### SERVED: JANUARY 31,2013 U.S . DEPARTMENT OF TRANSPORTATION OFFICE OF H EA RI NGS WASHINGTON. DC IN TI-lE MATTER OF AERO - WELD. I NC. Respondent FAA DOCKET NO. [TO B E ASS IG NED] (Civil Penalty Proceeding) FDMS NO. F AA-20 1 2 -0909 NOTICE OF ASSIGNMENT AND ORDER OF CHIEF ADMJNISTRA TIVE LAW JUDGE DENYING MOTION TO DISMISS REQUEST FOR HEARING This proceeding ( heretofore de s ignated as Case No. 20 11 SW170132) has been ass igned to the undersigned . !\II future pleadings and other communications regarding this proceeding s hall be served on the Judge , the FAA He a ring Docket. and the other persons on the attached Service List. B y ··Comp l ai n an t" s Motion to Dismiss the Request for a Hearing .. s erved Nove mb e r 9. 2012. ('"Mot ion .. ) 1 

### Comp lain an t seeks to dismiss Re s pondent" s Request tor Hearing. argu ing that Respondent failed to timel y request a hearing 2 

### because it - (a) responded t o the Notice of Propo sed C i v il Penalty ( .. No tic e .. ) 3 

### w ith an untim e ly request tor informal conference pursuant to

1 Th e Mot i on. with Re s pondent· s an s wer. dated Novembe r 1 4.**~0** 12 ("An s wer .. ) . wa s rec e i ved here on December 18. 2012. attached to an email from the He ar in g Docket. s t ati ng . .. I faxed this documen t to y our office on I 1 1 1 5/1 2 . and have not received [a No tic e of Ass ignment]. ' ' Though the Fede ral Docket Management Sy s tem s how s the Motion po s ted therein o n November 15. 201 2 . no suc h fax wa s received in the Office of Hearing s . " "Re s pond e nt' s reque s t for hearing dated August 15. 20 12. was untimel y. Pur s uant to 14 C. F. R 1 3 .16(g ) (2 ). Re s pondent ha s a s econd opportunit y to Re quest a hearing afte r is suance of a Final Notice o f Propo s ed Civil Penalt v . which Re s pondent failed to do ... Motion pt. II. at 3 . -' :.Comp lainant iss ued a Notice of Propo s ed Civil Penalt y (Not i ce) to Re s pondent on January 26. 20 12." Motion pt. 

### I. at I. No copy of the Notice accom pani e s the Motion.

### 1 4 C.F. R .

**~** 

### 13. 16 (t )(2)( iii ): 4 

### ( b) r es po nded t o Co mplain a nt' s se ttlem e nt o 1 Te r 5 

### w ith a r e qu es t f o r hea rin g th a t Co mp la in a nt f a il ed to no ti ce o r ac t o n a nd s im p ly pl aced in th e e nf orce me nt fil e: (' a nd (c) did not m a ke a seco nd r eque s t for hearin g w ithin 15 days a ft e r rec e i v in g th e Fin a l Noti ce of P ropo s ed C iv il P e na lty c · Fin a l o ti ce - ·) . 7 

### R es po nd e nt a n swe rs th at ··it i s kn ow n th at \\" e h a , ·e r e ques t ed th e form a l lle arin g :· s T h e rul es gove rnin g FAA in \'est ig ati \'e a nd e nf o r ce m e nt procee din gs are se t f o rth i n Pa rt 1 3 o fth e Fe de ra l Avia tion R eg ul a tion s ( 14 C . F. R. Part 1 3 (2 01 2 ) ) . Th e rul es pe rmit a re s pond e nt. at eac h s tage o f the notic e pro cedure . a t leas t 9 

### t wo opti o n s- (a) t o · ·S ubmit the a mo unt o r th e pro pose d c i, ·il pe nalt y o r an ag r eed -u po n a mo unt. in w hi ch case e ith e r a n orde r assess in g c iv il pe nalt y or co mpromi se o rde r s hall be iss ued in that a m o unC: 10 

### o r (b) t o ··R equ es t a he arin g . in w hi c h case a co mpl a int s ha ll be til e d \ov ith the hearin g do c ket c lerk:· II 

