U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE OF HEARINGS ' ^ : - r>> 

WASHINGTON, D.C. "~ - ' J 

-t— I t -.ii 

In the Matter of Harrison Yacht Sales, Inc. . %' f ~ 1* 

2009EA700446 

CP10EA0006 

The Honorable Ronnie A. Yoder f^PA c^/o-o>3.u 

COMPLAINANT'S MOTIONS FOR 

PARTIAL SUMMARY JUDGMENT 

AND TO 

LIMIT PRE-HEARING CONFERENCE 

TO ISSUE OF SANCTION 

COMES NOW the Complainant, by and through its designated 

representative, the Regional Counsel for the Eastern Region and her designated and 

authorized agents, and moves for Partial Summary Judgment and to Limit the 

Hearing in the above-captioned case to The Issue of Sanctions. 

1. On July 1, 2010, Harrison Yacht Sales, Inc., Respondent, filed a 

request for a hearing. On July 20, 2010, the Complainant filed a 

Complaint in this matter pursuant to Rule 13.208 of the Rules of 

Practice for FAA Civil Penalty Actions. (See Exhibit 1) 

2. Together with the Notice of Proposed Civil Penalty Respondent was 

provided a copy of the Rules of Procedure for Civil Penalty Actions. 

(See Exhibit 2) 

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3. Under Rule 13.209(a), the Respondent is required to file a written 

answer to the complaint "not later than 30 days after service of the 

complaint." 

4. Respondent was specifically notified in the complaint (see exhibit 1) 

that an answer was required within thirty (30) days. 

5. Respondent received the Complaint on July 26, 2010 (see Exhibit 3); 

Respondent's Answer was due no later than August 25, 2010. 

6. Under Rule 13.209(f), "a person's failure to file an answer without good 

cause shall be deemed an admission of the truth of each allegation in 

the instant complaint." 

7. Notwithstanding this requirement. Respondent failed to file an answer 

to the Complaint. 

8. Respondent has failed to show good cause for failing to file an answer. 

9. Furthermore, Respondent waited until approximately two weeks 

subsequent to the date on which Respondent's Answer was due and 

then, on September 9, 2010, via fax. Respondent sent Complainant's 

Counsel a copy of a letter that Respondent had sent to the Honorable 

Judge Yoder; that letter was dated September 7, 2010 (see Exhibit 4). 

10. Respondent's September 7"^ letter is not an Answer to the Complaint. 

Additionally, it does not contest that Respondent offered for air 

transportation, the hazardous materials shipment (hereinafter "the 

shipment") that is the subject of the instant case. 
11. Respondent does not contest that Respondent offered the shipment for 

transportation by air when it was not properly prepared, marked, 

labeled or, documented on proper shipping papers, 

12. Respondent does not contest that Respondent did not provide the 

emergency response information required by the Department of 

Transportation (DOT) Hazardous Materials Regulations (HMR). 

13. In fact, in paragraph 3 of the September 7 letter to Honorable Judge 

Yoder, Respondent states that it "certainly admit[s] that we made the 

mistake and surly (sic) had nothing to gain by expediting this paint 

back to the supplier....We regret making this mistake, and can assure 

you it will never happen again..." 

14. The only allegations cited in the Complaint that Respondent contests 

are those DOT HMR allegations and regulations identifying 

Respondent to be the type of shipper that the DOT HMR considers a 

"hazmat employer"; in turn. Respondent objects to those regulations 

and any other regulations that would require Respondent to ensure that 

its employees are trained in accordance with all applicable DOT HMR. 

15. Respondent has not filed an Answer in this case. But, Respondent 

admits that Respondent inadvertently and improperly offered the 

hazardous materials shipment for transportation by air. 

16. Since Respondent has not filed an Answer, the Complaint should be 

deemed true and admitted as to all allegations. 
17. As stated in The Matter of: GLOBAL PEACE INITIATIVE, INC.. FAA 

Order No. 2008-8, page 3, "[T]he rules make it clear that the 

consequences of failing to answer a complaint without good cause are 

serious. They provide that 'a person's failure to file an answer without 

good cause shall be deemed an admission of the truth of each allegation 

contained in the complaint.' 14 C.F.R. § 13.209(f) (emphasis added)." 

18. Procedural rules must be enforced in a non-arbitrary manner to ensure the 

integrity of the civil penalty process, even when this results in severe 

consequences. In the Matter of Jimmy Lee Harkins, FAA Order No. 94-

22, page 4, June 22, 1994. 

19. As stated in In The Matter of Plavter. FAA Order No. 1990-15, March 

19, 1990; "Although the deemed admission of 13.209(f) is a severe 

penalty for failure to file an answer, the rule is clear, and does not permit 

exception in the absence of good cause. See also, In The Matter of Raul 

Nunez, FAA Order No. 1994-8, March 10, 1994; In The Matter of 

Safetv Equipment and Sign Co., Ltd.; FAA Order 1992-76, Footnote 9, 

December 21, 1992; In The Matter of Atlantic World Airways. FAA 

Order 1995-28, December 19, 1995 and In The Matter of Larry's Flying 

Service. Inc. FAA Order No. 98-4, March 12, 1998. 

20. Notwithstanding the above, even if Respondent's untimely letter to the 

Honorable Judge Yoder is deemed to be an Answer, the Complainant 

prays that this court will grant its request for Partial Summary Judgment 
and deem all allegations to be admitted except for paragraphs 6, 7, 8, 9, 

and 14 of the Complaint. 

21. Therefore, the facts as alleged in the Complaint support a finding of 

violation of the following secfion(s) of the Department of Transportation 

Hazardous Materials Regulations: 

17L2(b) 

172.200(a) 

172.300(a) 

172.400(a) 

172.600(c) 

173.1(b) 

173.22(a)(l)«&(2) 
WHEREFORE, the Complainant moves that the Administrative Law 

Judge deem Respondent's failure to deny the truth of the allegations, set forth 

in the paragraphs 1, 2, 3, 4, 5, 10, 11, 12, 13, and 15 of the Complaint an 

admission of the truth of these allegations and grant the Complainant's 

Motions for Partial Summary Judgment and to Limit the Pre-Hearing 

Conference in This Matter to The Issue of Sancfions. 

Alfred R. Johnson, Jr. 

Regional Counsel 

By: n\0.mJ(Y)riflljbAl irirMllil ^ Date: (^(bf. ^^/i?0/ Q 

Mary Madeline McCarthy (j 

DeputyKegional Counsel 

Federal Aviation Administration 

1 Aviation Plaza Jamaica, NY 11434 

Telephone: 718 553-3267 

Facsimile: 718 995-5699 
CERTIFICATE OF SERVICE 

I hereby certify that the foregoing Motions for Partial Summary Judgment and to Limit 

Hearing To Sanction has been served addressed as follows: 

FEDERAL EXPRESS MAIL 

The Honorable Ronnie A. Yoder 

Administrative Law Judge 

Office of Hearings, M-20 

U.S. Department of Transportation 

1200 New Jersey Avenue, S.E. 

East Building Ground Floor 

RoomE12-320 

Washington, D.C. 20590 

FEDERAL EXPRESS MAIL 

Federal Aviation Administration (Original and one copy) 

600 Independence Avenue, SW 

Wilbur Wright Building - Room 2014 

Washington, DC 20591 

Attn: Hearing Docket Clerk, AGC-430 

CERTIFIED MAIL RETURN RECEIPT REQUESTED 

President 

Harrison Yacht Sales, Inc. 

106 Wells Cove Road 

P O Box 98 

Grasonville, MD 21638 

Date: 

^ ^ h2^/>^/0 

Maher 

Management & Program Analyst 

Federal Aviation Administration 

Office of Regional Counsel 

1 Aviation Plaza 

Jamaica, NY 11434 
6B 

Regional Counsel for the Eastern Region 

Federal Aviation Administration 

1 Aviation Plaza 

Jamaica, NY 11434 

Date l^cP^l O 

Harrison Yacht Sales, Inc. - 2009EA700446 

Subject: Final Notice of Proposed Civil Penaltv 

Response Attachment 

In reply to your Final Notice of Proposed Civil Penalty Harrison Yacht Sales, Inc. elects to proceed as indicated by its check mark 

beside the numbered paragraph below. 

1. (_) Harrison Yacht Sales, Inc. hereby submits the amount of the proposed civil penalty with the understanding that an Order 

Assessing Civil Penalty will be issued in that amount. 

2. ( ^ Harrison Yacht Sales, Inc. hereby requests a formal hearing in accordance with Section 13.16 of the Federal Aviation 

Regulations. 

By sending this form to the Federal Aviation Adniinistration, Eastern Region, Harrison Yacht 

Sales, Inc. also hereby certifles that a copy of this form has been filed with the Hearing Docket 

Clerk (Hearing Docket, Federal Aviation Administration, 800 Independence Avenue, S.W., 

Room 924A, Washington, DC 20591, Attention: Hearing Docket Clerk). 

** Please note that Harrison Yacht Sales. Inc. will not be entitled to a hearinp if it files this form with the Federal Aviation 

Administration. Eastern Region. WITHOUT having filed this form or a written request for a hearing with the HEARING DOCKET 

CLERK. 

ATTORNEY/REPRESENTATIVE 

Name: 

Firm: 

Address: 

Phone No. 

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] 20UI 

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® 

U.S. Department Eastern Region 1 Aviation Plaza 

of Transportation Regional Counsel Jamaica, NY 11434 

Telephone: 718 553-3267 

Federal Aviation Facsfmiie: 718 995-5699 

Administration 

JUL 2 0 2010 

CERTIFIED MAIL - RETURN RECEIPT REQUESTED 

Federal Aviation Administration 

800 Independence Avenue, S.W. 

Washington, D.C. 20591 

Attn: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building - Room 2014 

ATTN: HEARING DOCKET CLERK 

Re: In the Matter of Harrison Yacht Sales, Inc. 

Docket No. 2009EA700446 

Enclosed herein please find a copy of a request for hearing and the original and one copy of 

the FAA's Complaint in the above-entitled action for filing, together with proof of service 

upon the Respondent. 

The FAA requests that the hearing in this matter be held in the Washington, DC area, and 

expects that the hearing will last one day. 

Please address all communications for the Federal Aviation Administration to the attention 

of Mary Madeline McCarthy, Office of the Regional Counsel, 1 Aviation Plaza Jamaica, 

NY 11434. 

Sincerely, 

Alfred R. Johnson, Jr. 

Regional Coimsel 

By: 

Mar^ Madeline McCarthy 

Deputy Regional Counsel 

Enclosures 

cc: AEA-700 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFHCE OF HEARINGS 

WASHINGTON, D.C. 

In the Matter of Harrison Yacht Sales, Inc. 

2009EA700446 

Judge Not Assigned 

COMPLAINT 

The Federal Aviation Administration (FAA), by counsel, hereby files its Complaint, 

pursuant to Rule 208 of the Rules of Practice (14 C.F.R. 13.208), and states as follows: 

I 

Respondent, Harrison Yacht Sales, Inc., was advised through a Final Notice of Proposed 

Civil Penalty that the FAA proposed to assess a civil penalty in the amount of $8,000. On 

July 1,2010, Respondent submitted a written demand for a hearing. 

II 

1. On or about July 10, 2009, Harrison Yacht Sales, Inc. (hereinafter "Harrison") 

offered an undeclared shipment of hazardous materials to UPS for transportation in 

air commerce (hereinafter, "the shipment"). 

2. The shipment traveled on the basis of tiie UPS 2*"* Day Air, under UPS Air Waybill 

1Z000YY70291638521. 

3. Upon arrival at the UPS sort center in Laurel, Maryland, the shipment was 

discovered to be leaking red paint. 

4. The above mentioned shipment comprised a one gallon can of red paint, packaged 

in a 4G-fiberboard box. 

5. The shipment mentioned above was determined to be a product regulated by the 

Department of Transportation (DOT) Hazardous Materials Regulations (HMR) 49 
C.F.R. §§ 171-177), listed in the DOT HMR Hazardous Materials Table (49 

C.F.R. §172.101) as ''Paint, including paint, lacquer, enamel, stain, shellac 

solutions, vanish, polish, liquid filler, and liquid lacquer base. Class 3, UNI263, 

PGIII". 

6. At all times mentioned herein, the Department of Transportation (DOT) Hazardous 

Materials Regulations (HMR) (49 C.F.R. §§171-177) required Harrison, as a 

hazmat employer, to ensure that each of its hazmat employees was trained in 

accordance with the requirements of the HMR, was tested by appropriate means on 

the training subjects covered in §172.704 (49 C.F.R.§ 172.704), and was precluded 

from performing any function subject to the requirements of the DOT HMR 

without first being instructed in the requirements of the HMR that apply to that 

function. 

7. At all times herein, Harrison did not ensure that each of its hazmat employees is 

trained in accordance with the requirements prescribed by the appUcable DOT HMR. 

8. At all times herein, Harrison did not ensure that each of its hazmat employees had 

been provided general awareness/familiarization training designed to provide 

familiarity with the requirements of the DOT HMR. 

9. Thus, Harrison did not instruct each of his officers, agents, and employees having 

any responsibility for preparing hazardous materials for shipment as to appUcable 

regulations in this subchapter. 

10. At all times herein, Harrison did not ensure that the above-referenced shipment met 

all appUcable requirements of the DOT HMR. 

11. Specifically, Harrison offered the above mentioned hazardous materials shipment 

but did not mark die shipment in in manner required by the DOT HMR. 

12. Harrison did not ensure that the non-bulk package or containment device in which it 

offered the above-referenced hazardous materials shipment was labeled with labels 

specified for the material in the §172.101 Table and other applicable parts of the 

DOT HMR. 

13. Harrison did not ensure that the shipment was accompanied by an associated 

shipping paper that contained emergency response information conforming to 

appUcable parts of the DOT HMR and that such information is immediately 

available for use at all times the hazardous material is present, and that it is 

immediately made available to any person who, as a representative of a Federal, 
State or local government agency, responds to an incident involving a hazardous 

material or is conducting an investigation which involves a hazardous material. 

14. Thus, Harrison did not instruct each of his officers, agents, and employees having 

any responsibility for preparing hazardous materials for shipment as to applicable 

regulations in this subchapter. 

