e acop y o

f th e motio n o n eac hparty . Th e FA A decisionmake r ma y gran t

a n extensio n I t

goo dcaus e fo r

th e exten sio n i s show n i n th e motion . (D Othe r briefs . Th e PA A decision

make r ma y allo w an y perso nt o submi t a namicu s curia e brie f

i n a n appea l o f

a n initia l decision . A part y ma y no t fil e mor e -tha n on e appea l brie f or . repl y brief , A part y ma y petitio nth e PA A decisionmaker , i n -writing , fo r leav e t o fil e a n additiona l brie f an dshaj l eerv e acop y of

th e petitio n o n eac hparty . Th e part y ma y no t

fil e th e additiona l brie f wit hth e petition . Th e FA A deci

sionmake r

ma y gran t

leav e t o fil e a n additiona l brie f

If th e part y dem

onstrate s goo dcaiis e fo r allowin g addi

tiona l argumen t

o n th e appeal . Th e FA A decisionmake r

wil l allo w area sonabl e tim e fo r

th e part y t o fil e th e additiona l brief . (g ) Number

of copies . A part y shal l fil e th e origina l appea l briefe r th e origina l repl y brief

, an dtw o copie s o f

th e brief , wit hth e FA A decisionmaker, . (h ) Ora l argument . The'PA A decision

make r ha s sol e discretio n t o permi t 7 3§13.23 4 1 4 CFRCh . 1.(1-1-0 8 Edition ) ora l argumen t

o nth e appeal . O n th e FA A decisionmaker' s ow n initiativ e o r upo nwritte nmotio n b y an y party , th e FA A decisionmake r ma y fin dtha t

ora l —argument-will-contribute , substantially , t o the;'developmen t

o f th e issue s o n ap pea l an dma y gran t th e partie s a n op portunit y fo r

ora l argument . (i ) Waive r

o f objection s o n appeal . I f a part y fail s t o objec t t o an y allege d erro r regardin g th e proceeding s i n a n appea l o r

arepl y brief , th e part y -n-aive s an y objectio nt o tb e allege d error . Th e PA A decisionmake r i s no t require dt o conside r an y objectio n i n a nappea l brie f

o r an y argumen t

i n th e reply , brie f

i f aparty' s . objectio n i s base do n evidenc e containe do n th e recor dan dth e part y doe s no t specifi

call y refe r

t o • th e pertinen t

e-vjdenc e fro mth e recor di n th e brief . (j ) F'A A decisionmaker' s decisio n o n ap peal . Th e FA A decisionmake r wil l re vie w th e record , th e brief s o nappeal , an dth e ora l argument' , i f any , whe n considerin g th e issue s o n appeal . Th e FA A decisionmake r ma y affirm , mod

ify , o r revers e th e inltia J decision , mak e an y necessar y findings , o r ma y reman dth e cas e fo r an y proceeding s tha t th e FA A decisionmake r deter

mine s ma y b e necessary . (1 ) Th e PA A decisionmake r ma y rais e an y issue , o nth e FA A decisionmaker' s ow n initiative , tha t i s require dfo r proper-dispositio n o f th e proceedings . Th e FA A decisionmake r wil l giv e th e partie s areasonabl e opportunit y t o submi t argument s o nth e ne w issue s befor e makin g adecisio n o nappeal . I f a n issu e raise db y th e FA A decision

make r require s Ch e consideratio n o f ad

ditiona l testimon y o r evidence , th e FAA

- decisionmake r wil l reman dth e cas e t o th e administrativ e la w jndg e "fo r furthe r

proceeding s an da ninitia l decisio n relate dt o tha t Issue . I f

a n issu e raise db y th e FA A decisionmake r i s solel y a n issii e o f la w o r th e issu e wa s addresse da t

th e hearin g bu t

wa s n o t raise db y apart y i n th e brief s o n appeal , areman do f th e cas e t o th e ad

ministrativ e la w judg e fo r furthe r

pro ceeding s i s not . require dbu t ma y b e provide di nth e discretio n o f th e FA A decisionmaker . • (2 ) Th e FA A decisionmake r wil l issu e t b e fina l decisio nan dorde r o f th e Ad

ministrato r

o n appea l i n writin g an d wil l serv e a.cop y of. th e decisio n an d orde r o n eac hparty . Unles s apetitio n fo r revie w i s file dpursuan t t o §13.235 , a fina l decisio n an dorde r o f th e Admln

