## U.S . DEPARTMEN T O FTRANSPORTATIO N FEDERA LAVIATIO NADMINISTRATIO N

OFFIC EO FHEARING S ' ^ : - r> > WASHINGTON , D.C . " ~ - ' J

-t— I t

-.i i 

## I n th e Matte r

o f Harriso nYacht

Sales , Inc . . % ' f ~ 1 * 2009EA70044 6 CP10EA000 6 Th e Honorabl e Ronni e A . Yode r 

# f^P Ac^/o-o>3. u COMPLAINANT' S MOTION S FO R PARTIALSUMMARY JUDGMEN T

AN D T O LIMI T PRE-HEARIN GCONFERENC E T O ISSU EO FSANCTIO N COME S NO Wth e Complainant , b y an dthroug hit s designate d representative , th e Regional Counse l fo r th e Easter

nRegio nan dhe r

designate dan d authorize dagents , an dmove s fo r Partial Summar

y Judgmen t

an dt o Limi t

th e Hearin g inth e above-captione dcas e t o Th e Issu e o f Sanctions
. 1 . O nJul y 1 , 2010 , Harriso nYacht Sales , Inc. , Respondent , filed a reques t fo r ahearing
. O nJul y 20 , 2010 , th e Complainan t filed a Complain t

i nthi s matter

pursuan t t o Rul e 13.20 8 o f

th e Rule s o f Practic e fo

r FAA Civi l Penalt

y Actions
. (Se e Exhibi t

1 ) 2 . Togethe r

wit hth e Notic e o f

Propose dCivi l Penalt

y Responden t

wa s provide dacop y o f

th e Rule s o f

Procedure fo

r Civi l Penalt

y Actions
. (Se e Exhibi t

2 ) '.r: ^ :-- ^
C O 

### T ]

t-. J C O 

### ; • 

### '-v o ; n.^'--!: . lOOfx J '^^% ^ 

# W ^
i ^ j

## 3 . Unde r Rul e 13.209(a) , th e Responden t i s require dt o file awritten answer t o th e complain t

"no t later than3 0 day s afte

r servic e o f

th e complaint. " 4 . Responden t

wa s specifically notifie di nth e complaint

(se e exhibi t

1 ) that a nanswer wa s require dwithi nthirt

y (30 ) days
. 5
. Responden t

receive dth e Complaint

onJul y 26 , 201 0 (se e Exhibi t 3) ; Respondent' s Answe r

wa s du e n o later

thanAugus t

25 , 2010 . 6 . Unde r

Rul e 13.209(f) , " aperson' s failure t o file a nanswer withou t goo d
caus e shal l b e deeme da

nadmissio no f

th e trut ho f eac hallegatio ni

n th e instant

complaint. " 7 . Notwithstandin g thi s requirement
. Responden t faile dt o file a

nanswer t o th e Complaint
. 8 . Responden t

ha s faile dt o sho w goo dcaus e fo r failin g t o file a

nanswer . 9 . Furthermore , Responden t waite dunti l approximatel y tw o week s subsequen t

t o th e date o nwhic hRespondent' s Answe r wa s du e an d then , o n September

9 , 2010 , vi afax
. Respondent sent Complainant' s Counse l acop y o f

aletter that Responden t

hadsent t o th e Honorabl e Judg e Yoder ; tha

t letter wa s date dSeptember

7 , 201 0 (se e Exhibi t

4) . 10 . Respondent' s September 7" ^ letter i s no t a nAnswer t o th e Complaint
. Additionally , i

t doe s no t

contes t that Responden t

offeredfo

r air transportation , th e hazardou s material s shipment (hereinafter

"th e shipment" ) that

i s th e subjec t

o f th e instant

case .

## 11 . Responden t doe s no t contes t tha t Responden t

offeredth e shipment

fo r transportatio n b y air

whe nit wa s no t properl y prepared , marked , labele dor , documente do nprope r shippin g papers , 12 . Responden t

doe s no t

contes t that Responden t

di dno t provid e th e emergenc y respons e informatio nrequire dby th e Departmen t o f Transportatio n(DOT ) Hazardou s Material s Regulation s (HMR) . 13 . Infact , inparagrap h3 o f th e September

7 letter t o Honorabl e Judg e Yoder , Responden t

state s tha

t i t "certainl y admit[s ] that

w e mad e th e mistake an dsurly (sic ) hadnothin g t o gai nby expeditin g thi s pain t bac k t o th e supplier....W e regre t makin g thi s mistake , an dcanassure yo u i t wil l neve r

happe nagain... " 14 . Th e only allegation s cite dinth e Complaint that Responden t

contest s are thos e DO T HM Rallegation s an dregulation s identifyin g Responden t

t o b e th e typ e o f

shipper tha t th e DO T HM Rconsider s a "hazmat employer" ; inturn . Responden t object s t o thos e regulation s an dany other

regulation s tha

t woul drequire Responden t t o ensure tha

t it s employee s are traine di naccordanc e wit

hal l applicabl e DO T HMR . 15
. Responden t

ha s no t fileda nAnswe r i nthi s case . But , Respondent admit s tha

t Responden t

inadvertentl y an dimproperl y offeredth e hazardou s material s shipment fo r transportatio nb y air
. 16 . Sinc e Responden t

ha s no t fileda nAnswer , th e Complain t shoul db e deeme dtru e an dadmitte da s t o all allegations
.

## 17 . A s state dinTh e Matte r of : GLOBALPEAC EINITIATIVE , INC. . FAA Order No . 2008-8 , pag e 3 , "[T]h e rule s make i t clea r tha t th e consequence s o f

failin g t o answer

acomplaint

withou t goo dcaus e are serious
. The y provid e that ' aperson' s failure t o file ananswer withou t goo dcaus e shal l b e deeme da nadmissio no f

th e trut ho f eac hallegatio n containe di

nth e complaint. ' 1 4 C.F.R . § 13.209(f ) (emphasi s added). " 18 . Procedural rule s mus t b e enforce di

nanon-arbitrar

y manner t o ensure th e integrity o f

th e civi l penalty process , evenwhe nthi s result s insevere consequences . I

nth e Matter

o f Jimm y Le e Harkins , FA A Order No . 94

- 22 , pag e 4 , Jun e 22 , 1994 . 19 . A s state dinInTh e Matter o f Plavter
. FAA Orde r

No . 1990-15 , Marc h 19 , 1990 ; "Althoug hth e deeme dadmissio no f 13.209(f ) i s asevere penalt y fo r failur e t o file a nanswer , th e rul e i s clear , an ddoe s no t permi t exceptio ninth e absenc e o f goo dcause . Se e also , InTh e Matter o f Rau l Nunez , FA A Order

No . 1994-8 , Marc h10 , 1994 ; I nTh e Matter

o f Safet v Equipmen t

an dSig nCo. , Ltd. ; FAA Order 1992-76 , Footnote 9 , December 21 , 1992 ; InTh e Matter o f Atlanti c Worl dAirways
. FAA Order 1995-28 , December

19 , 199 5 an dInTh e Matter o f Larry' s Flyin g Service
. Inc . FAA Order

No . 98-4 , Marc h12 , 1998 . 20 . Notwithstandin g th e above , eve ni f Respondent' s untimel y letter t o th e Honorabl e Judg e Yoder

i s deeme dt o b e a

nAnswer , th e Complainant pray s tha t thi s cour t wil l gran t

it s reques t

fo r Partial Summar

y Judgment

## an ddee mall allegation s t o b e admitte dexcep t fo r paragraph s 6 , 7 , 8 , 9 , an d1 4 o f th e Complaint
. 21 . Therefore , th e fact s a s allege di nth e Complaint

suppor t afinding o f violatio n o f

th e followin g secfion(s ) o f th e Department

o f Transportatio n Hazardou s Material s Regulations : 17L2(b ) 172.200(a) 172.300(a) 172.400(a) 172.600(c ) 173.1(b ) 173.22(a)(l)«&(2 )

## WHEREFORE , th e Complainant move s tha

t th e Administrativ e Law Judg e deemRespondent' s failure t o deny th e trut ho f th e allegations , set

fort h inth e paragraph s 1 , 2 , 3 , 4 , 5 , 10 , 11 , 12 , 13 , an d1 5 o f th e Complaint

a n admissio no f

th e trut ho f thes e allegation s an dgran t th e Complainant' s Motion s fo

r Partial Summar

y Judgmen t

an dt o Limi t

th e Pre-Hearin g Conferenc e inThi s Matter t o Th e Issu e o f

Sancfions
. AlfredR . Johnson , Jr . Regional Counse l

By : n\0.mJ(Y)riflljbA l irirMllil ^ Date : (^(bf
. ^^/i?0/ Q Mar y Madelin e McCarthy ( j DeputyKegiona l Counse l Federal Aviatio nAdministratio n 1 Aviatio nPlaz aJamaica , N Y 1143 4 Telephone : 71 8 553-326 7 Facsimile : 71 8 995-569 9

### CERTIFICAT EO FSERVIC E

I hereb y certif

y that th e foregoin g Motion s for Partial Summary Judgmen t an dt o Limi t Hearin g T o Sanctio n ha s bee n serve daddresse da s follows : FEDERA LEXPRES S MAI L Th e Honorabl e Ronni e A . Yode r Administrativ e Law Judg e Offic e o f Hearings , M-2 0 U.S . Departmen t

o f Transportatio n 120 0 New Jerse y Avenue , S.E . Eas t Buildin g Groun dFloo r RoomE12-32 0 Washington , D.C . 2059 0 FEDERA LEXPRES S MAI L Federal Aviatio n Administratio n (Original an don e copy ) 60 0 Independenc e Avenue , S W Wilbur Wright Buildin g - Roo m201 4 Washington , D C 2059 1 Attn : Hearin g Docke t

Clerk , AGC-43 0 CERTIFIE D MAI LRETUR N RECEIP T REQUESTE D Presiden t Harriso n Yach t

Sales , Inc . 10 6 Well s Cov e Roa d PO Bo x 9 8 Grasonville , M D 2163 8
Date : 

# ^ ^ h2^/>^/ 0 Maher Managemen t

& ProgramAnalys t Federal Aviatio nAdministratio n Offic e o f Regional Counse l 1 Aviatio nPlaz a Jamaica , N Y 1143 4

# 6B

Regional Counse l for

th e EasternRegio n Federa l Aviatio nAdministratio n 1 Aviatio nPlaz a Jamaica , NY 1143 4 Dat e 

# l^cP^l O

Harriso n Yach t

Sales , Inc . - 2009EA70044 6 Subject : Fina l Notic e o f

Propose dCivi l Penalt v Respons e Attachmen t I nrepl y t o you r

Fina l Notic e o f

Propose dCivi l Penalty Harriso n Yach t Sales , Inc . elect s t o procee da s indicate db y it s chec k mar k besid e th e numbere dparagrap hbelow
. 1 . (_ ) Harriso n Yach t

Sales , Inc . hereb y submit s th e amoun t o f th e propose dcivi l penalt y withth e understandin g that an Orde r Assessin g Civi l Penalty wil l b e issue din that amount . 2 . ( ^ Harriso n Yach t Sales , Inc . hereb y request s aformal hearin g in accordanc e withSectio n 13.1 6 o f th e Federa l Aviatio n Regulations
.

B y sendin g thi s for mt o th e Federa l Aviatio n Adniinistration , Easter n Region , Harriso n Yach t Sales , Inc . als o hereb y certifle s tha t acop y o f

thi s for mha s bee n file dwit hth e Hearin g Docke t Cler k (Hearin g Docket , Federa l Aviatio n Administration , 80 0 Independenc e Avenue , S.W. , Roo m924A , Washington , D C 20591 , Attention : Hearin g Docke t Clerk)
. * * Pleas e not e tha t

Harriso n Yach t

Sales
. Inc . wil l no t

b e entitle dt o ahearin p i f i t file s thi s formwithth e Federal Aviatio n Administration
. Easter n Region
. WITHOU T havin g filed this for mo r awritte n reques t

for ahearin g withth e HEARIN GDOCKE T CLERK . ATTORNEY/REPRESENTATIV E Name : Firm : Address : Phon e No .



## r
] 20U I

, -V)fM«V W «

# ®

U.S
. Departmen t Easter n Regio n 1 Aviatio n Plaz a of Transportatio n Regiona l Counse l Jamaica , N Y1143 4 Telephone : 71 8 553-326 7 Federa l Aviatio n Facsfmiie : 71 8 995-569 9 Administratio n 

## JU L2 0 

## 201 0 

## CERTIFIE D MAI L- RETUR

NRECEIP

T REQUESTE

D Federa l AviationAdministration 800 Independenc e Avenue , S.W . Washington , D.C . 2059 1 Attn : Hearing Docke

t Clerk , AGC-43 0 Wilbu r Wrigh t Building - Roo

m201 4 ATTN : HEARIN

GDOCKE

T CLER K Re : I nthe Matte

r of HarrisonYach

t Sales , Inc . Docke t No . 2009EA70044 6 Enclosedhereinpleas e fin

dacopy o f areques t fo r hearing an

dthe origina

l an done cop y o f the FAA' s Complain

t inth e above-entitledactionfo

r filing , togethe

r wit hproof o f servic e upon the Respondent
. The FA A request s tha

t the hearing i

nthi s matte

r b e hel dinthe Washington , DC area , an d expects tha

t the hearing wil

l las t one day
. Pleas e addres s al

l communication s fo

r the Federa

l AviationAdministrationt o the attention o f Mar y Madeline McCarthy , Offic e o f the Regiona

l Counsel , 1 AviationPlaz aJamaica , N Y 11434 . Sincerely , Alfre dR . Johnson , Jr . Regiona l Coimse l By : Mar

^ Madelin e McCarth y Deput y Regiona l Counse l Enclosure s cc : AEA-700

## U.S . DEPARTMEN T O FTRANSPORTATIO N FEDERA LAVIATIO NADMINISTRATIO N

OFHC EO FHEARING S WASHINGTON , D.C . I nth e Matte r

o f Harriso nYach t

Sales , Inc . 2009EA70044 6 Judg e No t

Assigne d COMPLAIN T Th e Federa l Aviatio nAdministratio n(FAA) , b y counsel , hereb y file s it s Complaint , pursuan t t o Rul e 20 8 o f

th e Rule s o f

Practic e (1 4 C.F.R . 13.208) , an dstate s a s follows : I Respondent , Harriso nYach t Sales , Inc. , wa s advise dthroug haFina l Notic e of Propose d Civi l Penalty that

th e FA A propose dt o asses s acivi l penalty i nth e amoun t o f $8,000
. O n Jul y 1,2010 , Responden t submitte dawritte ndeman dfor ahearing
. I I 1 . O no r abou t Jul y 10 , 2009 , Harriso nYach t Sales , Inc . (hereinafte r

"Harrison" ) offere dan undeclare dshipmen t o f hazardou s material s t o UP S for transportatio ni n ai r commerc e (hereinafter , "th e shipment")
. 2 . Th e shipmen t

travele do nth e basi s o f

tiie UP S 2*"

* Da y Air , unde r

UP S Ai r Waybil l 1Z000YY70291638521
. 3 . Upo narriva l at

th e UP S sort

cente r i nLaurel , Maryland , th e shipmen t wa s discovere dt o b e leakin g re dpaint
. 4 . Th e abov e mentione dshipmen t comprise daon e gallo ncano f re dpaint , package d i na4G-fiberboar dbox
. 5
. Th e shipmen t

mentione dabov e wa s determine dt o b e aproduc t regulate db y th e Departmen t

o f Transportatio n(DOT ) Hazardou s Material s Regulation s (HMR ) 4 9

## C.F.R . § § 171-177) , liste di nth e DO T HM RHazardou s Material s Tabl e (4 9

C.F.R . §172.101 ) a s ''Paint , includin g paint , lacquer , enamel , stain , shella c solutions , vanish , polish , liqui dfiller , an dliqui dlacque r base
. Clas s 3 , UNI263 , PGIII" . 6 . A t al l times mentione dherein , th e Departmen t o f Transportatio n(DOT ) Hazardou s Material s Regulation s (HMR ) (4 9 C.F.R . §§171-177 ) require dHarrison , a s a hazma t employer , t o ensur e that eac ho f it s hazma t

employee s wa s traine di n accordanc e withth e requirement s o f th e HMR , wa s teste db y appropriat e mean s o n th e trainin g subject s covere di n§172.70 4 (4 9 C.F.R. § 172.704) , an dwa s preclude d fro mperformin g an y functio nsubjec t t o th e requirement s o f th e DO T HM R withou t firs t bein g instructe di nth e requirement s o f th e HM Rthat

appl y t o that function
. 7 . A t al l time s herein , Harriso ndi dno t ensur e that

eac ho f it s hazmat

employee s i s traine dinaccordanc e wit

hth e requirement s prescribe db y th e appUcabl e DO T HMR . 8 . A t al l time s herein , Harriso ndi dno t ensur e that

eac ho f it s hazmat

employee s ha d bee nprovide dgeneral awareness/familiarizatio ntrainin g designe dt o provid e familiarit y wit hth e requirement s o f

th e DO T HMR . 9 . Thus , Harriso ndi dno t instruc t eac ho f hi s officers , agents , an demployee s havin g any responsibility for

preparin g hazardou s material s for shipmen t

a s t o appUcable regulation s i nthi s subchapter
. 10 . A t al l time s herein , Harriso ndi dno t ensur e that

th e above-reference dshipment me t al l appUcabl e requirement s o f th e DO T HMR . 11 . Specifically , Harriso n offere dth e abov e mentione dhazardou s material s shipment bu t di dno t mar k di e shipmen t

i ninmanne r

require db y th e DO T HMR . 12 . Harriso n di dno t

ensur e that

th e non-bul k

packag e o r

containmen t

devic e inwhic hi t offere dth e above-reference dhazardou s material s shipmen t wa s labele dwit

hlabel s specifie dfor

th e material i nth e §172.10 1 Tabl e an dothe r applicabl e part s o f

th e DO T HMR . 13 . Harriso ndi dno t

ensur e that

th e shipmen t

wa s accompanie db y anassociate d shippin g pape r

that containe demergenc y respons e informatio nconformin g t o appUcabl e part s of

th e DO T HM Ran dtha t suc hinformatio ni s immediatel y availabl e for

us e a t al l time s th e hazardou s material i s present , an dtha t i t i s immediatel y mad e availabl e t o any perso nwho , a s arepresentativ e of aFederal ,

## Stat e o r loca l governmen t

agency , respond s t o aninciden t involvin g ahazardou s materia l o r

i s conductin g aninvestigatio nwhic hinvolve s ahazardou s material
. 14 . Thus , Harriso ndi dno t instruc t eac hof hi s officers , agents , an demployee s havin g any responsibility for

preparin g hazardou s material s fo r shipmen t

a s t o applicabl e regulation s i nthi s subchapter
. 15.Thus , Harriso noffere dahazardou s material for transportatio ni nai r

commerc e i na packagin g o r

containe r require db y thi s part

di dno t clas s an ddescrib e th e hazardou s material i naccordanc e withpart s 17 2 an d16 3 o f thi s subchapter , an d(2 ) Th e perso n shal l determin e that

th e packagin g o r

containe r i s anauthorize dpackaging , includin g part 17 3 requirements , an dthat i t ha s bee nmanufactured , assembled , an dmarke di n accordanc e with : (i ) §173.(7)(a ) an dpart s 173 , 178 , o r 17 9 o f thi s subchapter ; (u ) A specificatio no f

th e Departmen t

i neffec t at th e dat e o f

manufactur e o f

th e packagin g an dcontainer ; (iii ) Nationa l o r international regulation s base do nth e UN Recommendation s o nth e Transport o f Dangerou s Goods , a s authorize din § 173.24(d)(2) ; (iv ) A napprova l issue dunde r thi s subchapter ; o r

(v ) A nexemptio n o r special permi t

issue dunde r

subchapte r

A o f thi s chapte r

II I B y reaso no f

th e foregoin g fact s an dcircumstances
. Responden t violate dth e followin g section(s ) o f

th e Departmen t

o f Transportatio nHazardou s Material s Regulations : a . Sectio n171.2(b) , whic hstate s tha t eac hperso nwh o offer s ahazardou s materia l for

transportatio ni ncommerc e mus t compl y wit

hal l appUcabl e requirement s o f

thi s subchapter , o r

anexemption , o r

special permit , approval , o r registratio nissue dunde r thi s subchapte r

o r unde r subchapte r

A of thi s chapter
. Ther e may b e more tha non e offeror

o f ashipmen t

of hazardou s materials
. Eac hofferor

i s responsibl e for

complyin g wit

hth e requirement s of thi s subchapter , o r

anexemption , o r

special permit , approval , o r registratio n

## issue dunde r thi s subchapte r

o r subchapte r

A o f thi s chapter , wit

hrespec t t o any pre-transportatio nfunctio nthat i t perform s o r

i s require dt o perform ; however , eac hoffero r

i s responsibl e onl y for

th e specifi c pre-transportatio n function s that

i t perform s o r

i s require dt o perform , an deac hofferor ma y rel y o ninformatio nprovide db y anothe r offeror , unles s that

offeror know s or , a reasonabl e person , actin g i nth e circumstance s an dexercisin g reasonabl e care , woul dhav e knowledg e that th e informatio nprovide db y th e othe r offeror i s incorrect
.
b
. Sectio n172.200(a) , whic hstate s that , excep t a s otherwis e provide di nthi s subpart , eac hperso nwh o offer s ahazardou s materia l for transportatio nshal l describ e th e hazardou s materia l o nth e shippin g pape r i nth e manne r

require d b y thi s subpart
.

c . Sectio n172.300(a) , whic hstate s that eac hperso nwh o offer s ahazardou s material for

transportatio nshal l mar k eac hpackage , freight

container , an d transport vehicl e containin g th e hazardou s material i nth e manne r require db y thi s subpart
.