15.Thus, Harrison offered a hazardous material for transportation in air commerce in a 

packaging or container required by this part did not class and describe the hazardous 

material in accordance with parts 172 and 163 of this subchapter, and (2) The person 

shall determine that the packaging or container is an authorized packaging, including 

part 173 requirements, and that it has been manufactured, assembled, and marked in 

accordance with: (i) §173.(7)(a) and parts 173, 178, or 179 of this subchapter; (u) A 

specification of the Department in effect at the date of manufacture of the packaging 

and container; (iii) National or international regulations based on the UN 

Recommendations on the Transport of Dangerous Goods, as authorized in 

§ 173.24(d)(2); (iv) An approval issued under this subchapter; or (v) An exemption 

or special permit issued under subchapter A of this chapter 

III 

By reason of the foregoing facts and circumstances. Respondent violated the following 

section(s) of the Department of Transportation Hazardous Materials Regulations: 

a. Section 171.2(b), which states that each person who offers a hazardous 

material for transportation in commerce must comply with all appUcable 

requirements of this subchapter, or an exemption, or special permit, approval, 

or registration issued under this subchapter or under subchapter A of this 

chapter. There may be more than one offeror of a shipment of hazardous 

materials. Each offeror is responsible for complying with the requirements of 

this subchapter, or an exemption, or special permit, approval, or registration 
issued under this subchapter or subchapter A of this chapter, with respect to 

any pre-transportation function that it performs or is required to perform; 

however, each offeror is responsible only for the specific pre-transportation 

functions that it performs or is required to perform, and each offeror may rely 

on information provided by another offeror, unless that offeror knows or, a 

reasonable person, acting in the circumstances and exercising reasonable 

care, would have knowledge that the information provided by the other 

offeror is incorrect. 

b. Section 172.200(a), which states that, except as otherwise provided in this 

subpart, each person who offers a hazardous material for transportation shall 

describe the hazardous material on the shipping paper in the manner required 

by this subpart. 

c. Section 172.300(a), which states that each person who offers a hazardous 

material for transportation shall mark each package, freight container, and 

transport vehicle containing the hazardous material in the manner required by 

this subpart. 
d. Section 172.400(a), which states that except as specified in § 172.400a, each 

person who offers for transportation or transports a hazardous material in any 

of the following packages or containment devices, shall label the package or 

containment device with labels specified for the material in the §172.101 

Table and in this.subpart. (1) A non-buUc package; (2) A bulk packaging, 

other than a cargo tank, portable tank, or tank car, with a volumetric capacity 

of less than 18 m3 (640 cubic feet), unless placarded in accordance with 

subpart F of this part; (3) A portable tank of less than 3785 L (1000 gallons) 

capacity, unless placarded in accordance with subpart F of this part; (4) A 

DOT Specification 106 or 110 multi-unit tank car tank, unless placarded in 

accordance with subpart F of this part; and (5) An overpack, freight 

container or unit load device, of less than 18 m3 (640 cubic feet), which 

contains a package for which labels are required, unless placarded or marked 

in accordance with §172.512 of this part. 

e. Section 172.600(c), which states that no person to whom this subpart applies 

may offer for transportation, accept for transportation, transfer, store or 

otherwise handle during transportation a hazardous material unless: (1) 

Emergency response information conforming to this subpart is immediately 

available for use at all times the hazardous material is present; and (2) 
Emergency response information, including the emergency response 

telephone number, required by this subpart is immediately available to any 

person who, as a representative of a Federal, State or local government 

agency, responds to an incident involving a hazardous material, or is 

conducting an investigation which involves a hazardous material. 

f. Section 172.702(a), which states that a hazmat employer shall ensure that 

each of its hazmat employees is trained in accordance with the requirements 

prescribed in this subpart. 

g. Section 172.704(a)(1), which states that hazmat employee training shall 

include the following: Each hazmat employee shall be provided general 

awareness/famiUarization training designed to provide famiUarity with the 

requirements of this subchapter, and to enable the employee to recognize and 

identify hazardous materials consistent with the hazard communication 

standards of this subchapter. 

h. Section 173.1(b), which states that a shipment of hazardous materials that is 

not prepared in accordance with this subchapter may not be offered for 

transportation by air, highway, rail, or water. It is the responsibility of each 
hazmat employer subject to the requirements of this subchapter to ensure that 

each hazmat employee is trained in accordance with the requirements 

prescribed in this subchapter. It is the duty of each person who offers 

hazardous materials for transportation to instruct each of his officers, agents, 

and employees having any responsibiUty for preparing hazardous materials 

for shipment as to appUcable regulations in this subchapter. 

i. Section 173.22(a)(l)&(2), which states that, except as otiierwise provided in 

this part, a person may offer a hazardous material for transportation in a 

packaging or container required by this part only in accordance with the 

following: (1) The person shall class and describe the hazardous material in 

accordance with parts 172 and 163 of this subchapter, and (2) The person 

shall determine that the packaging or container is an autiiorized packaging, 

including part 173 requirements, and that it has been manufactured, 

assembled, and marked in accordance with: (i) §173.(7)(a) and parts 173, 

178, or 179 of this subchapter; (ii) A specification of the Department in effect 

at the date of manufacture of the packaging and container; (ui) National or 

international regulations based on the UN Recommendations on the Transport 

of Dangerous Goods, as authorized in § 173.24(d)(2); (iv) An approval issued 
under this subchapter; or (v) An exemption or special permit issued under 

subchapter A of this chapter. 

IV 

1. Pursuant to 49 U.S.C. §5123(a) of Chapter 51, Title 49 of the United States Code of 

Transportation, 49 U.S.C.§5123 Respondent is Uable for a civil penalty of not less than 

$250 ($450 for braining violations), nor greater than $50,000 ($100,000 if death, serious 

illness, severe injury, or substantial property damage results), for each of the violations 

alleged. 

2. Under the facts and circumstances of this case, a civil penalty of $8,000 is appropriate. 

WHEREFORE, the FAA, by counsel, respectfully requests that the Administi-ative 

Law Judge enter an order that Respondent be assessed a civil penalty in the amount of 

$8,000. 

Respectfully submitted, 

Alfred R. Johnson, Jr. 

Regional Counsel 

By: _ 

Mary MadeUne McCarthy 

Deputy Regional Counsel 

Federal Aviation Administration 

1 Aviation Plaza 

Jamaica, NY 11434 

718 553-3267 

718 995-5699 
NOTE; 

The Rules of Practice for this proceeding are set forth in Part 13, Subpart G, of 

the Federal Aviation Regulations (14 C.F.R. Part 13). 

The Rules of Practice provide that Respondent must file a written answer to 

this Complaint, or a written Motion to Dismiss if appropriate, not later than 30 days 

after the date shown on the Certificate of Service. A general denial is deemed a failure 

to file an answer (Section 13.209(e)). 

CERTIHCATE OF SERVICE 

I hereby certify that the foregoing Complaint has been placed this date in the United States 

mail, postage prepaid, by Certified Mail - Return Receipt Requested addressed as follows: 

Harrison Yacht Sales, Inc. 

106 Wells Cove Road 

P O Box 98 

Grasonville, MD 21638 

Federal Aviation Administration (Original and one copy) 

800 Independence Avenue, S.W. 

Washington, D.C. 20591 

Atta: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building - Room 2014 

Date: III) 2 0 2010 

Maryann Mignone 

Legal Technician 

Federal Aviation Administration 

Office of Regional Counsel 

1 Aviation Plaza 

Jamaica, NY 11434 
<d /iji' 

U.S. Department Eastern Region 

of Transportation Regional Counsel 

Telephone; 718 553-3267 

Federal Aviation Facsimile: 718 995-5699 

Administration 

DEC 1 2009 

CERTIFIED MAIL - RETURN RECEIPT REOUESIED 

President 

Harrison Yacht Sales, Inc. 

106 Wells Cove Road 

P 0 Box 98 

Garsonville,MD 21638 

1 Aviation Plaza 

Jamaica, NY 11434 

Docket No. 2009EA700446 

NOTICE OF PROPOSED CIVIL PENALTY 

TAKE NOTICE, that this office has received an investigative report from which it 

appears that Harrison Yacht Sales, Inc. violated the Department of Transportation 

Hazardous Materials Regulations by reason of the following: 

1. On or about July 10, 2009, Harrison Yacht Sales, Inc. (hereinafter 

"Harrison") offered an undeclared shipment of hazardous materials to UPS 

for transportation in air commerce (hereinafter, "the shipment"), 

2. The shipment traveled on the basis of the UPS 2"^* Day Air, under UPS Air 

Waybill 1Z000YY7029163 8521. 

3. Upon arrival at the UPS sort center in Laurel, Maryland, a UPS employee 

discovered the shipment to be leaking red paint. 

4. The above mentioned shipment comprised a one gallon can of red paint, 

packaged in a 4G-fiberboard box. 

5. The shipment mentioned above was determined to be a product regulated by 

the Department of Transportation (DOT) Hazardous Materials Regulations 

(HMR) 49 C.F.R. §§ 171-177), listed in the DOT HMR Hazardous 

Materials Table (49 C.F.R. §172.101) as ''Paint, including paint, lacquer, 

enamel, stain, shellac solutions, vanish, polish, liquid filler, and liquid 

lacquer base. Class 3, UN1263, PGIII". 

6. At all times mentioned herein, the Department of Transportation (DOT) 

Hazardous Materials Regulations (HMR) (49 C.F.R. §§171-177) required 

EXHIBIT 
Harrison, as a hazmat employer, to ensure that each of ua hazmat employees 

was trained in accordance with the requirements of the HMR, was tested by 

appropriate means on the training subjects covered in §172.704 (49 

C.F.R.§172.704), and was precluded from performing any function subject 

to the requirements of the DOT HMR without first being instructed in the 

requirements of the HMR that apply to that fiinction. 

7. At all times herein, Harrison did not ensure that each of its hazmat 

employees is trained in accordance with the requirements prescribed by the 

applicable DOT HMR. 

8. At all times herein, Harrison did not ensure that each of its hazmat 

employees had been provided general awareness/familiarization training 

designed to provide familiarity with the requirements of the DOT HMR. 

9. At all times herein, Harrison did not instruct each of its officers, agents, and 

employees having any responsibility for preparing hazardous materials for 

shipment as to applicable regulations in this subchapter. 

10. At all times herein, Harrison did not ensure that the above-referenced 

shipment met all applicable requirements of the DOT HMR. 

11. Specifically, Harrison offered the above mentioned hazardous materials 

shipment but Harrison did not mark the shipment in the manner required by 

the DOT HMR. 

12. Harrison did not ensure that the non-bulk package or containment device in 

which it offered the above-referenced hazardous materials shipment was 

labeled with labels specified for the material in the §172.101 Table and other 

applicable parts of the DOT HMR. 

13. Harrison did not ensure that the shipment was accompanied by an 

associated shipping paper that contained emergency response information 

conforming to applicable parts of the DOT HMR and that such information is 

immediately available for use at all times the hazardous material is present, 

and that such information would be immediately made available to any 

person who, as a representative of a Federal, State or local government 

agency, responds to an incident mvolving a hazardous material or is 

conducting an investigation which involves a hazardous material. 

14. Harrison did not instruct each of his officers, agents, and employees having 

any responsibility for preparing hazardous materials for shipment as to 

applicable regulations in this subchapter. 

15. Thus, Harrison offered a hazardous material for transportation in air 

commerce in a packaging or container required by the DOT HMR but 
Harrison did not class and describe the hazardous materid in accordance with 

parts 172 and 163 of this subchapter, and Harrison did not determine that the 

packaging or container was assembled and marked in accordance with 

§173.(7)(a) and parts 173, 178, or 179 of the applicable sections of the DOT 

HMR 

By reason of the foregoing, Harrison Yacht Sales, Inc. violated the following 

section(s) of the Department of Transportation Hazardous Materials Regulations: 

a. Section 171.2(b), which states that each person who offers a hazardous 

material for transportation in commerce must comply with all 

applicable requirements of this subchapter, or an exemption, or special 

permit, approval, or registration issued under this subchapter or under 

subchapter A of this chapter. There may be more than one offeror of a 

shipment of hazardous materials. Each offeror is responsible for 

complying with the requirements of this subchapter, or an exemption, 

or special permit, approval, or registration issued under this subchapter 

or subchapter A of this chapter, with respect to any pre-transportation 

fimction that it performs or is required to perform; however, each 

offeror is responsible only for the specific pre-transportation fimctions 

that it performs or is required to perform, and each offeror may rely on 

information provided by another offeror, imless that offeror knows or, 

a reasonable person, acting in the circumstances and exercising 

reasonable care, would have knowledge that the information provided 

by the other offeror is incorrect. 

b. Section 172.200(a), which states that, except as otherwise provided in 

this subpart, each person who offers a hazardous material for 

transportation shall describe the hazardous material on the shipping 

paper in the manner required by this subpart. 

c. Section 172.300(a), which states that each person who offers a 

hazardous material for transportation shall mark each package, freight 

container, and transport vehicle containing the hazardous material in 

the manner required by this subpart. 

d. Section 172.400(a), which states that except as specified in § 172.400a, 

each person who offers for transportation or transports a hazardous 

material in any of the following packages or containment devices, 

shall label the package or containment device with labels specified for 

the material in the §172.101 Table and in this subpart. (1) A non-bulk 

package; (2) A bulk packaging, other than a cargo tank, portable tank. 
or tank car, with a volumetric capacity of less tiioii 18 m3 (640 cubic 

feet), unless placarded in accordance with subpart F of this part; (3) A 

portable tank of less than 3785 L (1000 gallons) capacity, unless 

placarded in accordance with subpart F of this part; (4) A DOT 

Specification 106 or 110 multi-unit tank car tank, unless placarded in 

accordance with subpart F of this part; and (5) An overpack, freight 

container or unit load device, of less than 18 m3 (640 cubic feet), 

which contains a package for which labels are required, unless 

placarded or marked in accordance with §172.512 of this part. 

e. Section 172.600(c), which states that no person to whom this subpart 

applies may offer for transportation, accept for transportation, transfer, 

store or otherwise handle during transportation a hazardous material 

unless: (1) Emergency response information conforming to this 

subpart is immediately available for use at all times the hazardous 

material is present; and (2) Emergency response information, 

including the emergency response telephone number, required by this 

subpart is immediately available to any person who, as a representative 

of a Federal, State or local government agency, responds to an incident 

involving a hazardous material, or is conducting an investigation 

which involves a hazardous material. 

f Section 172.702(a), which states that a hazmat employer shall ensure 

that each of its hazmat employees is trained in accordance with the 

requirements prescribed in this subpart. 

g. Section 172.704(a)(1), which states that hazmat employee training 

shall include the following: Each hazmat employee shall be provided 

general awareness/familiarization training designed to provide 

familiarity with the requirements of this subchapter, and to enable the 

employee to recognize and identify hazardous materials consistent 

with the hazard communication standards of this subchapter. 

h. Section 173.1(b), which states that a shipment of hazardous materials 

that is not prepared in accordance with this subchapter may not be 

offered for transportation by air, highway, rail, or water. It is the 

responsibility of each hazmat employer subject to the requirements of 

this subchapter to ensure that each hazmat employee is trained in 

accordance with the requirements prescribed in this subchapter. It is 

the duty of each person who offers hazardous materials for 

transportation to instruct each of his officers, agents, and employees 

having any responsibility for preparing hazardous materials for 

shipment as to applicable regulations in this subchapter. 
i. Section 173.22(a)(l)&(2), which states that, except as otherwise 

provided in this part, a person may offer a hazardous material for 

transportation in a packaging or container required by this part only in 

accordance with the following: (1) The person shall class and describe 

the hazardous material in accordance with parts 172 and 163 of this 

subchapter, and (2) The person shall determine that the packaging or 

container is an authorized packaging, including part 173 requirements, 

and that it has been manufactured, assembled, and marked in 

accordance with: (i) §173.(7)(a) and parts 173, 178, or 179 of this 

subchapter; (ii) A specification of the Department in effect at the date 

of manufacture of the packaging and container; (iii) National or 

international regulations based on the UN Recommendations on the 

Transport of Dangerous Goods, as authorized in § 173.24(d)(2); (iv) 

An approval issued under this subchapter; or (v) An exemption or 

special permit issued under subchapter A of this chapter. 

In accordance with Section 5123(a) of Chapter 51, Title 49 of the United States 

Code of Transportation, 49 U.S.C,§ 5123, Harrison Yacht Sales, Inc. is liable for a 

civil penalty of not less than $250 ($450 for training violations), nor greater than 

$50,000 ($100,000 if death, serious illness, severe injury, or substantial property 

damage results), for each violation of the regulations. After reviewing our 

investigative file, we propose to assess a civil penalty in the amount of $8,000 for 

these violations. 

Enclosed is information on Harrison Yacht Sales, Inc.'s options in responding to 

this Notice. The options include participating in an informal conference with an 

FAA attorney and submitting information to the FAA for consideration. Harrison 

Yacht Sales, Inc. must submit, in writing, its choice of the alternatives explained 

on the enclosed information form, on or before thirty (30) days after it receives this 

Notice. If Harrison Yacht Sales, Inc. fails to submit its choice within that time, it 

will have no fiirther right to participate in the informal procedures. 

Please direct all future communications concerning this matter to Gail F. Butler at 

(718)553-3267. 

Alfred R. Johnson, Jr. 

Regional Counsel 

By: 

M ^ Madeline McCarthy 

Deputy Regional Counsel 
Enclosures 

Information Sheet 

Reply Form 

14 C.F.R. 13.16 

Subpart G of 14 C.F.R. 

Informal Conference Location List 
DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION 

INFORMATION REGARDING CIVIL PENALTIES UNDER TITLE 49 U.S.C. SECTION 5123 

Under 49 U.S.C. § 5123, any person who violates pertinent provisions of Chapter 51 of the statute, entitled "Transportation of Ha2ardous 

Material," or any rule, regulation, or order issued thereunder, is subject to a civil penalty for each violation. The maximum assessment for each 

violation is also prescribed by law, as specified in the notice to which this information sheet is attached. The notice also states the amount of the 

proposed civil penalty for the alleged violation(s). 

This proceeding is governed by the Federal Aviation Regulations (FAR) set forth in 14 C.F.R. § 13.16 and 14 C.F.R. Part 13, Subpart G. Copies 

of these regulations are enclosed. WITHIN THIRTY (30) DAYS AFTER HARRISON YACHT SALES, INC. RECEIVE S THE NOTICE OF 

PROPOSED CIVIL PENALTY, it may elect to proceed in one or more of the following ways by marking the appropriate box(es) on the attached 

election sheet and returning it by mail or personal-delivery to the address provided below. An explanation of each option is set forth below. 