- -istrator-shall_bB_considere da n orde r ' assessin g civi l penalt y If th e FA A decl^ ^ sionmake r

find s tha t

a n allege dviola

- tio n occurre dan dacivi l penalt y 1 B warranted . (3) A fina l decisio n an dorde r o f th e Administrato r

afte r appea l i s preceden t i n an y othe r

civi l penalt y action . Aa y issue , findin g o r

conclusion , order , rul

ing , or-initia l decisio n o f a n adminis

trativ e la w judg e tha t ha s no t

bee n ap - peale dt o th e FA A decisionmake r 1 B n o t preceden t

i n an y othe r

civi l pen alt y action . [Amdt , 13-21 , 55 F R27575 , Jul y 3 , 1990 . u ameDdadb y Amdt . 11-32 ; 6 9 F R59198 , Oct . 4 . 2004 ; 7 0 F R13345 . Mar , 21 , 20O5 J (13.23 4 ^Petitio n t o recoiiBide r o r mod

- if y afina l decisio n an dorde r o f th e FA A deciEionmake r

o n appeal . (a ) General . An y part y ma y petitio n th e FA A decisionmake r t o reconside r or-modif y afina l decisio n an dorde r issue db y th e FA A decisionmake r o n appea l fro ma n initia l decision . A pajl, y shal l fil e apetitio n t o reconside r o r modif y wit hth e FA A decisionmake r n o t late r tha n 3 0 day s afte r servic e o f th e FA A decisionmaker' s fina l decisio n an dorde r

o n appea l an dshal l serv e a cop y o f th e petitio n o n eac hparty . Th e FA A decisionmake r

wil l no t

reconside r o r modif y a n initia l decisio n an dorde r Issue db y a n administrativ e la w Judg e tha t ha s no t

bee n appeale db y an y part y t o th e PA A decisionmaker , (b ) For man dnumbe r o f copies . A part y shal l file a'peritio n t o reconside r o r modify . I n writing , -wit hth e FA A deci

sionmaker . Th e part y shal l file th e origina l petitio n wit hth e FA A deci

sionmake r

an dshal l serv e a

- cop y o f

th e petitio n o n eac hparty . (c ) Contents . A part y shal l stat e brief

l y an dspecificall y th e allege derror s i n t h e fina l decisio n an dorde r o n appeal , t h e relie f

sough t b y th e party , an dth e ground s tha t

support , th e petitio n t o reconside r

o r modify . (1 ) I f tb e petitio n i s based , i n whol e o r i n part , o n allegation s regardin g th e 7 4Federa l Aviatio n Administration , DOT . §13.30 1 conseqoences ' o f

th e PA A decision

maker' s decision , th e part y shal l de

scrib e thes e allegation s an dshal l de

- -scribe,_anj_suppprt , th e basi s fo r tb e allegations . . ~ (2 ) i f th e petitio ni s based , i nwhol e o r i n part , o nne w materia l no t pre viousl y raise din . th e proceedings , th e part y shal l se t

fort hth e ne w materia l an dinclud e affidavit s of prospectiv e witnesse s an dauthenticate ddocu

ment s tha t

woul db e introduce di n sup por t o f th e ne w material . Th e part y shal l explain , i n detail , wh y th e ne w materia l wa s no t

discovere dthroug h du e dilificnc e prio r

t o tb e hearing . • (d ) Repetitiou s an dfrivolou s petitions . T h e FA A decisionmake r wil l no t

con side r repetitiou s o r

frivolous , petitions . Th e FA A decisionmake r ma y sum maril y dismis s repetitiou s o r frivolou s petition s t o reconside r o r modify , • (e ) Repl y petitions . An y othe r part y m a y repl y t o apetitio n t o reconside r o r modify , no t