## d
. Sectio n172.400(a) , whic hstate s that excep t a s specifie di n§ 172.400a , eac h perso nwh o offer s fo r

transportatio no r

transport s ahazardou s material i nany of th e followin g package s o r containmen t

devices , shal l labe l th e packag e o r containmen t

devic e wit

hlabel s specifie dfor

th e materia l i nth e §172.10 1 Tabl e an di n this.subpart
. (1 ) A non-buU c package ; (2 ) A bul k

packaging , othe r thanacarg o tank , portabl e tank , o r tank car , wit havolumetri c capacity o f les s than1 8 m 3 (64 0 cubi c feet) , unles s placarde di naccordanc e wit h subpart Fo f thi s part; (3 ) A portable tank o f les s than378 5 L(100 0 gallons ) capacity , unles s placarde di naccordanc e wit hsubpart Fo f thi s part ; (4 ) A DO T Specificatio n10 6 o r 11 0 multi-uni t

tank car tank , unles s placarde din accordanc e wit

hsubpart Fo f thi s part ; an d(5 ) A noverpack , freight containe r o r uni t loa ddevice , o f

les s than1 8 m 3 (64 0 cubi c feet) , whic h contain s apackag e for

whic hlabel s are required , unles s placarde do r marke d i naccordanc e wit

h§172.51 2 o f

thi s part .

e . Sectio n172.600(c) , whic hstate s that n o perso nt o who mthi s subpart applie s may offe r for transportation , accep t

for transportation , transfer , store or otherwis e handl e durin g transportatio nahazardou s material unless : (1 ) Emergenc y respons e informatio nconformin g t o thi s subpart i s immediatel y availabl e for

us e a t al l time s th e hazardou s materia l i s present ; an d(2 )

## Emergenc y respons e information , includin g th e emergenc y respons e telephon e number , require db y thi s subpart i s immediatel y availabl e t o an y perso nwho , a s arepresentativ e o f aFederal , Stat e o r

loca l government agency , respond s t o aninciden t involvin g ahazardou s material , o r i s conductin g aninvestigatio nwhic hinvolve s ahazardou s material
.
f
. Sectio n172.702(a) , whic hstate s tha t ahazmat

employe r

shal l ensure tha

t
eac hof it s hazmat

employee s i s traine dinaccordanc e wit hth e requirement s prescribe di nthi s subpart
.

g . Sectio n172.704(a)(1) , whic hstate s that hazmat employe e trainin g shal l includ e th e following : Eac hhazmat employe e shal l b e provide dgeneral awareness/famiUarizatio ntrainin g designe dt o provid e famiUarit y wit hth e requirement s of

thi s subchapter , an dt o enabl e th e employe e t o recogniz e an d identif y hazardou s material s consisten t wit hth e hazar dcommunicatio n standard s o f

thi s subchapter
.
h
. Sectio n173.1(b) , whic hstate s that ashipmen t

o f hazardou s material s tha

t i s no t prepare dinaccordanc e wit hthi s subchapte r

may no t b e offere dfo

r transportatio nb y air , highway , rail , o r water . I t i s th e responsibility o f

eac h

## hazma t employe r subject t o the requirement s o

f thi s subchapte

r t o ensur e tha t eachhazma

t employee i s traine dinaccordanc e wit hthe requirements prescribe di

nthi s subchapter
. It

i s the dut

y o f eachpersonwh

o offer s hazardou s material s fo

r transportationt

o instruct eacho f hi s officers , agents , an demployee s having an

y responsibiUt

y fo r preparing hazardou s material s fo r shipmen t as t o appUcabl

e regulation s i

nthi s subchapter
.
i
. Section173.22(a)(l)&(2) , whic hstate s that , except

as otiierwis e providedin thi s part , apersonma

y offe r ahazardou s materia

l fo r transportationi

na packaging or

containe r requiredb

y thi s par t onl y inaccordanc e wit

hth e following : (1 ) The personshall clas s an ddescrib e the hazardou s materia l i n accordanc e wit

hpart s 17 2 an

d16 3 o f thi s subchapter , an

d(2 ) The person shall determine tha

t the packaging or

containe r i s a nautiiorizedpackaging , including par

t 17 3 requirements , an

dtha t it ha s bee nmanufactured , assembled , an

dmarkedi

naccordanc e with : (i ) §173.(7)(a ) an dparts 173 , 178 , or 179 o f thi s subchapter ; (ii ) A specificationo f the Departmen

t i neffec t a t the dat e o f manufactur

e o f the packaging an

dcontainer ; (ui ) Nationa

l o r internationa

l regulation s basedonthe U NRecommendation s o

nth e Transpor t o f Dangerou s Goods , as authorizedi n§ 173.24(d)(2) ; (iv ) A

napprova l issued

## unde r thi s subchapter ; o r

(v ) A nexemptio no r

special permi t

issue dunder subchapte r

A o f thi s chapter
. IV 1 . Pursuan t

t o 4 9 U.S.C . §5123(a ) o f Chapte r 51 , Titl e 4 9 of

th e Unite dState s Cod e o f Transportation , 4 9 U.S.C.§512 3 Responden t i s Uable fo r

acivi l penalt y o f

no t les s than $25 0 ($45 0 for

brainin g violations) , no r greate r than$50,00 0 ($100,00 0 if death , seriou s illness , sever e injury , o r substantia l property damag e results) , for eac ho f th e violation s alleged
. 2 . Unde r th e fact s an dcircumstance s o f thi s case , acivi l penalty o f $8,000 i s appropriate
. WHEREFORE , th e FAA , b y counsel , respectfull y request s tha t th e Administi-ativ e La w Judg e ente r

a norde r that Responden t

b e assesse dacivi l penalty inth e amount o f $8,000
. Respectfull y submitted , Alfre dR . Johnson , Jr . Regiona l Counse l By : _ Mary MadeUne McCarth y Deputy Regiona l Counse l Federa l Aviatio nAdministratio n 1 Aviatio nPlaz a Jamaica , N Y 1143 4 71 8 553-326 7 71 8 995-569 9

## NOTE ;

Th e Rule s of

Practic e fo r

thi s proceedin g ar e se t

fort hi nPar t

13 , Subpar t

G , o f th e Federa l Aviatio nRegulation s (1 4 C.F.R . Par t 13) . Th e Rule s o f

Practic e provid e tha t

Responden t

mus t fil e awritte nanswe r

t o thi s Complaint , o r

awritte nMotio nt o Dismis s i f appropriate , no t

late r tha n3 0 day s afte r th e dat e show no nth e Certificat e o f Service
. A genera l denia l i s deeme dafailur e t o fil e a nanswe r

(Sectio n13.209(e)) .

CERTIHCAT EO FSERVIC E I hereb y certif

y that th e foregoin g Complain t ha s bee nplace dthi s dat e i nth e Unite dState s mail , postag e prepaid , b y Certifie dMai l - ReturnReceip t Requeste daddresse da s follows : Harriso nYach t

Sales , Inc . 10 6 Well s Cov e Roa d PO Bo x 9 8 Grasonville , M D 2163 8 Federa l Aviatio nAdministratio n(Original an don e copy ) 80 0 Independenc e Avenue , S.W . Washington , D.C . 2059 1 Atta : Hearin g Docke t

Clerk , AGC-43 0 Wilbu r Wrigh t Buildin g - Roo m201 4

Date : III ) 

### 2 0 201 0 

## Maryan nMignon e Lega l Technician Federal Aviatio nAdministratio n Offic e o f Regional Counse l 1 Aviatio nPlaz a Jamaica , N Y 1143 4

# < d /iji '

U.S . Departmen

t Easter n Regio n o f Transportation Regional Counse l Telephone ; 71 8 553-326 7 

### Federal Aviation Facsimile : 71 8 995-569 9 Administratio n 

## DE C 1 200 9 CERTIFIE D MAI L- RETURNRECEIP T REOUESIE D Presiden t Harriso nYacht

Sales , Inc . 10 6 Well s Cov e Roa d P0 Bo x 9 8 Garsonville,M D 2163 8 1 Aviatio n Plaz a Jamaica , N Y1143 4



## Docke t No . 2009EA70044 6 NOTIC EO FPROPOSE D CIVI LPENALT Y TAKENOTICE , that

thi s offic e ha s receive daninvestigativ e report fromwhic hi t appear s that

Harriso nYacht

Sales , Inc . violate dth e Departmen t o f Transportatio n Hazardou s Material s Regulation s b y reaso no f th e following : 1 . O no r abou t Jul y 10 , 2009 , Harriso nYach t Sales , Inc . (hereinafte r "Harrison" ) offere danundeclare dshipmen t o f hazardou s material s t o UP S fo r transportatio ninai r

commerc e (hereinafter , "th e shipment") , 2 . Th e shipmen t

travele do nth e basi s o f

th e UP S 2"^

* Day Air , unde r

UP S Ai r Waybil l 1Z000YY702916 3 8521
. 3 . Upo n arriva l at

th e UP S sort

cente r i nLaurel , Maryland , aUP S employe e discovere dth e shipmen t

t o b e leakin g re dpaint
. 4 . Th e abov e mentione dshipmen t comprise daon e gallo ncano f re dpaint , package di na4G-fiberboar dbox
. 5
. Th e shipmen t

mentione dabov e wa s determine dt o b e aproduc t regulate dby th e Departmen t

o f Transportatio n(DOT ) Hazardou s Material s Regulation s (HMR ) 4 9 C.F.R . § § 171-177) , liste dinth e DO T HM RHazardou s Material s Tabl e (4 9 C.F.R . §172.101 ) a s ''Paint , includin g paint , lacquer , enamel , stain , shella c solutions , vanish , polish , liqui dfiller , an dliqui d lacque r base
. Clas s 3 , UN1263 , PGIII" . 6 . A t al l times mentione dherein , th e Departmen t o f Transportatio n(DOT ) Hazardou s Material s Regulation s (HMR ) (4 9 C.F.R . §§171-177 ) require d EXHIBI T

## Harrison , a s ahazmat employer , t o ensur e that

eac ho f u ahazma t

employee s wa s traine di naccordance withth e requirement s o f th e HMR , wa s teste db y appropriat e mean s o nth e trainin g subject s covere di n§172.70 4 (4 9 C.F.R.§172.704) , an dwa s preclude dfromperformin g any functio nsubjec t t o th e requirement s o f

th e DO T HM Rwithou t first bein g instructe dinth e requirement s o f

th e HM Rthat

appl y t o that

fiinction. 7 . A t al l time s herein , Harriso ndi dno t ensur e that

eac ho f it s hazmat employee s i s traine dinaccordanc e wit hth e requirement s prescribe dby th e applicabl e DO T HMR . 8 . A t al l time s herein , Harriso ndi dno t ensur e that

eac ho f it s hazmat employee s ha dbee nprovide dgeneral awareness/familiarizatio ntrainin g designe dt o provid e familiarit y wit hth e requirement s o f

th e DO T HMR . 9 . A t all time s herein , Harriso ndi dno t instruc t eac ho f it s officers , agents , an d employee s havin g an

y responsibility fo

r preparin g hazardou s material s fo r shipment a s t o applicabl e regulation s i nthi s subchapter
. 10 . A t al l time s herein , Harriso ndi dno t ensure that

th e above-reference d shipment me t al l applicabl e requirement s o f th e DO T HMR . 11 . Specifically , Harriso noffere dth e abov e mentione dhazardou s material s shipmen t bu t Harriso ndi dno t

mar k th e shipmen t

i nth e manne r

require db y th e DO T HMR . 12 . Harriso ndi dno t

ensure that

th e non-bul k

packag e o r

containmen t

devic e in whic hi t offere dth e above-reference dhazardou s material s shipment wa s labele dwit

hlabel s specifie dfor

th e material inth e §172.10 1 Tabl e an dothe r applicabl e part s o f

th e DO T HMR . 13 . Harriso n di dno t

ensur e that

th e shipmen t

wa s accompanie db y an associate dshippin g pape r tha t containe demergenc y respons e informatio n conformin g t o applicabl e part s o f th e DO T HM Ran dthat

suc hinformatio ni s immediatel y availabl e fo

r us e a t al l time s th e hazardou s material i s present , an dthat suc hinformatio nwoul db e immediatel y mad e availabl e t o any perso n who , a s arepresentativ e o f aFederal , State or

local governmen t agency , respond s t o a

ninciden t

mvolvin g ahazardou s material o r i s conductin g aninvestigatio nwhic hinvolve s ahazardou s material
. 14 . Harriso ndi dno t

instruc t eac ho f hi s officers , agents , an demployee s havin g any responsibility fo

r preparin g hazardou s material s fo r shipment

a s t o applicabl e regulation s inthi s subchapter
. 15
. Thus , Harriso noffere dahazardou s material fo r transportatio ninai r commerc e inapackagin g or container

require db y th e DO T HM Rbu t

## Harrisondidno t clas s an ddescrib e the hazardou s materi di naccordanc e wit

h part s 172 an

d16 3 of thi s subchapter , an

dHarrisondidno

t determine tha

t the packaging o

r containe r was assembledan

dmarke di naccordanc e wit

h §173.(7)(a ) an dparts 173 , 178 , o

r 179 of the applicable section s of

the DOT HM R

By reasono f

the foregoing , Harrison Yach t Sales , Inc . violatedthe followin g section(s ) o f

the Departmen

t of TransportationHazardou s Material s Regulations : a . Section171.2(b) , whic hstate s tha

t eac hpersonwh

o offer s ahazardou s materia l fo r transportationi

ncommerce must

compl y wit hal l applicable requirements of

thi s subchapter , o

r a n exemption , o

r specia l permit , approval , o

r registrationissuedunde

r thi s subchapte

r o r unde r subchapte r A of thi s chapter
. Ther

e ma y b e mor e tha none offero

r of a shipmen t of hazardou s materials
. Eac hoffero r i s responsible fo

r complying wit

hthe requirements o f

thi s subchapter , o

r a nexemption , o r specia l permit , approval , o

r registrationissuedunde

r thi s subchapte

r or subchapte r A of thi s chapter , wit

hrespect t o an y pre-transportation fimctio ntha t i t performs or

i s requiredt

o perform ; however , each offero r i s responsible onl

y fo r the specific pre-transportationfimctions tha t i t performs o

r i s requiredto perform , an

deac hoffero r ma y rel y o n informatio nprovidedb

y anothe r offeror, imles s tha

t offero r know s or , areasonable person , acting i nth e circumstance s an

dexercising reasonable care , wouldhave knowledg e tha t the informationprovided b y the othe r offero r i s incorrect
. b
. Section172.200(a) , whic hstate s that , except

as otherwis e providedi

n thi s subpart , eac

hpersonwh

o offer s ahazardou s materia

l fo r transportationshal

l describ e the hazardou s materia l o nthe shipping pape r i nth e manne

r requiredb y thi s subpart
. c . Section172.300(a) , whic hstate s tha

t eac hpersonwho offer

s a hazardou s materia

l fo r transportationshal

l mar k eac hpackage , freight container , an

dtranspor t vehicle containing the hazardou s materia l i n the manne r requiredb y thi s subpart
. d
. Section172.400(a) , whic hstate s tha

t excep t as specifie di n§ 172.400a, eac hpersonwho offer

s fo r transportationo

r transports ahazardou s materia l i nan y of the followin

g package s o

r containmen

t devices , shal l labe l the packag e o

r containmen

t devic e wit

hlabel s specifiedfo

r th e materia

l i nthe §172.10 1 Table an

di nthi s subpart
. (1 ) A non-bul k package ; (2 ) A bul

k packaging , othe

r tha n acarg o tank , portable tank
.

## or tan k car , wit havolumetric capacit

y of les s tiioi i 1 8 m 3 (640 cubic feet) , unles s placardedi

naccordanc e wit

hsubpar t Fo f thi s part ; (3 ) A portabl e tan

k o f les s tha n378 5 L(1000 gallons ) capacity , unles s placardedi

naccordanc e wit

hsubpar t Fof thi s part ; (4 ) A DOT Specification10

6 o r 11 0 multi-unit

tan k ca r tank , unles s placardedi

n accordanc e wit

hsubpar t Fof thi s part ; an

d(5 ) A noverpack, freigh

t containe r o r uni t loa ddevice , of

les s tha n 1 8 m 3 (640 cubic feet) , whichcontain s apackag e fo r whic hlabel s ar

e required , unles s placardedo

r markedi n accordanc e wit

h§172.51 2 of

thi s part . e . Section172.600(c) , whichstate s tha t no personto who

mthi s subpar

t applie s ma y offe r fo r transportation , accep

t fo r transportation , transfer , stor e o r otherwis e handl e during transportationahazardou s materia l unless : (1 ) Emergency respons e informatio nconformin

g t o thi s subpar t i s immediatel

y available fo

r us e a t all time s the hazardou s materia l i s present ; an

d(2 ) Emergenc

y respons e information , including the emergenc

y respons e telephone number, requiredb y thi s subpar t i s immediatel

y available t o an

y personwho , as arepresentativ e of aFederal , Stat

e o r loca l governmen

t agency , respond s t o a

ninciden t involving ahazardou s material , o r i s conducting a

ninvestigation whichinvolve s ahazardou s material
. f Section172.702(a) , whic hstate s tha

t ahazma t employe r shal l ensur e tha t eacho f its hazma t employee s i s trainedi

naccordanc e wit

hthe requirements prescribedi

nthi s subpart
. g . Section172.704(a)(1) , whichstate s tha t hazma t employe e training shall includ

e the following : Eac

hhazma t employe e shal l b e provided genera l awareness/familiarizationtraining designedt o provide familiarit y wit hthe requirements of

thi s subchapter, an

dto enable the employee to recognize an didentif y hazardou s material s consisten t wit hthe hazar

dcommunicationstandard s of thi s subchapter
. h
. Section173.1(b) , whichstate s tha t ashipmen

t of hazardou s material s tha t i s no t preparedi

n accordanc e wit

hthi s subchapte

r ma y not b e offere dfo r transportationb

y air , highway , rail , o

r water . I t i s the responsibilit

y of eac hhazma t employe r subjec t t o the requirements of thi s subchapte

r to ensur e tha t eachhazma

t employe e i s trainedi

n accordanc e wit

hthe requirements prescribedi nthi s subchapter
. I

t i s the dut y of eac hpersonwh

o offer s hazardou s material s fo r transportationto instruct

eachof hi s officers , agents , an

demployee s having an y responsibilit

y fo r preparing hazardou s material s fo r shipmen t as to applicable regulation s i nthi s subchapter
.

## i
. Sectio n173.22(a)(l)&(2) , whic hstate s that , excep t a s otherwis e provide dinthi s part , aperso nma y offe r ahazardou s material for transportatio ninapackagin g o r container require dby thi s part

only in accordanc e wit

hth e following : (1 ) Th e perso nshal l clas s an ddescrib e th e hazardou s material in accordanc e wit hpart s 17 2 an d16 3 o f

thi s subchapter , an d(2 ) Th e perso nshal l determin e that th e packagin g o r containe r i s a nauthorize dpackaging , includin g part 17 3 requirements , an dthat it ha s bee nmanufactured , assembled , an dmarke di n accordanc e with : (i ) §173.(7)(a ) an dpart s 173 , 178 , o r 17 9 o f thi s subchapter ; (ii ) A specificatio no f th e Departmen t

i neffec t at th e dat e o f manufacture o f

th e packagin g an dcontainer ; (iii ) National o r international regulation s base do nth e U NRecommendation s o nth e Transport o f Dangerou s Goods , a s authorize din§ 173.24(d)(2) ; (iv ) A napproval issue dunde r thi s subchapter ; o r

(v ) A nexemptio nor special permi t

issue dunde r

subchapter

A o f thi s chapter
. I naccordance withSectio n5123(a ) o f Chapte r 51 , Titl e 4 9 o f

th e Unite dState s Cod e o f Transportation , 4 9 U.S.C, § 5123 , Harriso nYach t Sales , Inc . i s liabl e for

a civi l penalty o f

no t les s than$25 0 ($45 0 for trainin g violations) , no r greate r than $50,00 0 ($100,00 0 i f

death , seriou s illness , sever e injury , o r substantia l property damag e results) , for

eac hviolatio no f

th e regulations
. After

reviewin g ou r investigativ e file, w e propos e t o asses s acivi l penalty i nth e amoun t o f $8,00 0 fo

r thes e violations
. Enclose di s informatio no nHarriso nYach t Sales , Inc.' s option s i nrespondin g t o thi s Notice
. Th e option s includ e participatin g i naninformal conferenc e witha n FA A attorne y an dsubmittin g informatio nt o th e FA A for consideration
. Harriso n Yach t Sales , Inc . mus t

submit , i nwriting , it s choic e o f th e alternative s explaine d o nth e enclose dinformatio nform , o no r befor e thirty (30 ) day s after i t receive s thi s Notice
. I f

Harriso nYach t

Sales , Inc . fail s t o submi t it s choic e withi nthat

time , i t wil l hav e n o fiirther

righ t t o participat e inth e informal procedures
. Pleas e direc t

al l future communication s concernin g thi s matte r t o Gai l F . Butle r

at (718)553-3267
. Alfre dR . Johnson , Jr . Regional Counse l

By : M ^ Madelin e McCarthy Deputy Regional Counse l

## Enclosure s

InformationShee

t Repl y For m 1 4 C.F.R . 13.1 6 Subpar t Go f 1 4 C.F.R . Informa l Conference LocationLis tDEPARTMEN T O FTRANSPORTATIO N FEDERA LAVIATIO N ADMINISTRATIO N INFORMATIO N REGARDIN GCIVI LPENALTIE S UNDE RTITL E4 9 U.S.C . SECTIO N 512 3 Under 4 9 U.S.C . § 5123 , an y perso n wh o violate s pertinen t provision s o f

Chapte r 5 1 o f th e statute , entitle d"Transportatio no f Ha2ardou s Material, " o r

an y rule , regulation , o r

orde r issue dthereunder , i s subjec t t o acivi l penalty for

eac hviolation
. Th e maximumassessmen t for eac h violatio ni s als o prescribe dby law , a s specifie di nth e notic e t o whic hthis informatio n shee t i s attached
. Th e notic e als o state s th e amoun t o f th e propose dcivi l penalty for th e allege dviolation(s)
. Thi s proceedin g i s governe db y th e Federal Aviatio n Regulation s (FAR ) se t fort hin 1 4 C.F.R . § 13.1 6 an d1 4 C.F.R . Part 13 , Subpart