1. Harrison Yacht Sales, Inc. may submit the amount of the civil penalty specified in the notice by certified check or money order payable to the 

"Federal Aviation Administration" to the Office of Accounting FAA/MMAC - Attention AMZ-350-EA, Post Office Box 25770, Oklahoma 

City, OK 73125. 

2. In the alternative, Harrison Yacht Sales, Inc. may pay Its civil penalty with a credit card over the Internet. To pay electronically, 

visit the web site at httn://www.Dav.gov and enter the term 'FEA" in the search bar labeled "Search Public Forms" located on the left 

hand side of the screen. After following the link, click on "FAA Civil Penalties-FAA Eastern Region." Harrison Yacht Sales, Inc. must 

then enter the above-listed "Docket Number" under the "Civil Penalties Case Number" and Harrison Yacht Sales, Inc. must then 

complete the remainder of the requested information. Once Harrison Yacht Sales, Inc. has submitted the requested Information 

Harrison Yacht Sales, Inc. will be taken to a page which allows Harrison Yacht Sales, Inc. to either pay by electronic transfer, or by 

credit card. Fill in the requested information in one of these two sections, and submit to complete your payment. 

SUBMITTING THE AMOUNT OF CIVIL PENALTY IN ACCORDANCE WITH PARAGRAPHS 1 AND 2 CONSTITUTES Han-ison Yacht 

Sales, Inc.'S AGREEMENT THAT AN ORDER ASSESSING CIVIL PENALTY IN THAT AMOUNT MAY BE ISSUED WITHOUT 

FURTHER NOTICE. SUBMITTING THE AMOUNT OF CIVIL PENALTY ALSO CONSTITUTES Harrison Yacht Sales, Inc.'S 

AGREEMENT THAT IT WAIVES ITS RIGHT TO A HEARING IN THIS MATTER. 

3. Hanison Yacht Sales, Inc. may submit, in writing, information and evidence demonstrating that a violation of the regulations was not 

committed or that, if it were, the facts and circumstances do not warrant the proposed civil penalty. Information provided will be considered in 

determining whether a civil penalty should be assessed or imposed and the amount of any such civil penalty. This information may be submitted 

in conjunction with a request for an informal conference under paragraph 6. Choosing this option will not affect Harrison Yacht Sales, Inc.'s 

right to a hearing, unless it also elects paragraph 5. 

4. Harrison Yacht Sales, Inc. may submit, in writing, information and records indicating that it is financially unable to pay the proposed civil 

penalty, or showing that payment of the proposed penalty would prevent Harrison Yacht Sales, Inc. irom continuing in business. Choosing this 

option will not affect Harrison Yacht Sales, Inc.'s right to a hearing, unless it also elects paragraph 5. 

5. Harrison Yacht Sales, Inc. may request that a civil penalty be assessed in a specific amount other than that proposed in the notice. If 

Harrison Yacht Sales, Inc. choose s this option, it should also explain why a reduction is appropriate and provide any supporting 

documentation. Information Harrison Yacht Sales, Inc. provides will be considered in determining whether the amount it specified should be 

assessed. If the FAA accepts Harrison Yacht Sales, Inc.'s offer, its request constitutes Harrison Yacht Sales, Inc. agreement that an Order 

Assessing Civil Penalty in that amount may be issued without fiirther notice, and that Harrison Yacht Sales, Inc. waives its right to a hearing. If 

the FAA does not accept Harrison Yacht Sales, Inc.'s offer, its right to a hearing will not be affected. 

6. Haaison Yacht Sales, Inc. may request an opportunity to discuss the matter with an FAA attorney by a telephonic informal conference, or at 

an in-person informal conference at one of the following locations: an FAA regional office; the FAA Aeronautical Center in Oklahoma City; or 

FAA Headquarters in Washington, DC. A list of the addresses of these offices (hereafter referred to as "the Informal Conference Location list" 

or "the list") is attached to the enclosed reply form. A request for an in-person informal conference at any of the offices on the Informal 

Conference Location list will be granted, regardless of whether the office Harrison Yacht Sales, Inc.'s chooses is the office that issued the notice 

to which this information sheet is attached. If Harrison Yacht Sales, Inc. chooses an office on the Informal Conference Location list other than 

the office that issued the notice, the case ordinarily will be transferred to the office Harrison Yacht Sales, Inc. requests for full disposition and 

handling in accordance with the FAA's existing transfer policy, which is set forth in paragraph 208(e) of FAA Order No. 2150-3A, provided thai 

(1) a transfer is in the public interest, and (2) the transfer is to an office more convenient to its principal place of business. When conditions (I) 

and (2) are not present, the case will be transferred to the office Harrison Yacht Sales, Inc.'s request for purposes of the informal conference 

only. Moreover, the office receiving the case only for purposes of the informal conference will consult and coordinate with the office that issued 

the notice before settling or otherwise disposing of the case after the informal conference. 

Harrison Yacht Sales, Inc. also may request an in-person informal conference at an FAA office other than those on the Informal Conference 

Location list. If Harrison Yacht Sales, Inc. dose so, it should indicate on the response form its reason for requesting that particular location. 

NOTE: Requests for in-person informals at locations not on the list will be granted only in very limited circumstances. Harrison Yacht Sales, 

Inc. should not, therefore, expect to have an in-person informal conference at a location other than those on the list. The FAA attorney assigned 

to its case has discretion to grant a request for an in-person informal conferences at a location other than those on the list only when (I) because 

of unusual circumstances, the public interest is better served by holding an in-person informal conference at such location, or (2) an in-person 

informal conference can be scheduled to coincide with other previously scheduled business at the location requested. In addition, the FAA 

attorney must be able to schedule the conference within approximately 90 days of the date Harrison Yacht Sales, Inc. requests an informal 

conference. Because of these restrictions, Hanison Yacht Sales, Inc. is requested to indicate both the FAA office it prefers and one of the 

offices from the Informal Conference Location list. 

To elect a telephone informal conference, choose option 6.a. on the reply form. To elect an in-person informal conference at one of the locations 

on the Informal Conference Location list, choose option 6.b. To elect an in-person informal conference at a location other than those on the list, 

choose option 6.c. 
IF Harrison Yacht Sales, Inc. REQUEST S AN INFORMAL CONFERENCE WITH AN FAA ATTORNEY, DO NOT ALSO REQUEST A 

FORMAL HEARING UNDER § 13.16 OF THE FAR AT THIS TIME (i.e., option 7). FfS REQUEST FOR AN INFORMAL CONFERENCE 

WILL NOT AFFECT ITS RIGHT TO REQUEST A FORMAL HEARING LATER. 

IMPORTANT: The informal conference is intended to provide Harrison Yacht Sales, Inc. with an opportunity to present its reasons why the 

FAA should not proceed with the action as proposed. It also is intended to provide Harrison Yacht Sales, Inc. with an opportunity to present 

any supporting documentation or information Harrison Yacht Sales, Inc. with the FAA to consider before the agency decides whether to proceed 

with the proposed action. Any additional information Harrison Yacht Sales, Inc. submits will be given our careful consideration. Since the 

attached letter may become a part of the publicly available records, Harrison Yacht Sales, Inc. may wish to submit a letter which would be 

included in these records. 

7. Harrison Yacht Sales, Inc. may request a hearing in accordance with section 13.16 of the FAR. Harrison Yacht Sales, Inc. r request must be 

dated and signed. If Harrison Yacht Sales, Inc. requests a hearing, a Complaint will be filed and an administrative law Judge will be appointed 

to decide the case. At a hearing, held under Subpart G of 14 C.F.R. Part 13, the agency will present witnesses and other evidence. Hanison 

Yacht Sales, Inc. also will have the opportunity to present witnesses and other evidence. The FAA will have the burden of proof At the 

conclusion of the hearing, all issues of fact and law will be decided and a decision will be rendered whether, and in what amount, a civil penalty 

will be assessed, If either party, the agency or Harrison Yacht Sales, Inc., is dissatisfied with the judge's decision, that party can appeal the 

judge's decision to the FAA decisionmaker. If Harrison Yacht Sales, Inc. is dissatisfied with the FAA decisionmaker's decision, it may seek 

review of the FAA decisionmaker's decision in an appropriate United States district court.. 

Harrison Yacht Sales, Inc.'s request for a hearing must be made to the Hearing Docket, Federal Aviation Administration, 800 Independence 

Avenue, SW., Room 924A, Washington, DC, 20591, Attention: Hearing Docket Clerk. Harrison Yacht Sales, Inc. must mail a copy to the FAA 

attorney handling this case at the address indicated below. All correspondence in this matter should be forwarded to the Office of the Regional 

Counsel Federal Aviation Administration 1 Aviation Plaza Jamaica, NY 11434 

Harrison Yacht Sales, Inc.'s response to the Notice of Proposed Civil Penalty may be delivered personally to the Office of the Regional Counsel 

for the Eastern Region at the above address during normal business hours. Telephone: 718 553-3267 (Collect calls cannot be accepted.) 
Office of the Regional Counsel 

Federal Aviation Administration 

I Aviation Plaza 

Jamaica, NY 11434 

Date 

Harrison Yacht Sales, Inc. - 2009EA700446 

Subject: Notice of Proposed Civil Penalty 

In reply to your Notice of Proposed Civil Penalty, Harrison Yacht Sales, Inc. elects to proceed as indicated by my check mark beside the numbered paragraph(s) below 

1. [ ] Harrison Yacht Sales, Inc. 

hereby submits the amount of the 

proposed civil penalty with the 

understanding that an order 

assessing a civil penalty will be 

issued in that amount without further 

notice. Hanison Yacht Sales, Inc. 

UNDERSTANDS THAT IT HAS 

WAIVED ITS RIGHT TO A 

HEARING. 

2. [ ] Hanison Yacht Sales, Inc. has 

paid the proposed civil penalty with a 

credit card over the Internet at the 

following website: 

http;//www.DaY.gov 

Harrison Yacht Sales, Inc. also 

understands that an order assessing civil 

penalty will be issued in the amount 

without further notice. Hanison Yacht 

Sales, Inc. ALSO UNDERSTANDS 

THAT IT WAIVES ITS RIGHT TO A 

HEARING. 

3. [ ] Hanison Yacht Sales, Inc. 

hereby submits evidence and 

information, demonstrating that a 

violation of the regulations did not 

occur as alleged or that the amount of 

the penalty is not wananted by the 

circumstances. 

4. [ ] Hanison Yacht Sales, 

Inc. hereby submits 

information and records 

showing that it is financially 

unable to pay the proposed 

civil penalty, or that payment 

of the penalty would prevent it 

from continuing in business. 

5. [ ] Hanison Yacht Sales, Inc. 

hereby requests that the proposed 

civil penalty be assessed in the 

amount of $ and it 

submits the reasons for the reduction 

of the proposed amount. This 

request constitutes Hanison Yacht 

Sales, Inc.'s agreement that if this 

offer is accepted by the FAA, an 

order assessing civil penalty in the 

amount it has specified may be 

issued without further notice. THIS 

REQUEST ALSO CONSTITUTES 

Hanison Yacht Sales, Inc.'S 

AGREEMENT THAT IT HAS 

WAIVED ITS RIGHT TO A 

HEARING. 

6.a. [ ] Hanison Yacht Sales, Inc. hereby requests a telephonic informal 

conference to discuss this matter with an FAA attorney. (An attorney will 

call Harrison Yacht Sales, Inc. at the telephone number it provides here: 

( ) . Hanison Yacht Sales, Inc. will be provided at least 2 

weeks advance notice of the date and time of this conference.) NOTE: If 

Harrison Yacht Sales, Inc. chooses to discuss this matter informally by 

telephone, it should provide any documents or other information it wishes to 

have considered on its behalf before the date of the informal conference, 

b. [ ] Harrison Yacht Sales, Inc. hereby requests an in-person informal 

conference with an FAA attorney to discuss this matter at 

(choose an FAA office from the attached list).c. [] 

Harrison Yacht Sales, Inc. hereby requests an in-person informal conference 

with an FAA attorney to discuss this matter at . 

Hanison Yacht Sales, Inc. is requesting an in-person informal conference at 

this location because . 

Hanison Yacht Sales, Inc. has also indicated an alternate location from the 

attached list under item 6.b. in the event the FAA is unable to grant my 

request under this option. 

7. [ ] Hanison Yacht Sales, Inc. 

hereby requests a hearing in 

accordance with Subpart G of Part 

13 of the Federal Aviation 

Regulations (14 CFR 13, Subpart G) 

with the understanding that a 

Complaint will be filed. Hanison 

Yacht Sales, Inc. requests that the 

hearing be held in 

Harrison Yacht Sales, Inc. is 

sending this request both to the FAA 

attorney and to the Hearing Docket, 

Federal Aviation Administration, 

800 Independence Avenue, SW., 

Room 924A, Washington, DC, 

20591, Attention: Hearing Docket 

Clerk, 

Signature: 

Name: 

Address: 

Telephone: 

Date: 

Case No.: 2009EA700446 

[ ] Harrison Yacht Sales, Inc. requests that fiiture documents in this 

case be sent to my representative: 

Name: 

Address: 

Telepho 
FAA LEGAL COUNSEL OFFICE LOCATIONS 

FOR INFORMAL CONFERENCES 

AERONAUTICAL CENTER 

Federal Aviation Administration 

Office of the Regional Counsel (AMC-7) Room 251 

Mike Monroney Aeronautical Center 

6500 South MacArthur Boulevard 

Oklahoma City, OK 73125 

EASTERN REGION 

Federal Aviation Administration 

Office of the Regional Counsel (AEA-7) 

Eastern Region Headquarters 

1 Aviation Plaza 

Room 561 

Jamaica, NY 11434 

NORTHWEST MOUNTAIN REGION 

Federal Aviation Administration 

Office of the Regional Counsel (ANM-7) 

Northwest Mountain Region Headquarters 

1601 Lind Avenue, SW. 

Renton, WA 98055-4056 

WESTERN-PACIFIC REGION 

Federal Aviation Administration 

Office of the Regional Counsel (AWP-7) 

Western-Pacific Region Headquarters 

15000 Aviation Boulevard 

Hawthorne, CA 90261 

ALASKA REGION 

Federal Aviation Administration 

Office of the Regional Counsel (AAL-7) 

Alaskan Region Headquarters 

222 West 7th Avenue 

Anchorage, AK 99513 

GREAT LAKES REGION 

Federal Aviation Administration 

Office of the Regional Counsel (AGL-7) 

Great Lakes Region Headquarters 

O'Hare Lake Office Center, Room 419 

2300 East Devon Avenue 

Des Plaines, IL 60018 

SOUTHERN REGION 

Federal Aviation Administration 

Office of the Regional Counsel (ASO-7) 

Southern Region Headquarters 

1701 Columbia Avenue, Room 530 

College Park, GA 30337 

FAA HEADQUARTERS 

Federal Aviation Administration 

Office of the Chief Counsel 

800 Independence Avenue, SW. 

Washington, DC 20591 

CENTRAL REGION 

Federal Aviation Administration 

Office of the Regional Counsel (ACE-7) 

Central Region Headquarters 

901 Locust Room 506 

Kansas City, MO 64106-2641 

NEW ENGLAND REGION 

Federal Aviation Administration 

Office of the Regional Counsel 

(ANE-7) 

New England Region Headquarters 

12 New England Executive Park, Room 311 

Buriington,MA 01803 

SOUTHWEST REGION 

Federal Aviation Administration 

Office of the Regional Counsel (ASW-7) 

Southwest Region Headquarters 

2601 Meacham Boulevard 

Ft. Worth, TX 76193-0007 

EUROPE, AFRICA & MIDDLE EAST 

FAA/American Embassy 

Office of the Assistant Chief Counsel 

(AEU-7) 

27 Blvd. du Regent, Brussels, Belgium 

(for mailing from U.S.:PSC 82, Box 002, APO 

AE 09710) 
14 CFR §13.16 Page 1 of 5 

14 C.F.R. § 13.16 

Code of Federal Regulations Currentriess 

Title 14, Aeronautics and Space 

Chapter I. Federal Aviation Administration, Department of Transportation 

Subchapter B. Procedural Rules 

"•Ji Part 13. Investigative and Enforcement Procedures (Refs & Annos) 

"^a.SubparLC. Legal Enforcement Actions 

^ § 13.16 Civil Penaities: Administrative assessment against a person otiier tlian 

an individual acting as a pilot, flight engineer, meclianic, or repairman. 

Administrative assessment against ail persons for hazardous materials violations. 

