§ 406.113 Filing documents with the Docket Management System (DMS) and sending documents to the administrative law judge and Assistant Chief Counsel for Litigation. ( a ) *The Federal Docket Management System (FDMS).* ( 1 ) Documents filed in a civil penalty adjudication are kept in the Federal Docket Management System (FDMS), except for documents that contain confidential information in accordance with 406.117. The FDMS is an electronic docket. Documents that are filed are scanned into the electronic docket and an index is made of all documents that have been filed so that any person may view the index and documents as provided in paragraph (f) of this section.
( 2 ) A party is not required to file written interrogatories and responses, requests for production of documents or tangible items and responses, and requests for admission and responses with the Federal Docket Management System or submit them to administrative law judge, except as provided in 406.143.
( b ) *Method of filing.* A person filing a document must mail or personally deliver the signed original and one copy of each document to the FDMS at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. A person must serve a copy of each document on each party in accordance with 406.115.
( c ) *Date of filing.* The date of filing is the date of personal delivery, or if mailed, the mailing date shown on any certificate of service, the date shown on the postmark if there is no certificate of service, or other mailing data shown by other evidence if there is no certificate of service or postmark. The date shown in the FDMS index is not necessarily the date of service. It is the date the FDMS received the document.
( d ) *Form.* FDMS scans the document into its electronic docket. To ensure that FDMS can scan the document and correctly identify it in the index, each person filing a document must comply with the following: ( 1 ) Each document must be legible. It may be handwritten, typewritten, or printed from a computer.
( 2 ) Each document must have a caption on its first page, clearly visible, with the following information: ( i ) “FAA Space Adjudication.”
( ii ) Case name, such as “In the matter of X Corporation.”
( iii ) FAA Case Number and FDMS docket number, if assigned.
( iv ) Name of the document being filed, including the party filing the document, such as “Respondent's Motion to Dismiss.”
( v ) “Confidential information filed with administrative law judge” or “Confidential information filed with Assistant Chief Counsel for Litigation” if the party is filing confidential information under 406.117.
( 3 ) The document must be capable of being scanned and be easy to read both in paper form and as scanned into the electronic docket. A document that meets the following specifications is capable of being scanned using automatic feeders and is easy to read both in paper form and as scanned into the electronic docket. Documents that do not meet these specifications may not be legible. ( i ) On white paper.
( ii ) On paper not larger than 81 ⁄ 2 by 11 inches.
( iii ) In black ink.
( iv ) Text double-spaced. Footnotes and long quotes may be single spaced.
( v ) At least 12 point type.
( vi ) Margins at least 1 inch on each side.
( vii ) The original not bound or hole-punched, only held together with removable metal clips or the like. The copy that is filed or sent to the administrative law judge or Assistant Chief Counsel for Litigation, and the copy served on another party, need not meet this specification.
( viii ) The original has no tabs. The copy that is filed or sent to the administrative law judge or Assistant Chief Counsel for Litigation, and the copy served on another party, need not meet this specification.
( e ) *Sending documents to the administrative law judge or Assistant Chief Counsel for Litigation.* Sending the document directly to the administrative law judge or to the Assistant Chief Counsel for Litigation is not a substitute for filing the original with the FDMS, except for confidential information under 406.117.
( f ) *Viewing and copying the record.* Any person may view and copy the record, except for confidential information, as follows: ( 1 ) During regular business hours at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590.
( 2 ) Through the Internet at *http://www.regulations.gov .*
( 3 ) By requesting it from the FDMS and paying reasonable costs.
[Doc. No. FAA-2001-8607, 66 FR 2180, Jan. 10, 2001, as amended at 72 FR 68476, Dec. 5, 2007]