G . Copie s o f thes e regulation s ar e enclosed
. WITHIN THIRT Y (30 ) DAY S AFTE RHARRISO N YACH T SALES , INC . RECEIV ES TH ENOTIC EO F PROPOSE D CIVI LPENALTY , it ma y elec t t o procee din on e o r

more o f th e followin g way s b y markin g th e appropriat e box(es ) onth e attache d electio n shee t

an dreturnin g i

t by mai l o r

personal-delivery t o th e addres s provide dbelow
. An explanatio n o f eac hoptio n i s se t

fort hbelow
. 1 . Harriso nYach t

Sales , Inc . ma

y submi t th e amoun t

o f th e civi l penalty specifie din th e notic e by certifie dchec k o r mone y orde r

payabl e t o th e "Federal Aviatio n Administration " t o th e Offic e o f Accountin g FAA/MMA C - Attentio nAMZ-350-EA , Pos t Offic e Bo x 25770 , Oklahom a City , O K 73125
. 2 . I nth e alternative , Harriso nYach t Sales , Inc . ma y pa y It s civi l penalt y wit hacredi t car dove r

th e Internet . T o pa y electronically , visi t th e we b sit e a t

httn://www.Dav.go v an dente r th e ter m'FEA " i n th e searc hba r labele d"Searc hPubli c Forms " locate do nth e lef t han dsid e o f

th e screen . Afte r

followin g th e link , clic k o n "FA A Civi l Penalties-FA A Easter n Region. " Harriso n Yach t Sales , Inc . mus t the nente r

th e above-liste d"Docke t Number " unde r

th e "Civi l Penaltie s Cas e Number " an dHarriso n Yach t Sales , Inc . mus t

the n complet e th e remainde r o f th e requeste dinformation
. Onc e Harriso n Yach t Sales , Inc . ha s submitte dth e requeste dInformatio n Harriso nYach t

Sales , Inc . wil l b e take n t o apag e whic hallow s Harriso nYach t Sales , Inc . t o eithe r

pa y b y electroni c transfer , o r b y credi t card
. Fil l i nth e requeste dinformatio n i n on e o f thes e tw o sections , an dsubmi t t o complet e you r

payment . SUBMITTIN GTH EAMOUN T O FCIVI LPENALT Y I N ACCORDANC EWIT H PARAGRAPH S 1 AN D 2 CONSTITUTE S Han-iso n Yach t Sales , Inc.' S AGREEMEN T THA T A N ORDE RASSESSIN GCIVI LPENALT Y IN THA T AMOUN T MA Y B EISSUE D WITHOU T FURTHERNOTICE . SUBMITTIN GTH EAMOUN T O FCIVI LPENALT Y ALS O CONSTITUTE S Harriso n Yacht Sales , Inc.' S AGREEMEN T THA T I

T WAIVE S IT S RIGH T T O A HEARIN GI N THI S MATTER . 3 . Haniso nYach t

Sales , Inc . may submit , in writing , informatio n an devidenc e demonstratin g tha t aviolatio n o f

th e regulation s wa s no t committe do r

that , i f it were , th e fact s an dcircumstance s d o no t warran t th e propose dcivi l penalty
. Informatio n provide dwil l b e considere di n determinin g whethe r

acivi l penalty shouldb e assesse do r impose dan dth e amoun t o f an y suc hcivi l penalty
. Thi s informatio n may b e submitte d i n conjunctio n wit

hareques t

for a ninformal conferenc e unde r paragrap h6 . Choosin g thi s optio nwil l no t affec t Harriso nYach t

Sales , Inc.' s righ t t o ahearing , unles s it

als o elect s paragrap h5
. 4 . Harriso nYach t

Sales , Inc . may submit , in writing , informatio n an drecord s indicatin g tha t i t i s financiall y unabl e t o pa y th e propose dcivi l penalty , o r

showin g tha t

paymen t o f th e propose dpenalt y woul dpreven t Harriso n Yach t

Sales , Inc . iro mcontinuin g in business
. Choosin g thi s optio n wil l no t

affec t Harriso n Yach t

Sales , Inc.' s right

t o ahearing , unles s i t

als o elect s paragrap h5
. 5
. Harriso nYach t

Sales , Inc . may reques t tha t acivi l penalty b e assesse din aspecific amoun t othe r tha n tha t

propose di n th e notice
. I f Harriso n Yach t

Sales , Inc . choos e s this option , it shoul dals o explai n wh y areductio n i s appropriat e an dprovid e an y supportin g documentation
. Informatio nHarriso n Yach t Sales , Inc . provide s wil l b e considere di n determinin g whethe r th e amoun t

it specifie dshoul db e assessed
. If

th e FAA accept s Harriso n Yach t Sales , Inc.' s offer , it s reques t constitute s Harriso nYach t Sales , Inc . agreemen t

that a nOrde r Assessin g Civi l Penalty inthat amoun t may b e issue dwithou t

fiirther notice , an dthat

Harriso n Yach t

Sales , Inc . waive s it s right t o ahearing
. If th e FA A doe s no t

accep t Harriso nYach t

Sales , Inc.' s offer , it s righ t t o ahearin g wil l no t

b e affected
. 6 . Haaiso nYach t

Sales , Inc . may reques t a n opportunit y t o discus s th e matte r withanFAA attorne y b y atelephoni c informal conference, o r at a nin-perso n informal conferenc e a t on e o f th e followin g locations : a n FAA regiona l office ; th e FA A Aeronautica l Cente r

i nOklahom aCity ; o r FA A Headquarter s i

nWashington , DC . A lis t o f th e addresse s o f

thes e office s (hereafte r

referre dt o a s "th e Informal Conferenc e Locatio nlist " o r "th e list" ) i s attache dt o th e enclose drepl y form
. A reques t for a n in-perso n informal conferenc e a t an y o f th e office s o nth e Informal Conferenc e Locatio n lis t

wil l b e granted , regardles s o f whethe r th e offic e Harriso n Yach t Sales , Inc.' s choose s i s th e offic e that issue dth e notic e t o whic hthis informatio nshee t i s attached
. I f

Harriso n Yach t

Sales , Inc . choose s a

n offic e o n th e Informal Conferenc e Locatio n lis t othe r tha n th e offic e that

issue dth e notice , th e cas e ordinaril y wil l b e transferre dt o th e offic e Harriso n Yach t Sales , Inc . request s fo

r full dispositio n an d handlin g inaccordanc e withth e FAA' s existin g transfe r policy , whic hi s se t

fort hi n paragrap h208(e ) o f

FA A Orde r

No . 2150-3A , provide dtha i (1 ) atransfer

i s i n th e publi c interest , an d(2 ) th e transfe r i s t o a n offic e mor e convenien t t o it s principa l plac e o f business
. When condition s (I ) an d(2 ) ar e no t

present, th e cas e wil l b e transferre dt o th e offic e Harriso n Yach t Sales , Inc.' s reques t

fo r purpose s o f

th e informal conferenc e only
. Moreover , th e offic e receivin g th e cas e onl y for purpose s o f

th e informal conferenc e wil l consul t an dcoordinat e withth e offic e that issue d th e notic e before settlin g o r otherwis e disposin g o f

th e cas e afte

r th e informal conference
. Harriso n Yach t

Sales , Inc . als o may reques t a n in-perso n informal conferenc e a t a n FA A offic e othe r

tha nthos e o n th e Informal Conferenc e Locatio nlist
. I

f Harriso nYach t

Sales , Inc . dos e so , it

shoul dindicat e o n th e respons e for mit s reaso n for

requestin g that

particular

location
. NOTE : Request s fo

r in-perso n informal s at

location s no t

o n th e lis t

wil l b e grante donl y inver y limite dcircumstances
. Harriso nYach t Sales , Inc . shoul dnot , therefore , expec t t o hav e a

n in-perso n informal conferenc e a t alocatio n othe r

tha n thos e o nth e list
. Th e FAA attorne y assigne d t o it s cas e ha s discretio nt o gran t areques t fo r a nin-perso n informal conference s at alocatio n othe r

tha n thos e o n th e lis t

onl y whe n(I ) becaus e o f unusual circumstances , th e publi c interes t i s bette r serve dby holdin g an in-perso n informal conferenc e a t suc hlocation , or

(2 ) a n in-perso n informal conferenc e canb e schedule dt o coincid e withothe r previousl y schedule dbusines s at th e locatio nrequested
. I naddition , th e FA A attorne y mus t

b e abl e t o schedul e th e conferenc e withi n approximatel y 9 0 day s o f th e dat e Harriso n Yach t Sales , Inc . request s a

n informa l conference
. Becaus e o f

thes e restrictions , Haniso n Yach t Sales , Inc . i s requeste dt o indicat e bothth e FAA offic e it prefer s an don e o f

th e office s fro mth e Informal Conferenc e Locatio n list
. T o elec t atelephon e informal conference , choos e optio n 6.a . on th e repl y form
. T o elec t a n in-perso ninformal conferenc e a t on e o f th e location s o nth e Informa

l Conferenc e Locatio nlist , choos e optio n 6.b
. T o elec t a n in-perso n informal conferenc e at alocatio n othe r

tha n thos e o n th e list , choos e optio n 6.c .I FHarriso n Yach t

Sales , Inc . REQUES T S A N INFORMA LCONFERENC EWITH AN FA A ATTORNEY , D O NO T ALS O REQUES T A FORMA LHEARIN GUNDE R§ 13.1 6 O FTH EFARAT THI S TIM E(i.e. , optio n 7) . Ff S REQUES T FO RA

N INFORMA LCONFERENC E WIL LNO T AFFEC T IT S RIGHT T O REQUES T A FORMA LHEARIN GLATER .
IMPORTANT : Th e informal conferenc e i s intende dt o provid e Harriso n Yach t Sales , Inc . wit

ha n opportunit y t o presen t

it s reason s wh

y th e FA A shouldno t

procee dwit

hth e actio n a s proposed
. I t als o i s intende dt o provid e Harriso n Yach t Sales , Inc . withan opportunit y t o presen t any supportin g documentatio n o r informatio n Harriso n Yach t Sales , Inc . withth e FA

A t o conside r

before th e agenc y decide s whethe r t o procee d wit hth e propose daction
. An y additiona l informatio n Harriso n Yach t Sales , Inc . submit s wil l b e give n ou r carefu l consideration
. Sinc e th e attache dlette r

may becom e apart

o f th e publicl y availabl e records , Harriso n Yach t Sales , Inc . ma

y wis ht o submi t

aletter whic hwoul db e include dinthes e records
. 7 . Harriso n Yach t

Sales , Inc . may reques t ahearin g in accordanc e withsectio n 13.1 6 o f th e FAR . Harriso n Yach t Sales , Inc . r

reques t mus t b e date dan dsigned
. I

f Harriso nYach t

Sales , Inc . request s ahearing , aComplain t wil l b e file dan da

nadministrativ e law Judg e wil l b e appointe d t o decid e th e case . At

ahearing , hel dunde r

Subpart Go f 1 4 C.F.R . Par

t 13 , th e agenc y wil l presen t witnesse s an dothe r

evidence
. Haniso n Yach t Sales , Inc . als o wil l hav e th e opportunity t o presen t witnesse s an dothe r

evidence
. Th e FA

A wil l hav e th e burde n o f proo f A t th e conclusio no f

th e hearing , al l issue s o f fac t an dla w wil l b e decide dan dadecisio n wil l b e rendere dwhether , an di n what amount , acivi l penalty wil l b e assessed , I

f eithe r party , th e agenc y o r

Harriso n Yach t

Sales , Inc. , i s dissatisfie dwit hth e judge' s decision , that party can appeal th e judge' s decisio n t o th e FAA decisionmaker
. I f Harriso n Yach t

Sales , Inc . i s dissatisfie dwit hth e FA A decisionmaker' s decision , it may seek revie w o f th e FAA decisionmaker' s decisio nin anappropriat e Unite dState s distric t court. . Harriso nYach t

Sales , Inc.' s reques t

for ahearin g mus t

b e mad e t o th e Hearin g Docket, Federal Aviatio n Administration , 80 0 Independenc e Avenue , SW. , Roo m924A , Washington , DC , 20591 , Attention : Hearin g Docke t Clerk
. Harriso n Yach t

Sales , Inc . mus t

mai l acop y t o th e FA

A attorne y handlin g thi s cas e a t th e addres s indicate dbelow
. Al l correspondenc e in this matte r shoul db e forwarde dt o th e Offic e o f th e Regiona

l Counse l Federal Aviatio n Administratio n 1 Aviatio n Plaz aJamaica , N Y 1143 4 Harriso nYach t

Sales , Inc.' s respons e t o th e Notic e o f Propose dCivi l Penalty may b e delivere dpersonall y t o th e Offic e o f th e Regiona l Counse l for th e Eastern Regio na

t th e abov e addres s durin g norma l busines s hours
. Telephone : 71 8 553-326 7 (Collec t call s canno t

b e accepted. )Offic e o f

th e Regiona

l Counse l Federa l Aviatio nAdministratio n I Aviatio nPlaz a Jamaica , NY 1143 4 Dat e

Harriso n Yacht Sales , Inc . - 2009EA70044 6 Subject : Notic e o f

Propose dCivi l Penalty I nrepl y t o you r

Notic e o f

Propose dCivi l Penalty , Harriso n Yach t Sales , Inc . elect s t o procee da s indicate db y my chec k mar k besid e th e numbere dparagraph(s ) belo w 1 . [ ] Harriso nYach t

Sales , Inc . hereb y submit s th e amoun t o f th e propose dcivi l penalty withth e understandin g that

a norde r assessin g acivi l penalty wil l b e issue di n that amoun t withou t further notice
. Haniso nYach t

Sales , Inc . UNDERSTAND S THA T IT HA S WAIVE D IT S RIGH T T O A HEARING . 2 . [ ] Haniso n Yach t Sales , Inc . ha s pai dth e propose dcivi l penalt y witha credi t car dover

th e Interne t

at th e followin g website : http;//www.DaY.go v Harriso n Yach t

Sales , Inc . als o understand s that

a norde r assessin g civi l penalty wil l b e issue din th e amoun t withou t further notice
. Haniso n Yach t Sales , Inc . ALS O UNDERSTAND S THA T I T WAIVE S IT S RIGH T T O A HEARING . 3 . [ ] Haniso n Yach t Sales , Inc . hereb y submit s evidenc e an d information , demonstratin g tha t a violatio n o f

th e regulation s di dno t occu r a s allege dor

tha t th e amoun t

o f th e penalty i s no t

wanante db y th e circumstances
. 4 . [ ] Haniso n Yach t Sales , Inc . hereb y submit s informatio n an drecord s showin g that

i t i s financiall y unabl e t o pa y th e propose d civi l penalty , o r

that paymen t o f th e penalty woul dpreven t it fromcontinuin g inbusiness
.

5
. [ ] Haniso n Yach t

Sales , Inc . hereb y request s that

th e propose d civi l penalty b e assesse di nth e amoun t o f $ an dit submit s th e reason s for

th e reductio n o f th e propose damount . Thi s reques t constitute s Haniso n Yach t Sales , Inc.' s agreemen t

that i f this offe r i s accepte dby th e FAA , a n orde r assessin g civi l penalty i

n th e amoun t it ha s specifie dmay b e issue dwithou t

further notice
. THI S REQUES T ALS O CONSTITUTE S Haniso nYach t

Sales , Inc.' S AGREEMEN T THA T IT HA S WAIVE D IT S RIGH T T O A HEARING . 6.a . [ ] Haniso nYach t Sales , Inc . hereb y request s atelephoni c informal conferenc e t o discus s this matte r wit ha n FAA attorney . (A n attorne y wil l cal l Harriso nYach t

Sales , Inc . a

t th e telephon e numbe r

it provide s here : ( ) . Haniso n Yach t Sales , Inc . wil l b e provide dat leas t 2 week s advanc e notic e o f

th e dat e an dtim e o f

thi s conference. ) NOTE : If Harriso n Yach t

Sales , Inc . choose s t o discus s this matte r informall y b y telephone , i t

shoul dprovid e an y document s o r othe r informatio n it

wishe s t o hav e considere do nit s behal f before th e dat e o f

th e informal conference , b
. [ ] Harriso nYach t

Sales , Inc . hereb y request s a n in-perso n informal conferenc e witha

nFAA attorne y t o discus s thi s matte r at (choos e a n FAA offic e fro mth e attache dlist).c
. [ ] Harriso n Yach t

Sales , Inc . hereb y request s a n in-perso n informal conferenc e witha n FAA attorne y t o discus s thi s matte r a t . Haniso n Yach t

Sales , Inc . i s requestin g a n in-perso n informal conferenc e a t thi s locatio nbecaus e . Haniso n Yach t

Sales , Inc . ha s als o indicate da n alternat e locatio n fromth e attache dlis t

unde r ite m6.b
. in th e even t

th e FA A i s unabl e t o gran t

m y reques t unde r thi s option
. 7 . [ ] Haniso n Yach t Sales , Inc . hereb y request s ahearin g i n accordanc e withSubpar t

Go f Par t 1 3 o f th e Federal Aviatio n Regulation s (1 4 CFR13 , Subpar t G ) withth e understandin g tha t a Complain t

wil l b e filed
. Haniso n Yach t Sales , Inc . request s that th e hearin g b e hel di

n Harriso n Yach t

Sales , Inc . i s sendin g thi s reques t

botht o th e FA

A attorne y an dt o th e Hearin g Docket, Federal Aviatio n Administration , 80 0 Independenc e Avenue , SW. , Roo m924A , Washington , DC , 20591 , Attention : Hearin g Docke t Clerk , Signature : Name : Address : Telephone : Date : Cas e No. : 2009EA70044 6 [ ] Harriso n Yach t Sales , Inc . request s that fiiture document s i

n thi s cas e b e sen t

t o m y representative : Name : Address : Teleph oFA A LEGA LCOUNSE LOFFIC ELOCATION S FO RINFORMA LCONFERENCE S AERONAUTICA LCENTE R Federal Aviatio n Administratio n Offic e o f th e Regional Counse l (AMC-7 ) Roo m25 1 Mik e Monrone y Aeronautica l Cente r 650 0 SouthMacArthu r

Boulevar d Oklahom aCity , O K

7312 5 EASTER NREGIO N Federal Aviatio nAdministratio n Offic e o f th e Regional Counse l (AEA-7 ) EasternRegio nHeadquarter s 1 Aviatio nPlaz a Roo m56 1 Jamaica , N Y 1143 4 NORTHWES T MOUNTAI NREGIO N Federal Aviatio n Administratio n Offic e o f th e Regional Counse l (ANM-7 ) Northwes t

Mountai nRegio nHeadquarter s 160 1 Lin dAvenue , SW . Renton , W

A 98055-405 6 WESTERN-PACIFI C REGIO N Federal Aviatio nAdministratio n Offic e o f th e Regional Counse l (AWP-7 ) Western-Pacifi c Regio nHeadquarter s 1500 0 Aviatio nBoulevar d Hawthorne , C A 9026 1 ALASK A REGIO N Federa l Aviatio n Administratio n Offic e o f th e Regional Counse l (AAL-7 ) Alaska n Regio n Headquarter s 22 2 Wes t 7t hAvenu e Anchorage , A

K 9951 3 GREA T LAKE S REGIO N Federal Aviatio n Administratio n Offic e o f th e Regional Counse l (AGL-7 ) Great Lake s Regio n Headquarter s O'Har e Lak e Offic e Center , Roo m41 9 230 0 Eas t

Devo n Avenu e De s Plaines , IL6001 8 SOUTHER N REGIO N Federal Aviatio n Administratio n Offic e o f th e Regiona l Counse l (ASO-7 ) Southern Regio n Headquarter s 170 1 Columbi aAvenue , Roo m53 0 Colleg e Park , GA 3033 7 FA A HEADQUARTER S Federa l Aviatio n Administratio n Offic e o f th e Chie f Counse l 80 0 Independenc e Avenue , SW . Washington , D C 2059 1 CENTRA LREGIO N Federal Aviatio n Administratio n Offic e o f th e Regiona l Counse l (ACE-7 ) Centra l Regio n Headquarter s 90 1 Locus t

Roo m50 6 Kansa s City , M O 64106-264 1 NE WENGLAN D REGIO N Federal Aviatio n Administratio n Offic e o f th e Regional Counse l (ANE-7 ) Ne w Englan dRegio n Headquarter s 1 2 Ne w Englan dExecutiv e Park , Roo m31 1 Buriington,M A 0180 3 SOUTHWES T REGIO N Federal Aviatio n Administratio n Offic e o f th e Regiona l Counse l (ASW-7 ) Southwes t

Regio n Headquarter s 260 1 Meacha mBoulevar d Ft . Worth , TX 76193-000 7 EUROPE , AFRIC A & MIDDL EEAS T FAA/America n Embass y Offic e o f th e Assistan t

Chie f Counse l (AEU-7 ) 2 7 Blvd
. d

u Regent , Brussels , Belgiu m (fo r mailin g fromU.S.:PS C 82 , Bo x 002 , AP O AE09710 )

## 1 4 CF

R§13.1 6 Pag e 1 o f 5

1 4 C.F.R . § 13.1 6 Cod e o f Federa l Regulation s Currentries s Titl e 14 , Aeronautic s an d Spac e Chapte rI
. Federa l Aviatio n Administration , Departmen t o f Transportatio n Subchapte rB
. Procedura l Rule s "•J i Par t 13
. Investigativ e an d Enforcemen t Procedure s (Refs & Annos ) "^a.SubparLC
. Lega l Enforcemen t Action s ^ § 13.1 6 Civi l Penaities : Administrativ e assessmen t agains t a perso n otiie rtlia n a n individua l actin g a s a pilot , fligh t engineer , meclianic , o rrepairman
. Administrativ e assessmen t agains t ai l person s fo rhazardou s material s violations
. (a ) Th e FA

Ause s thes e procedure s whe n I t assesse s a civi l penalt yagains t a perso n othe rtha n a n individua l actin g a s a pilot , fligh t engineer , mechanic , o rrepairma n fo ra violatio n cite d i n th e firs t sentenc e o f 4 9 U.S.C
. 46301(d)(2 ) o ri n 4 9 U,S.C
. 47531 , o ran yImplementin g rule , regulatio n o r order , (b ) Distric t cour t jurisdiction
. Notwithstandin g th e provision s o f paragrap h (a ) o f thi s section , th e Unite d State s distric t court s hav e exclusiv e jurisdictio n o f an ycivi l penalt yactio n Initiate d byth e FA A fo rviolation s describe d i n thos e paragraphs , unde r4 9 U.S.C
. 46301(d)(4)
. If — (1 ) Th e amoun t I n controvers yi s mor e tha n $50,00 0 fo ra violatio n committe d b yan yperso n befor e Decembe r12 , 2003 ; (2 ) Th e amoun t I n controvers yI s mor e tha n $400,00 0 fo ra violatio n committe d b ya perso n othe r tha n a n Individua l o rsmal l busines s concer n o n o rafte rDecembe r12 , 2003 ; (3 ) Th e amoun t I n controvers yi s mor e tha n $50,00 0 fo ra violatio n committe d b ya n Individua l o r a smal l busines s concer n o n o rafte rDecembe r12 , 2003 ; (4 ) Th e actio n i s I n re m o ranothe ractio n I n re m base d o n th e sam e violatio n has bee n brought ; (5 ) Th e actio n involve s a n aircraf t subjec t t o a lie n tha t ha s bee n seize d b yth e Government ; o r (6 ) Anothe ractio n ha s bee n brough t fo ra n injunctio n base d o n th e sam e violation , (c ) Hazardou s material s violations
. Th e FA Ama yasses s a civi l penalt yagains t an yperso n wh o knowingl ycommit s a n ac t i n violatio n o f 4 9 U.S.C , chapte r5 1 o ra regulatio n prescribe d o rorde r issue d unde rtha t chapter , unde r4 9 U.S.C
. 512 3 an d 4 9 CFR l,47(k)
. A n orde rassessin g a civi l penalt yfo ra violatio n unde r4 9 U,S.C , chapte r51 , o ra rule , regulation , o rorde rissue d thereunder , i s issue d onl yafte rth e followin g factor s hav e bee n considered : (1 ) Th e nature , circumstances , extent , an d gravit yo f th e violation ; (2 ) Wit h respec t t o th e violator , th e degre e o f culpability , an yhistor yo f prio rviolations , th e abilit y t o pay , an d an yeffec t o n th e abilit yt o continu e t o d o business ; an d (3 ) Suc h othe rmatter s a s justic e ma yrequire
.