### Eith e r

**~··on** or abo u t April 23 . 20 I 2. [ hav in g rec e ived no r e tu m rece i p t. no r etu rn ed r egu l ar mai l. and no rep l y . ] Co mpl a in a nt m a il ed a F in a l Not i ce of P ro p o se d C i v il P e n a lt y t o R espo nd e nt:· ld. a t 2 . No copy or th e F in a l No ti ce acco m panie s the Mo t ion . · · o n Ap ri I 26 . 20 1 2. th e agency attorney rec e ived. a s an a n achme nt to a n e - mai l. a Rep l y Form da t e d J anua r y 2 1. 20 1 2. w h ic h r eque s t ed a tele ph onic inf o rm a l co n fe renc e:· !d. (ci t ing Ex h ibi t A). · _-Co m plai n ant \\ i th dr e w th e [F ina l Not i ce) ... !d. ( c iti n g Ex hi bi t B). Exhib it A actually renec t s .. Date J -3 1- 12:· ' ··co mpl a ina nt he ld a n inf o rm a l co n f e r

e n

ce w ith R e sp onden t on Jun e 5. 20 12 ... !d. .. An o f fer t o se tt l e th e matter \\'a S ma il ed to Re s po ndent on J u ly 25. 2012." J d (c it i ng Ex hibit C) . " .. On or abo ut A ugu s t 17 . 20 12 . C o m p l ai n an t recei ved from R espo nd e nt a sec ond R e ply Fo r m. da ted Aug us t 15. 20 I2 . o t hav in g received a r esponse to he r se ttl emen t of f er. age nc) co u nse l p l ace d thi s s eco n d Rep l y Form in th e e nf o r ce m ent fil e:· hi . .. O n or abou t Se pt embe r 1 7. 2 0 1 2. th e age nc y att o rn ey p l aced a cn ll to Respon d e nt regard in g the se tt le me nt of f er m ade on J u ly 25 th . S h e was to l d by Res p o n de nt th at th ey h ad ma d e a r e que s t fo r heari n g. Co mp l a inan t then\\ a it e d f o r co nf inna ti o n th a t a re qu est f o r h earin g h ad in fa c t be e n made by R esponde nt. e it h er i n the f o r m of a letter or \Hit i ng. not r ea li z i ng t hat R e s pondent was re f e r

rin g to the sec o n d Rep l y Form dated Augus t I 5. 20 I 2 . ' · !d. ' On Sep temb er 18. 2 012 ...agenc y cou n se l the n iss u ed a F i na l m ice o f P ropo s e d Civi l Pe na lty (F ina l Notice) to Re spo nde nt :· !d. . a t 3 ... On ovcmbcr 8. 20 I2. \\ he n no re s p o nse to the Fi n al ot i ce wa s rece ived fro m Re spond e nt. an d b e fore [ Co m p la inan t iss u ed] an Order Assessi n g a Civi l Penalt;. ... Responde nt was called to de t e rm i n e whet he r o r n o t any re s p o nse to th e F i na l N otic e h ad bee n se nt. Re s ponde nt. in s tead. se nt Co mpl a in a nt n copy of the se cond Re p ly Fo r m da te d A ug u s t 1 5. 20 1 ::?. ... !d. (cit ing Exh i b i

t D). Exhib i t Di s . as Co m plai n ant s tate s . a .. R e p l y Fo r m [upon \l hich is] checked parag rap h 7 o n the se cond page ofth e fo rm . req ue s t ing a he a ri ng: · ! d. X . All S \ 1

cr. a t I. q At th e n o ti ce s t age. respo nd ent may a ls o s ubmit o n e o f thr ee t ypes of w rirt e n req ues t s. 1 4 C. F.R .