(a) The FAA uses these procedures when It assesses a civil penalty against a person other than an 

individual acting as a pilot, flight engineer, mechanic, or repairman for a violation cited in the first 

sentence of 49 U.S.C. 46301(d)(2) or in 49 U,S.C. 47531, or any Implementing rule, regulation or 

order, 

(b) District court jurisdiction. Notwithstanding the provisions of paragraph (a) of this section, the 

United States district courts have exclusive jurisdiction of any civil penalty action Initiated by the FAA 

for violations described in those paragraphs, under 49 U.S.C. 46301(d)(4). If— 

(1) The amount In controversy is more than $50,000 for a violation committed by any person 

before December 12, 2003; 

(2) The amount In controversy Is more than $400,000 for a violation committed by a person other 

than an Individual or small business concern on or after December 12, 2003; 

(3) The amount In controversy is more than $50,000 for a violation committed by an Individual or 

a small business concern on or after December 12, 2003; 

(4) The action is In rem or another action In rem based on the same violation has been brought; 

(5) The action involves an aircraft subject to a lien that has been seized by the Government; or 

(6) Another action has been brought for an injunction based on the same violation, 

(c) Hazardous materials violations. The FAA may assess a civil penalty against any person who 

knowingly commits an act in violation of 49 U.S.C, chapter 51 or a regulation prescribed or order 

issued under that chapter, under 49 U.S.C. 5123 and 49 CFR l,47(k). An order assessing a civil 

penalty for a violation under 49 U,S.C, chapter 51, or a rule, regulation, or order issued thereunder, is 

issued only after the following factors have been considered: 

(1) The nature, circumstances, extent, and gravity of the violation; 

(2) With respect to the violator, the degree of culpability, any history of prior violations, the ability 

to pay, and any effect on the ability to continue to do business; and 

(3) Such other matters as justice may require. 

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14 CFR §13.16 Page'2of5 

(d) Order assessing civil penalty. An order assessing civil penalty may be issued for a violation 

described in paragraphs (a) or (c) of this section, or as otherwise provided by statute, after notice 

and opportunity for a hearing, A person charged with a violation may be subject to an order assessing 

civil penalty in the following circumstances: 

(1) An order assessing civil penalty may be issued if a person charged with a violation submits or 

agrees to submit a civil penalty for a violation. 

(2) An order assessing civil penalty may be Issued if a person charged with a violation does not 

request a hearing under paragraph (g)(2)(ii) of this section within 15 days after receipt of a final 

notice of proposed civil penalty. 

(3) Unless an appeal Is filed with the FAA decisionmaker in a timely manner, an initial decision or 

order of an administrative law judge shall be considered an order assessing civil penalty if an 

administrative law judge finds that an alleged violation occurred and determines that a civil 

penalty, in an amount found appropriate by the administrative law judge, is warranted. 

(4) Unless a petition for review Is filed with a U.S. Court of Appeals in a timely manner, a final 

decision and order of the Administrator shall be considered an order assessing civil penalty if the 

FAA decisionmaker finds that an alleged violation occurred and a civil penalty is warranted, 

(e) Delegation of authority, 

(1) The authority of the Administrator under 49 U,S,C, 46301(d), 47531, and 5123, and 49 CFR 

1.47(k) to initiate and assess civil penalties for a violation of those statutes or a rule, regulation, 

or order issued thereunder. Is delegated to the Deputy Chief Counsel for Operations; the Assistant 

Chief Counsel for Enforcement; the Assistant Chief Counsel, Europe, Africa, and Middle East Area 

Office; the Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel, 

(2) The authority of the Administrator under 49 U.S,C, 5123, 49 CFR l,47fk). 49 U,S,C. 46301 

(d), and 49 U,S,C, 46305 to refer cases to the Attorney General of the United States, or the 

delegate of the Attorney General, for collection of civil penalties is delegated to the Deputy Chief 

Counsel for Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, 

Europe, Africa, and i^lddle East Area Office; the Regional Counsel; the Aeronautical Center 

Counsel; and the Technical Center Counsel. 

(3) The authority of the Administrator under 49 U.S.C. 46301(f) to compromise the amount of a 

civil penalty imposed Is delegated to the Deputy Chief Counsel for Operations; the Assistant Chief 

Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, and Middle East Area Office; the 

Regional Counsel; the Aeronautical Center Counsel; and the Technical Center Counsel. 

(4) The authority of the Administrator under 49 U.S.C. 5123 (e) and (Q and 49 CFR 1.47(k) to 

compromise the amount of a civil penalty imposed Is delegated to the Deputy Chief Counsel for 

Operations; the Assistant Chief Counsel for Enforcement; Assistant Chief Counsel, Europe, Africa, 

and Middle East Area Office; the Regional Counsel; the Aeronautical Center Counsel; and the 

Technical Center Counsel. 

(f) Notice of proposed civil penalty, A civil penalty action is initiated by sending a notice of proposed 

civil penalty to the person charged with a violation or to the agent for services for the person under 

49 U,S,C, 46103, A notice of proposed civil penalty will be sent to the individual charged with a 

violation or to the president of the corporation or company charged with a violation. In response to a 

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14 CFR §13.16 Page 3 of 5 

notice of proposed civil penalty, a corporation or company may designate in writing another person to 

receive documents in that civil penalty action. The notice of proposed civil penalty contains a 

statement of the charges and the amount of the proposed civil penalty. Not later than 30 days after 

receipt of the notice of proposed civil penalty, the person charged with a violation shall— 

(1) Submit the amount of the proposed civil penalty or an agreed-upon amount, in which case 

either an order assessing civil penalty or compromise order shall be Issued In that amount; 

(2) Submit to the agency attorney one of the following: 

(i) Written information, including documents and witness statements, demonstrating that a 

violation of the regulations did not occur or that a penalty or the amount of the penalty is not 

warranted by the circumstances. 

(ii) A written request to reduce the proposed civil penalty, the amount of reduction, and the 

reasons and any documents supporting a reduction of the proposed civil penalty, including records 

indicating a financial inability to pay or records showing that payment of the proposed civil penalty 

would prevent the person from continuing in business. 

(iii) A written request for an Informal conference to discuss the matter with the agency attorney 

and to submit relevant information or documents; or 

(3) Request a hearing, in which case a complaint shall be filed with the hearing docket clerk. 

(g) Final notice of proposed civil penalty. A final notice of proposed civil penalty may be Issued after 

participation In Informal procedures provided in paragraph(f)(2) of this section or failure to respond in 

a timely manner to a notice of proposed civil penalty. A final notice of proposed civil penalty will be 

sent to the Individual charged with a violation, to the president of the corporation or company 

charged with a violation, or a person previously designated In writing by the Individual, corporation, 

or company to receive documents in that civil penalty action. If not previously done in response to a 

notice of proposed civil penalty, a corporation or company may designate in writing another person to 

receive documents In that civil penalty action. The final notice of proposed civil penalty contains a 

statement of the charges and the amount of the proposed civil penalty and, as a result of Information 

submitted to the agency attorney during informal procedures, may modify an allegation or a proposed 

civil penalty contained in a notice of proposed civil penalty, 

(1) A final notice of proposed civil penalty may be issued— 

(1) If the person charged with a violation falls to respond to the notice of proposed civil penalty 

within 30 days after receipt of that notice; or 

(11) If the parties participated In any informal procedures under paragraph (f)(2) of this section 

and the parties have not agreed to compromise the action or the agency attorney has not agreed 

to withdraw the notice of proposed civil penalty, 

(2) Not later than 15 days after receipt of the final notice of proposed civil penalty, the person 

charged with a violation shall do one of the following— 

(I) Submit the amount of the proposed civil penalty or an agreed-upon amount. In which case 

either an order assessing civil penalty or a compromise order shall be Issued in that amount; or 

(ii) Request a hearing. In which case a complaint shall be filed with the hearing docket clerk, 

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14 CFR §13,16 Page 4 of 5 

(h) Request for a hearing. Any person charged with a violation may request a hearing, pursuant to 

paragraph (f)(3) or paragraph (g)(2)(ll) of this section, to be conducted In accordance with the 

procedures in subpart G of this part, A person requesting a hearing shall file a written request for a 

hearing with the hearing docket clerk, using the appropriate address set forth In S 13.210(a) of this 

part, and shall mall a copy of the request to the agency attorney. The request for a hearing may be in 

the form of a letter but must be dated and signed by tiie person requesting a hearing. The request for 

a hearing may be typewritten or may be legibly handwritten. 

(I) Hearing, If the person charged with a violation requests a hearing pursuant to paragraph (f)(3) or 

paragraph (g)(2)(ll) of this section, the original complaint shall be filed with the hearing docket clerk 

and a copy shall be sent to the person requesting the hearing. The procedural rules in subpart G of 

this part apply to the hearing and any appeal. At the dose of the hearing, the administrative law 

judge shall issue, either orally on the record or in writing, an initial decision, including the reasons for 

the decision, that contains findings or conclusions on the allegations contained, and the civil penalty 

sought. In the complaint. 

(j) Appeal, Either party may appeal the administrative law judge's initial decision to the FAA 

decisionmaker pursuant to the procedures in subpart G of this part. If a party files a notice of appeal 

pursuant to § 13.233 of subpart G, the effectiveness of the initial decision is stayed until a final 

decision and order of the Administrator have been entered on the record. The FAA decisionmaker 

shall review the record and issue a final decision and order of the Administrator that affirm, modify, 

or reverse the initial decision. The FAA decisionmaker may assess a civil penalty but shall not assess a 

civil penalty in an amount greater than that sought in the complaint, 

(k) Payment, A person shall pay a civil penalty by sending a certified check or money order, payable 

to the Federal Aviation Administration, to the agency attorney, 

(I) Collection of civil penalties. If an individual does not pay a civil penalty Imposed by an order 

assessing civil penalty or other final order, the Administrator may take action provided under the law 

to collect the penalty, 

(m) A party may seek review only of a final decision and order of the FAA decisionmaker involving a 

violation of the Federal aviation statute or the Federal hazardous materials transportation law. Judicial 

review is in the United States Court of Appeals for the District of Columbia Circuit or the United States 

court of appeals for the circuit in which the party resides or has the party's principal place of business 

as provided in § 13.235 of this part. Neither an Initial decision or an order issued by an administrative 

law judge that has not been appealed to the FAA decisionmaker, nor an order compromising a civil 

penalty action, may be appealed under any of those sections, 

(n) Compromise, The FAA may compromise the amount of any civil penalty imposed under this 

section, under 49 U,S,C, 5123(e), 46031(f), 46303(b), or 46318 at any time before referring the 

action to the United States Attorney General, or the delegate of the Attorney General, for collection, 

(1) An agency attorney may compromise any civil penalty action where a person charged with a 

violation agrees to pay a civil penalty and the FAA agrees not to make a finding of violation. Under 

such agreement, a compromise order is issued following the payment of the agreed-on amount or 

the signing of a promissory note. The compromise order states the following: 

(1) The person has paid a civil penalty or has signed a promissory note providing for installment 

payments, 

(ii) The FAA makes no finding of a violation, 

(Hi) The compromise order shall not be used as evidence of a prior violation in any subsequent 

civil penalty proceeding or certificate action proceeding. 

—T7:_jp,—t—\\rt jp,,u A/in/onno 
14 CFR §13.16 Page 5 of 5 

(2) An agency attorney may compromise the amount of an civil penalty proposed in a notice, 

assessed in an order, or Imposed In a compromise order. 

[53 PR 34654, Sept, 7, 1988; 55 FR 15128. April 20, 1990; Amdt, 13-21, 55 FR 27548. 27574. July 

3, 1990; 55 FR 29293. July 18, 1990; 55 FR 31027, July 30, 1990; Doc. No. 29010; Amdt. 13-29, 62 

FR 46865, Sept. 4, 1997; Amdt. 13-32, 69 FR 59496, Oct. 4, 2004; 70 FR 1813. Jan. 11, 2005; 7Q 

FR2825, Jan. 18, 2005; 70 FR 8238, Feb, 18, 2005; 71 FR 70464, Dec. 5, 2006] 

SOURCE: Amdt, 13-14, 44 FR 63723, Nov. 5, 1979; 53 FR 33783. Aug, 31, 1988; 53 FR 34653, Sept, 

7, 1988; 55 FR 15128, April 20, 1990; 58 FR 50241. Sept. 24, 1993; 59 FR 44268, Aug, 26, 1994; 

Amdt. 13-25, 60 FR 67254. Dec, 28, 1995; Amdt, 13-28, 61 FR 67445, Dec, 20, 1996; 62 FR4134, 

Jan. 29, 1997; Amdt. 13-32, 69 FR 59495. Oct, 4, 2004; Amdt, 13-33, 71 FR 28522. May 16, 2006; 

71 FR 70464, Dec. 5, 2006, unless otherwise noted, 

AUTHORITY: 18 U.S.C. 6002; 28 U.S.C. 2461 (note); 49 U.S.C. 106(g), 5121-5128, 40113-40114, 

44103-44106, 44702-44703, 44709-44710, 44713, 46101-46111, 46301, 46302 (for a violation of 

49 U.S.C. 46504). 46304-46316, 46318, 46501-46502, 46504-46507, 47106, 47107, 47111, 47122, 

47306, 47531-47532; 49 CFR 1.47. 

14 C. F, R, § 13.16, 14 CFR § 13.16 

Current through June 5, 2009; 74 FR 26983 

© 2009 Thomson Reuters 

END OF DOCUMENT 

(c) 2009 Thomson Reuters. No Claim to Orlg. US Gov. Works. 

http.//w^eb2.westlaw.coin/result/documentteYta<!nY'?<!\/=S!r.iw* y«<o*«^M ^ ^—T::- J o__ 
Page 1 of23 

[Code of Federal Regulations] 

[Title 14, Volume 1] 

[Revised as of January 1, 2008] 

From the U.S. Government Printing Office via GPO Access 

[CITE: 14CFR13] 

[Page 57-75] 

TITLE 14 --AERONAUTICS AND SPACE 

CHAPTER I--FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION 

PART 13_INVESTIGATIVE AND ENFORCEMENT PROCEDURES--Table of Contents 

Subpart G_Rules of Practice in FAA Civil Penalty Actions 

Source: Amdt. 13-21, 55 FR 27575, July 3, 1990, unless otheirwise 

noted. 

Sec. 13.201 Applicability. 

(a) This siibpart applies to all civil penalty actions initiated 

under Sec. 13.16 of this part in which a hearing has been requested. 

(b) This subpart applies only to proceedings initiated after 

September 7, 1988. All other cases, hearings, or other 

[[Page 58]] 

proceedings pending or in progress before September 7, 1988, are not 

affected by the rules in this subpart. 

[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-32; 69 

FR 59497, Oct. 4, 2004] 

Sec. 13.202 Definitions. 

Administrative .law judge means an administrative law judge appointed 

pursuant to the provisions of 5 U.S.C. 3105. 

Agency attorney means the Deputy Chief Counsel for Operations, the 

Assistant Chief Counsel, Enforcement, the Assistant Chief Counsel, 

Europe, Africa, and Middle East Area Office, each Regional Counsel, the 

Aeronautical Center Counsel, or the Technical Center Counsel, or an 

attorney on the staff of the Assistant Chief Counsel, Enforcement, the 

Assistant Chief Counsel, Europe, Africa, and Middle East Area Office, 

each Regional Counsel, the Aeronautical Center Counsel, or the Technical 

Center Counsel who prosecutes a civil penalty action. An agency attorney 

shall not include: 

(1) The Chief Counsel, the Deputy Chief Counsel for Policy and 

Adjudication, or the Assistant Chief Counsel for Litigation; 

(2) Any attorney on the staff of the Assistant Chief Counsel for 

Litigation; 

(3) Any attorney who is supervised in a civil penalty action by a 

person who provides such advice to the FAA decisionmaker in that action 

or a factually-related action. 

Attorney means a person licensed by a state, the District of 

Columbia, or a territory of the United States to practice law or appear 

before the courts of that state or territory. 

Complaint means a document issued by an agency attorney alleging a 

violation of a provision of the Federal aviation statute listed in the 

first sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or of the 

Ytttn'//fr\\rf*\%niitf^ annt^cc cfn/\ rrr»i7/r»rT.K...,/««+ ^4^ ^^ i 
Page 2 of 23 

Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, 

or a rule, regulation, or order issued under those statutes, that has 

been filed with the Hearing Docket after a hearing has been requested 

under Sec. 13.16(f)(3) or (g)(2)(ii) of this part. 