### http://web2,westlaw,com/result/documenttext.asDX?sv=SDlit&.servtcp=Finrl^orvf=u n-Crri f A/ Innnn n

## 1 4 CF

R§13.1 6 Page'2of 5
(d ) Orde rassessin g civi l penalty
. A n orde rassessin g civi l penalt yma yb e issue d fo ra violatio n describe d i n paragraph s (a ) o r(c ) o f thi s section , o ra s otherwis e provide d b ystatute , afte rnotic e an d opportunit yfo ra hearing , Aperso n charge d wit h a violatio n ma yb e subjec t t o a n orde rassessin g civi l penalt yi n th e followin g circumstances : (1 ) A n orde rassessin g civi l penalt yma yb e issue d i f a perso n charge d wit h a violatio n submit s o r agree s t o submi t a civi l penalt yfo ra violation
. (2 ) A n orde rassessin g civi l penalt yma yb e Issue d i f a perso n charge d wit h a violatio n doe s no t reques t a hearin g unde rparagrap h (g)(2)(ii ) o f thi s sectio n withi n 1 5 day s afte rreceip t o f a fina l notic e o f propose d civi l penalty
. (3 ) Unles s a n appea l I s file d wit h th e FA Adecisionmake ri n a timel ymanner , a n initia l decisio n o r orde ro f a n administrativ e la wjudg e shal l b e considere d a n orde rassessin g civi l penalt yi f a n administrativ e la wjudg e find s tha t a n allege d violatio n occurre d an d determine s tha t a civi l penalty , i n a n amoun t foun d appropriat e b yth e administrativ e la wjudge , i s warranted
. (4 ) Unles s a petitio n fo rrevie wI s file d wit h a U.S
. Cour t o f Appeal s i n a timel ymanner , a fina l decisio n an d orde ro f th e Administrato rshal l b e considere d a n orde rassessin g civi l penalt yi f th e FA Adecisionmake rfind s tha t a n allege d violatio n occurre d an d a civi l penalt yi s warranted , (e ) Delegatio n o f authority , (1 ) Th e authorit yo f th e Administrato runde r4 9 U,S,C , 46301(d) , 47531 , an d 5123 , an d 4 9 CF R 1.47(k ) t o initiat e an d asses s civi l penaltie s fo ra violatio n o f thos e statute s o ra rule , regulation , o rorde rissue d thereunder
. I s delegate d t o th e Deput yChie f Counse l fo rOperations ; th e Assistan t Chie f Counse l fo rEnforcement ; th e Assistan t Chie f Counsel , Europe , Africa , an d Middl e Eas t Are a Office ; th e Regiona l Counsel ; th e Aeronautica l Cente rCounsel ; an d th e Technica l Cente rCounsel , (2 ) Th e authorit yo f th e Administrato runde r4 9 U.S,C , 5123 , 4 9 CF R l,47fk)
. 4 9 U,S,C
. 4630 1 (d) , an d 4 9 U,S,C , 4630 5 t o refe rcase s t o th e Attorne yGenera l o f th e Unite d States , o rth e delegat e o f th e Attorne yGeneral , fo rcollectio n o f civi l penaltie s i s delegate d t o th e Deput yChie f Counse l fo rOperations ; th e Assistan t Chie f Counse l fo rEnforcement ; Assistan t Chie f Counsel , Europe , Africa , an d i^lddl e Eas t Are a Office ; th e Regiona l Counsel ; th e Aeronautica l Cente r Counsel ; an d th e Technica l Cente rCounsel
. (3 ) Th e authorit yo f th e Administrato runde r4 9 U.S.C
. 46301(f ) t o compromis e th e amoun t o f a civi l penalt yimpose d I s delegate d t o th e Deput yChie f Counse l fo rOperations ; th e Assistan t Chie f Counse l fo rEnforcement ; Assistan t Chie f Counsel , Europe , Africa , an d Middl e East Are a Office ; th e Regiona l Counsel ; th e Aeronautica l Cente rCounsel ; an d th e Technica l Cente rCounsel
. (4 ) Th e authorit yo f th e Administrato runde r4 9 U.S.C
. 512 3 (e ) an d ( Q an d 4 9 CF R 1.47(k ) t o compromis e th e amoun t o f a civi l penalt yimpose d I s delegate d t o th e Deput yChie f Counse l fo r Operations ; th e Assistan t Chie f Counse l fo rEnforcement ; Assistan t Chie f Counsel , Europe , Africa , an d Middl e Eas t Are a Office ; th e Regiona l Counsel ; th e Aeronautica l Cente rCounsel ; an d th e Technica l Cente rCounsel
. (f ) Notic e o f propose d civi l penalty , Acivi l penalt yactio n i s initiate d b ysendin g a notic e o f propose d civi l penalt yt o th e perso n charge d wit h a violatio n o rt o th e agen t fo rservice s fo rth e perso n unde r 4 9 U,S,C , 46103 , Anotic e o f propose d civi l penalt ywil l b e sen t t o th e individua l charge d wit h a violatio n o rt o th e presiden t o f th e corporatio n o rcompan ycharge d wit h a violation
. I n respons e t o a
.9c„=Qr.lW>Crcf.n/irp=FinH/«'sr.Yt=WL&rlt..
. 6/10/200 9

## 1 4 CF

R§13.1 6 Page 3 o f 5
notic e o f propose d civi l penalty , a corporatio n o rcompan yma ydesignat e i n writin g anothe rperso n t o receiv e document s i n tha t civi l penalt yaction
. Th e notic e o f propose d civi l penalt ycontain s a statemen t o f th e charge s an d th e amoun t o f th e propose d civi l penalty
. No t late rtha n 3 0 days afte r receip t o f th e notic e o f propose d civi l penalty , th e perso n charge d wit h a violatio n shall — (1 ) Submi t th e amoun t o f th e propose d civi l penalt yo ra n agreed-upo n amount , i n whic h cas e eithe ra n orde rassessin g civi l penalt yo rcompromis e orde rshal l b e Issue d I n tha t amount ; (2 ) Submi t t o th e agenc yattorne yon e o f th e following : (i ) Writte n information , includin g document s an d witnes s statements , demonstratin g tha t a violatio n o f th e regulation s di d no t occu ro rtha t a penalt yo rth e amoun t o f th e penalt yi s no t warrante d b yth e circumstances
. (ii ) Awritte n reques t t o reduc e th e propose d civi l penalty , th e amoun t o f reduction , an d th e reason s an d an ydocument s supportin g a reductio n o f th e propose d civi l penalty , includin g record s indicatin g a financia l inabilit yt o payo rrecord s showin g tha t paymen t o f th e propose d civi l penalt y woul d preven t th e perso n fro m continuin g i n business
. (iii ) Awritte n reques t fo ra n Informa l conferenc e t o discus s th e matte rwit h th e agencyattorne y an d t o submi t relevan t informatio n o rdocuments ; o r (3 ) Reques t a hearing , i n whic h cas e a complain t shal l b e file d wit h th e hearin g docke t clerk
. (g ) Fina l notic e o f propose d civi l penalty
. Afina l notic e o f propose d civi l penalt yma yb e Issue d afte r participatio n I n Informa l procedure s provide d i n paragraph(f)(2 ) o f thi s sectio n o rfailur e t o respon d i n a timel ymanne rt o a notic e o f propose d civi l penalty
. Afina l notic e o f propose d civi l penalt ywil l be sen t t o th e Individua l charge d wit h a violation , t o th e presiden t o f th e corporatio n o rcompan y charge d wit h a violation , o ra perso n previousl ydesignate d I n writin g b yth e Individual , corporation , o rcompan yt o receiv e document s i n tha t civi l penalt yaction
. I f no t previousl ydon e i n respons e t o a notic e o f propose d civi l penalty , a corporatio n o rcompan yma ydesignat e i n writin g anothe rperso n t o receiv e document s I n tha t civi l penalt yaction
. Th e fina l notic e o f propose d civi l penalt ycontain s a statemen t o f th e charge s an d th e amoun t o f th e propose d civi l penalt yand , a s a resul t o f Informatio n submitte d t o th e agencyattorne ydurin g informa l procedures , ma ymodif ya n allegatio n o ra propose d civi l penalt ycontaine d i n a notic e o f propose d civi l penalty , (1 ) Afina l notic e o f propose d civi l penalt yma yb e issued — (1 ) I f th e perso n charge d wit h a violatio n fall s t o respon d t o th e notic e o f propose d civi l penalt y withi n 3 0 day s afte rreceip t o f tha t notice ; o r (11 ) I f th e partie s participate d I n an yinforma l procedure s unde rparagrap h (f)(2 ) o f thi s sectio n an d th e partie s hav e no t agree d t o compromis e th e actio n o rth e agencyattorne yha s no t agree d t o withdra wth e notic e o f propose d civi l penalty , (2 ) No t late rtha n 1 5 day s afte rreceip t o f th e fina l notic e o f propose d civi l penalty , th e perso n charge d wit h a violatio n shal l d o on e o f th e following — (I ) Submi t th e amoun t o f th e propose d civi l penalt yo ra n agreed-upo n amount
. I n whic h cas e eithe ra n orde rassessin g civi l penalt yo ra compromis e orde rshal l b e Issue d i n tha t amount ; o r (ii ) Reques t a hearing
. I n whic h cas e a complain t shal l b e file d wit h th e hearin g docke t clerk , http://web2.westlaw,com/result/dnciimpnttPv t a«!nY?c^^=ST^HfA'co..,M^«=c;^Jp.—*_iin ro._ u ^/i/x/-^^^

^

## 1 4 CF R§13,1 6 Pag e 4 o f 5

(h ) Reques t fo ra hearing
. An yperso n charge d wit h a violatio n mayreques t a hearing , pursuan t t o paragrap h (f)(3 ) o rparagrap h (g)(2)(ll ) o f thi s section , t o b e conducte d I n accordanc e wit h th e procedure s i n subpar t G o f thi s part , Aperso n requestin g a hearin g shal l fil e a writte n reques t fo ra hearin g wit h th e hearin g docke t clerk , usin g th e appropriat e addres s se t fort h I n S 13.210(a ) o f thi s part , an d shal l mal l a cop yo f th e reques t t o th e agencyattorney
. Th e reques t fo ra hearin g ma yb e i n th e for m o f a lette rbu t mus t b e date d an d signe d b ytii e perso n requestin g a hearing
. Th e reques t fo r a hearin g ma

yb e typewritte n o rma yb e legibl yhandwritten
. (I ) Hearing , I f th e perso n charge d wit h a violatio n request s a hearin g pursuan t t o paragrap h (f)(3 ) o r paragrap h (g)(2)(ll ) o f 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 d a cop yshal l b e sen t t o th e perso n requestin g th e hearing
. Th e procedura l rule s i n subpart G o f thi s par t appl yt o th e hearin g an d an yappeal
. A t th e dos e o f th e hearing , th e administrativ e la w judg e shal l issue , eithe rorall yo n th e recor d o ri n writing , a n initia l decision , includin g th e reason s fo r th e decision , tha t contain s finding s o rconclusion s o n th e allegation s contained , an d th e civi l penalt y sought
. I n th e complaint
. (j ) Appeal , Eithe rpart yma yappea l th e administrativ e la wjudge' s initia l decisio n t o th e FA A decisionmake rpursuan t t o th e procedure s i n subpar t G o f thi s part
. I f a part yfile s a notic e o f appea l pursuan t t o § 13.23 3 o f subpar t G , th e effectivenes s o f th e initia l decisio n i s staye d unti l a fina l decisio n an d orde ro f th e Administrato rhav e bee n entere d o n th e record
. Th e FA Adecisionmake r shal l revie wth e recor d an d issu e a fina l decisio n an d orde ro f th e Administrato rtha t affirm , modify , o rrevers e th e initia l decision
. Th e FA Adecisionmake rma yasses s a civi l penalt ybu t shal l no t asses s a civi l penalt yi n a n amoun t greate rtha n tha t sough t i n th e complaint , (k ) Payment , Aperso n shal l paya civi l penalt yb ysendin g a certifie d chec k o rmone yorder , payabl e t o th e Federa l Aviatio n Administration , t o th e agencyattorney , (I ) Collectio n o f civi l penalties
. I f a n individua l doe s no t paya civi l penalt yImpose d b ya n orde r assessin g civi l penalt yo rothe rfina l order , th e Administrato rma ytak e actio n provide d unde rth e la w t o collec t th e penalty , (m ) Apart ymaysee k

revie wonl yo f a fina l decisio n an d orde ro f th e FA Adecisionmake rinvolvin g a violatio n o f th e Federa l aviatio n statut e o rth e Federa l hazardou s material s transportatio n law
. Judicia l revie wi s i n th e Unite d State s Cour t o f Appeal s fo rth e Distric t o f Columbi a Circui t o rth e Unite d State s cour t o f appeal s fo rth e circui t i n whic h th e part yreside s o rha s th e party' s principa l plac e o f busines s as provide d i n § 13.23 5 o f thi s part
. Neithe ra n Initia l decisio n o ra n orde rissue d b ya n administrativ e lawjudg e tha t ha s no t bee n appeale d t o th e FA Adecisionmaker , no ra n orde rcompromisin g a civi l penalt yaction , ma yb e appeale d unde ran yo f thos e sections , (n ) Compromise , Th e FA Ama ycompromis e th e amoun t o f an ycivi l penalt yimpose d unde rthi s section , unde r4 9 U,S,C , 5123(e) , 46031(f) , 46303(b) , o r4631 8 a t an ytim e befor e referrin g th e actio n t o th e Unite d State s Attorne yGeneral , o rth e delegat e o f th e Attorne yGeneral , fo rcollection , (1 ) A n agencyattorne ymaycompromis e an ycivi l penalt yactio n wher e a perso n charge d wit h a violatio n agree s t o pa ya civi l penalt yan d th e FA Aagree s no t t o mak e a findin g o f violation
. Unde r suc h agreement , a compromis e orde ri s issue d followin g th e paymen t o f th e agreed-o n amoun t o r th e signin g o f a promissor ynote
. Th e compromis e orde rstate s th e following : (1 ) Th e perso n ha s pai d a civi l penalt yo rha s signe d a promissor ynot e providin g fo rinstallmen t payments , (ii ) Th e FA

Amake s n o findin g o f a violation , (Hi ) Th e compromis e orde rshal l no t b e use d a s evidenc e o f a prio rviolatio n i n an ysubsequen t civi l penalt yproceedin g o rcertificat e actio n proceeding
. —T7:_jp,—t—\\r t jp,, u A/in/onn o

## 14 CF

R§13.1 6 Pag e 5 o f 5

(2 ) A n agenc yattorne yma ycompromis e th e amoun t o f a n civi l penalt ypropose d i n a notice , assesse d i n a n order , o rImpose d I n a compromis e order
. [5 3 P R34654 , Sept , 7 , 1988 ; 5 5 F R15128
. April 20 , 1990 ; Amdt , 13-21 , 5 5 F R27548
. 27574
. Jul y 3 , 1990 ; 5 5 F

R29293 . Jul y 18 , 1990 ; 5 5 F R31027 , Jul y 30 , 1990 ; Doc . No . 29010 ; Amdt
. 13-29 , 6 2 F R46865 , Sept . 4 , 1997 ; Amdt
. 13-32 , 6 9 F R59496 , Oct . 4 , 2004 ; 7 0 F R1813 . Jan . 11 , 2005 ; 7 Q FR2825 , Jan . 18 , 2005 ; 7 0 F R8238 , Feb , 18 , 2005 ; 7 1 F R70464 , Dec . 5 , 2006 ] SOURCE : Amdt , 13-14 , 4 4 F R63723 , Nov . 5 , 1979 ; 5 3 F R33783 . Aug , 31 , 1988 ; 5 3 F R34653 , Sept , 7 , 1988 ; 5 5 F

R15128 , Apri l 20 , 1990 ; 5 8 F R50241
. Sept . 24 , 1993 ; 5 9 F R44268 , Aug , 26 , 1994 ; Amdt
. 13-25 , 6 0 F

R67254
. Dec , 28 , 1995 ; Amdt , 13-28 , 6 1 F R67445 , Dec , 20 , 1996 ; 6 2 FR4134 , Jan . 29 , 1997 ; Amdt
. 13-32 , 6 9 F R59495
. Oct , 4 , 2004 ; Amdt , 13-33 , 7 1 F R28522
. Ma

y 16 , 2006 ; 7 1 F R70464 , Dec . 5 , 2006 , unles s otherwis e noted , AUTHORITY : 1 8 U.S.C . 6002 ; 2 8 U.S.C . 246 1 (note) ; 4 9 U.S.C . 106(g) , 5121-5128 , 40113-40114 , 44103-44106 , 44702-44703 , 44709-44710 , 44713 , 46101-46111 , 46301 , 4630 2 (fo r aviolatio nof 4 9 U.S.C . 46504)
. 46304-46316 , 46318 , 46501-46502 , 46504-46507 , 47106 , 47107 , 47111 , 47122 , 47306 , 47531-47532 ; 4 9 CF R1.47 . 1 4 C . F , R, § 13.16 , 1 4 CF R§ 13.1 6 Curren t throug h Jun e 5 , 2009 ; 7 4 F R 2698 3 © 200 9 Thomso n Reuter s EN D O F DOCUMEN T (c ) 200 9 Thomso nReuters . N o Claimt o Orlg
. U

S Gov . Works
.



## http.//w^eb2.westlaw.coin/result/documentteYta<!nY'?<!\/=S!r.iw * y«<o*«^M ^ ^—T::- J o_ _

### Pag e 1 of2 3

[Cod e o f Federa l Regulations ] [Titl e 14 , Volum e 1 ] [Revise d a s o f Januar y1 , 2008 ] Fro mth e U.S . Governmen t Printin g Offic e vi a GP O Acces s [CITE : 14CFR13 ] [Pag e 57-75 ] TITL E 1 4 --AERONAUTIC S AN D SPAC E CHAPTE R I--FEDERA L AVIATIO NADMINISTRATION , DEPARTMEN T O F TRANSPORTATIO N PAR T 13_INVESTIGATIV E AN D ENFORCEMEN T PROCEDURES--Tabl e o f Content s Subpar t G_Rule s o f Practic e i n FAACivi l Penalt yAction s Source : Amdt . 13-21 , 5 5 F R 27575 , Jul y3 , 1990 , unles s otheirwis e noted . Sec . 13.20 1 Applicability . (a ) Thi s siibpar t applie s t o al l civi l penalt yaction s initiate d unde r Sec . 13.1 6 o f thi s par t i n whic h a hearin g ha s bee n requested . (b ) Thi s subpar t applie s onl yt o proceeding s initiate d afte r Septembe r 7 , 1988 . Al l othe r cases , hearings , o r othe r [[Pag e 58] ] proceeding s pendin g o r i n progres s befor e Septembe r 7 , 1988 , ar e no t affecte d b yth e rule s i n thi s subpart . [Amdt . 13-21 , 5 5 F R 27575 , Jul y3 , 1990 , a s amende d b yAmdt . 13-32 ; 6 9 F R 59497 , Oct . 4 , 2004 ] Sec . 13.20 2 Definitions . Administrativ e .la wjudg e mean s a n administrativ e la wjudg e appointe d pursuan t t o th e provision s o f 5 U.S.C . 3105 . Agenc yattorne ymean s th e Deput yChie f Counse l fo r Operations , th e Assistan t Chie f Counsel , Enforcement , th e Assistan t Chie f Counsel , Europe , Africa , an d Middl e Eas t Are a Office , eac h Regiona l Counsel , th e Aeronautica l Cente r Counsel , o r th e Technica l Cente r Counsel , o r a n attorne yo n th e staf f o f th e Assistan t Chie f Counsel , Enforcement , th e Assistan t Chie f Counsel , Europe , Africa , an d Middl e Eas t Are a Office , eac h Regiona l Counsel , th e Aeronautica l Cente r Counsel , o r th e Technica l Cente r Counse l wh o prosecute s a civi l penalt yaction . A n agenc yattorne y shal l no t include : (1 ) Th e Chie f Counsel , th e Deput yChie f Counse l fo r Polic yan d Adjudication , o r th e Assistan t Chie f Counse l fo r Litigation ; (2 ) An yattorne yo n th e staf f o f th e Assistan t Chie f Counse l fo r Litigation ; (3 ) An yattorne ywh o i s supervise d i n a civi l penalt yactio n b ya perso n wh o provide s suc h advic e t o th e FAAdecisionmake r i n that actio n o r a factually-relate d action . Attorne ymean s a perso n license d b ya state , th e Distric t o f Columbia , o r a territor yo f th e Unite d State s t o practic e la wo r appea r befor e th e court s o f tha t stat e o r territory . Complain t mean s a documen t issue d b ya n agenc yattorne yallegin g a violatio n o f a provisio n o f th e Federa l aviatio n statut e liste d i 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 o f th e