late r tha n 1 0 day s afte r servic e o f

th e petitio n o ntha t party , b y filin g arepl y wit htb e FA A deci

sionmaker . A part y sba D serv e acop y o f th e repl y o neach , party . (f) Effec t

o f filin g petition . Unles s oth

- erwis e ordere db y th e FA A decision

maker , filin g o f

apetitio n pursuan t t o

. thi s sectio n wU l ho t sta y o r

dela y th e effectiv e dat e o f

th e FA A decision

maker' s fina l decisionan dorde r o n ap pea l and'shal l no t

tol l th e tim e allowe d fo r judicia l re-view . (g ) FA A decisionmaker' s decisio n o n pe - tition. Th e FA A deciEionmake r ha s sol e discretion't o gran t

o r den y apetitio n t o reconside r

o r modify . Th e FA A deci

sionmake r

wil l gran t

o r den y apetitio n t o reconside r

o r modif y withi n area - sonabl e tim e afte r

receip t

o f th e peti

tio n o r receip t

o f th e repl y petition,-If

any . Th e FA A decisionmake r ma y af

firm , modify , o r

revers e th e fina l deci

sio nan dorde r

o nappeal , o r

ma y re - man dth e cas e fo r

an y proceeding s tha t th e FA A decisionmake r determine s m a y b e necessary , (Amdt . 13-21 , 5 5 F R27575 , Jul y 3 , 1990 ; 5 5 F R 29293 . Jul y 18 . 1990 ; AmdL . 13-23 , 5 S F R45983 , Oct . 31 , 1990

) §J3.23 S Judicia l revie wo f a fina l deci Eio n an d order . (a ) I n case s unde r

tb e Federa l a-via

tio nstatute , apart y ma y see k judicia l revie w o f afina l decisio n an dorde r o f th e Administrator , a s provide din ' 4 9 U.S.C . 46110(a) , and , a s applicable . I n 49 U.S.C . ^63DJ(d)(7)(D)(ili) , 46301(g) , o r "47532 . — (b ) I n case s unde r

th e Federa l haz

- . ardou s material s transportatio n stat ute , apart y ma y see k Judicia l revie w o f afina l decisio n an dorde r o f th e Ad

ministrator , a s provide di n 4 D U.S.C . 5127 , (c ) A part y seekin g Judicia l revie w o f afina l orde r

issue db y th e Adminis

trato r ma y fil e apetitio n fo r revie w I n t b e Unite dState s Cour t o f Appeal s fo r t h e Distric t

o f Columbi aCircui t

o r i n t h e Unite dState s Cour t o f Appeal s fo r t h e circui t

I n whic hth e part y reside s o r ha s it s principa l plac e o f business. . (d ) Th e part y mos t

fil e th e petitio n fo r revie w n o late r

tha n 6 0 day s afte r servic e o f

tb e Administrator' s fina l de

cisio n an dorder . [Doc . No . FAA-2006-25477 . 7J F R7W65 , Dec . S . 2D06 ] Subpar t H—Civi l Monelar yPenalt y Inflatio n Adjustmen t BOUBCE : Doclie t

No . 287G2 , 6 1 F R67H4S , Dec . 20 , 1996 . unlea aotberwls o noted . S IS.SO l Scop e an dpurpose . (a ) Thi s subpar t

pro-vide s amecha

- nis mfo r

th e regula r

adjustmen t

fo r in

flatio n o f

civi l monetar y penaltie s i n conformit y wit hth e Federa l Civi l Pen

- altie s Inflatio n Adjustmen t Ac t o f 1990 . 2 8 U.S.C . 246 1 (note) , a s amende db y th e Deb t .Collectio n Improvemen t Ac t o f 1996 , Publi c La w 104-134 , Apri l 26 , 199C , i n orde r

t o maintai n th e deterren t ef

fec t o f civi l monetar y penaltie s an dt o promot e complianc e wit hth e law . Thi s subpar t als o set s ou t

th e curren t

ad

juste dmaximut n civi l monetar y pen altie s o r

rang e o f

minimu man dmax - imu mcivi l monetar y penaltie s fo r eac h statutor y civi l penalt y subjec t t o th e FAA' s jurisdiction . (b ) Eac hadjustmen t t o th e maximu m civi l monetar y penalt y o r th e rang e o f minimu man dmaximu mci-vi l mone - tar y penalties , as ' applicable , mad e i n accordanc e wit hthi s subpar t applie s prospectivel y fro mth e dat e i t become s effectiv e t o action s initiate dunde r thi s part , notwithstandin g reference s t o a 7 5

