f In The Matter Of: SERVED: December 29, 2015 U.S. DEPARTMENT OF TRANSPORTATION OFFICE OF HEARINGS WASIDNGTON, DCDocket 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 FileaRule 26(F) Proposed Discovery Plan was filed.

Among other things, this Order directed the parties tofilea jointly proposed scheduling/discovery plan onor before Thursday, October 29, 2015, andto appear before the Court by telephone on Thursday, November 5, 2015, at 10:00 a.m. Eastern time fora Rule 16 Litigation Scheduling Conference. On October 29, 2015 the parties failed tofilea 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, orfor their failure tofile any discovery

plan. A record entry was made ofthe parties' absences and non-compliance. (11/5/15 Transcript.) Later that same day, on November 5, 2015(1:56 p.m.), theprose Respondent, Mr. Garry Carroll, filedatwo (2) page Letter with two (2) Attachments. The Letter was post-marked bythe U.S. Postal Service on October 30,2015. Itwas authored byaMs. Kathie Lamb Murray, onMr. Carroll's behalf. Ms. Murray provided a one-page Attorney/Representative Authorization, in which Mr. Carroll had appointed Ms. Murray toactashis "attorney in fact" effective April14,2015 through January 1, 2020. (Letter, Att. A.)Inthe Letter, Ms. Murray explained that Mr. Carroll was in custody and did not have ready access toa telephone. (Letter, 1.) His release date from jail was unknown. (/d.at2.) Ms. Murray also asserted that mail sent toMr. Carroll's former address had not been forwarded toherina "timely fashion." (/d.) Ms. Murray also attached a copy ofthe August 4, 2015 Order tothe Letter. (Letter, Att. B.) Brief DiscussionItis clear that Ms. Murray was appointed asMr. Carroll's lay representative effective April15, 2015. (Letter, Att. A.) As ofOctober 30,2015, the date Ms. Carroll mailed the Letter tothe Office of Hearings, she hadinher possession the August 4, 2015 Order, and was fully notified ofthe November 5, 2015 Rule 16 Litigation Scheduling Conference. Thus itis unclear why Ms. Murray, who isMr. 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 ashis representative atthe Conference. Itisalso 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 atthe Rule 16 Litigation Scheduling Conference. Thus, neither the FAA nor the Respondent has provided a good cause explanation for their failure to appear fora court-ordered Conference and for their failure to comply with the Court's directive tofilea proposed scheduling/discovery plan. It should also be noted thatitwas unclear from Ms. Murray's Letter whether she had fully complied with service requirements. 1. Service onthe Hearing Docket Pursuant tothe 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 by14 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 ofMr. Carroll) must serve the Hearing Docket pursuant tothe Rules. Page2of42. Type of ServicePursuant to14 C.P.R.§ 13.211(b), the parties must serve documents by personal delivery orby 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 tothe proliferation of electronic alternatives (i.e., email or fax), and prior tothe September 11, 2001 attacks, which changed the method and timing of how federal government offices receive, process, and deliver U.S. mail.·

Thus, inthe past two decades, parties in litigation have increasingly agreed to serve documents by mail, andto provide a contemporaneous courtesy copy by email orfax. In addition, throughout these and other FAA proceedings, this Court has directed the parties tofile with this Court botha mailed copy, anda courtesy copy byfaxor personal delivery. (See, e.g., August 4, 2015 Order, 2.) This courtesy filing method byfaxor personal delivery, onor before the court-ordered deadline date, enables the Court to both ensure timely compliance with court-ordered deadlines, andto efficiently and effectively rule on motions within time periods provided inthe Litigation Schedule. The Respondent should serve its documents by U.S. Mail or personal delivery, witha courtesy fax copy provided tothe Court andtothe 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. Inall 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 asan example for the parties.

A. Conclusion Having reviewed the case file, all relevant caselaw, statutes, regulations, rules, and authority, and being fully advised: Page 3 of4' ITIS HEREBY ORDERED: 1. No further action (other than dismissal ofthe case) will be taken bythe Court inthis 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 by14 C.F.R. 13.210 and 14C.F.R.§ 13.211, toany future documents he files with this Court. The Certificate

of Service shall affirm that the Respondent has also served a copy ofthe documents upon the FAA attorney, as well asan original and one copy upon the FAA Hearing Docket, pursuant to14 C.F.R. §§ 13.209(b) and 13.210. A copy ofa Certificate of Service is attached tothis Order, and shows allthe names ofthe addressees and their physical mailing addresses. 3. To ensure prompt delivery of documents tothis Court, both parties should also faxa courtesy copy ofits filed documents tothe Court (fax no. 2021-366-7536). 4. Any questions regarding the procedures contained inthis Order should be directed toMr. Cody Smith, Attorney-Advisor atthe Office of Hearings (202-366-6941). Attachment: Service List Page4 of4Docket 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 ofthe 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-MurrayRespondent'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 orby 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. · ·