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### Pag e 2 o f 2 3

Federa l hazardou s material s transportatio n statute , 4 9 U.S.C . 5121-5128 , o r a rule , regulation , o r orde r issue d unde r thos e statutes , tha t ha s bee n file d wit h th e Hearin g Docke t afte r a hearin g ha s bee n requeste d unde r Sec . 13.16(f)(3 ) o r (g)(2)(ii ) o f thi s part . FA Adecisionmake r mean s th e Administrato r o f th e Federa l Aviatio n Administration , actin g i n th e capacit yo f th e decisionmake r o n appeal , o r an yperso n t o who mth e Administrato r ha s delegate d th e Administrator' s decisionmakin g authorit yi n a civi l penalt yaction . A s use d i n thi s subpart , th e FA Adecisionmake r i s th e officia l authorize d t o issu e a fina l decisio n an d orde r o f th e Administrato r i n a civi l penalt yaction . Mai l include s U.S . certifie d mail , U.S . registere d mail , o r us e o f a n overnigh t expres s courie r service . Orde r assessin g civi l penalt ymean s a documen t tha t contain s a findin g o f a violatio n o f a provisio n o f th e Federa l aviatio n statut e liste d i 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 . 4 7531 , o r o f th e Federa l hazardou s material s transportatio n statute , 4 9 U.S.C . 5121-5128 , o r a rule , regulatio n o r orde r issue d unde r thos e statutes , an d ma ydirec t paymen t o f a civi l penalty . Unles s a n appea l i s file d wit h th e FA Adecisionmake r i n a timel ymanner , a n initia l decisio n o r orde r o f a n administrativ e la wjudg e shal l b e considere d a n orde r assessin g civi l penalt yi f a n administrativ e la wjudg e find s tha t a n allege d violatio n occurre d an d determine s tha t a civi l penalty , i n a n amoun t foun d appropriat e b yth e administrativ e la wjudge , i s warranted . Unles s a petitio n fo r revie wi s file d wit h a U.S . Cour t o f Appeal s i n a timel ymanner , a fina l decisio n an d orde r o f th e Administrato r shal l b e considere d a n orde r assessin g civi l penalt yi f th e FA Adecisionmake r find s tha t a n allege d violatio n occurre d an d a civi l penalt yi s warranted . Part ymean s th e responden t o r th e Federa l Aviatio n Administratio n (FAA ) . Persona l deliver yinclude s hand-deliver yo r us e o f a contrac t o r expres s messenge r service . """Persona l delivery' ' doe s no t includ e th e us e o f Governmen t interoffic e mai l service . Pleadin g mean s a complaint , a n answer , an d an yamendmen t o f thes e document s permitte d unde r thi s sxibpart . Properl yaddresse d mean s a documen t that show s a n addres s containe d i n agenc yrecords , a residential , business , o r othe r addres s submitte d b ya perso n o n an ydocumen t provide d unde r thi s siibpart , o r an yothe r addres s show n b yothe r reasonabl e an d availabl e means . [[Pag e 5 9] ] Responden t mean s a person , corporation , o r compan yname d i n a complaint . [Amdt . 13-21 , 5 5 F R 27575 , Jul y3 , 1990 , a s amende d b yAmdt . 13-24 , 5 8 F R 50241 , Sept . 24 , 1993 ; Amdt . 13-29 , 6 2 F R 46866 , Sept . 4 , 1997 ; 7 0 F R 8238 , Feb . 18 , 2005 ; 7 1 F R 70464 , Dec . 5 , 2006 ] Sec . 13.20 3 Separatio n o f functions . (a ) Civi l penalt yproceedings , includin g hearings , shal l b e prosecute d b ya n agenc yattorney . (b ) A n agenc yemploye e engage d i n th e performanc e o f investigativ e o r prosecutoria l function s i n a civi l penalt yactio n shal l not , i n that cas e o r a factually-relate d case , participat e o r giv e advic e i n a decisio n b yth e administrativ e la wjudg e o r b yth e FA Adecisionmake r o n appeal , excep t a s counse l o r a witnes s i n th e publi c proceedings . (c ) Th e Chie f Counsel , th e Deput yChie f Counse l fo r Polic yan d

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### Pag e 3 of2 3

Adjudication , an d th e Assistan t Chie f Counse l fo r Litigation , o r a n attorne yo n th e staf f o f th e Assistan t Chie f Counse l fo r Litigatio n wil l advis e th e FA Adecisionmake r regardin g a n initia l decisio n o r an yappea l o f a civi l penalt yactio n t o th e FA Adecisionmaker . [Amdt . 13-21 , 5 5 F R 27575 , Jul y3 , 1990 , a s amende d b yAmdt . 13-24 , 5 8 F R 50241 , Sept . 24 , 1993 ; 7 0 F R 8238 , Feb . 18 , 2005 ] Sec . 13.204 Appearance s an d right s o f parties . (a ) An ypart yma yappea r an d b e hear d i n person . (b ) An ypart yma yb e accompanied , represented , o r advise d b ya n attorne yo r representativ e designate d b yth e part yan d ma yb e examine d b ythat attorne yo r representativ e i n an yproceedin g governe d b ythi s subpart . A n attorne yo r representativ e wh o represent s a part yma yfil e a notic e o f appearanc e i n th e action , i n th e manne r provide d i n Sec . 13.21 0 o f thi s subpart , an d shal l serv e a cop yo f th e notic e o f appearanc e o n eac h party , i n th e manne r provide d i n Sec . 13.21 1 o f thi s subpart , befor e participatin g i n an yproceedin g governe d b ythi s subpart . Th e attorne yo r representativ e shal l includ e th e name , address , an d telephon e numbe r o f th e attorne yo r representativ e i n th e notic e o f appearance . (c ) An yperso n ma yreques t a cop yo f a documen t upo n paymen t o f reasonabl e costs . Aperso n ma ykee p a n origina l document , data , o r evidence , wit h th e consen t o f th e administrativ e la wjudge , b y substitutin g a legibl e cop yo f th e documen t fo r th e record . Sec . 13.20 5 Administrativ e la wjudges . (a ) Power s o f a n administrativ e la wjudge . I n accordanc e wit h th e rule s o f thi s subpart , a n administrativ e la wjudg e may : (1 ) Giv e notic e of , an d hold , prehearin g conference s an d hearings ; (2 ) Administe r oath s an d affirmations ; (3 ) Issu e subpoena s authorize d b yla wan d issu e notice s o f depositio n requeste d b yth e parties ; (4 ) Rul e o n offer s o f proof ; (5 ) Receiv e relevan t an d materia l evidence ; (6 ) Regulat e th e cours e o f th e hearin g i n accordanc e wit h th e rule s o f thi s subpart ; (7 ) Hol d conference s t o settl e o r t o simplif yth e issue s b yconsen t o f th e parties ; (8 ) Dispos e o f procedura l motion s an d requests ; an d (9 ) Mak e finding s o f fac t an d conclusion s o f law , an d issu e a n initia l decision . (b ) Limitation s o n th e powe r o f th e administrativ e la wjudge . Th e administrativ e la wjudg e shal l no t issu e a n orde r o f contempt , awar d cost s t o an yparty , o r impos e an ysanctio n no t specifie d i n thi s subpart . I f th e administrativ e la wjudg e impose s an ysanctio n no t specifie d i n thi s subpart , a part yma yfil e a n interlocutor yappea l o f righ t wit h th e FAAdecisionmake r pursuan t t o Sec . 13.219(c)(4 ) o f thi s subpart . Thi s sectio n doe s no t preclud e a n administrativ e la wjudg e fro m issuin g a n orde r tha t bar s a perso n fro ma specifi c proceedin g base d o n a findin g o f obstreperou s o r disruptiv e behavio r i n tha t specifi c proceeding . (c ) Disqualification . Th e administrativ e la wjudg e ma ydisqualif y himsel f o r hersel f at an ytime . Apart yma yfil e a motion , pursuan t t o Sec . 13.218(f)(6) , requestin g tha t a n administrativ e la w [[Pag e 60] ]

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### Pag e 4 o f 2 3 judg e b e disqualifie d fro mth e proceedings . [Amdt . 13-21 , 5 5 F R 27575 , Jul y3 , 1990 ; 5 5 F R 29293 , Jul y18 , 1990 ] Sec . 13.20 6 Intervention . (a ) Aperso n ma ysvibmi t a motio n fo r leav e t o interven e a s a part y i n a civi l penalt yaction . Excep t fo r goo d caus e shown , a motio n fo r leav e t o interven e shal l b e submitte d not late r tha n 1 0 day s befor e th e hearing . (b ) I f th e administrativ e la wjudg e find s tha t interventio n wil l no t undul ybroade n th e issue s o r dela yth e proceedings , th e administrativ e la wjudg e ma ygran t a motio n fo r leav e t o interven e i f th e perso n wil l b e boun d b yan yorde r o r decisio n entere d i n th e actio n o r th e perso n ha s a property , financial , o r othe r legitimat e interes t tha t ma yno t b e addresse d adequatel yb yth e parties . Th e administrativ e la wjudg e ma y determin e th e exten t t o whic h a n intervene r ma yparticipat e i n th e proceedings . Sec . 13.20 7 Certificatio n o f documents . (a ) Signatur e required . Th e attorne yo f record , th e party , o r th e party' s representativ e shal l sig n eac h documen t tendere d fo r filin g wit h th e hearin g docke t clerk , th e administrativ e la wjudge , th e FA A decisionmake r o n appeal , o r serve d o n eac h party . (b ) Effect o f signin g a document . B ysignin g a document , th e attorne yo f record , th e party , o r th e party' s representativ e certifie s tha t th e attorney , th e party , o r th e party' s representativ e ha s rea d th e documen t and , base d o n reasonabl e inquir yan d t o th e bes t o f tha t person' s knowledge , information , an d belief , th e documen t is-

- (1 ) Consisten t wit h thes e rules ; (2 ) Warrante d b yexistin g la wo r tha t a goo d fait h argumen t exist s fo r extension , modification , o r reversa l o f existin g law ; an d (3 ) No t \inreasonod3l e o r undul yburdensom e o r expensive , no t mad e t o haras s an yperson , no t mad e t o caus e unnecessar ydelay , no t mad e t o caus e needles s increas e i n th e cost o f th e proceedings , o r fo r an yothe r imprope r purpose . (c ) Sanctions . I f th e attorne yo f record , th e party , o r th e party' s representativ e sign s a documen t i n violatio n o f thi s section , th e administrativ e la wjudg e o r th e FAAdecisionmake r shall : (1 ) Strik e th e pleadin g signe d i n violatio n o f thi s section ; (2 ) Strik e th e reques t fo r discover yo r th e discover yrespons e signe d i n violatio n o f thi s sectio n an d preclud e furthe r discover yb y th e party ; (3 ) Den yth e motio n o r reques t signe d i n violatio n o f thi s section ; (4 ) Exclud e th e documen t signe d i n violatio n o f thi s sectio n fro m th e record ; (5 ) Dismis s th e interlocutor yappea l an d preclud e furthe r appea l o n that issu e b yth e part ywh o file d th e appea l unti l a n initia l decisio n ha s bee n entere d o n th e record ; o r (6 ) Dismis s th e appea l o f th e administrativ e la wjudge' s initia l decisio n t o th e FA Adecisionmaker . Sec . 13.20 8 Complaint . (a ) Filing . Th e agenc yattorne yshal l fil e th e origina l an d on e cop y o f th e complaint wit h th e hearin g docke t clerk , o r ma yfil e a writte n motio n pursuan t t o Sec . 13.218(f)(2)(i ) o f thi s subpar t instea d o f filin g a complaint , no t late r tha n 2 0 day s afte r receip t b yth e agenc y attorne yo f a reques t fo r hearing . Th e agenc yattorne yshoul d sugges t a

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locatio n fo r th e hearin g whe n filin g th e complaint . (b ) Service . A n agenc yattorne yshal l personall ydelive r o r mai l a cop yo f th e complain t o n th e respondent , th e presiden t o f th e corporatio n o r compan yname d a s a respondent , o r a perso n designate d b y th e responden t t o accep t servic e o f document s i n th e civi l penalt y action . (c ) Contents . Acomplain t shal l se t fort h th e fact s alleged , an y regulatio n allegedl yviolate d b yth e respondent , an d th e propose d civi l penalt yi n sufficien t detai l t o provid e notic e o f an yfactua l o r lega l allegatio n an d propose d civi l penalty . (d ) Motio n t o dismis s allegation s o r complaint . Instea d o f filin g a n answe r t o th e complaint , a responden t ma ymov 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 d o n o r afte r Augus t 2 , 1990 , an d mor e tha n 2 year s befor e a n agenc yattorne y issue d a notic e o f propose d civi l penalt yt o th e respondent . [[Pag e 61] ] (1 ) A n administrativ e la wjudg e ma yno t gran t th e motio n an d dismis s th e complain t o r par t o f th e complain t i f th e administrativ e la wjudg e find s that th e agenc yha s show n goo d caus e fo r an ydela yi n issuin g th e notic e o f propose d civi l penalty . (2 ) I f th e agenc yfail s t o sho wgoo d caus e fo r an ydelay , a n administrativ e la wjudg e ma ydismis s th e complaint , o r tha t par t o f th e complaint , allegin g a violatio n that occurre d mor e tha n 2 year s befor e a n agenc yattorne yissue d th e notic e o f propose d civi l penalt yt o th e respondent . (3 ) Apart yma yappea l th e administrativ e la wjudge' s rulin g o n th e motio n t o dismis s th e complain t o r an ypar t o f th e complain t i n accordanc e wit h Sec . 13.219(b ) o f thi s siibpart . [Admt . 13-21 , 5 5 F R 27575 , Jul y3 , 1990 , a s amende d b yAdmt . 13-22 , 5 5 F R 31176 , Aug . 1 , 1990 ] Sec . 13.20 9 Answer . (a ) Writin g required . Aresponden t shal l fil e a writte n answe r t o th e complaint , o r ma yfil e a writte n motio n pursuan t t o Sec . 13.208(d ) o r Sec . 13.218(f)(1-4 ) o f thi s subpar t instea d o f filin g a n answer , no t late r tha n 3 0 day s afte r servic e o f th e complaint . Th e answe r ma yb e i n th e for m

o f a lette r bu t mus t b e date d an d signe d b yth e perso n respondin g t o th e complaint . A n answe r ma yb e typewritte n o r ma yb e legibl yhandwritten . (b ) Filin g an d address . Aperso n filin g a n answe r shal l personall y delive r o r mai l th e origina l an d on e cop yo f th e answe r fo r filin g wit h th e hearin g docke t clerk , no t late r tha n 3 0 day s afte r servic e o f th e complain t t o th e Hearin g Docke t at th e appropriat e addres s se t fort h i n Sec . 13.210(a ) o f thi s subpart . Th e perso n filin g a n answe r shoul d sugges t a locatio n fo r th e hearin g whe n filin g th e answer . (c ) Service . Aperso n filin g a n answe r shal l serv e a cop yo f th e answe r o n th e agenc yattorne ywh o file d th e complaint . (d ) Contents . A n answe r shal l specificall ystat e an yaffirmativ e defens e tha t th e responden t intend s t o asser t a t th e hearing . Aperso n filin g a n answe r ma yinclud e a brie f statemen t o f an yrelie f requeste d i n th e answer . (e ) Specifi c denia l o f allegation s required . Aperso 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 informatio n t o admi t o r deny , eac h numbere d paragrap h o f th e complaint . An ystatemen t o r allegatio n containe d i n th e complain t tha t i s no t specificall ydenie d i n th e answe r ma yb e deeme d a n admissio n
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o f th e trut h o f tha t allegation . Agenera l denia l o f th e complain t i s deeme d a failur e t o fil e a n answer , (f ) Failur e t o fil e answer . Aperson' s failur e t o fil e a n answe r withou t goo d caus e shal l b e deeme d a n admissio n o f th e trut h o f eac h allegatio n containe d i n th e complaint . [Docke t No . 18884 , 44 F R 63723 , Nov . 5 , 1979,a s amende d a t 7 0 F R 8238 , Feb . 18 , 2005 ] Sec . 13.21 0 Filin g o f documents . (a ) Addres s an d metho d o f filing . Aperso n tenderin g a documen t fo r filin g shal l personall ydelive r o r mai l th e signe d origina l an d on e cop y o f eac h document t o th e Hearin g Docke t usin g th e appropriat e address : (1 ) I f deliver yi s i n person , o r vi a expedite d courie r service : Federa l Aviatio n Administration , 60 0 Independenc e Avenue , SW. , Wilbu r Wrigh t Building--Suit e 2W1000 , Washington , D C 20591 ; Attention : Hearin g Docke t Clerk , AGC-430 . (2 ) I f deliver yi s vi a U.S . Mail : Federa l Aviatio n Administration , 80 0 Independenc e Avenue , SW. , Washington , D C 20591 ; Attention : Hearin g Docke t Clerk , AGC-430 , Wilbu r Wrigh t Building--Suit e 2W1000 . (b ) Dat e o f filing . Adocumen t shal l b e considere d t o b e file d o n th e dat e o f persona l delivery ; o r i f mailed , th e mailin g dat e show n o n th e certificat e o f service , th e dat e show n o n th e postmar k i f ther e i s n o certificat e o f service , o r othe r mailin g dat e show n b yothe r evidenc e i f ther e i s n o certificat e o f servic e o r postmark . (c ) Form . Eac h documen t shal l b e typewritte n o r legibl yhandwritten . (d ) Contents . Unles s otherwis e specifie d i n thi s svibpart , eac h documen t must contai n a short , plai n statemen t o f th e fact s o n whic h th e person' s cas e rest s an d a brie f statemen t o f th e actio n requeste d i n th e document . (e ) Interne t accessibilit yo f document s file d i n th e Hearin g Docket . (1 ) Unles s [[Pag e 62] ] protecte d fro mpubli c disclosur e b ya n orde r o f th e AL J unde r 13.226 , al l document s file d i n th e Hearin g Docke t ar e accessibl e throug h th e Federa l Docke t Managemen t Syste m(FDMS) : http://www.regulations.gov . T o acces s a particula r cas e file , us e th e FDM S numbe r assigne d t o th e case . (2 ) Decision s an d order s issue d b yth e Administrato r i n civi l penalt ycases , indexe s o f decisions , contac t informatio n fo r th e FA A Hearin g Docket an d th e administrativ e la wjudges , th e rule s o f practice , an d othe r informatio n ar e availabl e o n th e FAAcivi l penalt y adjudicatio n We b sit e at:http://www.faa.gov/about/office--org / headquarters--offices/agc/pol--adjudication/AGC400/Civil--Penalty . [Amdt . 13-21 , 5 5 F R 27575 , Jul y3 , 1990 ; 5 5 F R 29293 , Jul y18 , 1990 , a s amende d a t 7 0 F R 8238 , Feb . 18 , 2005 ; 7 1 F R 70464 , Dec . 5 , 2006 ; 7 2 F R 14668 , Mar . 29 , 2007 ; 7 2 F R 68474 , Dec . 5 , 2007 ] Sec . 13.21 1 Servic e o f documents . (a ) General . Aperso n shal l serv e a cop yo f an ydocumen t file d wit h th e Hearin g Docke t o n eac h part yat th e tim e o f filing . Servic e o n a party' s attorne yo f recor d o r a party' s designate d representativ e ma yb e considere d adequat e servic e o n th e party . (b ) Typ e o f service . Aperso n ma yserv e document s b ypersona l deliver yo r b ymail . (c ) Certificat e o f service . Aperso n ma yattac h a certificat e o f

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servic e t o a documen t tendere d fo r filin g wit h th e hearin g docke t clerk . Acertificat e o f servic e shal l consis t o f a statement , date d an d signe d b yth e perso n filin g th e document , that th e documen t wa s personall y delivere d o r maile d t o eac h part yo n a specifi c date . (d ) Dat e o f service . Th e dat e o f servic e shal l b e th e dat e o f persona l delivery ; o r i f mailed , th e mailin g dat e show n o n th e certificat e o f service , th e dat e show n o n th e postmar k i f ther e i s n o certificat e o f ser-vice , o r othe r mailin g dat e show n b yothe r evidenc e i f ther e i s n o certificat e o f servic e o r postmark . (e ) Additiona l tim e afte r servic e b ymail . Wheneve r a part yha s a righ t o r a dut yt o ac t o r t o mak e an yrespons e withi n a prescribe d perio d afte r servic e b ymail , o r o n a dat e certai n afte r servic e b y mail , 5 day s shal l b e adde d t o th e prescribe d period . (f ) Servic e b yth e administrativ e la wjudge . Th e administrativ e la w judg e shal l serv e a cop yo f eac h documen t including , bu t no t limite d to , notice s o f prehearin g conference s an d hearings , ruling s o n motions , decisions , an d orders , upo n eac h part yt o th e proceeding s b ypersona l deliver yo r b ymail . (g ) Vali d service . Adocumen t tha t wa s properl yaddressed , wa s sen t i n accordanc e wit h thi s subpart , an d that wa s returned , tha t wa s no t claimed , o r tha t wa s refused , i s deeme d t o hav e bee n serve d i n accordanc e wit h thi s subpart . Th e servic e shal l b e considere d vali d a s o f th e dat e an d th e tim e that th e documen t wa s deposite d wit h a contrac t o r expres s messenger , th e documen t wa s mailed , o r persona l deliver yo f th e documen t wa s refused . (h ) Presumptio n o f service . Ther e shal l b e a presumptio n o f servic e wher e a part yo r a person , wh o customaril yreceive s mail , o r receive s i t i n th e ordinar ycours e o f business , at eithe r th e person' s residenc e o r th e person' s principa l plac e o f business , acknowledge s receip t o f th e document . Sec . 13.21 2 Computatio n o f time . (a ) Thi s sectio n applie s t o an yperio d o f tim e prescribe d o r allowe d b ythi s subpart , b ynotic e o r orde r o f th e administrativ e la wjudge , o r b yan yapplicaJDl e statute . (b ) Th e dat e o f a n act , event , o r default , afte r whic h a designate d tim e perio d begin s t o run , i s no t include d i n a computatio n o f tim e unde r thi s siibpart . (c ) Th e las t da yo f a tim e perio d i s include d i n a computatio n o f tim e unles s i t i s a Saturday , Sunday , o r a lega l holiday . I f th e last da yo f th e tim e perio d i s a Saturday , Sunday , o r lega l holiday , th e tim e perio d run s unti l th e en d o f th e nex t da ythat i s not a Saturday , Sunday , o r lega l holiday . Sec . 13.21 3 Extensio n o f time . (a ) Ora l requests . Th e partie s ma yagre e t o exten d fo r a reasonabl e perio d th e tim e fo r filin g a documen t unde r thi s subpart . I f th e partie s agree , th e administrativ e la wjudg e shal l gran t on e extensio n o f tim e t o eac h party . Th e part yseekin g th e extensio n o f tim e shal l submi t a draf t orde r t o th e [[Pag e 63] ] administrativ e la wjudg e t o b e signe d b yth e administrativ e la wjudg e an d file d wit h th e hearin g docke t clerk . Th e administrativ e la wjudg e ma ygran t additiona l ora l request s fo r a n extensio n o f tim e wher e th e partie s agre e t o th e extension . (b ) Writte n motion . Apart yshal l fil e a writte n motio n fo r a n