# f\^l^Hm/} r

f

Th e attache dinformatio n mus t b e protecte dan dno t reifease dt o imaisthorize d mdiy i duals . Us e o f

thi s cove r shee t i s i naccordaec e wit hth e Depaitmen t

o f Justic e regulatio no nth e contro l o f

Limite dOfficia l •^s e information .

00005 0

### 1 2 3 4 5 6 7 UNITE D STATE S DISTRIC T COUR T DISTRIC T O F NEVAD A



# - t PRO-CEEDING S BEFOR E TH E SPECIA L FEDERA L GRAN D JUR Y

1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 l e 1 9 2 0 2 1 2 2 2 3 2 4 2 5 PRESENT ; TESTIMON Y O F CHRISTOPHE R M C PEA K TAKE NA T LA S VEGAS , NEVAD A TUESDAY , DECEWBE R 1 , 200 9 A T 10:3 1 a.m .

A QUORU

M O FTH ESPECIA LFEDERA LGRAN D JUR Y ijUCA S M . FOLETT A Assistan t

Unite dState s Attorne y (JEPARTMEN T O FJUSTIC E J 3 3 LA S VEGA 5 BLVD . SO . #bOO O -.A S VEGAS , NEVAD A 8910 2

REPORTE D BY : JOYC EDENNEH Y

FRE ESTATEREPORTING , IN C Cour t Reportin g Transctiptio n D.C . Ace * 301-261-13^ . Bait , s Armap . 410-?74-054' 7 

# 00005 1( I



### 9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 1 8 1 9 2 0 2 1 2 2 2 3 

### 2 4 2 5 PROCEEDING S

Whereupon . 

### CHRISTOPHE R M C PEAK wa s calle' l a s a witnes s and , afte r firs t bein g dul yswor n b yth e Fo.-reperso

n o f th e Gran d Jury , wa s examine d an d testifie d a s follows : EXAMINATIO N

FOREPERSON : Woul d yo u pleas e stat e you r ful l nam e and spel l i t fo r th e cour t reporter .

WITNESS : M

yfirs t nam e i s Christopher , C

H-R-I-S-T-0-P-H-E-R- , mylas t nam e i s McPeak , M-C-P-E-A -

•TOREPERSON . Yo u ma yb e seated , WITNESS . Than k you .

EXAMINATIO N UY MR . FOLETTA : Q . /igen

t McPeak , wher e ar e yo u employed ? A . Wit h th e Departmen t o f Justice , Federa l Burea u o f Inveati'Tation . Q . V.'hat' s you r positio n wit h th e FBI ? A . J ' ma specia l ager.t . Q . Pn dwha t d o you r dutie s includ e a s a specia l age.q t wit h th e FBI ? A . Investigatin g a variet yo f crimina l matter s an d preparin g thos e case s fo r prosecution . FRE E oTAT E REPORTING , INC . Cour t Reportin g Transcriptio n D.C . Are a 3D1-261--190 2 Bait . & A.^.^ap. . U0-974-D94 7 

## 00005 2

### Q . Ca n yo u briefl ydescrib e th e natur e o f th e trainin g ;/ou'v

e receive d tha t help s yo u perfor myou r duties ? A . Yes . Al l agents , a s a matte r o f procedure , receiv e eritensive trainin g i n crimina l investigation s investigativ e techniques , a variet yo f aspect s involvin g thos e fields . 5 1 0 1 1 1 2 1 3 1 4