**~** 1 3 . 1 6( 1)( 2). In thi s ca se . Re spo n de nt r eq ues te d an in forma l co nf ere n ce w ith th e ag,e n cy anor ne y . Th ough Co mp l ainant s tate s . an d R es p o n den t doe s n ot con t est. t h at th e reque s t was un timel y . a n in fo r mal confere nc e proceeded a n d p r oduced a s ettl ement offe r. S{!e supra n o t e 5. 10

**~** 13. 16( 1 )( I ). (g ) (2 ) ( i ). II

**~** 13 . 16(t)(3). (g)(2 ) (ii ). See also

**~** 13. 16(h) 

# c · Any per so n c har ge d wi th il v i o l

ati o n may re qu e s t a h earin g. pursuant to parag rap h (1)(3) or pa ragrap h (g)(2)( i i) o r th is sec t ion. to be co ndu cted in accordance wi th th e proced ure s in subpa rt G of thi s pa11 . .. ):

**~** 13. 16( i ) ( .. I f the pe r s o n c h arged wi th a viola ti on re q u ests a hea r ing



## - 2-

### o pti o n mu s t be exe rcised w ithin 30 d ays o f r ece ipt o f a not ice of prop osed c ivi l penalty 1 :! 

### o r w ithin 1 5 days o f receipt o f a lin a l no ti ce o f prop osed c i vil penalt y . 13 

### Fa il ure to tim e ly req u est a hear in g can. under certain c ircum s ta nces . re s ult in an o rd e r assessi ng c i\ · il pcnal t y. 1 4 

### The rul es do no t require a n o rder asse ss ing c i v il pe nalty o r even a fin a l no ti ce of pro posed c iv il pena lty when o ne req ue s ts a hearing he(h r e 

### rece iv in g th e final notic e of propo se d c i v il pena lt y : however. the y do req uire ti lin g of a comp la int o r a motion t o di s mi ss th e reque st l o r hea ring --n o t la t er th an 20 da ys a ft e r re ce ip t by 

### th e age ncy a ll o rn ey o r a request fo r hcar in g."" 1 5 

### T ho ugh fa ilure to file a complaint

**,.~, ithin**  

### th e 20 -d ay t iling pe ri od is no t a j uri s dictional bar to a c i v il penalt y action. f a ilur e to tim e ly fil e a co mp laint or move to di smiss th e r e qu es t t or hear in g w ill no t be ex cu se d abse nt a de mons tra ti o n o f goo d cause 1 6 

### a nd co uld re s u lt in dismissal o f th e complaint 1 7 

### o r d enial o f the moti o n to di s mi ss the reque s t for hea rin g . 1 R 

### Good cause to accept a la t e- fil ed co mpl a int has b een f o und '" ·he n th e e arlier-fil ed comp la int o mitted r espo ndent" s nam e but w a s se nt t o respond ent" s cou n se l a nd wa s essential ly th e sa me . inc luding th e ca s e number. as th e tin a l not ice of pro pose d c i v il pe nalty : 19 

### wh en a complainant .. a tt empte d lin good faithj to til e th e document .. but !' a iled beca u se th e FAA hearing d ocket ncYer rece i ved pur s uant to pa rag rap h (1)(3} o r paragraph (g)(2Xii) o f thi s ectio n. the o r igina l comp la i nt s hall be fi l ed w ith the h ear in g docke t c l erk an d a cop y s h a ll be se nt to th e pe r so n req u es t ing the hear in g.")

**~** 13 .16(f). l ;l

**~** 13 . 16(g)( 2).

**~ ~**  13 . 16(d)( 2) prov i de s th at ··an o rder assess in g civi l p e n a lty may be issued if a p erso n charge d wi th a vio l at i o n doe s not req u es t a h earing unde r paragrap h (g)(2 ) ( ii) o !'thi s se c tion w i th in 15 days ateer receip t of a fr nal n o ti ce o f propo se d c iv il pe n a lt y ...

**~ ~**  13.2 08(a). 11 ' Eric It'. 1/ ere th. FAA Order No. 9-1-7. at3- -l n .9 (Mar. 1 0. 1994): Emns Air Corporation. FDMS No. FAA200 1-9000. Order o f C h ie f A dmini s tra t ive Law Jud ge. at -1 (Aug. 28. 200 I ) . " l 'ill(: ent .1. M edel. FAA Order o. 93 -1 3. at 8-9 (Mar. 25. 1993 ) (dism issal ofla te-liled comp la int aff irm ed w h e n r eques t for hearing was mi stak e nly li led 1\'i th th e hea ri ng docke t clerk. who fOI'\I arded it to complainant" s cou n se l three mo n th s l ate r ): Francis Taylor. FDM o. FAA-199 -1-18 227. Orde r of A dm in is trativ e Law Judge. a t 3-4 (A u g. 15. 199-1) (co m p l ain t fi l ed 57 da) s after co mp lai n a nt" s cou nsel received th e request for hearing dismissed with prej udice when complainant" s cou n se l' s on l y exc use 11a s fai lu re to notice that re s p o ndent had checked boxes to r eq u es t both an info rm a l confe r ence and a formal hearing ). oppect! dismissed. FAA Orde r o .