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extensio n o f tim e wit h th e administrativ e la wjudg e no t late r tha n 7 day s befor e th e documen t i s du e unles s goo d caus e fo r th e lat e filin g i s shown . Apart yfilin g a writte n motio n fo r a n extensio n o f tim e shal l serv e a cop yo f th e motio n o n eac h party . Th e administrativ e la wjudg e ma ygran t th e extensio n o f tim e i f goo d caus e fo r th e extensio n i s shown . (c ) Failur e t o rule . I f th e administrativ e la wjudg e fail s t o rul e o n a writte n motio n fo r a n extensio n o f tim e b yth e dat e th e documen t wa s due , th e motio n fo r a n extensio n o f tim e i s deeme d grante d fo r n o mor e tha n 2 0 day s afte r th e origina l dat e th e documen t wa s t o b e filed . Sec . 13.21 4 Amendmen t o f pleadings . (a ) Filin g an d service . Apart yshal l fil e th e amendmen t wit h th e administrativ e la wjudg e an d shal l serv e a cop yo f th e amendmen t o n al l partie s t o th e proceeding . (b ) Time . Apart yshal l fil e a n amendmen t t o a complain t o r a n answe r withi n th e following : (1 ) No t late r tha n 1 5 day s befor e th e schedule d dat e o f a hearing , a part yma yamen d a complain t o r a n answe r withou t th e consen t o f th e administrativ e la wjudge . (2 ) Les s tha n 1 5 day s befor e th e schedule d dat e o f a hearing , th e administrativ e la wjudg e ma yallo wamendmen t o f a complain t o r a n answe r onl yfo r goo d caus e show n i n a motio n t o amend . (c ) Responses . Th e administrativ e la wjudg e shal l allo wa reasonabl e time , bu t not mor e tha n 2 0 day s fro mth e dat e o f filing , fo r othe r partie s t o respon d i f a n amendmen t t o a complaint , answer , o r othe r pleadin g ha s bee n file d wit h th e administrativ e la wjudge . Sec . 13.21 5 Withdrawa l o f complain t o r reques t fo r hearing . A t an ytim e befor e o r durin g a hearing , a n agenc yattorne yma y withdra wa complain t o r a part yma ywithdra wa reques t fo r a hearin g withou t th e consen t o f th e administrativ e la wjudge . I f a n agenc y attorne ywithdraw s th e complain t o r a part ywithdraw s th e reques t fo r a hearin g an d th e answer , th e administrativ e la wjudg e shal l dismis s th e proceeding s unde r thi s subpar t wit h prejudice . Sec . 13.21 6 Waivers . Waiver s o f an yright s provide d b ystatut e o r regulatio n shal l b e i n writin g o r b ystipulatio n mad e a t a hearin g an d entere d int o th e record . Th e partie s shal l se t fort h th e precis e term s o f th e waive r an d an y conditions . Sec . 13.21 7 Join t procedura l o r discover yschedule . (a ) General . Th e partie s ma yagre e t o submit a schedul e fo r filin g al l prehearin g motions , a schedul e fo r conductin g discover yi n th e proceedings , o r a "schedul e that wil l gover n al l prehearin g motion s an d discover yi n th e proceedings . (b ) For man d conten t o f schedule . I f th e partie s agre e t o a join t procedura l o r discover yschedule , on e o f th e partie s shal l fil e th e join t schedul e wit h th e administrativ e la wjudge , settin g fort h th e date s t o whic h th e partie s hav e agreed , an d shal l serv e a cop yo f th e join t schedul e o n eac h party . (1 ) Th e join t schedul e ma yinclude , bu t nee d not b e limite d to , request s fo r discovery , an yobjection s t o discover yrequests , response s t o discover yrequest s t o whic h ther e ar e n o objections , submissio n o f prehearin g motions , response s t o prehearin g motions , exchang e o f

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exhibit s t o b e introduce d a t th e hearing , an d a lis t o f witnesse s tha t ma yb e calle d at th e hearing . (2 ) Eac h part yshal l sig n th e origina l joint schedul e t o b e file d wit h th e administrativ e la wjudge . (c ) Time . Th e partie s ma yagre e t o submi t al l prehearin g motion s an d response s an d ma yagre e t o clos e discover yi n th e proceeding s unde r th e join t schedul e withi n a reasonabl e tim e befor e th e dat e o f th e hearing , bu t not late r tha n 1 5 day s befor e th e hearing . [[Pag e 64] ] (d ) Orde r establishin g join t schedule . Th e administrativ e la wjudg e shal l approv e th e join t schedul e file d b yth e parties . On e part yshal l submi t a draf t orde r establishin g a join t schedul e t o th e administrativ e la wjudg e t o b e signe d b yth e administrativ e la wjudg e an d file d wit h th e hearin g docke t clerk . (e ) Disputes . Th e administrativ e la wjudg e shal l resolv e dispute s regardin g discover yo r dispute s regardin g complianc e wit h th e join t schedul e a s soo n a s possibl e s o that th e partie s ma ycontinu e t o compl y wit h th e join t schedule . (f ) Sanction s fo r failur e t o compl ywit h join t schedule . I f a part y fail s t o compl ywit h th e administrativ e la wjudge' s orde r establishin g a join t schedule , th e administrativ e la wjudg e ma ydirec t tha t part yt o compl ywit h a motio n t o discover yreques t or , limite d t o th e exten t o f th e party' s failur e t o compl ywit h a motio n o r discover yrequest , th e administrativ e la wjudg e may : (1 ) Strik e that portio n o f a party' s pleadings ; (2 ) Preclud e prehearin g o r discover ymotion s b ytha t party ; (3 ) Preclud e admissio n o f tha t portio n o f a party' s evidenc e at th e hearing , o r (4 ) Preclud e that portio n o f th e testimon yo f tha t party' s witnesse s a t th e hearing . Sec . 13.21 8 Motions . (a ) General . Apart yapplyin g fo r a n orde r o r rulin g no t specificall yprovide d i n thi s subpar t shal l d o s o b ymotion . Apart y shal l compl ywit h th e requirement s o f thi s sectio n whe n filin g a motio n wit h th e administrativ e la wjudge . Apart yshal l serv e a cop yo f eac h motio n o n eac h party . (b ) For man d contents . Apart yshal l stat e th e relie f sough t b yth e motio n an d th e particula r ground s supportin g tha t relief . I f a part yha s evidenc e i n support o f a motion , th e part yshal l attac h an ysupportin g evidence , includin g affidavits , t o th e motion . (c ) Filin g o f motions . Amotio n mad e prio r t o th e hearin g mus t b e i n writing . Unles s otherwis e agree d b yth e partie s o r fo r goo d caus e shown , a part yshal l fil e an yprehearin g motion , an d shal l serv e a cop yo n eac h party , not late r tha n 3 0 day s befor e th e hearing . Motion s introduce d durin g a hearin g ma yb e mad e orall yo n th e recor d unles s th e administrativ e la wjudg e direct s otherwise . (d ) Answer s t o motions . An ypart yma yfil e a n answer , wit h affidavit s o r othe r evidenc e i n suppor t o f th e answer , no t late r tha n 1 0 day s afte r servic e o f a writte n motio n o n tha t party . Whe n a motio n i s mad e durin g a hearing , th e answe r ma yb e mad e a t th e hearin g o n th e record , orall yo r i n writing , withi n a reasonabl e tim e determine d b yth e administrativ e la wjudge . 

### (e ) Ruling s o n motions . Th e administrativ e lawjudg e shal l rul e o n al l motion s a s follows : (1 ) Discoverymotions . Th e administrativ e lawjudg e shal l resolv e al l pendin g discoverymotion s no t late r tha n 1 0 day s befor e th e hearing .

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### Pag e 1 0 o f 2 3 (2 ) Prehearing motions . Th e administrativ e lawjudg e shal l resolv e al l pendin g prehearin g motion s no t late r tha n 7 day s befor e th e hearing . I f th e administrativ e lawjudg e issue s a rulin g o r orde r orally , th e administrativ e lawjudg e shal l serv e a writte n copyo f th e rulin g o r order , withi n 3 days , o n eac h party . I n al l othe r cases , th e administrativ e la wjudg e shal l issu e ruling s and order s i n writin g and shal l serv e a copyo f th e ruling o r orde r o n eac h party . (3 ) Motion s mad e durin g th e hearing . Th e administrativ e la wjudg e ma yissu e ruling s an d order s o n motion s mad e durin g th e hearin g orally . Ora l ruling s o r order s o n motion s mus t b e mad e o n th e record . (f ) Specifi c motions . Apart yma yfil e th e followin g motion s wit h th e administrativ e la wjudge : (1 ) Motio n t o dismis s fo r insufficiency . Aresponden t ma yfil e a motio n t o dismis s th e complain t fo r insufficienc yinstea d o f filin g a n answer . I f th e administrativ e la wjudg e denie s th e motio n t o dismis s th e complain t fo r insufficiency , th e responden t shal l fil e a n answe r no t late r tha n 1 0 day s afte r servic e o f th e administrativ e la wjudge' s denia l o f th e motion . Amotio n t o dismis s th e complain t fo r insufficienc ymus t sho wtha t th e complain t fail s t o stat e a violatio n o f a provisio n o f th e Federa l aviatio n statut e liste d i n th e firs t sentenc e i n 4 9 U.S.C . 46301(d)(2 ) o r [[Pag e 65] ] i n 4 9 U.S.C . 47531 , o r an yimplementin g rule , regulation , o r order , o r a violatio n o f th e Federa l hazardou s material s transportatio n statute , 4 9 U.S.C . 5121-5128 , o r an yimplementin g rule , regulatio n o r order . (2 ) Motio n t o dismiss . Apart yma yfil e a motio n t o dismiss , specifyin g th e ground s fo r dismissal . I f a n administrativ e la wjudg e grant s a motio n t o dismis s i n part , a part yma yappea l th e administrativ e la wjudge' s rulin g o n th e motio n t o dismis s unde r Sec . 13.219(b ) o f thi s subpart . (i ) Motio n t o dismis s a reques t fo r a hearing . A n agenc yattorne y ma yfil e a motio n t o dismis s a reques t fo r a hearin g instea d o f filin g a complaint . I f th e motio n t o dismis s i s no t granted , th e agenc yattorne y shal l fil e th e complain t an d shal l serv e a cop yo f th e complain t o n eac h part yno 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 th e motio n t o dismiss . I f th e motio n t o dismis s i s grante d an d th e proceeding s ar e terminate d withou t a hearing , th e responden t ma yfil e a n appea l pursuan t t o Sec . 13.23 3 o f thi s subpart . I f require d b yth e decisio n o n appeal , th e agenc yattorne y shal l fil e a complain t an d shal l serv e a cop yo f th e complain t o n eac h part yno t late r tha n 1 0 day s afte r servic e o f th e decisio n o n appeal . (ii ) Motio n t o dismis s a complaint . Aresponden t ma yfil e a motio n t o dismis s a complain t instea d o 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 answe r an d shal l serv e a cop yo f th e answe r o n eac h part yno t late r tha n 1 0 day s afte r servic e o f th e administrativ e la wjudge' s rulin g o r orde r o n th e motio n t o dismiss . I f th e motio n t o dismis s i s grante d an d th e proceeding s ar e terminate d withou t a hearing , th e agenc yattorne yma yfil e a n appea l pursuan t t o Sec . 13.23 3 o f thi s subpart . I f require d b yth e decisio n o n appeal , th e responden t shal l fil e a n answe r an d shal l serv e a cop yo f th e answe r o n eac h part yno t late r tha n 1 0 day s afte r servic e o f th e decisio n o n appeal . (3 ) Motio n fo r mor e definit e statement . Apart yma yfil e a motio n fo r mor e definit e statemen t o f an ypleadin g whic h require s a respons e unde r thi s subpart . Apart yshal l se t forth , i n detail , th e indefinit e o r uncertai n allegation s containe d i n a complain t o r respons e t o an y pleadin g an d shal l submi t th e detail s that th e part ybelieve s woul d mak e th e allegatio n o r respons e definit e an d certain .

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(i ) Complaint . Aresponden t ma yfil e a motio n requestin g a mor e definit e statemen t o f th e allegation s containe d i n th e complain t instea d o f filin g a n answer . I f th e administrativ e la wjudg e grant s th e motion , th e agenc yattorne yshal l suppl ya mor 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 yattorne yfail s t o suppl ya mor e definit e statement , th e administrativ e la wjudg e shal l strik e th e allegation s i n th e complain t t o whic h th e motio n i s directed . I f th e administrativ e la wjudg e denie s th e motion , th e responden t shal l fil e a n answe r an d shal l serv e a cop y o f th e answe r o n eac h part yno 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 yattorne yma yfil e a motio n requestin g a mor e definit e statement i f a n answe r fail s t o respon d clearl yt o th e allegation s i n th e complaint . I f th e administrativ e la wjudg e grant s th e motion , th e responden t shal l suppl ya mor 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 o n th e motion . I f th e responden t fail s t o suppl ya mor e definit e statement , th e administrativ e la wjudg e shal l strik e thos e statement s i n th e answe r t o whic h th e motio n i s directed . Th e respondent' s failur e t o suppl ya mor e definit e statemen t ma yb e deeme d a n admissio n o f unanswere d allegation s i n th e complaint . (4 ) Motio n t o strike . An ypart yma ymak e a motio n t o strik e an y insufficien t allegatio n o r defense , o r an yredundant , immaterial , o r irrelevan t matte r i n a pleading . Apart yshal l fil e a motio n t o strik e wit h th e administrativ e la wjudg e an d shal l serv e a cop yo n eac h part y befor e a respons e i s require d unde r thi s subpar t or , i f a respons e i s no t required , no t late r tha n 1 0 day s afte r servic e o f th e pleading . (5 ) Motio n fo r decision . Apart yma ymak e a motio n fo r decision , regardin g al l o r an ypar t o f th e proceedings , at an ytim e befor e th e administrativ e la wjudg e ha s issue d a n initia l decisio n i n th e proceedings . Th e administrativ e la wjudg e shal l gran t a party' s motio n [[Pag e 66] ] fo r decisio n i f th e pleadings , depositions , answer s t o interrogatories , admissions , matter s that th e administrativ e la wjudg e ha s officiall y noticed , o r evidenc e introduce d durin g th e hearin g sho wthat ther e i s n o genuin e issu e o f materia l fac t an d tha t th e part ymakin g th e motio n i s entitle d t o a decisio n a s a matte r o f law . Th e part ymakin g th e motio n fo r decisio n ha s th e burde n o f showin g tha t ther e i s n o genuin e issu e o f materia l fac t dispute d b yth e parties . (6 ) Motio n fo r disqualification . Apart yma yfil e a motio n fo r disqualificatio n wit h th e administrativ e la wjudg e an d shal l serv e a cop yo n eac h party . Apart yma yfil e th e motio n a t an ytim e afte r th e administrativ e la wjudg e ha s bee n assigne d t o th e proceeding s bu t shal l mak e th e motio n befor e th e administrativ e la wjudg e file s a n initia l decisio n i n th e proceedings . (i ) Motio n an d supportin g affidavit . Apart yshal l stat e th e ground s fo r disqualification , including , bu t no t limite d to , persona l bias , pecuniar yinterest , o r othe r factor s showin g disqualification , i n th e motio n fo r disqualification . Apart yshal l submi t a n affidavi t wit h th e motio n fo r disqualificatio n that set s forth , i n detail , th e matter s allege d t o constitut e ground s fo r disqualification . (ii ) Answer . Apart yshal l respon d t o th e motio n fo r disqualificatio n no t late r tha n 5 day s afte r servic e o f th e motio n fo r disqualification . (iii ) Decisio n o n motio n fo r disqualification . Th e administrativ e la wjudg e shal l rende r a decisio n o n th e motio n fo r disqualificatio n no t late r tha n 1 5 day s afte r th e motio n ha s bee n filed . I f th e administrativ e la wjudg e find s tha t th e motio n fo r disqualificatio n an d

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supportin g affidavi t sho wa basi s fo r disqualification , th e administrativ e la wjudg e shal l withdra wfro mth e proceeding s immediately . I f th e administrativ e la wjudg e find s tha t disqualificatio n i s no t warranted , th e administrativ e la wjudg e shal l den yth e motio n an d stat e th e ground s fo r th e denia l o n th e record . I f th e administrativ e la wjudg e fail s t o rul e o n a party' s motio n fo r discjualificatio n withi n 1 5 day s afte r th e motio n ha s bee n filed , th e motio n i s deeme d granted . (iv ) Appeal . Apart yma yappea l th e administrativ e la wjudge' s denia l o f th e motio n fo r disqualificatio n i n accordanc e wit h Sec . 13.219(b ) o f thi s subpart . [Amdt . 13-21 , 5 5 F R 27575 , Jul y3 , 1990 , a s amende d b y7 1 F R 70464 , Dec . 5 , 2006 ] Sec . 13.21 9 Interlocutor yappeals . (a ) General . Unles s otherwis e provide d i n thi s svibpart , a part yma y no t appea l a rulin g o r decisio n o f th e administrativ e la wjudg e t o th e FA Adecisionmake r unti l th e initia l decisio n ha s bee n entere d o n th e record . Adecisio n o r orde r o f th e FAAdecisionmake r o n th e interlocutor yappea l doe s no t constitut e a fina l orde r o f th e Administrato r fo r th e purpose s o f judicia l appellat e revie wa s provide d i n Sec . 13.23 5 o f thi s subpart . (b ) Interlocutor yappea l fo r cause . I f a part yfile s a writte n reques t fo r a n interlocutor yappea l fo r caus e wit h th e administrativ e la wjudge , o r orall yrequest s a n interlocutor yappea l fo r cause , th e proceeding s ar e staye d unti l th e administrativ e la wjudg e issue s a decisio n o n th e request . I f th e administrativ e la wjudg e grant s th e request , th e proceeding s ar e staye d unti l th e FA Adecisionmake r issue s a decisio n o n th e interlocutor yappeal . Th e administrativ e la wjudg e shal l gran t a n interlocutor yappea l fo r caus e i f a part yshow s tha t dela yo f th e appea l woul d b e detrimenta l t o th e publi c interes t o r woul d resul t i n undu e prejudic e t o an yparty . (c ) Interlocutor yappeal s o f right . I f a part ynotifie s th e administrativ e la wjudg e o f a n interlocutor yappea l o f right , th e proceeding s ar e staye d unti l th e FA Adecisionmake r issue s a decisio n o n th e interlocutor yappeal . Apart yma yfil e a n interlocutor yappea l wit h th e FA Adecisionmaker , withou t th e consen t o f th e administrativ e la w judge , befor e a n initia l decisio n ha s bee n entere d i n th e cas e of : (1 ) Arulin g o r orde r b yth e administrativ e la wjudg e barrin g a perso n fro m

th e proceedings . (2 ) Failur e o f th e administrativ e la wjudg e t o dismis s th e proceeding s i n accordanc e wit h Sec . 13.21 5 o f thi s subpart . (3 ) Arulin g o r orde r b yth e administrativ e la wjudg e i n violatio n o f Sec . 13.205(b ) o f thi s subpart . [[Pag e 67] ] (d ) Procedure . Apart yshal l fil e a notic e o f interlocutor yappeal , wit h supportin g documents , wit h th e FAAdecisionmake r an d th e hearin g docke t clerk , an d shal l serv e a cop yo f th e notic e an d supportin g document s o n eac h part yan d th e administrative , la wjudge , no t late r tha n 1 0 day s afte r th e administrativ e la wjudge' s decisio n formin g th e basi s o f a n interlocutor yappea l o f right o r no t late r tha n 1 0 day s afte r th e administrativ e la wjudge' s decisio n grantin g a n interlocutor yappea l fo r cause , whicheve r i s appropriate . Apart yshal l fil e a repl ybrief , i f any , wit h th e FAAdecisionmake r an d serv e a cop yo f th e repl ybrie f o n eac h party , not late r tha n 1 0 day s afte r servic e o f th e appea l brief . Th e FA Adecisionmake r shal l rende r a decisio n o n th e interlocutor y appeal , o n th e recor d an d a s a par t o f th e decisio n i n th e proceedings .