FAA decisionmaker means the Administrator of the Federal Aviation 

Administration, acting in the capacity of the decisionmaker on appeal, 

or any person to whom the Administrator has delegated the 

Administrator's decisionmaking authority in a civil penalty action. As 

used in this subpart, the FAA decisionmaker is the official authorized 

to issue a final decision and order of the Administrator in a civil 

penalty action. 

Mail includes U.S. certified mail, U.S. registered mail, or use of 

an overnight express courier service. 

Order assessing civil penalty means a document that contains a 

finding of a violation of a provision of the Federal aviation statute 

listed in the first sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 

4 7531, or of the Federal hazardous materials transportation statute, 4 9 

U.S.C. 5121-5128, or a rule, regulation or order issued under those 

statutes, and may direct payment of a civil penalty. Unless an appeal is 

filed with the FAA decisionmaker in a timely manner, an initial decision 

or order of an administrative law judge shall be considered an order 

assessing civil penalty if an administrative law judge finds that an 

alleged violation occurred and determines that a civil penalty, in an 

amount found appropriate by the administrative law judge, is warranted. 

Unless a petition for review is filed with a U.S. Court of Appeals in a 

timely manner, a final decision and order of the Administrator shall be 

considered an order assessing civil penalty if the FAA decisionmaker 

finds that an alleged violation occurred and a civil penalty is 

warranted. 

Party means the respondent or the Federal Aviation Administration 

(FAA) . 

Personal delivery includes hand-delivery or use of a contract or 

express messenger service. """Personal delivery'' does not include the 

use of Government interoffice mail service. 

Pleading means a complaint, an answer, and any amendment of these 

documents permitted under this sxibpart. 

Properly addressed means a document that shows an address contained 

in agency records, a residential, business, or other address submitted 

by a person on any document provided under this siibpart, or any other 

address shown by other reasonable and available means. 

[[Page 5 9]] 

Respondent means a person, corporation, or company named in a 

complaint. 

[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-24, 58 

FR 50241, Sept. 24, 1993; Amdt. 13-29, 62 FR 46866, Sept. 4, 1997; 70 FR 

8238, Feb. 18, 2005; 71 FR 70464, Dec. 5, 2006] 

Sec. 13.203 Separation of functions. 

(a) Civil penalty proceedings, including hearings, shall be 

prosecuted by an agency attorney. 

(b) An agency employee engaged in the performance of investigative 

or prosecutorial functions in a civil penalty action shall not, in that 

case or a factually-related case, participate or give advice in a 

decision by the administrative law judge or by the FAA decisionmaker on 

appeal, except as counsel or a witness in the public proceedings. 

(c) The Chief Counsel, the Deputy Chief Counsel for Policy and 

y- /^ A /^nrfcrt 
Page 3 of23 

Adjudication, and the Assistant Chief Counsel for Litigation, or an 

attorney on the staff of the Assistant Chief Counsel for Litigation will 

advise the FAA decisionmaker regarding an initial decision or any appeal 

of a civil penalty action to the FAA decisionmaker. 

[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-24, 58 

FR 50241, Sept. 24, 1993; 70 FR 8238, Feb. 18, 2005] 

Sec. 13.204 Appearances and rights of parties. 

(a) Any party may appear and be heard in person. 

(b) Any party may be accompanied, represented, or advised by an 

attorney or representative designated by the party and may be examined 

by that attorney or representative in any proceeding governed by this 

subpart. An attorney or representative who represents a party may file a 

notice of appearance in the action, in the manner provided in Sec. 

13.210 of this subpart, and shall serve a copy of the notice of 

appearance on each party, in the manner provided in Sec. 13.211 of this 

subpart, before participating in any proceeding governed by this 

subpart. The attorney or representative shall include the name, address, 

and telephone number of the attorney or representative in the notice of 

appearance. 

(c) Any person may request a copy of a document upon payment of 

reasonable costs. A person may keep an original document, data, or 

evidence, with the consent of the administrative law judge, by 

substituting a legible copy of the document for the record. 

Sec. 13.205 Administrative law judges. 

(a) Powers of an administrative law judge. In accordance with the 

rules of this subpart, an administrative law judge may: 

(1) Give notice of, and hold, prehearing conferences and hearings; 

(2) Administer oaths and affirmations; 

(3) Issue subpoenas authorized by law and issue notices of 

deposition requested by the parties; 

(4) Rule on offers of proof; 

(5) Receive relevant and material evidence; 

(6) Regulate the course of the hearing in accordance with the rules 

of this subpart; 

(7) Hold conferences to settle or to simplify the issues by consent 

of the parties; 

(8) Dispose of procedural motions and requests; and 

(9) Make findings of fact and conclusions of law, and issue an 

initial decision. 

(b) Limitations on the power of the administrative law judge. The 

administrative law judge shall not issue an order of contempt, award 

costs to any party, or impose any sanction not specified in this 

subpart. If the administrative law judge imposes any sanction not 

specified in this subpart, a party may file an interlocutory appeal of 

right with the FAA decisionmaker pursuant to Sec. 13.219(c)(4) of this 

subpart. This section does not preclude an administrative law judge from 

issuing an order that bars a person from a specific proceeding based on 

a finding of obstreperous or disruptive behavior in that specific 

proceeding. 

(c) Disqualification. The administrative law judge may disqualify 

himself or herself at any time. A party may file a motion, pursuant to 

Sec. 13.218(f)(6), requesting that an administrative law 

[[Page 60]] 

httn'//frwf»l^rrat«» ar'nac o rrnn rwntrlr^rrl U.»^/»»,.+ nii. 
Page 4 of 23 

judge be disqualified from the proceedings. 

[Amdt. 13-21, 55 FR 27575, July 3, 1990; 55 FR 29293, July 18, 1990] 

Sec. 13.206 Intervention. 

(a) A person may svibmit a motion for leave to intervene as a party 

in a civil penalty action. Except for good cause shown, a motion for 

leave to intervene shall be submitted not later than 10 days before the 

hearing. 

(b) If the administrative law judge finds that intervention will not 

unduly broaden the issues or delay the proceedings, the administrative 

law judge may grant a motion for leave to intervene if the person will 

be bound by any order or decision entered in the action or the person 

has a property, financial, or other legitimate interest that may not be 

addressed adequately by the parties. The administrative law judge may 

determine the extent to which an intervener may participate in the 

proceedings. 

Sec. 13.207 Certification of documents. 

(a) Signature required. The attorney of record, the party, or the 

party's representative shall sign each document tendered for filing with 

the hearing docket clerk, the administrative law judge, the FAA 

decisionmaker on appeal, or served on each party. 

(b) Effect of signing a document. By signing a document, the 

attorney of record, the party, or the party's representative certifies 

that the attorney, the party, or the party's representative has read the 

document and, based on reasonable inquiry and to the best of that 

person's knowledge, information, and belief, the document is--

(1) Consistent with these rules; 

(2) Warranted by existing law or that a good faith argument exists 

for extension, modification, or reversal of existing law; and 

(3) Not \inreasonod3le or unduly burdensome or expensive, not made to 

harass any person, not made to cause unnecessary delay, not made to 

cause needless increase in the cost of the proceedings, or for any other 

improper purpose. 

(c) Sanctions. If the attorney of record, the party, or the party's 

representative signs a document in violation of this section, the 

administrative law judge or the FAA decisionmaker shall: 

(1) Strike the pleading signed in violation of this section; 

(2) Strike the request for discovery or the discovery response 

signed in violation of this section and preclude further discovery by 

the party; 

(3) Deny the motion or request signed in violation of this section; 

(4) Exclude the document signed in violation of this section from 

the record; 

(5) Dismiss the interlocutory appeal and preclude further appeal on 

that issue by the party who filed the appeal until an initial decision 

has been entered on the record; or 

(6) Dismiss the appeal of the administrative law judge's initial 

decision to the FAA decisionmaker. 

Sec. 13.208 Complaint. 

(a) Filing. The agency attorney shall file the original and one copy 

of the complaint with the hearing docket clerk, or may file a written 

motion pursuant to Sec. 13.218(f)(2)(i) of this subpart instead of 

filing a complaint, not later than 20 days after receipt by the agency 

attorney of a request for hearing. The agency attorney should suggest a 

y /I f\t^/\r\ n 
Page 5 of 23 

location for the hearing when filing the complaint. 

(b) Service. An agency attorney shall personally deliver or mail a 

copy of the complaint on the respondent, the president of the 

corporation or company named as a respondent, or a person designated by 

the respondent to accept service of documents in the civil penalty 

action. 

(c) Contents. A complaint shall set forth the facts alleged, any 

regulation allegedly violated by the respondent, and the proposed civil 

penalty in sufficient detail to provide notice of any factual or legal 

allegation and proposed civil penalty. 

(d) Motion to dismiss allegations or complaint. Instead of filing an 

answer to the complaint, a respondent may move to dismiss the complaint, 

or that part of the complaint, alleging a violation that occurred on or 

after August 2, 1990, and more than 2 years before an agency attorney 

issued a notice of proposed civil penalty to the respondent. 

[[Page 61]] 

(1) An administrative law judge may not grant the motion and dismiss 

the complaint or part of the complaint if the administrative law judge 

finds that the agency has shown good cause for any delay in issuing the 

notice of proposed civil penalty. 

(2) If the agency fails to show good cause for any delay, an 

administrative law judge may dismiss the complaint, or that part of the 

complaint, alleging a violation that occurred more than 2 years before 

an agency attorney issued the notice of proposed civil penalty to the 

respondent. 

(3) A party may appeal the administrative law judge's ruling on the 

motion to dismiss the complaint or any part of the complaint in 

accordance with Sec. 13.219(b) of this siibpart. 

[Admt. 13-21, 55 FR 27575, July 3, 1990, as amended by Admt. 13-22, 55 

FR 31176, Aug. 1, 1990] 

Sec. 13.209 Answer. 

(a) Writing required. A respondent shall file a written answer to 

the complaint, or may file a written motion pursuant to Sec. 13.208(d) 

or Sec. 13.218(f)(1-4) of this subpart instead of filing an answer, not 

later than 30 days after service of the complaint. The answer may be in 

the form of a letter but must be dated and signed by the person 

responding to the complaint. An answer may be typewritten or may be 

legibly handwritten. 

(b) Filing and address. A person filing an answer shall personally 

deliver or mail the original and one copy of the answer for filing with 

the hearing docket clerk, not later than 30 days after service of the 

complaint to the Hearing Docket at the appropriate address set forth in 

Sec. 13.210(a) of this subpart. The person filing an answer should 

suggest a location for the hearing when filing the answer. 

(c) Service. A person filing an answer shall serve a copy of the 

answer on the agency attorney who filed the complaint. 

(d) Contents. An answer shall specifically state any affirmative 

defense that the respondent intends to assert at the hearing. A person 

filing an answer may include a brief statement of any relief requested 

in the answer. 

(e) Specific denial of allegations required. A person filing an 

answer shall admit, deny, or state that the person is without sufficient 

knowledge or information to admit or deny, each numbered paragraph of 

the complaint. Any statement or allegation contained in the complaint 

that is not specifically denied in the answer may be deemed an admission 

httoi/Zfrweheate.access ann oc\v/rai.hin/npt.nfr nni ^ n r\ i^\ r\f\t ^ 
Page 6 of 23 

of the truth of that allegation. A general denial of the complaint is 

deemed a failure to file an answer, 

(f) Failure to file answer. A person's failure to file an answer 

without good cause shall be deemed an admission of the truth of each 

allegation contained in the complaint. 

[Docket No. 18884, 44 FR 63723, Nov. 5, 1979,as amended at 70 FR 8238, 

Feb. 18, 2005] 

Sec. 13.210 Filing of documents. 

(a) Address and method of filing. A person tendering a document for 

filing shall personally deliver or mail the signed original and one copy 

of each document to the Hearing Docket using the appropriate address: 

(1) If delivery is in person, or via expedited courier service: 

Federal Aviation Administration, 600 Independence Avenue, SW., Wilbur 

Wright Building--Suite 2W1000, Washington, DC 20591; Attention: Hearing 

Docket Clerk, AGC-430. 

(2) If delivery is via U.S. Mail: Federal Aviation Administration, 

800 Independence Avenue, SW., Washington, DC 20591; Attention: Hearing 

Docket Clerk, AGC-430, Wilbur Wright Building--Suite 2W1000. 

(b) Date of filing. A document shall be considered to be filed on 

the date of personal delivery; or if mailed, the mailing date shown on 

the certificate of service, the date shown on the postmark if there is 

no certificate of service, or other mailing date shown by other evidence 

if there is no certificate of service or postmark. 

(c) Form. Each document shall be typewritten or legibly handwritten. 

(d) Contents. Unless otherwise specified in this svibpart, each 

document must contain a short, plain statement of the facts on which the 

person's case rests and a brief statement of the action requested in the 

document. 

(e) Internet accessibility of documents filed in the Hearing Docket. 

(1) Unless 

[[Page 62]] 

protected from public disclosure by an order of the ALJ under 13.226, 

all documents filed in the Hearing Docket are accessible through the 

Federal Docket Management System (FDMS): http://www.regulations.gov. To 

access a particular case file, use the FDMS number assigned to the case. 

(2) Decisions and orders issued by the Administrator in civil 

penalty cases, indexes of decisions, contact information for the FAA 

Hearing Docket and the administrative law judges, the rules of practice, 

and other information are available on the FAA civil penalty 

adjudication Web site at:http://www.faa.gov/about/office--org/ 

headquarters--offices/agc/pol--adjudication/AGC400/Civil--Penalty. 

[Amdt. 13-21, 55 FR 27575, July 3, 1990; 55 FR 29293, July 18, 1990, as 

amended at 70 FR 8238, Feb. 18, 2005; 71 FR 70464, Dec. 5, 2006; 72 FR 

14668, Mar. 29, 2007; 72 FR 68474, Dec. 5, 2007] 

Sec. 13.211 Service of documents. 

(a) General. A person shall serve a copy of any document filed with 

the Hearing Docket on each party at the time of filing. Service on a 

party's attorney of record or a party's designated representative may be 

considered adequate service on the party. 

(b) Type of service. A person may serve documents by personal 

delivery or by mail. 

(c) Certificate of service. A person may attach a certificate of 

/:/in/'I An n 
Page 7 of 23 

service to a document tendered for filing with the hearing docket clerk. 

A certificate of service shall consist of a statement, dated and signed 

by the person filing the document, that the document was personally 

delivered or mailed to each party on a specific date. 

(d) Date of service. The date of service shall be the date of 

personal delivery; or if mailed, the mailing date shown on the 

certificate of service, the date shown on the postmark if there is no 

certificate of ser-vice, or other mailing date shown by other evidence if 

there is no certificate of service or postmark. 

(e) Additional time after service by mail. Whenever a party has a 

right or a duty to act or to make any response within a prescribed 

period after service by mail, or on a date certain after service by 

mail, 5 days shall be added to the prescribed period. 

(f) Service by the administrative law judge. The administrative law 

judge shall serve a copy of each document including, but not limited to, 

notices of prehearing conferences and hearings, rulings on motions, 

decisions, and orders, upon each party to the proceedings by personal 

delivery or by mail. 

(g) Valid service. A document that was properly addressed, was sent 

in accordance with this subpart, and that was returned, that was not 

claimed, or that was refused, is deemed to have been served in 

accordance with this subpart. The service shall be considered valid as 

of the date and the time that the document was deposited with a contract 

or express messenger, the document was mailed, or personal delivery of 

the document was refused. 

(h) Presumption of service. There shall be a presumption of service 

where a party or a person, who customarily receives mail, or receives it 

in the ordinary course of business, at either the person's residence or 

the person's principal place of business, acknowledges receipt of the 

document. 

Sec. 13.212 Computation of time. 

(a) This section applies to any period of time prescribed or allowed 

by this subpart, by notice or order of the administrative law judge, or 

by any applicaJDle statute. 

(b) The date of an act, event, or default, after which a designated 

time period begins to run, is not included in a computation of time 

under this siibpart. 

(c) The last day of a time period is included in a computation of 

time unless it is a Saturday, Sunday, or a legal holiday. If the last 

day of the time period is a Saturday, Sunday, or legal holiday, the time 

period runs until the end of the next day that is not a Saturday, 

Sunday, or legal holiday. 

Sec. 13.213 Extension of time. 