**9-1--1~** (Dec . 16. 1994) . IX Tony Ri::u t u. F AI\ Docket No. C P98WP005 7. Order of Acting C hi e f Ad m inis trative La\\' Judge. I999 FAA I. E 

### X IS I036. at *4-5 (Oct. 29. 1999) ( motion to di s mis s re qu es t t o r hearin g den i ed as untime l y . even th oug h the reque s t for h ea ri ng wa s " n o t ti me ly or caref ull y art i c ul ated"). 1' 1 £\"£117.1'. supra n o te 16. a t 5.



## - 3-

### th e co mpl a int: 20 

### o r ,, ·hen a r equ es t f o r he aring ·· was no t phra se d \•;ith pre c is io n: .:!! This case r e flect s a s ub s tantial l ack o f communicat io n by both s id es: .l a n .26 . 20 1 2 o/ a A pr. 23 . 20 12 A pril 26. 2012 

### April 27 . :2012 .Jun e 5 . 20 1 2 .Jul y 25. 

### 20 12 Aug. 1 7 . 2012
o/ a Se pt. 1 7. 20 1 2 Sep t. 18. 20 1 2 NO \ ". 

### 8. 

### 2012

0\ " . 

### 9. 20 12 Co mplainant i ss ued o tic e to Re s pondent 22 

### Re spo nd e nt did not r e pl y : Co mplainant mailed Final

**No tic**  **~** 

### Respondent emai led Comp l ainant a Repl y Form dated .J a nu ary 3 !. 20 1 2. requesting t e l

e ph o nic informal confere nce 24 

### Co mpl a in ant withdrcv. : Final

**tice ~**  

### Comp lainant held informal co nference w ith Re s p o nd e nt 26 

### Complainant ma iled se ttlem en t o tTer to Re s po ndent 27 

### Co mplainant r ece i ved a se cond Repl y Fo rm f ro m Respo nd en t. dated Aug u s t 15. 2012. which r eque s ted a he ar ing. but failed to no tic e o r act o n the Reque s t for Hearin g a nd pl ace d it in the en forcem en t ft le 2 

### s Complainant ca lled R espo ndent about se ttlem en t o tT er: Re s pondent sa id it had r eq ue s ted a hea ring: Co mpl ain ant awaited contirmation of Req ues t for Hearing. · · not r ea li z in g that R espo ndent was re fe rrin g to the seco nd Reply Form dated A ugu st 1 5 . 20 I 

### 2"" 29 

### Co mplainant iss ued Final o tice t o R es ponden t 30 

### Comp la in an t ca ll ed Res pondent to determine w hether it responded to the Final Notice: R es pond e nt cmailcd to Complain a nt ·· co py o f th e s econd Repl y Form dated Augu s t 15. 20 1 2 :· 

### w hich i s a ··R e pl y Form ... r eq ue s tin g a hea rin o ·· J I



# Motio **~** se r ved 32 

### O n Aug u s t 1 7 . 20 1 2-20 4 day s after issu in g the ot ic e . but 

### 32 days be f o re i ss uing the Final o ti ce to R espo ndent -Co mp l ai na nt re ce iYed the Requ es t f o r Hea rin g. If. 

### under th ese circum s tanc es. the Req ues t f o r H earing wa s untimel y . we tind good ca u se f or s uch un tim el in ess. The law docs no t favor def a ult s . a nd \-VC 

### und e r s ta nd th a t 14 C.F .R .

**~** 

### 1 3 . 1 6( d)(2) i s intended t o e n s ur e that a re s pond ent will tile a timel y requ es t t o r hea rin g a nd not a s a default tr ap l or the

" 11 Rcm!/1 Paul Sheldon . PDMS No. FAA-200 1- 900 I . O r der of Acti n g Ch i ef Administ ra ti ve Law Jud ge. at 2 ( Mav 9. 200 I ).