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withi n a reasonabl e tim e afte r receip t o f th e interlocutor yappeal . (e ) Th e FA Adecisionmake r ma yreject frivolous , repetitive , o r dilator yappeals , an d ma yissu e a n orde r precludin g on e o r mor e partie s fro mmakin g furthe r interlocutor yappeal s i n a proceedin g i n whic h ther e hav e bee n frivolous , repetitive , o r dilator yinterlocutor yappeals . [Amdt . 13-21 , 5 5 F R 27575 , Jul y3 , 1990 , a s amende d b yAmdt . 13-23 , 5 5 F R 45983 , Oct . 31 , 1990 ; 7 1 F R 70464 , Dec . 5 , 2006 ] Sec . 13.22 0 Discovery . (a ) Initiatio n o f discovery . An ypart yma yinitiat e discover y describe d i n thi s section , withou t th e consen t o r approva l o f th e administrativ e la wjudge , a t an ytim e afte r a complain t ha s bee n file d i n th e proceedings . (b ) Method s o f discovery . Th e followin g method s o f discover yar e permitte d unde r thi s section : deposition s o n ora l examinatio n o r writte n question s o f an yperson ; writte n interrogatorie s directe d t o a party ; request s fo r productio n o f document s o r tangibl e item s t o an yperson ; an d request s fo r admissio n b ya party . Apart yi s no t require d t o fil e writte n interrogatorie s an d responses , recjuest s fo r productio n o f document s o r tangibl e item s an d responses , an d request s fo r admissio n an d respons e wit h th e administrativ e la wjudg e o r th e hearin g docke t clerk . I n th e even t o f a discover ydispute , a part yshal l attac h a cop y o f thes e document s i n suppor t o f a motio n mad e unde r thi s section . (c ) Servic e o n th e agency . Apart yshal l serv e eac h discover y reques t directe d t o th e agenc yo r an yagenc yemploye e o n th e agenc y attorne yo f record . (d ) Tim e fo r respons e t o discover yrequests . Unles s otherwis e directe d b ythi s siibpar t o r agree d b yth e parties , a part yshal l respon d t o a reques t fo r discoveiry , includin g filin g objection s t o a reques t fo r discovery , no t later , tha n 3 0 day s o f servic e o f th e request . (e ) Scop e o f discovery . Subjec t t o th e limit s o n discover yse t fort h i n paragrap h (f ) o f thi s section , a part yma ydiscove r an ymatte r tha t i s no t privilege d an d tha t i s relevan t t o th e subjec t matte r o f th e proceeding . Apart yma ydiscove r informatio n tha t relate s t o th e clai m o r defens e o f an ypart yincludin g th e existence , description , nature , custody , condition , an d locatio n o f an ydocumen t o r othe r tangibl e ite m an d th e identit yan d locatio n o f an yperso n havin g knowledg e o f discoverabl e matter . Apart yma ydiscove r fact s )aiown , o r opinion s held , b ya n exper t wh o an yothe r part yexpect s t o cal l t o testif ya t th e hearing . Apart yha s n o groun d t o objec t t o a discover yreques t o n th e basi s tha t th e informatio n sough t woul d no t b e admissibl e a t th e hearin g i f th e informatio n sough t durin g discover yi s reasonsdal ycalculate d t o lea d t o th e discover yo f admissibl e evidence . (f ) Limitin g discovery . Th e administrativ e la wjudg e shal l limi t th e frequenc yan d exten t o f discover ypermitte d b ythi s sectio n i f a part y show s that-

- (1 ) Th e informatio n requeste d i s cumulativ e o r repetitious ; (2 ) Th e informatio n requeste d ca n b e obtaine d fro manothe r les s burdensom e an d mor e convenien t source ; (3 ) Th e part yrequestin g th e informatio n ha s ha d ampl e opportunit y t o obtai n th e informatio n throug h othe r discover ymethod s permitte d unde r thi s section ; o r (4 ) Th e metho d o r scop e o f discover yrequeste d b yth e part yi s undul yburdensom e o r expensive . [[Pag e 68] ] (g ) Confidentia l orders . Apart yo r perso n wh o ha s receive d a

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discover yreques t fo r informatio n tha t i s relate d t o a trad e secret , confidentia l o r sensitiv e material , competitiv e o r commercia l information , proprietar ydata , o r informatio n o n researc h an d development , ma yfil e a motio n fo r a confidentia l orde r wit h th e administrativ e la wjudg e an d shal l serv e a cop yo f th e motio n fo r a confidentia l orde r o n eac h party . 

### (1 ) Th e part yo r perso n makin g th e motio n mus t sho wtha t th e confidentia l orde r i s necessaryt o protec t th e informatio n from disclosur e t o th e public . (2 ) I f th e administrativ e lawjudg e determine s tha t th e requeste d materia l i s no t necessaryt o decid e th e case , th e administrativ e la w judg e shal l preclud e an yinquiryint o th e matte r b yan yparty . (3 ) I f th e administrativ e lawjudg e determine s tha t th e requeste d materia l mayb e disclose d durin g discovery , th e administrativ e la wjudg e mayorde r tha t th e materia l ma yb e discovere d and disclose d unde r limite d condition s o r mayb e use d onl yunde r certai n term s an d conditions . (4 ) I f th e administrativ e lawjudg e determine s tha t th e requeste d materia l i s necessar yt o decid e th e cas e and tha t a confidentia l orde r i s warranted , th e administrativ e lawjudg e shal l provide : (i ) An opportunit yfo r revie wo f th e documen t b yth e partie s of f th e record ; (ii ) Procedure s fo r excludin g th e informatio n fromth e record ; and (iii ) Orde r tha t th e partie s shal l no t disclos e th e informatio n i n an ymanne r an

d th e partie s shal l no t us e th e informatio n i n anyothe r proceeding . (h ) Protectiv e orders . Apart yo r a perso n wh o ha s receive d a reques t fo r discover ymayfil e a motio n fo r protectiv e orde r wit h th e administrativ e la wjudg e and shal l serv e a copyo f th e motio n fo r protectiv e orde r o n eac h party . Th e part yo r perso n makin g th e motio n mus t sho wtha t th e protectiv e orde r i s necessar yt o protec t th e part yo r th e perso n fro

mannoyance , embarrassment , 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 wjudg e may : (1 ) Den yth e discover yrequest ; (2 ) Orde r tha t discover yb e conducte d onl yo n specifie d term s an d conditions , includin g a designatio n o f th e tim e o r plac e fo r discover y o r a determinatio n o f th e metho d o f discovery ; o r (3 ) Limi t th e scop e o f discover yo r preclud e an yinquir yint o certai n matter s durin g discovery . (i ) Dut yt o supplemen t o r amen d responses . Apart ywh o ha s responde d t o a discover yreques t ha s a dut yt o supplemen t o r amen d th e response , a s soo n a s th e informatio n i s known , a s follows : (1 ) Apart yshal l supplemen t o r amen d an yrespons e t o a questio n requestin g th e identit yan d locatio n o f an yperso n havin g knowledg e o f discoverabl e matters . (2 ) Apart yshal l supplemen t o r amen d an yrespons e t o a questio n requestin g th e identit yo f eac h perso n wh o wil l b e calle d t o testif ya t th e hearin g a s a n exper t witnes s an d th e subjec t matte r an d substanc e o f tha t witness ' testimony . (3 ) Apart yshal l supplemen t o r amen d an yrespons e tha t wa s incorrec t whe n mad e o r an yrespons e that 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 yto'deposition s take n pursuan t t o thi s section : (1 ) Form . Adepositio n shal l b e take n o n th e recor d an d reduce d t o writing . Th e perso n bein g depose d shal 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 a signature . (2 ) Administratio n o f oaths . Withi n th e Unite d States , o r a territor yo r possessio n subjec t t o th e jurisdictio n o f th e Unite d

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states , a part yshal l tak e a depositio n befor e a perso n authorize d t o administe r oath s b yth e law s o f th e Unite d State s o r authorize d b yth e la wo f th e plac e wher e th e examinatio n i s held . I n foreig n countries , a part yshal l tak e a depositio n i n an ymanne r allowe d b yth e Federa l Rule s o f Civi l Procedure . (3 ) Notic e o f deposition . Apart yshal l serv e a notic e o f deposition , statin g th e tim e an d plac e o f th e depositio n an d th e nam e an d addres s o f eac h perso n t o b e examined , o n th e perso n t o b e deposed , o n th e administrativ e la wjudge , o n th e hearin g docke t clerk , an d o n eac h part yno t late r tha n 7 day s befor e [[Pag e 69] ] th e deposition . Apart yma yserv e a notic e o f depositio n les s tha n 7 day s befor e th e depositio n onl ywit h consen t o f th e administrativ e la w judge . I f a subpoen a duce s tecu mi s t o b e serve d o n th e perso n t o b e examined , th e part yshal l attac h a cop yo f th e subpoen a duce s tecu mtha t describe s th e material s t o b e produce d at th e depositio n t o th e notic e o f deposition . (4 ) Us e o f depositions . Apart yma yus e an ypar t o r al l o f a depositio n at a hearin g authorize d unde r thi s subpar t onl yupo n a showin g o f goo d cause . Th e depositio n ma yb e use d agains t an ypart ywh o wa s presen t o r represente d a t th e depositio n o r wh o ha d reasonsQil e notic e o f th e deposition . (k ) Interrogatories . Aparty , th e party' s attorney , o r th e party' s representativ e ma ysig n th e party' s response s t o interrogatories . A part yshal l answe r eac h interrogator yseparatel yan d completel yi n writing . I f a part yobject s t o a n interrogatory , th e part yshal l stat e th e objectio n an d th e reason s fo r th e objection . A n opposin g part yma y us e an ypar t o r al l o f a party' s response s t o interrogatorie s a t a hearin g authorize d unde r thi s subpart t o th e exten t that th e respons e i s relevant , material , an d no t repetitious , (1 ) Apart yshal l ho t serv e mor e tha n 3 0 interrogatorie s t o eac h othe r party . Eac h subpar t o f a n interrogator yshal l b e counte d a s a separat e interrogatory , (2 ) Apart yshal l fil e a motio n fo r leav e t o serv e additiona l interrogatorie s o n a part ywit h th e administrativ e la wjudg e befor e servin g additiona l interrogatorie s o n a party . Th e administrativ e la w judg e shal l grant th e motio n onl yi f th e part yshow s goo d caus e fo r th e party' s failur e t o inquir e aibou t th e informatio n previousl yan d tha t th e informatio n cannot reasonabl yb e obtaine d usin g les s burdensom e discover ymethod s o r b e obtaine d fro mothe r sources , (1 ) Request s fo r admission , Apart yma yserv e a writte n reques t fo r admissio n o f th e trut h o f an ymatte r withi n th e scop e o f discover yunde r thi s sectio n o r th e authenticit yo f an ydocumen t describe d i n th e recfuest , Apart yshal l set fort h eac h reques t fo r admissio n separately . Apart yshal l serv e copie s o f document s reference d i n th e reques t fo r admissio n unles s th e document s hav e bee n provide d o r ar e reasonabl y availabl e fo r inspectio n an d copying . (1 ) Time . Aparty' s failur e t o respon d t o a reques t fo r admission , i n writin g an d signe d b yth e attoime yo r th e party , no t late r tha n 3 0 day s afte r servic e o f th e request , i s deeme d a n admissio n o f th e trut h o f th e statemen t o r statement s containe d i n th e reques t fo r admission . Th e administrativ e la wjudg e ma ydetermin e tha t a failur e t o respon d t o a rec[ues t fo r admissio n i s no t deeme d a n admissio n o f th e trut h i f a part yshow s tha t th e failur e wa s du e t o circumstance s beyon d th e contro l o f th e part yo r th e party' s attorney . (2 ) Response . Apart yma yobjec t t o a reques t fo r admissio n an d shal l stat e th e reason s fo r objection . Apart yma yspecificall yden yth e trut h o f th e matte r o r describ e th e reason s wh yth e part yi s unabl e t o

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truthfull yden yo r admit th e matter . I f a part yi s unabl e t o den yo r admi t th e trut h o f th e matter , th e part yshal l sho wthat th e part yha s mad e reasonaibl e inquir yint o th e matte r o r tha t th e informatio n know n to , o r readil yobtainabl e by , th e part yi s insufficien t t o ensJal e th e part yt o admi t o r den yth e matter . Apart yma yadmi t o r den yan ypar t o f th e reques t fo r admission . I f th e administrativ e la wjudg e determine s tha t a respons e doe s not compl ywit h th e requirement s o f thi s rul e o r tha t th e respons e i s insufficient , th e matte r i s deeme d admitted . (3 ) Effec t o f admission . An ymatte r admitte d o r deeme d admitte d unde r thi s sectio n i s conclusivel yestablishe d fo r th e purpos e o f th e hearin g an d appeal . (m ) Motio n t o compe l discovery . Apart yma ymak e a motio n t o compe l discover yi f a perso n refuse s t o answe r a questio n durin g a deposition , a part yfail s o r refuse s t o answe r a n interrogatory , i f a perso n give s a n evasiv e o r incomplet e answe r durin g a depositio n o r whe n respondin g t o a n interrogatory , o r a part yfail s o r refuse s t o produc e document s o r tangibl e items . Durin g a deposition , th e proponen t o f a questio n ma y complet e th e depositio n o r ma yadjour n th e examinatio n befor e makin g a motio n t o compe l i f a perso n refuse s t o answer . (n ) Failur e t o compl ywit h a discover yorde r o r orde r t o compel . I f a part yfail s [[Pag e 70] ] t o compl ywit h a discover yorde r o r a n orde r t o compel , th e administrativ e la wjudge , limite d t o th e exten t o f th e party' s failur e t o compl ywit h th e discover yorde r o r motio n t o compel , may : (1 ) Strik e tha t portio n o f a party' s pleadings ; (2 ) Preclud e prehearin g o r discover ymotion s b ythat party ; (3 ) Preclud e admissio n o f tha t portio n o f a party' s evidenc e at th e hearing ; o r (4 ) Preclud e tha t portio n o f th e testimon yo f tha t party' s witnesse s a t th e hearing . [Amdt . 13-21 , 5 5 F R 27575 , Jul y3 , 1990 , a s amende d b yAmdt . 13-23 , 5 5 F R 45983 , Oct . 31 , 1990 ] Sec . 13.22 1 Notic e o f hearing . (a ) Notice . Th e administrativ e la wjudg e shal l giv e eac h part yat leas t 6 0 day s notic e o f th e date , time , an d locatio n o f th e hearing . (b ) Date , time , an d locatio n o f th e hearing . Th e administrativ e la w judg e t o who mth e proceeding s hav e bee n assigne d shal l se t a reasonabl e date , time , an d locatio n fo r th e hearing . Th e administrativ e la wjudg e shal l conside r th e nee d fo r discover yan d an yjoin t procedura l o r discover yschedul e submitte d b yth e partie s whe n determinin g th e hearin g date . Th e administrativ e la wjudg e shal l giv e du e regar d t o th e convenienc e o f th e parties , th e locatio n wher e th e majorit yo f th e witnesse s resid e o r work , an d whethe r th e locatio n i s serve d b ya schedule d ai r carrier . (c ) Earlie r hearing . Wit h th e consen t o f th e administrativ e la w judge , th e partie s ma yagre e t o hol d th e hearin g o n a n earlie r dat e tha n th e dat e specifie d i n th e notic e o f hearing . Sec . 13.22 2 Evidence . (a ) General . Apart yi s entitle d t o presen t th e party' s cas e o r defens e b yoral , documentary , o r demonstrativ e evidence , t o submi t rebutta l evidence , an d t o conduc t an ycross-examinatio n tha t ma yb e require d fo r a ful l an d tru e disclosur e o f th e facts .

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(b ) Admissibility . Apart yma yintroduc e an yoral , documentary , o r demonstrativ e evidenc e i n suppor t o f th e party' s cas e o r defense . Th e administrativ e la wjudg e shal l admi t an yoral , documentary , o r demonstrativ e evidenc e introduce d b ya part ybu t shal l exclud e irrelevant , immaterial , o r undul yrepetitiou s evidence . (c ) Hearsa yevidence . Hearsa yevidenc e i s admissibl e i n proceeding s governe d b ythi s subpart . Th e fac t tha t evidenc e submitte d b ya part yi s hearsa ygoe s onl yt o th e weigh t o f th e evidenc e an d doe s no t affec t it s admissibility . Sec . 13.22 3 Standar d o f proof . Th e administrativ e la wjudg e shal l issu e a n initia l decisio n o r shal l rul e i n a party' s favo r onl yi f th e decisio n o r rulin g i s supporte d by , an d i n accordanc e with , th e reliable , probative , an d substantia l evidenc e containe d i n th e record . I n orde r t o prevail , th e part ywit h th e burde n o f proo f shal l prov e th e party' s cas e o r defens e b ya preponderanc e o f reliable , probative , an d substantia l evidence . Sec . 13.22 4 Burde n o f proof . (a ) Excep t i n th e cas e o f a n affirmativ e defense , th e burde n o f proo f i s o n th e agency . (b ) Excep t a s otherwis e provide d b ystatut e o r rule , th e proponen t o f a motion , request , o r orde r ha s th e burde n o f proof . (c ) Apart ywh o ha s asserte d a n affirmativ e defens e ha s th e burde n o f provin g th e affirmativ e defense . Sec . 13.22 5 Offe r o f proof . Apart ywhos e evidenc e ha s bee n exclude d b ya rulin g o f th e administrativ e la wjudg e ma yoffe r th e evidenc e fo r th e recor d o n appeal . Sec . 13.22 6 Publi c disclosur e o f evidence . (a ) Th e administrativ e la wjudg e ma yorde r tha t an yinformatio n containe d i n th e recor d b e withhel d fro mpubli c disclosure . An yperso n ma yobject t o disclosur e o f informatio n i n th e recor d b yfilin g a writte n motio n t o withhol d specifi c informatio n wit h th e administrativ e la wjudg e an d servin g a cop yo f th e motio n o n eac h party . Th e part y shal l stat e th e specifi c ground s fo r nondisclosur e i n th e motion . (b ) Th e administrativ e la wjudg e shal l gran t th e motio n t o withhol d informatio n i n th e recor d if , base d o n th e [[Pag e 71] ] motio n an d an yrespons e t o th e motion , th e administrativ e la wjudg e determine s tha t disclosur e woul d b e detrimenta l t o aviatio n safety , disclosur e woul d no t b e i n th e publi c interest , o r that th e informatio n i s not otherwis e require d t o b e mad e availabl e t o th e public . Sec . 13.22 7 Exper t o r opinio n witnesses . A n employe e o f th e agenc yma ynot b e calle d a s a n exper t o r opinio n witness , fo r an ypart yothe r tha n th e FAA , i n an yproceedin g governe d b y thi s subpart . A n employe e o f a responden t ma yno t b e calle d b ya n agenc y attorne ya s a n exper t o r opinio n witnes s fo r th e FA Ai n an yproceedin g governe d b ythi s subpar t t o whic h th e responden t i s a party .

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### Pag e 1 8 of2 3

Sec . 13.22 8 Subpoenas . (a ) Reques t fo r subpoena . Apart yma yobtai n a subpoen a t o compe l th e attendanc e o f a witnes s at a depositio 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 subpoena , signe d b yth e hearin g docket cler k o r a n administrativ e la wjudg e bu t otherwis e i n blank , t o th e party . Th e part yshal l complet e th e subpoena , statin g th e titl e o f th e actio n an d th e dat e an d tim e fo r th e witness ' attendanc e o r productio n o f document s o r items . Th e part ywh o obtaine d th e subpoen a shal l serv e th e subpoen a o n th e witness . (b ) Motio n t o quas h o r modif yth e subpoena . Aparty , o r an yperso n upo n who ma subpoen a ha s bee n served , ma yfil e a motio n t o quas h o r modif yth e subpoen a wit h th e administrativ e la wjudg e a t o r befor e th e tim e specifie d i n th e subpoen a fo r compliance . Th e applican t shal l describe , i n detail , th e basi s fo r th e applicatio n t o quas h o r modif y th e supoen a including , bu t no t limite d to , a statemen t tha t th e testimony , document , o r tangibl e evidenc e i s no t relevan t t o th e proceeding , tha t th e subpoen a i s no t reasonabl ytailore d t o th e scop e o f th e proceeding , o r tha t th e subpoen a i s unreasonabl e an d oppressive . A motio n t o quas h o r modif yth e subpoen a wil l sta yth e effec t o f th e subpoen a pendin g a decisio n b yth e administrativ e la wjudg 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 d o r refuse d t o compl ywit h a subpoena , a part yma yappl yt o th e loca l federa l distric t cour t t o see k judicia l enforcemen t o f th e subpoen a i n accordanc e wit h 4 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 R 27575 , Jul y3 , 1990 , a s amende d at 7 1 F R 70465 , Dec . 5 , 2006 ] Sec . 13.22 9 Witnes s fees . (a ) General . Unles s otherwis e authorize d b yth e administrativ e la w judge , th e part ywh o applie s fo r a subpoen a t o compe l th e attendanc e o f a witnes s a t a depositio n o r hearing , o r th e part yat whos e reques t a witnes s appear s a t a depositio n o r hearing , shal l pa yth e witnes s fee s describe d i n thi s section . (b ) Amount . Excep t fo r a n employe e o f th e agenc ywh o appear s a t th e directio n o f th e agency , a witnes s wh o appear s at a depositio n o r hearin g i s entitle d t o th e sam e fee s an d mileag e expense s a s ar e pai d t o a witnes s i n a cour t o f th e Unite d State s i n comparabl e circumstances , Sec . 13.23 0 Record . (a ) Exclusiv e record . Th e transcrip t o f al l testimon yi n th e hearing , al l exhibit s receive d int o evidence , an d al l motions , applications , requests , an d ruling s shal l constitut e th e exclusiv e recor d fo r decisio n o f th e proceeding s an d th e basi s fo r th e issuanc e o f an yorder s i n th e proceeding . An yproceeding s regardin g th e disqualificatio n o f a n administrativ e la wjudg e shal l b e include d i n th e record . (b ) Examinatio n an d copyin g o f record . An yperso n ma yexamin e th e recor d a t th e Hearin g Docket , Federa l Aviatio n Administration , 60 0 Independenc e Avenue , SW. , Wilbu r Wrigh t Building--Roo m2014 , Washington , D C 20591 . Document s ma yals o b e examine d an d copie d at th e U.S . Departmen t o f Transportation , Docke t Operations , Wes t Buildin g Groun d Floor , Roo mW12-140 , 120 0 Ne wJerse yAvenue , SE. , Washington , D C 20590 . An yperso n ma yhav e a cop yo f th e recor d afte r paymen t o f reasonabl e

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### Pag e 1 9 o f 2 3

cost s t o cop yth e record . [Docke t No . 18884 , 44 F R 63723 , Nov . 5 , 1979 , a s amende d at 7 0 F R 8238 , Feb . 18 , 2005 ; 7 2 F R 68474 , Dec . 5 , 2007 ] [[Pag e 72] ] Sec . 13.23 1 Argumen t befor e th e administrativ e la wjudge . (a ) Argument s durin g th e hearing . Durin g th e hearing , th e administrativ e la wjudg e shal l giv e th e partie s a reasonabl e opportunit y t o presen t argument s o n th e recor d supportin g o r opposin g motions , objections , an d ruling s i f th e partie s request a n opportunit yfo r argument . Th e administrativ e la wjudg e ma yreques t writte n argument s durin g th e hearin g i f th e administrativ e la wjudg e find s that submissio n o f writte n argument s woul d b e reasonable . (b ) Fina l ora l argument . A t th e conclusio n o f th e hearin g an d befor e th e administrativ e la wjudg e issue s a n initia l decisio n i n th e proceedings , th e partie s ar e entitle d t o submi t ora l propose d finding s o f fact an d conclusion s o f law , exception s t o ruling s o f th e administrativ e la wjudge , an d supportin g argument s fo r th e findings , conclusions , o r exceptions . A t th e conclusio n o f th e hearing , a part y ma ywaiv e fina l ora l argument . (c ) Posthearin g briefs . Th e administrativ e la wjudg e ma yreques t writte n posthearin g brief s befor e th e administrativ e la wjudg e issue s a n initia l decisio n i n th e proceeding s i f th e administrativ e la wjudg e find s tha t submissio n o f writte n argument s woul d b e reasonable . I f a part yfile s a writte n posthearin g brief , th e part yshal l includ e propose d finding s o f fact an d conclusion s o f law , exception s t o ruling s o f th e administrativ e la wjudge , an d supportin g argument s fo r th e findings , conclusions , o r exceptions . Th e administrativ e la wjudg e shal l giv e th e partie s a reasonabl e opportunity , no t mor e tha n 3 0 day s afte r receip t o f th e transcript , t o prepar e an d submit th e briefs . Sec . 13.23 2 Initia l decision . (a ) Contents . Th e administrativ e la wjudg e shal l issu e a n initia l decisio n a t th e conclusio n o f th e hearing . I n eac h ora l o r writte n decision , th e administrativ e la wjudg e shal l includ e finding s o f fac t an d conclusion s o f law , an d th e ground s supportin g thos e finding s an d conclusions , upo n al l materia l issue s o f fact , th e credibilit yo f witnesses , th e applicabl e law , an yexercis e o f th e administrativ e la w judge' s discretion , th e amoun t o f an ycivi l penalt yfoun d appropriat e b y th e administrativ e la wjudge , an d a discussio n o f th e basi s fo r an y orde r issue d i n th e proceedings . Th e administrativ e la wjudg e i s no t require d t o provid e a writte n explanatio n fo r ruling s o n objections , procedura l motions , an d othe r matter s not directl yrelevan t t o th e substanc e o f th e initia l decision . I f th e administrativ e la wjudg e refer s t o an ypreviou s unreporte d o r unpublishe d initia l decision , th e administrativ e la wjudg e shal l mak e copie s o f tha t initia l decisio n availabl e t o al l partie s an d th e FAAdecisionmaker , (b ) Ora l decision . Excep t a s provide d i n paragrap h (c ) o f thi s section , a t th e conclusio n o f th e hearing , th e administrativ e la wjudg e shal l issu e th e initia l decisio n an d orde r orall yo n th e record . (c ) Writte n decision . Th e administrativ e la wjudg e ma yissu e a writte n initia l decisio n no t late r tha n 3 0 day s afte r th e conclusio n o f th e hearin g o r submissio n o f th e las t posthearin g brie f i f th e administrativ e la wjudg e find s tha t issuin g a writte n initia l decisio n i s reasonable . Th e administrativ e la wjudg e shal l serv e a cop yo f an y writte n initia l decisio n o n eac h party .