(a) Oral requests. The parties may agree to extend for a reasonable 

period the time for filing a document under this subpart. If the parties 

agree, the administrative law judge shall grant one extension of time to 

each party. The party seeking the extension of time shall submit a draft 

order to the 

[[Page 63]] 

administrative law judge to be signed by the administrative law judge 

and filed with the hearing docket clerk. The administrative law judge 

may grant additional oral requests for an extension of time where the 

parties agree to the extension. 

(b) Written motion. A party shall file a written motion for an 

hffjl.//fV\x/pKrrQt*» Or»/^*»cc nr\ n rrr\^r/r»rri K*«/r*rt+ .^-C ^rt-i 
Page 8 of 23 

extension of time with the administrative law judge not later than 7 

days before the document is due unless good cause for the late filing is 

shown. A party filing a written motion for an extension of time shall 

serve a copy of the motion on each party. The administrative law judge 

may grant the extension of time if good cause for the extension is 

shown. 

(c) Failure to rule. If the administrative law judge fails to rule 

on a written motion for an extension of time by the date the document 

was due, the motion for an extension of time is deemed granted for no 

more than 20 days after the original date the document was to be filed. 

Sec. 13.214 Amendment of pleadings. 

(a) Filing and service. A party shall file the amendment with the 

administrative law judge and shall serve a copy of the amendment on all 

parties to the proceeding. 

(b) Time. A party shall file an amendment to a complaint or an 

answer within the following: 

(1) Not later than 15 days before the scheduled date of a hearing, a 

party may amend a complaint or an answer without the consent of the 

administrative law judge. 

(2) Less than 15 days before the scheduled date of a hearing, the 

administrative law judge may allow amendment of a complaint or an answer 

only for good cause shown in a motion to amend. 

(c) Responses. The administrative law judge shall allow a reasonable 

time, but not more than 20 days from the date of filing, for other 

parties to respond if an amendment to a complaint, answer, or other 

pleading has been filed with the administrative law judge. 

Sec. 13.215 Withdrawal of complaint or request for hearing. 

At any time before or during a hearing, an agency attorney may 

withdraw a complaint or a party may withdraw a request for a hearing 

without the consent of the administrative law judge. If an agency 

attorney withdraws the complaint or a party withdraws the request for a 

hearing and the answer, the administrative law judge shall dismiss the 

proceedings under this subpart with prejudice. 

Sec. 13.216 Waivers. 

Waivers of any rights provided by statute or regulation shall be in 

writing or by stipulation made at a hearing and entered into the record. 

The parties shall set forth the precise terms of the waiver and any 

conditions. 

Sec. 13.217 Joint procedural or discovery schedule. 

(a) General. The parties may agree to submit a schedule for filing 

all prehearing motions, a schedule for conducting discovery in the 

proceedings, or a "schedule that will govern all prehearing motions and 

discovery in the proceedings. 

(b) Form and content of schedule. If the parties agree to a joint 

procedural or discovery schedule, one of the parties shall file the 

joint schedule with the administrative law judge, setting forth the 

dates to which the parties have agreed, and shall serve a copy of the 

joint schedule on each party. 

(1) The joint schedule may include, but need not be limited to, 

requests for discovery, any objections to discovery requests, responses 

to discovery requests to which there are no objections, submission of 

prehearing motions, responses to prehearing motions, exchange of 

iC/1 A/inn n 
Page 9 of23 

exhibits to be introduced at the hearing, and a list of witnesses that 

may be called at the hearing. 

(2) Each party shall sign the original joint schedule to be filed 

with the administrative law judge. 

(c) Time. The parties may agree to submit all prehearing motions and 

responses and may agree to close discovery in the proceedings under the 

joint schedule within a reasonable time before the date of the hearing, 

but not later than 15 days before the hearing. 

[[Page 64]] 

(d) Order establishing joint schedule. The administrative law judge 

shall approve the joint schedule filed by the parties. One party shall 

submit a draft order establishing a joint schedule to the administrative 

law judge to be signed by the administrative law judge and filed with 

the hearing docket clerk. 

(e) Disputes. The administrative law judge shall resolve disputes 

regarding discovery or disputes regarding compliance with the joint 

schedule as soon as possible so that the parties may continue to comply 

with the joint schedule. 

(f) Sanctions for failure to comply with joint schedule. If a party 

fails to comply with the administrative law judge's order establishing a 

joint schedule, the administrative law judge may direct that party to 

comply with a motion to discovery request or, limited to the extent of 

the party's failure to comply with a motion or discovery request, the 

administrative law judge may: 

(1) Strike that portion of a party's pleadings; 

(2) Preclude prehearing or discovery motions by that party; 

(3) Preclude admission of that portion of a party's evidence at the 

hearing, or 

(4) Preclude that portion of the testimony of that party's witnesses 

at the hearing. 

Sec. 13.218 Motions. 

(a) General. A party applying for an order or ruling not 

specifically provided in this subpart shall do so by motion. A party 

shall comply with the requirements of this section when filing a motion 

with the administrative law judge. A party shall serve a copy of each 

motion on each party. 

(b) Form and contents. A party shall state the relief sought by the 

motion and the particular grounds supporting that relief. If a party has 

evidence in support of a motion, the party shall attach any supporting 

evidence, including affidavits, to the motion. 

(c) Filing of motions. A motion made prior to the hearing must be in 

writing. Unless otherwise agreed by the parties or for good cause shown, 

a party shall file any prehearing motion, and shall serve a copy on each 

party, not later than 30 days before the hearing. Motions introduced 

during a hearing may be made orally on the record unless the 

administrative law judge directs otherwise. 

(d) Answers to motions. Any party may file an answer, with 

affidavits or other evidence in support of the answer, not later than 10 

days after service of a written motion on that party. When a motion is 

made during a hearing, the answer may be made at the hearing on the 

record, orally or in writing, within a reasonable time determined by the 

administrative law judge. 

(e) Rulings on motions. The administrative law judge shall rule on 

all motions as follows: 

(1) Discovery motions. The administrative law judge shall resolve 

all pending discovery motions not later than 10 days before the hearing. 

httn'//fTn»/«»Virrof/> o/'/^ooc rv«n rrr,,-l^r.i UI—' A ~^ ~ 
Page 10 of 23 

(2) Prehearing motions. The administrative law judge shall resolve 

all pending prehearing motions not later than 7 days before the hearing. 

If the administrative law judge issues a ruling or order orally, the 

administrative law judge shall serve a written copy of the ruling or 

order, within 3 days, on each party. In all other cases, the 

administrative law judge shall issue rulings and orders in writing and 

shall serve a copy of the ruling or order on each party. 

(3) Motions made during the hearing. The administrative law judge 

may issue rulings and orders on motions made during the hearing orally. 

Oral rulings or orders on motions must be made on the record. 

(f) Specific motions. A party may file the following motions with 

the administrative law judge: 

(1) Motion to dismiss for insufficiency. A respondent may file a 

motion to dismiss the complaint for insufficiency instead of filing an 

answer. If the administrative law judge denies the motion to dismiss the 

complaint for insufficiency, the respondent shall file an answer not 

later than 10 days after service of the administrative law judge's 

denial of the motion. A motion to dismiss the complaint for 

insufficiency must show that the complaint fails to state a violation of 

a provision of the Federal aviation statute listed in the first sentence 

in 49 U.S.C. 46301(d)(2) or 

[[Page 65]] 

in 49 U.S.C. 47531, or any implementing rule, regulation, or order, or a 

violation of the Federal hazardous materials transportation statute, 4 9 

U.S.C. 5121-5128, or any implementing rule, regulation or order. 

(2) Motion to dismiss. A party may file a motion to dismiss, 

specifying the grounds for dismissal. If an administrative law judge 

grants a motion to dismiss in part, a party may appeal the 

administrative law judge's ruling on the motion to dismiss under Sec. 

13.219(b) of this subpart. 

(i) Motion to dismiss a request for a hearing. An agency attorney 

may file a motion to dismiss a request for a hearing instead of filing a 

complaint. If the motion to dismiss is not granted, the agency attorney 

shall file the complaint and shall serve a copy of the complaint on each 

party not later than 10 days after service of the administrative law 

judge's ruling or order on the motion to dismiss. If the motion to 

dismiss is granted and the proceedings are terminated without a hearing, 

the respondent may file an appeal pursuant to Sec. 13.233 of this 

subpart. If required by the decision on appeal, the agency attorney 

shall file a complaint and shall serve a copy of the complaint on each 

party not later than 10 days after service of the decision on appeal. 

(ii) Motion to dismiss a complaint. A respondent may file a motion 

to dismiss a complaint instead of filing an answer. If the motion to 

dismiss is not granted, the respondent shall file an answer and shall 

serve a copy of the answer on each party not later than 10 days after 

service of the administrative law judge's ruling or order on the motion 

to dismiss. If the motion to dismiss is granted and the proceedings are 

terminated without a hearing, the agency attorney may file an appeal 

pursuant to Sec. 13.233 of this subpart. If required by the decision on 

appeal, the respondent shall file an answer and shall serve a copy of 

the answer on each party not later than 10 days after service of the 

decision on appeal. 

(3) Motion for more definite statement. A party may file a motion 

for more definite statement of any pleading which requires a response 

under this subpart. A party shall set forth, in detail, the indefinite 

or uncertain allegations contained in a complaint or response to any 

pleading and shall submit the details that the party believes would make 

the allegation or response definite and certain. 

£•/! ni'^nn n 
Page 11 of 23 

(i) Complaint. A respondent may file a motion requesting a more 

definite statement of the allegations contained in the complaint instead 

of filing an answer. If the administrative law judge grants the motion, 

the agency attorney shall supply a more definite statement not later 

than 15 days after service of the ruling granting the motion. If the 

agency attorney fails to supply a more definite statement, the 

administrative law judge shall strike the allegations in the complaint 

to which the motion is directed. If the administrative law judge denies 

the motion, the respondent shall file an answer and shall serve a copy 

of the answer on each party not later than 10 days after service of the 

order of denial. 

(ii) Answer. An agency attorney may file a motion requesting a more 

definite statement if an answer fails to respond clearly to the 

allegations in the complaint. If the administrative law judge grants the 

motion, the respondent shall supply a more definite statement not later 

than 15 days after service of the ruling on the motion. If the 

respondent fails to supply a more definite statement, the administrative 

law judge shall strike those statements in the answer to which the 

motion is directed. The respondent's failure to supply a more definite 

statement may be deemed an admission of unanswered allegations in the 

complaint. 

(4) Motion to strike. Any party may make a motion to strike any 

insufficient allegation or defense, or any redundant, immaterial, or 

irrelevant matter in a pleading. A party shall file a motion to strike 

with the administrative law judge and shall serve a copy on each party 

before a response is required under this subpart or, if a response is 

not required, not later than 10 days after service of the pleading. 

(5) Motion for decision. A party may make a motion for decision, 

regarding all or any part of the proceedings, at any time before the 

administrative law judge has issued an initial decision in the 

proceedings. The administrative law judge shall grant a party's motion 

[[Page 66]] 

for decision if the pleadings, depositions, answers to interrogatories, 

admissions, matters that the administrative law judge has officially 

noticed, or evidence introduced during the hearing show that there is no 

genuine issue of material fact and that the party making the motion is 

entitled to a decision as a matter of law. The party making the motion 

for decision has the burden of showing that there is no genuine issue of 

material fact disputed by the parties. 

(6) Motion for disqualification. A party may file a motion for 

disqualification with the administrative law judge and shall serve a 

copy on each party. A party may file the motion at any time after the 

administrative law judge has been assigned to the proceedings but shall 

make the motion before the administrative law judge files an initial 

decision in the proceedings. 

(i) Motion and supporting affidavit. A party shall state the grounds 

for disqualification, including, but not limited to, personal bias, 

pecuniary interest, or other factors showing disqualification, in the 

motion for disqualification. A party shall submit an affidavit with the 

motion for disqualification that sets forth, in detail, the matters 

alleged to constitute grounds for disqualification. 

(ii) Answer. A party shall respond to the motion for 

disqualification not later than 5 days after service of the motion for 

disqualification. 

(iii) Decision on motion for disqualification. The administrative 

law judge shall render a decision on the motion for disqualification not 

later than 15 days after the motion has been filed. If the 

administrative law judge finds that the motion for disqualification and 

y\ttn'//fr\JUP'hlCroif onr^otrc rm n rwntrlnn i U:~/~~4 . ~t ^ 
Page 12 of 23 

supporting affidavit show a basis for disqualification, the 

administrative law judge shall withdraw from the proceedings 

immediately. If the administrative law judge finds that disqualification 

is not warranted, the administrative law judge shall deny the motion and 

state the grounds for the denial on the record. If the administrative 

law judge fails to rule on a party's motion for discjualification within 

15 days after the motion has been filed, the motion is deemed granted. 

(iv) Appeal. A party may appeal the administrative law judge's 

denial of the motion for disqualification in accordance with Sec. 

13.219(b) of this subpart. 

[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by 71 FR 70464, Dec. 

5, 2006] 

Sec. 13.219 Interlocutory appeals. 

(a) General. Unless otherwise provided in this svibpart, a party may 

not appeal a ruling or decision of the administrative law judge to the 

FAA decisionmaker until the initial decision has been entered on the 

record. A decision or order of the FAA decisionmaker on the 

interlocutory appeal does not constitute a final order of the 

Administrator for the purposes of judicial appellate review as provided 

in Sec. 13.235 of this subpart. 

(b) Interlocutory appeal for cause. If a party files a written 

request for an interlocutory appeal for cause with the administrative 

law judge, or orally requests an interlocutory appeal for cause, the 

proceedings are stayed until the administrative law judge issues a 

decision on the request. If the administrative law judge grants the 

request, the proceedings are stayed until the FAA decisionmaker issues a 

decision on the interlocutory appeal. The administrative law judge shall 

grant an interlocutory appeal for cause if a party shows that delay of 

the appeal would be detrimental to the public interest or would result 

in undue prejudice to any party. 

(c) Interlocutory appeals of right. If a party notifies the 

administrative law judge of an interlocutory appeal of right, the 

proceedings are stayed until the FAA decisionmaker issues a decision on 

the interlocutory appeal. A party may file an interlocutory appeal with 

the FAA decisionmaker, without the consent of the administrative law 

judge, before an initial decision has been entered in the case of: 

(1) A ruling or order by the administrative law judge barring a 

person from the proceedings. 

(2) Failure of the administrative law judge to dismiss the 

proceedings in accordance with Sec. 13.215 of this subpart. 

(3) A ruling or order by the administrative law judge in violation 

of Sec. 13.205(b) of this subpart. 

[[Page 67]] 

(d) Procedure. A party shall file a notice of interlocutory appeal, 

with supporting documents, with the FAA decisionmaker and the hearing 

docket clerk, and shall serve a copy of the notice and supporting 

documents on each party and the administrative, law judge, not later than 

10 days after the administrative law judge's decision forming the basis 

of an interlocutory appeal of right or not later than 10 days after the 

administrative law judge's decision granting an interlocutory appeal for 

cause, whichever is appropriate. A party shall file a reply brief, if 

any, with the FAA decisionmaker and serve a copy of the reply brief on 

each party, not later than 10 days after service of the appeal brief. 

The FAA decisionmaker shall render a decision on the interlocutory 

appeal, on the record and as a part of the decision in the proceedings. 

/• nr\i'\t\i\r\ 
Page 13 of 23 

within a reasonable time after receipt of the interlocutory appeal. 

(e) The FAA decisionmaker may reject frivolous, repetitive, or 

dilatory appeals, and may issue an order precluding one or more parties 

from making further interlocutory appeals in a proceeding in which there 

have been frivolous, repetitive, or dilatory interlocutory appeals. 

[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-23, 55 

FR 45983, Oct. 31, 1990; 71 FR 70464, Dec. 5, 2006] 

Sec. 13.220 Discovery. 

(a) Initiation of discovery. Any party may initiate discovery 

described in this section, without the consent or approval of the 

administrative law judge, at any time after a complaint has been filed 

in the proceedings. 

(b) Methods of discovery. The following methods of discovery are 

permitted under this section: depositions on oral examination or written 

questions of any person; written interrogatories directed to a party; 

requests for production of documents or tangible items to any person; 

and requests for admission by a party. A party is not required to file 

written interrogatories and responses, recjuests for production of 

documents or tangible items and responses, and requests for admission 

and response with the administrative law judge or the hearing docket 

clerk. In the event of a discovery dispute, a party shall attach a copy 

of these documents in support of a motion made under this section. 

(c) Service on the agency. A party shall serve each discovery 

request directed to the agency or any agency employee on the agency 

attorney of record. 