**1** Ri::uro . supra note 18. at-+ (good ca us e f o u nd to permit f il in g o f co m plaint). ""See supra n o t e 3.

**~-' See**  supra no t e .f.

**~I** /d.

**~'** I d.

**~"See** supra n ote 5. " - /d.

**~s** See supra note 6. "') !d.

' 0 See supra note 7. 'I f£1.

**·'~ See**  supm no te I a nd accompa n y ing, text. 

## -4-

### unwary. 33 

### Th i s appears to be a nother in s tance in which a 

### prose respondent ha s been confused by th e technic a l requ irements of these proceedings. 3 -l 

### Having received the Requ est for Hearing . Comp l a in an t f il ed ne ith er a complaint nor a motion to dismiss unt il 84 days lat er. November 9. 2012. Respondent's req u est for hearin g in re sponse to the No tic e of Propo se d C ivil P e nalt y re quired Comp l ainant"s comp li ance wi th

### ~§ 13.208( a) and 1 3 . 218(J)(2)( i ). 35 

### Hence. Comp la in ant's motion to dismiss Re s pondent' s R eq ue s t for Hearing i s untimely and i s deni ed:'() Absent good cause. failure to tile a comp l a int or motion within 20 days after receiving a reque s t for hearin g leads to di sm i ssa 1. 37 

### H oweve r. Respondent ha s n o t cl a imed prejudice a nd s h ou l d not. 3 

### x s ince Respondent did not tim ely respond to the No t ice . d i d not direct ly re s pond t o Compla in ant's se ttlement o!Te r. and did n ot ackno-v. · ledge the Fina l No tice of Proposed Civi l Penalt y. Comp l a in ant gave Re spo nd en t a n add iti o n al opportun ity to respond to the No tice. withdrew the Final No tice , and h eld an inform a l co n ference w ith Respondent : ti led away the Request for Hea rin g to await a response to the settlement offe r: and ca ll ed Re s pondent to ascc11ain \vhether it had re sponded to the Final Not ice . While we arc relu ctan t to accept

J ' .'iee. e.g. . LanJ"s**F~1·ing,** Se1'1'ice. Inc.. FAA Order No. 98-4. a t 7 (Mar. 1 2. 1998) (citing Suji:ty Equipme/11 und Sign Co.. Ltd .. FAA Order No. 92-76. at 5 (Dec. 21. 19 92)): Dm·id Ll oyd Cormm/1 . FAA Order No. 92-4 7 . at 7 (J ul y 22. 1992). See also Swpleton fm emat ionu/.4irp o rl. FAA Docket No. CP94CNM0258. Order of Admini s trati ve Law Jud ge. at 3 (Jan. 25 . 1995) (the hi s tory of the rul es· initial adoption "empha s ized that t h ey ·were dralied s o that individua ls who r ep r esent them se lve s a re not misled by overly-t ec hnical procedural r e quirement s ... ) (quo tin g Rule s of Practice for FAA Civi l Pena ll y Actions. 53 Fed . Reg . 34.646. 3-1.649 (Se pt. 7 . 1 988) (to be cod ifi ed at 14 C.F.R. pt. 13)) . 'J 5iee. e. g .. Roh er/ / - farri s. FDMS No. FAA-2002 -14 236. Order of Ch ief Admin ist rative Law Judge . a t 5-6 

## .**~** (Aug. 27 . 2 00 3 ) ("Respondent was confused abo ut the technical requirement s relating to th ese proceedings and about hi s ri g ht to have the claim agains t him adjudica t ed 

### by a n e utral a nd independent adm ini st rative law judge.") (citing Ri:.:.ut o. supra note 18: Stapleton/11/ernationa/ Airporl. supra note 33: Lany R. Huhher/. FDMS No. FAA1994 -1 8235. O rd er of Admin is trati ve L aw Jud ge (Feb. I. 1 994 )).