. 1 5 1 6 1 7 1 8 1 9 2 D 2 1 2 2 2 3 2 4 2 5 Q . D o yo u hav e an yexperienc e investigatin g violation s o f IBu.S.C , Sectio n 111 , Assaultin g a Federa l Office r and violation s o f 4 9 U.S.C , 46504 , Interferenc e wit h Fligh t Cre wMeinber s an d Attendants ? A . Ces , I do . Q . i s th e testimon yyo u ar e abou t t o giv e her e base d upo n you r persona l knowledg e and/o r informatio n provide d t 3 yo u i n th e cours e o f you r investigation ? A , '.'es , i t is . Q . iui

d you'r e familia r wit h a n investigatio n int o a n individ'ja l name d Bria. n Alle n Wallaesa ? A . yes , I am . Q . I:n ddi d al l tb e fact s underlyin g tha t investigat:;.o

n occu r eithe r i n th e Stat e an d Federa l Distric t o ! Nevad a o r i n th e Specia l Aircraf t Jurisdictit mo f th e Unite d States ? A . i-es , i t did . Q . ^r e yo u awar e o f a n even t aboar d a n aircraft ,

FREESTATEREPORTING , IIQC . Cour t Reportin g Transcriptio n D.C . Are a301-261-19O 2 Bait . 6 Annsp . 410-974-094 7 

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### 1 2 3 4 5 6 7

S 

### I D 1 1 1 2 1 3 14 1 5 1 6 1 7 1 9 1 9 

### 2 0 2 1 2 2 2 3 2 4 - 2 5 i n th e Sp/icia l Aircraf t Jurisdi.ctio n o f th e Unite d States , o n Novembe r 6 , 2009 , tha t involve d Mr . Wallaesa ? A . Yes , I am . Q . Ca n yo u describ e ho wtha t e-ven t began ? A . Essentially ^ Mr . Wallaesa , I believ e i s ho whi s nam e i s pionounced , wa s sittin g nex t t o a youn g female' - passenge r o n th e aircraft . ' Th e tw o wer e a t a mutual , wa s cescribe d a s "typica l airlin e typ e o f ! -onvetsation.' • An d a t som e poin t th e femal e becam e i. , T-ortabl e wit h th e directio n tha t th e conversatio n i 

### ws r :j£iading . Mr . Wallaes a .attempte d to , o r touche d th e jun g lad yo n he r shoulde r a coupl e o f times , aske d he r i f h e coul i pu t hi s ar maroun d her , behavior s tha t eventuall ybecam e uncomfortabl e fo r he r t o th e exten t tha t sh e aske d t o b e reseate d i n a differen t are a o f th e aircraft. • Q . nha t happene d whe n sh e aske d t o b e reseated ? A . ;;h

e aske d anothe r passenge r o n th e aircraft , wh o graciousl yswitche d seat s wit h her . Tha t sea t wa s a fe w row s forwar d o f wher e sh e ha d bee n sittin g nex t t o Mr . Wallaesa . Tha t passenge r swappe d seat s wit h he r an d change d plaice s nex t t o Mr . Wallaesa . A t som e poin t Mr . Wallaeua , again , re-approache d th e youn g lad ya t he r ne wsea t ar-i

d bega n tryin g to , yo u know , convers e wit h her , engage ; he r i n conversatio n again . FEIE E STAT E REPORTING , IN C Cour t Reportin g Transcriptio n D.C , Are a 301-'261-).9O 2 Bait . & Armap . 410-97^-09^ 7 

## 00005 4

### 1 2 3 4 5 6 7

9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 1 8 1 9 2 0 2 1 2 2 2 3 2 4 2 5 Q . An d a t tha t poin t di d a membe r o f th e fligh t cre wo r o-i