(d) Time for response to discovery requests. Unless otherwise 

directed by this siibpart or agreed by the parties, a party shall respond 

to a request for discoveiry, including filing objections to a request for 

discovery, not later, than 30 days of service of the request. 

(e) Scope of discovery. Subject to the limits on discovery set forth 

in paragraph (f) of this section, a party may discover any matter that 

is not privileged and that is relevant to the subject matter of the 

proceeding. A party may discover information that relates to the claim 

or defense of any party including the existence, description, nature, 

custody, condition, and location of any document or other tangible item 

and the identity and location of any person having knowledge of 

discoverable matter. A party may discover facts )aiown, or opinions held, 

by an expert who any other party expects to call to testify at the 

hearing. A party has no ground to object to a discovery request on the 

basis that the information sought would not be admissible at the hearing 

if the information sought during discovery is reasonsdaly calculated to 

lead to the discovery of admissible evidence. 

(f) Limiting discovery. The administrative law judge shall limit the 

frequency and extent of discovery permitted by this section if a party 

shows that--

(1) The information requested is cumulative or repetitious; 

(2) The information requested can be obtained from another less 

burdensome and more convenient source; 

(3) The party requesting the information has had ample opportunity 

to obtain the information through other discovery methods permitted 

under this section; or 

(4) The method or scope of discovery requested by the party is 

unduly burdensome or expensive. 

[[Page 68]] 

(g) Confidential orders. A party or person who has received a 

Vittn»//-ft-liroV»rTo f A r%r>r*at>t^ rr«>^<^ *-r<-.« »/r*rt-« l»J*-/^ -
Page 14 of 23 

discovery request for information that is related to a trade secret, 

confidential or sensitive material, competitive or commercial 

information, proprietary data, or information on research and 

development, may file a motion for a confidential order with the 

administrative law judge and shall serve a copy of the motion for a 

confidential order on each party. 

(1) The party or person making the motion must show that the 

confidential order is necessary to protect the information from 

disclosure to the public. 

(2) If the administrative law judge determines that the requested 

material is not necessary to decide the case, the administrative law 

judge shall preclude any inquiry into the matter by any party. 

(3) If the administrative law judge determines that the requested 

material may be disclosed during discovery, the administrative law judge 

may order that the material may be discovered and disclosed under 

limited conditions or may be used only under certain terms and 

conditions. 

(4) If the administrative law judge determines that the requested 

material is necessary to decide the case and that a confidential order 

is warranted, the administrative law judge shall provide: 

(i) An opportunity for review of the document by the parties off the 

record; 

(ii) Procedures for excluding the information from the record; and 

(iii) Order that the parties shall not disclose the information in 

any manner and the parties shall not use the information in any other 

proceeding. 

(h) Protective orders. A party or a person who has received a 

request for discovery may file a motion for protective order with the 

administrative law judge and shall serve a copy of the motion for 

protective order on each party. The party or person making the motion 

must show that the protective order is necessary to protect the party or 

the person from annoyance, embarrassment, oppression, or undue burden or 

expense. As part of the protective order, the administrative law judge 

may: 

(1) Deny the discovery request; 

(2) Order that discovery be conducted only on specified terms and 

conditions, including a designation of the time or place for discovery 

or a determination of the method of discovery; or 

(3) Limit the scope of discovery or preclude any inquiry into 

certain matters during discovery. 

(i) Duty to supplement or amend responses. A party who has responded 

to a discovery request has a duty to supplement or amend the response, 

as soon as the information is known, as follows: 

(1) A party shall supplement or amend any response to a question 

requesting the identity and location of any person having knowledge of 

discoverable matters. 

(2) A party shall supplement or amend any response to a question 

requesting the identity of each person who will be called to testify at 

the hearing as an expert witness and the subject matter and substance of 

that witness' testimony. 

(3) A party shall supplement or amend any response that was 

incorrect when made or any response that was correct when made but is no 

longer correct,' accurate, or complete. 

(j) Depositions. The following rules apply to'depositions taken 

pursuant to this section: 

(1) Form. A deposition shall be taken on the record and reduced to 

writing. The person being deposed shall sign the deposition unless the 

parties agree to waive the requirement of a signature. 

(2) Administration of oaths. Within the United States, or a 

territory or possession subject to the jurisdiction of the United 

i:/i A/innn 
Page 15 of 23 

states, a party shall take a deposition before a person authorized to 

administer oaths by the laws of the United States or authorized by the 

law of the place where the examination is held. In foreign countries, a 

party shall take a deposition in any manner allowed by the Federal Rules 

of Civil Procedure. 

(3) Notice of deposition. A party shall serve a notice of 

deposition, stating the time and place of the deposition and the name 

and address of each person to be examined, on the person to be deposed, 

on the administrative law judge, on the hearing docket clerk, and on 

each party not later than 7 days before 

[[Page 69]] 

the deposition. A party may serve a notice of deposition less than 7 

days before the deposition only with consent of the administrative law 

judge. If a subpoena duces tecum is to be served on the person to be 

examined, the party shall attach a copy of the subpoena duces tecum that 

describes the materials to be produced at the deposition to the notice 

of deposition. 

(4) Use of depositions. A party may use any part or all of a 

deposition at a hearing authorized under this subpart only upon a 

showing of good cause. The deposition may be used against any party who 

was present or represented at the deposition or who had reasonsQile 

notice of the deposition. 

(k) Interrogatories. A party, the party's attorney, or the party's 

representative may sign the party's responses to interrogatories. A 

party shall answer each interrogatory separately and completely in 

writing. If a party objects to an interrogatory, the party shall state 

the objection and the reasons for the objection. An opposing party may 

use any part or all of a party's responses to interrogatories at a 

hearing authorized under this subpart to the extent that the response is 

relevant, material, and not repetitious, 

(1) A party shall hot serve more than 30 interrogatories to each 

other party. Each subpart of an interrogatory shall be counted as a 

separate interrogatory, 

(2) A party shall file a motion for leave to serve additional 

interrogatories on a party with the administrative law judge before 

serving additional interrogatories on a party. The administrative law 

judge shall grant the motion only if the party shows good cause for the 

party's failure to inquire aibout the information previously and that the 

information cannot reasonably be obtained using less burdensome 

discovery methods or be obtained from other sources, 

(1) Requests for admission, A party may serve a written request for 

admission of the truth of any matter within the scope of discovery under 

this section or the authenticity of any document described in the 

recfuest, A party shall set forth each request for admission separately. 

A party shall serve copies of documents referenced in the request for 

admission unless the documents have been provided or are reasonably 

available for inspection and copying. 

(1) Time. A party's failure to respond to a request for admission, 

in writing and signed by the attoimey or the party, not later than 30 

days after service of the request, is deemed an admission of the truth 

of the statement or statements contained in the request for admission. 

The administrative law judge may determine that a failure to respond to 

a rec[uest for admission is not deemed an admission of the truth if a 

party shows that the failure was due to circumstances beyond the control 

of the party or the party's attorney. 

(2) Response. A party may object to a request for admission and 

shall state the reasons for objection. A party may specifically deny the 

truth of the matter or describe the reasons why the party is unable to 

Ut+t^.//f^-
Page 16 of 23 

truthfully deny or admit the matter. If a party is unable to deny or 

admit the truth of the matter, the party shall show that the party has 

made reasonaible inquiry into the matter or that the information known 

to, or readily obtainable by, the party is insufficient to ensJale the 

party to admit or deny the matter. A party may admit or deny any part of 

the request for admission. If the administrative law judge determines 

that a response does not comply with the requirements of this rule or 

that the response is insufficient, the matter is deemed admitted. 

(3) Effect of admission. Any matter admitted or deemed admitted 

under this section is conclusively established for the purpose of the 

hearing and appeal. 

(m) Motion to compel discovery. A party may make a motion to compel 

discovery if a person refuses to answer a question during a deposition, 

a party fails or refuses to answer an interrogatory, if a person gives 

an evasive or incomplete answer during a deposition or when responding 

to an interrogatory, or a party fails or refuses to produce documents or 

tangible items. During a deposition, the proponent of a question may 

complete the deposition or may adjourn the examination before making a 

motion to compel if a person refuses to answer. 

(n) Failure to comply with a discovery order or order to compel. If 

a party fails 

[[Page 70]] 

to comply with a discovery order or an order to compel, the 

administrative law judge, limited to the extent of the party's failure 

to comply with the discovery order or motion to compel, may: 

(1) Strike that portion of a party's pleadings; 

(2) Preclude prehearing or discovery motions by that party; 

(3) Preclude admission of that portion of a party's evidence at the 

hearing; or 

(4) Preclude that portion of the testimony of that party's witnesses 

at the hearing. 

[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-23, 55 

FR 45983, Oct. 31, 1990] 

Sec. 13.221 Notice of hearing. 

(a) Notice. The administrative law judge shall give each party at 

least 60 days notice of the date, time, and location of the hearing. 

(b) Date, time, and location of the hearing. The administrative law 

judge to whom the proceedings have been assigned shall set a reasonable 

date, time, and location for the hearing. The administrative law judge 

shall consider the need for discovery and any joint procedural or 

discovery schedule submitted by the parties when determining the hearing 

date. The administrative law judge shall give due regard to the 

convenience of the parties, the location where the majority of the 

witnesses reside or work, and whether the location is served by a 

scheduled air carrier. 

(c) Earlier hearing. With the consent of the administrative law 

judge, the parties may agree to hold the hearing on an earlier date than 

the date specified in the notice of hearing. 

Sec. 13.222 Evidence. 

(a) General. A party is entitled to present the party's case or 

defense by oral, documentary, or demonstrative evidence, to submit 

rebuttal evidence, and to conduct any cross-examination that may be 

required for a full and true disclosure of the facts. 
Page 17 of 23 

(b) Admissibility. A party may introduce any oral, documentary, or 

demonstrative evidence in support of the party's case or defense. The 

administrative law judge shall admit any oral, documentary, or 

demonstrative evidence introduced by a party but shall exclude 

irrelevant, immaterial, or unduly repetitious evidence. 

(c) Hearsay evidence. Hearsay evidence is admissible in proceedings 

governed by this subpart. The fact that evidence submitted by a party is 

hearsay goes only to the weight of the evidence and does not affect its 

admissibility. 

Sec. 13.223 Standard of proof. 

The administrative law judge shall issue an initial decision or 

shall rule in a party's favor only if the decision or ruling is 

supported by, and in accordance with, the reliable, probative, and 

substantial evidence contained in the record. In order to prevail, the 

party with the burden of proof shall prove the party's case or defense 

by a preponderance of reliable, probative, and substantial evidence. 

Sec. 13.224 Burden of proof. 

(a) Except in the case of an affirmative defense, the burden of 

proof is on the agency. 

(b) Except as otherwise provided by statute or rule, the proponent 

of a motion, request, or order has the burden of proof. 

(c) A party who has asserted an affirmative defense has the burden 

of proving the affirmative defense. 

Sec. 13.225 Offer of proof. 

A party whose evidence has been excluded by a ruling of the 

administrative law judge may offer the evidence for the record on 

appeal. 

Sec. 13.226 Public disclosure of evidence. 

(a) The administrative law judge may order that any information 

contained in the record be withheld from public disclosure. Any person 

may object to disclosure of information in the record by filing a 

written motion to withhold specific information with the administrative 

law judge and serving a copy of the motion on each party. The party 

shall state the specific grounds for nondisclosure in the motion. 

(b) The administrative law judge shall grant the motion to withhold 

information in the record if, based on the 

[[Page 71]] 

motion and any response to the motion, the administrative law judge 

determines that disclosure would be detrimental to aviation safety, 

disclosure would not be in the public interest, or that the information 

is not otherwise required to be made available to the public. 

Sec. 13.227 Expert or opinion witnesses. 

An employee of the agency may not be called as an expert or opinion 

witness, for any party other than the FAA, in any proceeding governed by 

this subpart. An employee of a respondent may not be called by an agency 

attorney as an expert or opinion witness for the FAA in any proceeding 

governed by this subpart to which the respondent is a party. 

htirx'/Jfr\\/f*\^nctff* annt^co rtr\r\ fTmr/r»rTi_'Uin/rra+ r^ft- r,,^. 
Page 18 of23 

Sec. 13.228 Subpoenas. 

(a) Request for subpoena. A party may obtain a subpoena to compel 

the attendance of a witness at a deposition or hearing or to require the 

production of documents or tangible items from the hearing docket clerk. 

The hearing docket clerk shall deliver the subpoena, signed by the 

hearing docket clerk or an administrative law judge but otherwise in 

blank, to the party. The party shall complete the subpoena, stating the 

title of the action and the date and time for the witness' attendance or 

production of documents or items. The party who obtained the subpoena 

shall serve the subpoena on the witness. 

(b) Motion to quash or modify the subpoena. A party, or any person 

upon whom a subpoena has been served, may file a motion to quash or 

modify the subpoena with the administrative law judge at or before the 

time specified in the subpoena for compliance. The applicant shall 

describe, in detail, the basis for the application to quash or modify 

the supoena including, but not limited to, a statement that the 

testimony, document, or tangible evidence is not relevant to the 

proceeding, that the subpoena is not reasonably tailored to the scope of 

the proceeding, or that the subpoena is unreasonable and oppressive. A 

motion to quash or modify the subpoena will stay the effect of the 

subpoena pending a decision by the administrative law judge on the 

motion. 

(c) Enforcement of subpoena. Upon a showing that a person has failed 

or refused to comply with a subpoena, a party may apply to the local 

federal district court to seek judicial enforcement of the subpoena in 

accordance with 49 U.S.C. 46104 in cases under the Federal aviation 

statute. 

[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended at 71 FR 70465, Dec. 

5, 2006] 

Sec. 13.229 Witness fees. 

(a) General. Unless otherwise authorized by the administrative law 

judge, the party who applies for a subpoena to compel the attendance of 

a witness at a deposition or hearing, or the party at whose request a 

witness appears at a deposition or hearing, shall pay the witness fees 

described in this section. 

(b) Amount. Except for an employee of the agency who appears at the 

direction of the agency, a witness who appears at a deposition or 

hearing is entitled to the same fees and mileage expenses as are paid to 

a witness in a court of the United States in comparable circumstances, 

Sec. 13.230 Record. 

(a) Exclusive record. The transcript of all testimony in the 

hearing, all exhibits received into evidence, and all motions, 

applications, requests, and rulings shall constitute the exclusive 

record for decision of the proceedings and the basis for the issuance of 

any orders in the proceeding. Any proceedings regarding the 

disqualification of an administrative law judge shall be included in the 

record. 

(b) Examination and copying of record. Any person may examine the 

record at the Hearing Docket, Federal Aviation Administration, 600 

Independence Avenue, SW., Wilbur Wright Building--Room 2014, Washington, 

DC 20591. Documents may also be examined and copied at the U.S. 

Department of Transportation, Docket Operations, West Building Ground 

Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. 

Any person may have a copy of the record after payment of reasonable 

^ n r\i'^r\f\n 
Page 19 of 23 

costs to copy the record. 

[Docket No. 18884, 44 FR 63723, Nov. 5, 1979, as amended at 70 FR 8238, 

Feb. 18, 2005; 72 FR 68474, Dec. 5, 2007] 

[[Page 72]] 

Sec. 13.231 Argument before the administrative law judge. 

(a) Arguments during the hearing. During the hearing, the 

administrative law judge shall give the parties a reasonable opportunity 

to present arguments on the record supporting or opposing motions, 

objections, and rulings if the parties request an opportunity for 

argument. The administrative law judge may request written arguments 

during the hearing if the administrative law judge finds that submission 

of written arguments would be reasonable. 

(b) Final oral argument. At the conclusion of the hearing and before 

the administrative law judge issues an initial decision in the 

proceedings, the parties are entitled to submit oral proposed findings 

of fact and conclusions of law, exceptions to rulings of the 

administrative law judge, and supporting arguments for the findings, 

conclusions, or exceptions. At the conclusion of the hearing, a party 

may waive final oral argument. 

(c) Posthearing briefs. The administrative law judge may request 

written posthearing briefs before the administrative law judge issues an 

initial decision in the proceedings if the administrative law judge 

finds that submission of written arguments would be reasonable. If a 

party files a written posthearing brief, the party shall include 

proposed findings of fact and conclusions of law, exceptions to rulings 

of the administrative law judge, and supporting arguments for the 

findings, conclusions, or exceptions. The administrative law judge shall 

give the parties a reasonable opportunity, not more than 30 days after 

receipt of the transcript, to prepare and submit the briefs. 