U-H^./Z- C 1 i

### Pag e 2 0 o f 2 3

(d ) Orde r assessin g civi l penalty . Unles s appeale d pursuan t t o Sec . 13.23 3 o f thi s subpart , th e initia l decisio n issue d b yth e administrativ e la wjudg e shal l b e considere d a n orde r assessin g civi l penalt yi f th e administrativ e la wjudg e find s tha t a n allege d violatio n occurre d an d determine s that a civi l penalty , i n a n amoun t foun d appropriat e b yth e administrativ e la wjudge , i s warranted . Sec . 13.23 3 Appea l fro minitia l decision . (a ) Notic e o f appeal . Apart yma yappea l th e initia l decision , an d an ydecisio n not previousl yappeale d pursuan t t o Sec . 13.219 , b yfilin g a notic e o f appea l wit h th e FA Adecisionmaker . Apart ymus t fil e th e notic e o f appea l i n th e FAAHearin g Docke t usin g th e appropriat e addres s liste d i n Sec . 13.210(a) . Apart yshal l fil e th e notic e o f appea l not late r tha n 1 0 day s afte r entr yo f th e ora l initia l decisio n o n th e recor d o r servic e o f th e writte n initia l decisio n o n th e partie s an d shal l serv e a cop yo f th e notic e o f appea l o n eac h party . (b ) Issue s o n appeal . I n an yappea l fro ma decisio n o f a n administrativ e [[Pag e 73] ] la wjudge , th e FA Adecisionmake r consider s onl yth e followin g issues : (1 ) Whethe r eac h findin g o f fac t i s supporte d b ya preponderanc e o f reliable , probative , an d substantia l evidence ; (2 ) Whethe r eac h conclusio n o f la wi s mad e i n accordanc e wit h applicabl e law , precedent , an d publi c policy ; an d (3 ) Whethe r th e administrativ e la wjudg e committe d an yprejudicia l error s tha t suppor t th e appeal . (c ) Perfectin g a n appeal . Unles s otherwis e agree d b yth e parties , a part yshal l perfec t a n appeal , no t late r tha n 5 0 day s afte r entr yo f th e ora l initia l decisio n o n th e recor d o r servic e o f th e writte n initia l decisio n o n th e party , b yfilin g a n appea l brie f wit h th e FA A decisionmaker . (1 ) Extensio n o f tim e b yagreemen t o f th e parties . Th e partie s ma y agre e t o exten d th e tim e fo r perfectin g th e appea l wit h th e consen t o f th e FA Adecisionmaker . I f th e FA Adecisionmake r grant s a n extensio n o f tim e t o perfec t th e appeal , th e appellat e docke t cler k shal l serv e a lette r confirmin g th e extensio n o f tim e o n eac h party . (2 ) Writte n motio n fo 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 perfectin g a n appeal , a part ydesirin g a n extensio n o f tim e ma yfil e a writte n motio n fo r a n extensio n wit h th e FAAdecisionmake r an d shal l serv e a cop yo f th e motio n o n eac h party . Th e FA Adecisionmake r ma ygran t a n extensio n i f goo d caus e fo r th e extensio n i s show n i n th e motion . (d ) Appea l briefs . Apart yshal l fil e th e appea l brie f wit h th e FAA decisionmake r an d shal l serv e a cop yo f th e appea l brie f o n eac h party . (1 ) Apart yshal l set forth , i n detail , th e party' s specifi c objection s t o th e initia l decisio n o r ruling s i n th e appea l brief . A part yals o shal l se t forth , i n detail , th e basi s fo r th e appeal , th e reason s supportin g th e appeal , an d th e relie f requeste d i n th e appeal . I f th e part yrelie s o n evidenc e containe d i n th e recor d fo r th e appeal , th e part yshal l specificall yrefe r t o th e pertinen t evidenc e containe d i n th e transcrip t i n th e appea l brief . (2 ) Th e FAAdecisionmake r ma ydismis s a n appeal , o n th e FA A decisionmaker' s ow n initiativ e o r upo n motio n o f an yothe r party , wher e a part yha s file d a notic e o f appea l but fail s t o perfec t th e appea l b y timel yfilin g a n appea l brie f wit h th e FAAdecisionmaker . (e ) Repl ybrief . Unles s otherwis e agree d b yth e parties , an ypart y ma yfil e a repl ybrie f wit h th e FA Adecisionmake r no t late r tha n 3 5 day s

### Pag e 2 1 o f 2 3

afte r th e appea l brie f ha s bee n serve d o n tha t party . Th e part yfilin g th e repl ybrie f shal l serv e a cop yo f th e repl ybrie f o n eac h party . I f th e part yrelie s o n evidenc e containe d i n th e recor d fo r th e reply , th e part yshal l specificall yrefe r t o th e pertinen t evidenc e containe d i n th e transcrip t i n th e repl ybrief . (1 ) Extensio n o f tim e b yagreemen t o f th e parties . Th e partie s ma y agre e t o exten d th e tim e fo r filin g a repl ybrie f wit h th e consen t o f th e FAAdecisionmaker . I f th e FA Adecisionmake r grant s a n extensio n o f tim e t o fil e th e repl ybrief , th e appellat e docke t cler k shal l serv e a lette r confirmin g th e extensio n o f tim e o n eac h party . (2 ) Writte n motio n fo 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 a repl ybrief , a part ydesirin g a n extensio n o f tim e ma yfil e a writte n motio n fo r a n extensio n wit h th e FA Adecisionmake r an d shal l serv e a cop yo f th e motio n o n eac h party . Th e FAAdecisionmake r ma ygran t a n extensio n i f goo d caus e fo r th e extensio n i s show n i n th e motion . (f ) othe r briefs . Th e FA Adecisionmake r ma yallo wan yperso n t o submi t a n amicu s curia e brie f i n a n appea l o f a n initia l decision . A part yma ynot fil e mor e tha n on e appea l brie f o r repl ybrief . Apart y ma ypetitio n th e FA Adecisionmaker , i n writing , fo r leav e t o fil e a n additiona l brie f an d shal l serv e a cop yo f th e petitio n o n eac h party . Th e part yma yno t fil e th e additiona l brie f wit h th e petition . Th e FA A decisionmake r ma ygran t leav e t o fil e a n additiona l brie f i f th e part y demonstrate s goo d caus e fo r allowin g additiona l argumen t o n th e appeal . Th e FA Adecisionmake r wil l allo wa reasonabl e tim e fo r th e part yt o fil e th e additiona l brief . (g ) Numbe r o f copies . Apart yshal l fil e th e origina l appea l brie f o r th e origina l repl ybrief , an d tw o copie s o f th e brief , wit h th e FA A decisionmaker . (h ) Ora l argument . Th e FA Adecisionmake r ha s sol e discretio n t o permi t [[Pag e 74] ]
ora l argumen t o n th e appeal . O n th e FAAdecisionmaker' s ow n initiativ e o r upo n writte n motio n b yan yparty , th e FAAdecisionmake r ma yfin d tha t ora l argumen t wil l contribut e substantiall yt o th e developmen t o f th e issue s o n appea l an d ma ygran t th e partie s a n opportunit yfo r ora l argument . (i ) Waive r o f objection s o n appeal . I f a part yfail s t o objec t t o an yallege d erro r regardin g th e proceeding s i n a n appea l o r a repl y brief , th e part ywaive s an yobjectio n t o th e allege d error . Th e F7 ^ decisionmake r i s no t require d t o conside r an yobjectio n i n a n appea l brie f o r an yargumen t i n th e repl ybrie f i f a party' s objectio n i s base d o n evidenc e containe d o n th e recor d an d th e part ydoe s no t specificall y refe r t o th e pertinen t evidenc e fro mth e recor d i n th e brief . (j ) FAAdecisionmaker' s decisio n o n appeal . Th e FA Adecisionmake r wil l revie wth e record , th e brief s o n appeal , an d th e ora l argument , i f any , whe n considerin g th e issue s o n appeal . Th e FAAdecisionmake r ma y affirm , modify , o r revers e th e initia l decision , mak e an ynecessar y findings , o r ma yreman d th e cas e fo r an yproceeding s tha t th e FA A decisionmake r determine s ma yb e necessary . (1 ) Th e FAAdecisionmake r ma yrais e an yissue , o n th e FA A decisionmaker' s ow n initiative , tha t i s require d fo r prope r dispositio n o f th e proceedings . Th e FA Adecisionmake r wil l giv e th e partie s a reasonabl e opportunit yt o submit argument s o n th e ne wissue s befor e makin g a decisio n o n appeal . I f a n issu e raise d b yth e FA Adecisionmake r require s th e consideratio n o f additiona l testimon yo r evidence , th e FAA decisionmake r wil l reman d th e cas e t o th e administrativ e la wjudg e fo r furthe r proceeding s an d a n initia l decisio n relate d t o tha t issue . I f a n

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issu e raise d b yth e FA Adecisionmake r i s solel ya n issu e o f la wo r th e issu e wa s addresse d a t th e hearin g bu t wa s no t raise d b ya part yi n th e brief s o n appeal , a reman d o f th e cas e t o th e administrativ e la wjudg e fo r furthe r proceeding s i s no t require d bu t ma yb e provide d i n th e discretio n o f th e FA Adecisionmaker . 

### (2 ) Th e FA

Adecisionmake r wil l issu e th e fina l decisio n and orde r o f the Administrato r o n appea l i n writin g and wil l serv e a cop yo f th e decisio n an

d orde r o n eac h party . Unles s a petitio n fo r revie wi s file d pursuan t t o Sec . 13.235 , a fina l decisio n an d orde r o f th e Administrato r shal l b e considere d a n orde r assessin g civi l penalt yi f th e FA Adecisionmake r find s tha t a n allege d violatio n occurre d and a civi l penalt yi s warranted . (3 ) Afina l decisio n an d orde r o f th e Administrato r afte r appea l i s preceden t i n an yothe r civi l penalt yaction . An yissue , findin g o r conclusion , order , ruling , o r initia l decisio n o f a n administrativ e la w judg e tha t ha s no t bee n appeale d t o th e FA Adecisionmake r i s no t preceden t i n an yothe r civi l penalt yaction . [Amdt . 13-21 , 5 5 F R 27575 , Jul y3 , 1990 , a s amende d b yAmdt . 13-32 ; 6 9 F R 59498 , Oct . 4 , 2004 ; 7 0 F R 13345 , Mar . 21 , 2005 ] Sec . 13.23 4 Petitio n t o reconside r o r modif ya fina l decisio n an d

orde r o f th e FA Adecisionmake r o n appeal . (a ) General . An ypart yma ypetitio n th e FA Adecisionmake r t o reconside r o r modif ya fina l decisio n an d orde r issue d b yth e FA A decisionmake r o n appea l fro ma n initia l decision . Apart yshal l fil e a petitio n t o reconside r o r modif ywit h th e FAAdecisionmake r no t late r tha n 3 0 day s afte r servic e o f th e FA Adecisionmaker' s fina l decisio n an d orde r o n appea l an d shal l serv e a cop yo f th e petitio n o n eac h party . Th e FA Adecisionmake r wil l no t reconside r o r modif ya n initia l decisio n an d orde r issue d b ya n administrativ e la wjudg e that ha s no t bee n appeale d b yan ypart yt o th e FA Adecisionmaker . (b ) For man d numbe r o f copies . Apart yshal l fil e a petitio n t o reconside r o r modify , i n writing , wit h th e FA Adecisionmaker . Th e part y shal l fil e th e origina l petitio n wit h th e FA Adecisionmake r an d shal l serv e a cop yo f th e petitio n o n eac h party . (c ) Contents . Apart yshal l stat e briefl yan d specificall yth e allege d error s i n th e fina l decisio n an d orde r o n appeal , th e relie f sough t b yth e party , an d th e ground s tha t support , th e petitio n t o reconside r o r modify . (1 ) I f th e petitio n i s based , i n whol e o r i n part , o n allegation s regardin g th e [[Pag e 75] ] consequence s o f th e FA Adecisionmaker' s decision , th e part yshal l describ e thes e allegation s an d shal l describe , an d support , th e basi s fo r th e allegations . (2 ) I f th e petitio n i s based , i n whol e o r i n part , o n ne wmateria l no t previousl yraise d i n th e proceedings , th e part yshal l set fort h th e ne wmateria l an d includ e affidavit s o f prospectiv e witnesse s an d authenticate d document s tha t woul d b e introduce d i n suppor t o f th e ne w material . Th e part yshal l explain , i n detail , wh yth e ne wmateria l wa s not discovere d throug h du e diligenc e prio r t o th e hearing . (d ) Repetitiou s an d frivolou s petitions . Th e FAAdecisionmake r wil l not conside r repetitiou s o r frivolou s petitions . Th e FA Adecisionmake r ma ysummaril ydismis s repetitiou s o r frivolou s petition s t o reconside r o r modify . (e ) Repl ypetitions . An yothe r part yma yrepl yt o a petitio n t o

### Pag e 2 3 o f 2 3

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 n that party , b yfilin g a repl ywit h th e FA Adecisionmaker . A part yshal l serv e a cop yo f th e repl yo n eac h party . (f ) Effec t o f filin g petition . Unles s otherwis e ordere d b yth e FAA decisionmaker , filin g o f a petitio n pursuan t t o thi s sectio n wil l no t sta yo r dela yth e effectiv e dat e o f th e FA Adecisionmaker' s fina l decisio n an d orde r o n appea l an d shal l no t tol l th e tim e allowe d fo r judicia l review . (g ) FAAdecisionmaker' s decisio n o n petition . Th e FA Adecisionmake r ha s sol e discretio n t o gran t o r den ya petitio n t o reconside r o r modify . Th e FA Adecisionmake r wil l gran t o r den ya petitio n t o reconside r o r modif ywithi n a reasonabl e tim e afte r receip t o f th e petitio n o r receip t o f th e repl ypetition , i f any . Th e FA Adecisionmake r ma yaffirm , modify , o r revers e th e fina l decisio n an d orde r o n appeal , o r ma yreman d th e cas e fo r an yproceeding s that th e FAAdecisionmake r determine s ma yb e necessary . [Amdt . 13-21 , 5 5 F R 27575 , Jul y3 , 1990 ; 5 5 F R 29293 , Jul y18 , 1990 ; Amdt . 13-23 , 5 5 F R 45983 , Oct . 31 , 1990 ] Sec . 13.23 5 Judicia l revie wo f a fina l decisio n an d order . (a ) I n case s unde r th e Federa l aviatio n statute , a part yma ysee k judicia l revie wo f a fina l decisio n an d orde r o f th e Administrator , a s provide d i n 4 9 U.S.C . 46110(a) , and , a s applicable , i n 4 9 U.S.C . 46301(d ) (7 ) (D ) (iii ) , 46301(g) , o r 47532 . (b ) I n case s unde r th e Federa l hazardou s material s transportatio n statute , a part yma ysee k judicia l revie wo f a fina l decisio n an d orde r o f th e Administrator , a s provide d i n 4 9 U.S.C . 5127 . (c ) Apart yseekin g judicia l revie wo f a fina l orde r issue d b yth e Administrato r ma yfil e a petitio n fo r revie wi n th e Unite d State s Cour t o f Appeal s fo r th e Distric t o f Columbi a Circui t o r i n th e Unite d State s Cour t o f Appeal s fo r th e circui t i n whic h th e part yreside s o r ha s it s principa l plac e o f business . (d ) Th e part ymus t fil e th e petitio n fo r revie wn o late r tha n 6 0 day s afte r servic e o f th e Administrator' s fina l decisio n an d order . [Doc . No . FAA-2006-26477 , 7 1 F R 70465 , Dec . 5 , 2006 ]



### http://fhvebgate.access.cDo.eov/cpi-Hin/a«»t-rfr/-rr J)9/08/201 0 15:5 7 1418827483 0 HARRISO N YACH TSALE S PAG E 0 1 

# m HARRiSO N ii^t^YAGH T SALES , iNC
. Ken t Nairow s P O BO X 9 8 Grasonville , M D 2163 8 (410 ) 827-780 0 hvs(S>hanisonvachtsales
. co m Fa x(410 ) 827-483 0 

## FAX COYE R SH^C T TO : Mar yMadelin e McCarthy , Complainant' s Counse l FROM : Davi d Harriso n DATE : Septembe r9,201 0 RE : FA ADocke t no . CP10EA000 6 TOTA L NUMBE R O F PAGE S INCLUDIN G THI S COVE R SHEET i 3 Ms
. McCarthy , Th e followin g tw o page s ar e I n respons e t o th e Notic e O f Assignmen t O f Proceeding
. A s requeste d w e ar e sendin g you rcopyas wel l a s a copyo f th e sen/ic e list
. rsincerely , 

# \ T-\ s O L 

# ' Davi d Harriso n Presiden t

\

' \

/ ^

^ EXHIBI T

### I ntn c pas t

tw o year s ove r

60 % o f boa t dealer s i nMarylan dhav e gon e ou t o f busines s du e t o th e economy . M y busines s i s n o longe r

i n boa t sales , bu t

simpl y tryin g t o stay i nbusines s b y servicin g boats
. I' mdow n t o four ful l I 2 tim e employee: ? an dma y no t surviv e th e upcomin g winte r i f busines s doe s no t

improve
. 2 ) Haniso nYach t

Sale s i s not

i n th e busines s o f

shipping
. Nearl y al l good s ar e receive dfromou r supplier' s ow n trucks ; therefor e w e d o no t nee dtraine dpersona l i n^ppin g hazardou s materials
. 3 ) I nth e summe r

o f 2008 , on e o f

ou r supplier s requeste dthat

w e retur non e gallo no f

botto mpain t

vi aUPS . The y supplie dth e retur n authorizatio n cod e whic hw e fille dout . Agai nno t bein g fiuniliar

wit hshippin g form s m y employe e inadvertentl y clicke dth e wron g bo x fo r "tw o da y air " o nth e on-lin e UP S fonn
. I certainl y admit that w e mad e th e mistak e an dsurl y ha dnothin g t o gai nb y expeditin g thi s pain t bac k t o th e supplier
. 4 ) I thin k

afine o f $3,000.0 0 (las t

offer fromFA A attorney ) i s excessiv e an dcripplin g t o asmal l business , jus t tryin g t o surviv e i n thes e toug htimes
. W e regre t makin g thi s mistake , an dca n assur e yo u i t wil l neve r

happe nagai nan dappreciat e an y hel p yo u ca n provide
.

Davi dHarriso n Presiden t09/08/201 0 15:5 7 1410827483 0 HARRISO NYACH T SALE S PAG E 0 3



# m HARRISO N i^itis M YACM TSALES , IMC
. Ken t Narrow s POBOX9 8 Grasonville , M D 2163 8 (410 ) 827-780 0 tivs0>han1sonvachtsales.co m Fa x(410 ) 827-483 0 

## FA A Docke t

No . CP10EA00 6 (Civi l Penalt y Action ) Servic e Lis t Origina l & On e Cop y Federal Aviatio nAdministratio n 80 0 Independenc e Ave , S.W . Washington , D C 20S9 1 Attention : Hearing Docket

Clerk , AGC-43 0 Wilbu r Wrigh t Buildin g - Suit

e 2W100 0 Origina l Lette r

an dOn e Faxe dCop y o f Lette r an dServic e Lis t Th e Honorabl e Ronni e A . Yoder , Chief Administrativ e La

w Judg e U.S . Department

o f Transportatio n Offic e o f Hearings , M-20 , RoomE l 2-32 0 1200 Ne w Jersey Avenue , S.E

Washington , D C 2059 0 TEL : 202-366-214 2 Fax : 202-366-753 6 Faxe dCop y o f Lette r an dServic e Lis t Mar y Madeline McCarthy , Complainant' s Counsel Attorney , Office o f

th e Regiona

l Coiuiscl , EAL- 7 Federa l Aviatio nAdministratio n 1 Aviatio nPlaz a Jamaica , N

Y 1143 4 TEL : 718-553-326 7 FAX : 718-995-569 9 On e Cop y Davi dHarrison , President Harriso nYach

t Sales , inc. , Respondent 10 6 Well s Cov e Roa

d P.O . Bo x 9 8 Orasonville , MD 2163 8 TEL : 410-827-780 0 FAX : 410-827-483 0

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