e o f th e fligh t attendant s contac t Mr . Walla.isa ? •^ - Yes . Th e youn g lad yha d previousl yle t th e fligh t att:endant s kno wwhysh e wa s movin g seat s an d tha t th e middlt i passenger , Mr . Wallaesa , ha d mad e he r uncomfort£-ble . S o the ywer e mor e o r les s awar e o f th e relationshi p tha t ha d forme d a t tha t point . Som e o f th e fligh t attendant s contacte d Mr . Wallaes a and aske d hi mt o si t bac k DOwn . 0 . Ho wdi d Mr . Wallaes a respond ? A . ^ e wa s insisten t o n continuin g t o tr yt o tal k t o th e youn g lady . The yeventuall ysa t hi mi n th e bac k o f th e aircraft,-tr yt o resum e wit h him , bu t the y eventuall y—trie d t o separat e th e tw o a s muc h a s possible . Q . Wha t happene d afte r the ymove d Mr . Wallaes a t o th e rea r o E th e aircraft ? A . j i shor t tim e late r th e captai n ha d pu t th e faste n sea'-bel t sig n o n and instructe d all - o f th e passenger s a s wel l a s th e fligh t crew , t o remai n seate d becaus e th^-' ywer e expectin g som e turbulen t ai r condition s Th e fligh t attendants , fro mthei r cre w seats , sawMr . Wallaes a stan d u p and wal k briskly . On e o f the mde^-cribe d hi mt o b e "charging " toward s th e fron t FRE E STAT E REPORTING , INC . Cour t Reportin g Trangcriptio r D.C . Are a 301-261-190 2 Bait . G ."innap . 410-974-094 7 

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### 1 2 3 4 5 6 7

9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 I B 1 9 2 0 2 1 2 2 2 3 2 4 2 5 o f th e ai.rcraft , which , obviously , i s not , no t normal . S o severa.'- . o f th e fligh t attendant s intercepte d him , i f yo u wiil_ , an d trie d t o ge t hi mt o retur n t o hi s seat . Q . Wa s on e o f thos e fligh t attendant s Wend y Moorman ? A . Yes . Q . Wha t happene d afte r the yintercepte d hi mand attempte d t o retur n hi- mt o hi s seat ? A . •^r . Wallaes a wa s insisten t tha t h e di d no t wan t t o retur n t o hi s seat - The ywer e unabl e t o reaso n wit h hi mt o get . hi mt o retur n t o hi s seat , s o the yrequeste d th e assistanc e fro man FB I agent , wh o wa s actuall yo n th e aircraf t fi^

r personal , persona l business , i f yo u will . H e wa s flyin g her e fo r vacation . An d a s a matte r o f procedure , federa l officer s wh o ar e o n aircraf t ar e declared , L

f yo u will , to , t o the-fligh t crew.

_S o the y kne wtha t --her

e wa s a la wenforcemen t office r o n th e plane . This

yrequeste d hi s assistanc e i n mitigatin g th e issu e with'Mr . Wallaesa . Q . L o yo u recal l th e nam e o f th e FB I agen t wh o wa s o n th e plane ? ' - ^ A , Yes , I t wa s Specia l Agen t Jame s J . Molliea . Q . An d wha t happene d when , afte r Mr . Molliea , o r Ageri t Mollie a wa s notified ? A . Agen t Mollie a trie d t o do , yo u know , wha t hi s

FRS E SThT EREPORTING , INC . Cour t Reportin g Transcriptio n .D.C . Are a 301-261-190 2 Bait . & flnnap. 410-97•1-094 7 

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9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 I B 1 9 2 0 2 1 2 2 2 3 2 4 2 5 trainin g instructe d hi mt o do , whic h i s tr yt o neutraliz'. ; th e situatio n a s diplomaticall ya s possible , and h e dir

K that . H e trie d t o reaso n wit h Mr . Wallaesa , se e i f h e coul d ge t hi mt o retur n t o hi s seat , bu t a t a certai n po-int h e determine d tha t reasonin g wit h hi mwa s no t gettir;. g th e intende d results . Q . And s o wha t di d h e d o then ? A- H e turne d Mr . Wallaes a aroun d and handcuffe d hi mwit h th e intentio n o f returnin g hi mt o hi s seai : s o that , th e fligh t coul d continue . Q . -io

wdi d Mr . Wallaes a respon d t o th e agen t intendin g t o plac e hijn i n handcuffs ? A . -ie , h e —th e fligh t attendant s describe d hi m a s bein g no t combative , bu t "reluctantl ycompliant," I thin k wa s zhe terminolog ythe yused , o r somethin g simila r t o that . '^J

