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In The Matter Of: 

SERVED: December 29, 2015 

U.S. DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASIDNGTON, DC 

Docket No. FAA-2014-0547 

GARY CARROLL 

) 

) 

) 

) 

Respondent ) 

Case No. 2012S0150142 

ORDER LIMTING ACTION ON THE CASE PENDING 

GOOD CAUSE SUBMISSIONS, 

AND PROVIDING DIRECTION ON PROPER SERVICE 

On August 4, 2015 an Order Setting A Rule 16 Litigation Scheduling Conference, and 

Directing the Parties To Confer and File a Rule 26(F) Proposed Discovery Plan was filed. 

Among other things, this Order directed the parties to file a jointly proposed 

scheduling/discovery plan on or before Thursday, October 29, 2015, and to appear before the 

Court by telephone on Thursday, November 5, 2015, at 10:00 a.m. Eastern time for a Rule 16 

Litigation Scheduling Conference. 

On October 29, 2015 the parties failed to file a proposed scheduling/discovery plan. 

On Thursday, November 5, 2015 (10:00 a.m. ET) the Court convened the Rule 16 

Litigation Scheduling Conference by telephone. Neither the FAA nor the Respondent appeared. 

There was no explanation for either party's absence, or for their failure to file any discovery 

plan. A record entry was made of the parties' absences and non-compliance. (11/5/15 

Transcript.) 

Later that same day, on November 5, 2015 ( 1:56 p.m.), the pro se Respondent, Mr. Garry 

Carroll, filed a two (2) page Letter with two (2) Attachments. The Letter was post-marked by the 

U.S. Postal Service on October 30,2015. It was authored by a Ms. Kathie Lamb Murray, on Mr. 

Carroll's behalf. Ms. Murray provided a one-page Attorney/Representative Authorization, in 

which Mr. Carroll had appointed Ms. Murray to act as his "attorney in fact" effective April14, 
2015 through January 1, 2020. (Letter, Att. A.) In the Letter, Ms. Murray explained that Mr. 

Carroll was in custody and did not have ready access to a telephone. (Letter, 1.) His release date 

from jail was unknown. (/d. at 2.) Ms. Murray also asserted that mail sent to Mr. Carroll's 

former address had not been forwarded to her in a "timely fashion." (/d.) Ms. Murray also 

attached a copy of the August 4, 2015 Order to the Letter. (Letter, Att. B.) 

Brief Discussion 

It is clear that Ms. Murray was appointed as Mr. Carroll's lay representative effective 

April15, 2015. (Letter, Att. A.) As ofOctober 30,2015, the date Ms. Carroll mailed the Letter 

to the Office of Hearings, she had in her possession the August 4, 2015 Order, and was fully 

notified of the November 5, 2015 Rule 16 Litigation Scheduling Conference. Thus it is unclear 

why Ms. Murray, who is Mr. Carroll's "attorney-in-fact" representative, did not call the Court's 

Conference Line on November 5, 2015 at 10:00 a.m. and serve as his representative at the 

Conference. It is also unknown why the FAA, the plaintiff litigant in these proceedings, did not 

comply with the Court's August 4, 2015 an Order, and also failed to appear at the Rule 16 

Litigation Scheduling Conference. Thus, neither the FAA nor the Respondent has provided a 

good cause explanation for their failure to appear for a court-ordered Conference and for their 

failure to comply with the Court's directive to file a proposed scheduling/discovery plan. 

It should also be noted that it was unclear from Ms. Murray's Letter whether she had 

fully complied with service requirements. 

1. Service on the Hearing Docket 

Pursuant to the FAA's Rules of Practice ("Rules"), the Hearing Docket maintains the 

official record of submissions. When a party submits a pleading, motion, or other document to 

the Court, the party must also contemporaneously serve the opposing party (i.e., the FAA 

herein), and file the original and one copy of such document with the FAA Hearing Docket, as 

provided by 14 C.F.R. § 13.210 and 14 C.F.R. § 13.211. For any future submissions, the 

Respondent (i.e., Ms. Murray acting on behalf of Mr. Carroll) must serve the Hearing Docket 

pursuant to the Rules. 