Sec. 13.232 Initial decision. 

(a) Contents. The administrative law judge shall issue an initial 

decision at the conclusion of the hearing. In each oral or written 

decision, the administrative law judge shall include findings of fact 

and conclusions of law, and the grounds supporting those findings and 

conclusions, upon all material issues of fact, the credibility of 

witnesses, the applicable law, any exercise of the administrative law 

judge's discretion, the amount of any civil penalty found appropriate by 

the administrative law judge, and a discussion of the basis for any 

order issued in the proceedings. The administrative law judge is not 

required to provide a written explanation for rulings on objections, 

procedural motions, and other matters not directly relevant to the 

substance of the initial decision. If the administrative law judge 

refers to any previous unreported or unpublished initial decision, the 

administrative law judge shall make copies of that initial decision 

available to all parties and the FAA decisionmaker, 

(b) Oral decision. Except as provided in paragraph (c) of this 

section, at the conclusion of the hearing, the administrative law judge 

shall issue the initial decision and order orally on the record. 

(c) Written decision. The administrative law judge may issue a 

written initial decision not later than 3 0 days after the conclusion of 

the hearing or submission of the last posthearing brief if the 

administrative law judge finds that issuing a written initial decision 

is reasonable. The administrative law judge shall serve a copy of any 

written initial decision on each party. 

U-H^./Z-C 1 i 
Page 20 of 23 

(d) Order assessing civil penalty. Unless appealed pursuant to Sec. 

13.233 of this subpart, the initial decision issued by the 

administrative law judge shall be considered an order assessing civil 

penalty if the administrative law judge finds that an alleged violation 

occurred and determines that a civil penalty, in an amount found 

appropriate by the administrative law judge, is warranted. 

Sec. 13.233 Appeal from initial decision. 

(a) Notice of appeal. A party may appeal the initial decision, and 

any decision not previously appealed pursuant to Sec. 13.219, by filing 

a notice of appeal with the FAA decisionmaker. A party must file the 

notice of appeal in the FAA Hearing Docket using the appropriate address 

listed in Sec. 13.210(a). A party shall file the notice of appeal not 

later than 10 days after entry of the oral initial decision on the 

record or service of the written initial decision on the parties and 

shall serve a copy of the notice of appeal on each party. 

(b) Issues on appeal. In any appeal from a decision of an 

administrative 

[[Page 73]] 

law judge, the FAA decisionmaker considers only the following issues: 

(1) Whether each finding of fact is supported by a preponderance of 

reliable, probative, and substantial evidence; 

(2) Whether each conclusion of law is made in accordance with 

applicable law, precedent, and public policy; and 

(3) Whether the administrative law judge committed any prejudicial 

errors that support the appeal. 

(c) Perfecting an appeal. Unless otherwise agreed by the parties, a 

party shall perfect an appeal, not later than 50 days after entry of the 

oral initial decision on the record or service of the written initial 

decision on the party, by filing an appeal brief with the FAA 

decisionmaker. 

(1) Extension of time by agreement of the parties. The parties may 

agree to extend the time for perfecting the appeal with the consent of 

the FAA decisionmaker. If the FAA decisionmaker grants an extension of 

time to perfect the appeal, the appellate docket clerk shall serve a 

letter confirming the extension of time on each party. 

(2) Written motion for extension. If the parties do not agree to an 

extension of time for perfecting an appeal, a party desiring an 

extension of time may file a written motion for an extension with the 

FAA decisionmaker and shall serve a copy of the motion on each party. 

The FAA decisionmaker may grant an extension if good cause for the 

extension is shown in the motion. 

(d) Appeal briefs. A party shall file the appeal brief with the FAA 

decisionmaker and shall serve a copy of the appeal brief on each party. 

(1) A party shall set forth, in detail, the party's specific 

objections to the initial decision or rulings in the appeal brief. A 

party also shall set forth, in detail, the basis for the appeal, the 

reasons supporting the appeal, and the relief requested in the appeal. 

If the party relies on evidence contained in the record for the appeal, 

the party shall specifically refer to the pertinent evidence contained 

in the transcript in the appeal brief. 

(2) The FAA decisionmaker may dismiss an appeal, on the FAA 

decisionmaker's own initiative or upon motion of any other party, where 

a party has filed a notice of appeal but fails to perfect the appeal by 

timely filing an appeal brief with the FAA decisionmaker. 

(e) Reply brief. Unless otherwise agreed by the parties, any party 

may file a reply brief with the FAA decisionmaker not later than 35 days 
Page 21 of 23 

after the appeal brief has been served on that party. The party filing 

the reply brief shall serve a copy of the reply brief on each party. If 

the party relies on evidence contained in the record for the reply, the 

party shall specifically refer to the pertinent evidence contained in 

the transcript in the reply brief. 

(1) Extension of time by agreement of the parties. The parties may 

agree to extend the time for filing a reply brief with the consent of 

the FAA decisionmaker. If the FAA decisionmaker grants an extension of 

time to file the reply brief, the appellate docket clerk shall serve a 

letter confirming the extension of time on each party. 

(2) Written motion for extension. If the parties do not agree to an 

extension of time for filing a reply brief, a party desiring an 

extension of time may file a written motion for an extension with the 

FAA decisionmaker and shall serve a copy of the motion on each party. 

The FAA decisionmaker may grant an extension if good cause for the 

extension is shown in the motion. 

(f) other briefs. The FAA decisionmaker may allow any person to 

submit an amicus curiae brief in an appeal of an initial decision. A 

party may not file more than one appeal brief or reply brief. A party 

may petition the FAA decisionmaker, in writing, for leave to file an 

additional brief and shall serve a copy of the petition on each party. 

The party may not file the additional brief with the petition. The FAA 

decisionmaker may grant leave to file an additional brief if the party 

demonstrates good cause for allowing additional argument on the appeal. 

The FAA decisionmaker will allow a reasonable time for the party to file 

the additional brief. 

(g) Number of copies. A party shall file the original appeal brief 

or the original reply brief, and two copies of the brief, with the FAA 

decisionmaker. 

(h) Oral argument. The FAA decisionmaker has sole discretion to 

permit 

[[Page 74]] 

oral argument on the appeal. On the FAA decisionmaker's own initiative 

or upon written motion by any party, the FAA decisionmaker may find that 

oral argument will contribute substantially to the development of the 

issues on appeal and may grant the parties an opportunity for oral 

argument. 

(i) Waiver of objections on appeal. If a party fails to object to 

any alleged error regarding the proceedings in an appeal or a reply 

brief, the party waives any objection to the alleged error. The F7^ 

decisionmaker is not required to consider any objection in an appeal 

brief or any argument in the reply brief if a party's objection is based 

on evidence contained on the record and the party does not specifically 

refer to the pertinent evidence from the record in the brief. 

(j) FAA decisionmaker's decision on appeal. The FAA decisionmaker 

will review the record, the briefs on appeal, and the oral argument, if 

any, when considering the issues on appeal. The FAA decisionmaker may 

affirm, modify, or reverse the initial decision, make any necessary 

findings, or may remand the case for any proceedings that the FAA 

decisionmaker determines may be necessary. 

(1) The FAA decisionmaker may raise any issue, on the FAA 

decisionmaker's own initiative, that is required for proper disposition 

of the proceedings. The FAA decisionmaker will give the parties a 

reasonable opportunity to submit arguments on the new issues before 

making a decision on appeal. If an issue raised by the FAA decisionmaker 

requires the consideration of additional testimony or evidence, the FAA 

decisionmaker will remand the case to the administrative law judge for 

further proceedings and an initial decision related to that issue. If an 

i,++~.//« 1— * 
Page 22 of 23 

issue raised by the FAA decisionmaker is solely an issue of law or the 

issue was addressed at the hearing but was not raised by a party in the 

briefs on appeal, a remand of the case to the administrative law judge 

for further proceedings is not required but may be provided in the 

discretion of the FAA decisionmaker. 

(2) The FAA decisionmaker will issue the final decision and order of 

the Administrator on appeal in writing and will serve a copy of the 

decision and order on each party. Unless a petition for review is filed 

pursuant to Sec. 13.235, a final decision and order of the 

Administrator shall be considered an order assessing civil penalty if 

the FAA decisionmaker finds that an alleged violation occurred and a 

civil penalty is warranted. 

(3) A final decision and order of the Administrator after appeal is 

precedent in any other civil penalty action. Any issue, finding or 

conclusion, order, ruling, or initial decision of an administrative law 

judge that has not been appealed to the FAA decisionmaker is not 

precedent in any other civil penalty action. 

[Amdt. 13-21, 55 FR 27575, July 3, 1990, as amended by Amdt. 13-32; 69 

FR 59498, Oct. 4, 2004; 70 FR 13345, Mar. 21, 2005] 

Sec. 13.234 Petition to reconsider or modify a final decision and 

order of the FAA decisionmaker on appeal. 

(a) General. Any party may petition the FAA decisionmaker to 

reconsider or modify a final decision and order issued by the FAA 

decisionmaker on appeal from an initial decision. A party shall file a 

petition to reconsider or modify with the FAA decisionmaker not later 

than 30 days after service of the FAA decisionmaker's final decision and 

order on appeal and shall serve a copy of the petition on each party. 

The FAA decisionmaker will not reconsider or modify an initial decision 

and order issued by an administrative law judge that has not been 

appealed by any party to the FAA decisionmaker. 

(b) Form and number of copies. A party shall file a petition to 

reconsider or modify, in writing, with the FAA decisionmaker. The party 

shall file the original petition with the FAA decisionmaker and shall 

serve a copy of the petition on each party. 

(c) Contents. A party shall state briefly and specifically the 

alleged errors in the final decision and order on appeal, the relief 

sought by the party, and the grounds that support, the petition to 

reconsider or modify. 

(1) If the petition is based, in whole or in part, on allegations 

regarding the 

[[Page 75]] 

consequences of the FAA decisionmaker's decision, the party shall 

describe these allegations and shall describe, and support, the basis 

for the allegations. 

(2) If the petition is based, in whole or in part, on new material 

not previously raised in the proceedings, the party shall set forth the 

new material and include affidavits of prospective witnesses and 

authenticated documents that would be introduced in support of the new 

material. The party shall explain, in detail, why the new material was 

not discovered through due diligence prior to the hearing. 

(d) Repetitious and frivolous petitions. The FAA decisionmaker will 

not consider repetitious or frivolous petitions. The FAA decisionmaker 

may summarily dismiss repetitious or frivolous petitions to reconsider 

or modify. 

(e) Reply petitions. Any other party may reply to a petition to 
Page 23 of 23 

reconsider or modify, not later than 10 days after service of the 

petition on that party, by filing a reply with the FAA decisionmaker. A 

party shall serve a copy of the reply on each party. 

(f) Effect of filing petition. Unless otherwise ordered by the FAA 

decisionmaker, filing of a petition pursuant to this section will not 

stay or delay the effective date of the FAA decisionmaker's final 

decision and order on appeal and shall not toll the time allowed for 

judicial review. 

(g) FAA decisionmaker's decision on petition. The FAA decisionmaker 

has sole discretion to grant or deny a petition to reconsider or modify. 

The FAA decisionmaker will grant or deny a petition to reconsider or 

modify within a reasonable time after receipt of the petition or receipt 

of the reply petition, if any. The FAA decisionmaker may affirm, modify, 

or reverse the final decision and order on appeal, or may remand the 

case for any proceedings that the FAA decisionmaker determines may be 

necessary. 

[Amdt. 13-21, 55 FR 27575, July 3, 1990; 55 FR 29293, July 18, 1990; 

Amdt. 13-23, 55 FR 45983, Oct. 31, 1990] 

Sec. 13.235 Judicial review of a final decision and order. 

(a) In cases under the Federal aviation statute, a party may seek 

judicial review of a final decision and order of the Administrator, as 

provided in 49 U.S.C. 46110(a), and, as applicable, in 49 U.S.C. 

46301(d) (7) (D) (iii) , 46301(g), or 47532. 

(b) In cases under the Federal hazardous materials transportation 

statute, a party may seek judicial review of a final decision and order 

of the Administrator, as provided in 4 9 U.S.C. 5127. 

(c) A party seeking judicial review of a final order issued by the 

Administrator may file a petition for review in the United States Court 

of Appeals for the District of Columbia Circuit or in the United States 

Court of Appeals for the circuit in which the party resides or has its 

principal place of business. 

(d) The party must file the petition for review no later than 60 

days after service of the Administrator's final decision and order. 

[Doc. No. FAA-2006-26477, 71 FR 70465, Dec. 5, 2006] 

http://fhvebgate.access.cDo.eov/cpi-Hin/a«»t-rfr/-rrJ 
)9/08/2010 15:57 14188274830 HARRISON YACHT SALES PAGE 01 

m HARRiSON 

ii^t^YAGHT SALES, iNC. 

Kent Nairows 

PO BOX 98 

Grasonville, MD 21638 

(410) 827-7800 hvs(S>hanisonvachtsales. com Fax (410) 827-4830 

FAX COYER SH^CT 

TO: Mary Madeline McCarthy, Complainant's Counsel 

FROM: David Harrison 

DATE: September 9,2010 

RE: FAA Docket no. CP10EA0006 

TOTAL NUMBER OF PAGES INCLUDING THIS COVER SHEETi 3 

Ms. McCarthy, 

The following two pages are In response to the Notice Of Assignment Of Proceeding. As 

requested we are sending your copy as well as a copy of the sen/ice list. 

rsincerely, \ T -\s OL ' 

David Harrison 

President 

\ 

' \ 

/ 

^^ 

EXHIBIT 
In tnc past two years over 60% of boat dealers in Maryland have gone out of business due to the economy. My 

business is no longer in boat sales, but simply trying to stay in business by servicing boats. I'm down to four full I2 

time employee:? and may not survive the upcoming winter if business does not improve. 

2) Hanison Yacht Sales is not in the business of shipping. Nearly all goods are received from our supplier's own 

trucks; therefore we do not need trained personal in ^pping hazardous materials. 

3) In the summer of 2008, one of our suppliers requested that we return one gallon of bottom paint via UPS. They 

supplied the return authorization code which we filled out. Again not being fiuniliar with shipping forms my 

employee inadvertently clicked the wrong box for "two day air" on the on-line UPS fonn. I certainly admit that 

we made the mistake and surly had nothing to gain by expediting this paint back to the supplier. 

4) I think a fine of $3,000.00 (last offer from FAA attorney) is excessive and crippling to a small business, just 

trying to survive in these tough times. 

We regret making this mistake, and can assure you it will never happen again and appreciate any help you can 

provide. 

David Harrison 

President 
09/08/2010 15:57 14108274830 HARRISON YACHT SALES PAGE 03 

m HARRISON 

i^itisM YACM T SALES , IMC . 

Kent Narrows 

POBOX98 

Grasonville, MD 21638 

(410) 827-7800 tivs0>han1sonvachtsales.com Fax (410) 827-4830 

FAA Docket No. CP10EA006 

(Civil Penalty Action) 

Service List 

Original & One Copy 

Federal Aviation Administration 

800 Independence Ave, S.W. 

Washington, DC 20S91 

Attention: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building - Suite 2W1000 

Original Letter and One Faxed Copy of Letter and Service List 

The Honorable Ronnie A. Yoder, Chief Administrative Law Judge 

U.S. Department of Transportation 

Office of Hearings, M-20, Room El 2-320 

1200 New Jersey Avenue, S.EWashington, DC 20590 

TEL: 202-366-2142 

Fax: 202-366-7536 

Faxed Copy of Letter and Service List 

Mary Madeline McCarthy, Complainant's Counsel 

Attorney, Office of the Regional Coiuiscl, EAL-7 

Federal Aviation Administration 

1 Aviation Plaza 

Jamaica, NY 11434 

TEL: 718-553-3267 

FAX: 718-995-5699 

One Copy 

David Harrison, President 

Harrison Yacht Sales, inc., Respondent 

106 Wells Cove Road 

P.O. Box 98 

Orasonville, MD 21638 

TEL: 410-827-7800 

FAX: 410-827-4830 
U.S. Postal ServiceTM 

CERTIFIED MAILTM RECEIPT 

(Domestic Mail Only; No Insurance Coverage Provided) 

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Postage 

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Return Receipt Fee 

(Endorsement Required) 

Restricted Delivery Fee 

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Total Postage & Fees 

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CERTIFIED MAILrM RECEIPT 

(Domestic Mail Only; No Insurance Coverage Provided) 

For delivery information visit our website at www.usps.com 

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