e didn' t offe r anyresistanc e t o bein g handcuffed . However , whe n Mr. , o r whe n Specia l Agen t Mollie a trie d t o resea t hi mi n a ro wo f seat s tha t th e fligh t att'.-^ndant s ha d cleare d specificall yfo r th e tw o me n t o si t in , Mr . Wallaesa , essentially , refuse d t o b e seate d i n '".h

e sea t o n hi s ovm . H e didn't , h e wouldn' t jus t si t d<jw

n o nhi s own . I n fact , whe n Specia l Agen t Mollie a tr:.e

d t o si t

hi mint o th e seat , h e pushe d hac k an d reslEtt:: d th e effor t t o mor e o r les s ai t hi mdow n i n the.seat , vhic h require d Specia l Agen t Mollie a t o FREESTAT

EREFOHTING , IN C Cc-or t Heportln qTranscriptio n .D. C Are a301-261-190 2 Bait , fi Aimap . 410-974-094 7 

## 00005 7

### 9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 I B 1 9 2 0 2 1 2 2 2 3 2 4 2 5 forcibl ydirec t hi mfac e dow n int o th e ro wo f seats ,

layin g acros s th e ful l ro wo f seats . Q . Wha t occurre d afte r th e Agen t Mollie a force d Mr . Wallaes a int o th e seat ? A . H e wa s eventuall ya t tha t poin t gettin g conplianc- ? fro mMr . Wallaesa . H e wa s abl e t o si t hi m right-3id'2-u p i n th e sea t an d pu t hi s - - h e ha d knocke d hi s glassii s off , s o h e pu t hi s glasse s bac k on , an d Mr . Wallat!s a offere d n o furthe r resistanc e until , yo u know , fo r th e duratio n o f th e flight .

MR . FOLETTA . Thos e ar e al l th e factua l question s tha t I have . Doe s anybod yhav e —

:?RAN D JUROP . Th e spellin g o f th e defendant' s nam e mayb e som e questio n o n that ?

3 Y MR . FOLETTA : Q . -Jell , d o yo u kno who wyo u spel l Mr . Wallaesa ' s name5 ? A . '. f

yo u woul d allo wm e t o Consul t wit h th e fil e s o I don' t - - th e "A " an d th e "E " ar e —alway s hav e diffieulti5s . I f yo u don' t mind , I'l l jus t consult . Th e spellin g tna t w e hav e is : W-A-L-L-A-E-S-A- . Firs t nam e Brian , middl e nam e Allen .

CRAN D JUROR , Than k you . G'RAN D JUROR . Wa s th e defendan t intoxicated ? fi'ITNESS . ^o t

tha t w e coul ddetect . W e FRE E STAT E REPORTING , INC . Cour t Reportin g Transcriptio n D.C - Are a 301-261-190 2 Bait , k

Annap . 410-974-094 7 

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9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 1 8 1 9 2 0 2 1 2 2 2 3 2 4 2 5 weren' t abl e t o ascertai n an yintoxication . i t wasn' t immediate:l yeviden t tha t h e wa s intoxicated , a t leas t no t b e i t alc-oho l o r an ytraditiona l narcotic s tha t w e wer e abl e to , : o reall yascertain .

GRAN D JUROR . .Onc e the yrestraine d hi mi n th e bac k row , wa s h e the n handcuffe d t o th e sea t o r ho wdi d tha t — WITNESS . H e wa s jus t handcuffe d behin d hi s back , whic: hi s th e standard , wha t yo u se e o n Cops , th e standar d rea r behin d th e bac k handcuffin g procedure , whic h i s vha t al l agent s ar e instructe d to , t o handcuf f peopl e i n tha t capacity . H e jus t remaine d handcuffe d behin d hi ? back , seate d i n th e sea t wit h Agen t Mollie a nex t t o him .

:RAN D JUROR . 

### N o histor yo f an ymedica l condition s tha t woul d mak e hi md o this ?

WITNESS . Non e tha t w e hav e bee n abl e t o dGterroine . :^OREPERS0N . An yothe r questions ?