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2. Type of Service 

Pursuant to 14 C.P.R.§ 13.211(b), the parties must serve documents by personal delivery 

or by mail (which may include the USPS, FedEx, UPS, or other mail service). See, 14 C.F.R. § 

13.211(b) and 14 C.F.R. § 13.210(a) (equating delivery in person with delivery via expedited 

courier service). However, these Rules were adopted prior to the proliferation of electronic 

alternatives (i.e., email or fax), and prior to the September 11, 2001 attacks, which changed the 

method and timing of how federal government offices receive, process, and deliver U.S. mail.· 

Thus, in the past two decades, parties in litigation have increasingly agreed to serve documents 

by mail, and to provide a contemporaneous courtesy copy by email or fax. 

In addition, throughout these and other FAA proceedings, this Court has directed the 

parties to file with this Court both a mailed copy, and a courtesy copy by fax or personal 

delivery. (See, e.g., August 4, 2015 Order, 2.) This courtesy filing method by fax or personal 

delivery, on or before the court-ordered deadline date, enables the Court to both ensure timely 

compliance with court-ordered deadlines, and to efficiently and effectively rule on motions 

within time periods provided in the Litigation Schedule. 

The Respondent should serve its documents by U.S. Mail or personal delivery, with a 

courtesy fax copy provided to the Court and to the FAA attorney. 

3. Certificate of Service 

Ms. Murray's Letter did not include a Certificate of Service, showing upon whom she 

had served her submission. Attaching a Certificate of Service would provide notice that service 

requirements had been met. See, e.g., 14 C.F.R. § 13.211. In all future submissions, the 

Respondent should include a Certificate of Service, listing a proper filing and service address for 

the Court, the Hearing Docket, and the FAA attorney. A Certificate of Service is included with 

this Order, and may be used as an example for the parties. 

A. Conclusion 

Having reviewed the case file, all relevant caselaw, statutes, regulations, rules, and 

authority, and being fully advised: 

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IT IS HEREBY ORDERED: 

1. No further action (other than dismissal of the case) will be taken by the Court in this case, 

absent the parties demonstrating good cause for their non~compliance with the August 4, 

2015 Order. 

2. The Respondent shall attach a Certificate of Service, as described by 14 C.F.R. 13.210 

and 14 C.F .R. § 13.211, to any future documents he files with this Court. The Certificate 

of Service shall affirm that the Respondent has also served a copy of the documents upon 

the FAA attorney, as well as an original and one copy upon the FAA Hearing Docket, 

pursuant to 14 C.F.R. §§ 13.209(b) and 13.210. A copy of a Certificate of Service is 

attached to this Order, and shows all the names of the addressees and their physical 

mailing addresses. 

3. To ensure prompt delivery of documents to this Court, both parties should also fax a 

courtesy copy of its filed documents to the Court (fax no. 2021-366-7536). 

4. Any questions regarding the procedures contained in this Order should be directed to Mr. 

Cody Smith, Attorney-Advisor at the Office of Hearings (202-366-6941). 

Attachment: Service List 

Page 4 of4 
Docket No. FAA-2014-0547 

(Civil Penalty Action) 

SERVICE LIST- BY U.S. MAIL 

ORIGINAL & ONE COPY 

Federal Aviation Administration 

800 Independence Avenue, S.W. 

Washington, DC 20591 

Attention: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building-Suite 2W1 0001 

ONE COPY 

Ms. Andrea Michelle Harper 

Complainant's Counsel 

Federal Aviation Administration 

Office of the Regional Counsel, ASO-7 

Southern Region 

1701 Columbia A venue 

College Park, GA 30337 

TEL: 404-305-5200 

FAX: 404-305-5223 

Ms. Kathie Lamb-Murray 

Respondent's Lay Representative 

5339 Old Greensboro Road 

Randleman, NC 27317 

TEL: 336-521-0722 

Judge J.E. Sullivan 

U.S. Administrative Law Judge 

Office ofHearings, M-20 

U.S. Department of Transportation 

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

Washington, DC 20590 

TEL: 202-366-6941 

FAX: 202-366-7536 

Mr. Gary D. Carroll 

Respondent 

Booking No. 2014 2655 

2390 Phillips Road 

Bartow, FL 33830 

1 Service was by U.S. Mail. For service in person or by expedited courier, use the following address: Federal 

Aviation Administration, 600 Independence Avenue, S.W., Wilbur Wright Building-Suite 2W1000, Washington, 

DC 20591; Attention: Hearing Docket Clerk, AGC-430. · ·