- ' 5 Cf Ri::::ul o. supra note 18, at 7 ("Def e ctive reque s ts 

### tor hearing s do not ab so lve FA/\ counse l from i rs requirement s**under~~** 13 .2 08(a) and 13.218 (t)(2)(i)."). ,(,See id. at 4 ( moti on den ied as untimely when tiled a lm os t s ix month s after reque s t for hear ing) . ,- !d. , at 4 & n.l I (citing USAir. Inc.. FAA Docket No. CP95EAO I 00. Order of Admini s trative Law Judge (Oct. 19. 1995). appeal dismissed. FA A Orde r No. 96-10 (Mar. II. 1996)).**~** See Emns. s upra note 16. at 7 ("Complainant ha s not and s hould not claim prejudice when it s own complaint wa s defic ien t and late ... ).



## - 5-

### Comp la inant" s mistakes as good cause for late filing s. Co mpl aina nt" s failure to appreciate the import or the Request for Hearing and to timel y tile a complaint or motion appea rs to have re s ulted li·om confusio n rather th an n eglect. 3 9 

### Accordingly. we t ind good cause to accep t a late filed complaint. and 

### IT IS ORDERED 

### T IIJ\T - (I) The Motion i s denied: (2) Co mpl a inant s h a ll til e a comp l ai nt not later th a n 10 days after service of this order:..t o 

### and (3) Re s pondent ·· sha ll file a wr itt en ansv, ·cr t o the co mp la int. o r ma y fil e a wr itt en motion pu rs u ant to

**~** 

### 1 3.208(d) or 

### § 1 3.218(1)( 1-4 ) n ot later than 30 da ys after se r v ice of the comp l a int. ·· ..t 1 

### SO ORDERED.

Attachment - Sen · icc Li s t R nnie A. Yoder 

# , L Ch ic!" Admini s trative Law

**(a~**

''>

Se e id. (late-tiled co mplaint and lat e-tiled a nswe r accep t ed und er s imilar circumstances).

**0** 

# * I J.2 18 (f)(2)( i ). 11 

# * I J.209(a).



### - 6 -

### Federa l Avia ti o n Adm ini s tration 800 Ind ependence /\venue. S.W. Wa s hin g t o n. D C 2059 1 

### SERVICE LIST ORIGINAL & 

### ONE COPY

A tt e ntion: ll ear in g D o ck et C le rk. /\GC-430 Wilbur Wri g ht Buildin g - Su ite 

### 2W I 000-1 2 

### ONE COPY Jelhey 

### S. Ruth. 

### Re.\ptmdem ·s Rep r esen wlin ! Ae ro - Weld. In c . . 

### R esp ondent 43 3 Breesport Sa n A nt o ni o . T X 78216 TEL: 2 1 0-590-7888 FAX: 2 1 0-366-26 1 8 Yo l anda Aya l a B e rna!. 

### Complainant ·s ( ' ounse/ O rtic c 

# o r th e Re g ion a l Co un se l So uth wes t R eg io n F edera l A , ·iat io n Ad mi ni s trat i on 260 I Meacham Bl vd .. Room 663 Fo rt Worth. TX 76 1 93-0007 TE L: 8 1 7 -2 22 -50 7 0 F 1\X: 8 1 7 - 222 - 5945 / 5092 FDMS o . F /\/\ - 20 1 2 - 0909 (Civ il P e nalt y Act i on)

T h e Honorable R on ni e A . Yoder. ( 

### 'hiefAd ministm til· e L ml' Judy,e U .. Department of Tr ansport a ti on Office or H ea rin gs. M- 2 0 1 200 Nev> .lcr s ey Ave nue. S.E. (E 11- 3 1 0) Wa s hin gto n. D C 2 0590 T E L: 2 0 2 - 366-2 1 42 FAX: 202-366 - 7536

I ! Serv i ce was by U.S. Ma il. For se rvice i n person or by ex ped i ted courier. use th e fo li O\\ ing addre ss : Federal Aviat i o n Ad mini s trati o n . 600 Indep e nd e nce Ave nu e. . W.. Wilbur Wright Building - Su i te 2W I 000 . Wa s h ington . D C 2 0 59 1 . A tt e nti o n: Hea rin g Docket C l erk. AGC -430 .



## - 7 -