(•JRAN O JUROR . Di d h e fl ybefore ? vriTNESS . • Ha s h e eve r flown o n a n airplan e before ? W-

^ hav e determine d tha t a t leas t h e ha s purchase d a variet yo f ticket s o n —it' s no t reall y10 0 percen t conceivabl e fo r u s t o guarante e yo u tha t he' s flow n o n aircraf t i n th e past . W e didn' t specificall y FRE ESTAT EHEPORTING , INC . Cour t Reportin g Transcriptio n D.C . Are a301-261-190 2 Bait . & Annap . 410-974-094 7 

## 00005 9

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9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 1 9 1 9 2 0 2 1 2 2 2 3 2 4 

### 2 5 as k hi mi. : he' s flow n o n aircraf t i n th e past , bu t w e d o havE i record s tha t indicat e tha t he , at . a minimum , purchased-airlin e ticket s -i n th e past . GRAN D JUROR . What' s hi s age ? WITNESS . Le t m e consul t jus t t o confirm . I believ e it' s 3 3 —yeah , 3 3 year s old .

3RAND JUROR . Than k you . aRAK D JUROR . Ho wfa r int o th e fligh t wa s h e whe n h e .ge t active ?

WITNESS . Th e conversatio n wit h th e youn g lad y occurred , generally , immediately . I t didn' t ge t uncomfottaol e unti l abou t halfwa ythrough , an d al l o f th e event s .'Bubsequen

t tha t I jus t describe d precipitate d prett yrapidl ya t tha t point . So , i f yo u will , generally , abou t halfway , halfway-plu s int o th e flight .

GRAN D JUROR . I f ther e wasn' t an agen t o n th e flight , wha t woul d hav e happene d i f the , th e attendant s weren' t ab.. e t o - -

WITNESS . Th e fligh t attendants , a s fa r a s w e understand , ar e traine d t o dea l wit h a certai n amoun t c t resistanc e Thi s i s speculation , bu t I suspec t tha t ther e woul d hav e bee n a mor e significan t struggle . Ther e wer e othe r mal e passenger s o n th e aircraf t tha t volunteerec : t o hel p Agen t Molliea . H e ha d i t unde r control , 5 C h e didn' t requir e th e assistance . Bu t I FRE E STAT E KEPORTING , INC . Cour t Reporting Transcriptio n D.C . Are a 301-261-190 2 .Bait . 6 Annsp . 410-574-094 7 

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9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 ? 1 8 1 9 2 0 2 1 2 2 2 3 2 4 2 5 suspec t sr»m e othe r mal e passenger s o n th e aircraf t woul d hav( r rectifie d th e proble mrelativel yquickly .

•B Y MR . FOLETTA : Q . Le t m e aak , and I' msorr yt o interrupt : I n you r experience , o r d o yo u kno wwhethe r fligh t attendant s ar e traine d i n th e us e o f plasti c handcuffs , whic h ar e generall ya par t o f th e onboar d safet yfeature s o f a n aircraft ? A , 'feah . Generally , sinc e 911 , aircraf t ar e mor e equipped.t o dea l wit h situation s simila r t o this . Obviously , there' s a heightene d awarenes s for_securit y incidents . So , generally , th e fligh t attendant s hav e som e minijn.i l defens e tactic s training , an d ther e i s som e minima l restrainin g typ e o f equipmen t o n th e aircraft ,

rOREPERSON , An yothe r questions ? Seein g none , than; : yo u fo r you r testiinony .

V.-ITNESS . Than k you, . (Whereupon , th e witnes s wa s excuse da t 10:4 1 a.m . o nDec:embe r 1 , 2009. )

FRE ESTATEREPORTING , INC . Cour t Reportin g Transcriptio n D.C . Are a301-261-190 2 Bait . S

t Annap . 410-974-094 7 

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### 1 7 1 8 1 9 2 0 2 1 2 2 2 3 2 4 2 5 CERTXriCAT E



### I herebycertif ytha t th e foregoin g i s a tru e and accurat e transcript , t o th e bes t o f m yskil l and . ability , frommyreportin g note s o f this.proceeding .

Dat e e Denneh y 'r t Reporte r

FRE ESTATEREPORTING , INC . Cour t Reportin g Transcriptio n D.C . Are a301-261-190 2 Bait . .« f J(ttH»te:^C-974-09^ 7 

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