Source: https://www.federalregister.gov/articles/2012/10/16/2012-25400/rules-of-practice-in-air-safety-proceedings-rules-implementing-the-equal-access-to-justice-act-of
Timestamp: 2015-03-05 06:31:40
Document Index: 160807409

Matched Legal Cases: ['art 821', '§ 821', 'ART 821', 'art 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', '§ 821', 'art.\n12', '§ 821', '§ 821', 'ART 826', 'art 826', '§ 826', '§ 826', '§ 826', '§ 826']

Federal Register | Rules of Practice in Air Safety Proceedings; Rules Implementing the Equal Access to Justice Act of 1980
77 FR 63245
-63253 (9 pages)
Shorter URL: https://federalregister.gov/a/2012-25400 Related Topics
Practice in Air Safety Proceedings, etc.
A. Section 821.54 (Disposition of Petitions for Review of Emergency Determinations of the Federal Aviation Administration)
A copy of the NPRM, published in the Federal Register (FR), is available for inspection and copying in the NTSB's public reading room, located at 490 L'Enfant Plaza SW., Washington, DC 20594-2003. Alternatively, a copy of the NPRM is available on the government-wide Web site on regulations at http://www.regulations.gov (Docket ID Number NTSB-GC-2011-0001).
I. Notice of Proposed Rulemaking Back to Top
The aspect of the standard relating to the law judges' assumption of the truth of the FAA's allegations of fact prompted much feedback.
II. Comments Received on the NPRM and Responses Thereto Back to Top
The NTSB received nine comments in response to the NPRM, which are available at http://www.regulations.gov (Docket No. NTSB-GC-2011-0001). The NTSB carefully considered all comments received in response to the NPRM, as well as the preceding ANPRM.
This section contains summaries of the NRPM comments. The NTSB's responses to the comments are included in the section below entitled “Changes.”
The comments primarily address the NTSB's regulations governing review of emergency determinations, but also provide feedback concerning other NTSB regulations. Most of the comments assert the current standard for review of FAA emergency determinations is fundamentally unfair because it requires the NTSB's law judges to assume the truth of the factual allegations the FAA makes in its emergency order. While the NTSB did not propose changing the standard of review in the NPRM, it did propose a requirement that the FAA provide a copy of the EIR to each respondent in emergency cases at the time the FAA issues its emergency order. Following publication of the NPRM and the comment period, Congress passed the Pilot's Bill of Rights. Pub. L. No. 112-153 (August 3, 2012). The statute requires the FAA to release the EIR in each case. Id. section 2(b)(2)(E). As a result, the EIR proposal in the NPRM is moot as it now is required by statute. Therefore, this final rule will not address the release of the EIR, rather the NTSB addresses that requirement in an interim final rule in response to the Pilot's Bill of Rights. This interim final rule is published elsewhere in this issue of the Federal Register.
The Air Line Pilots Association, International (ALPA), also submitted a comment concerning the emergency actions. ALPA strongly disagrees with the decision to leave the “assuming the truth” standard of review undisturbed, and proposed adding a requirement that law judges must consider evidence a respondent submits in his or her challenge to the emergency status of a case. ALPA's comment also states the NTSB should consider the amount of time the FAA knew of the alleged wrongdoing before issuing an emergency order, as this time period is relevant to whether the case is a legitimate emergency.
Similarly, the Aircraft Owners and Pilots Association (AOPA) disagrees with the intent to leave the emergency determination standard of review unchanged. AOPA's comment contends Congress, in authorizing us to review emergency appeals of aviation certificate actions, intended to provide each respondent with a “substantive review” of the emergency action. AOPA notes it “remains perplexed as to why the NTSB maintains that this type of review does not lend itself to evidentiary proof.” AOPA states it is mindful of the time constraints applicable to emergency cases, but contends the time limits should not be a reason to “undermine meaningful review” of the emergency status. AOPA suggests an allowance for telephonic presentations and arguments concerning whether the emergency status of a case is warranted, and argues the law judges should have discretion concerning whether to assume the truth of the factual allegations contained in the FAA's emergency orders. AOPA agrees with the proposal that law judges may consider evidence a respondent submits in challenging an emergency order.
[w]hile NATA strongly believes that the NTSB should create no presumption with regard to the FAA's factual allegations, NATA believes that a rebuttable presumption standard is the absolute minimum review standard necessary to provide to the NTSB at least some argument that it is providing due process, appropriate checks and balances and the type of meaningful, impartial and independent review of FAA's emergency determination that Congress intended.
NATA asserts the requirement to defer to the FAA's interpretation of the Federal Aviation Regulations (as required by 49 U.S.C. 44709(d)(3)),
combined with the “assuming the truth” standard, results in too much deference to the FAA. NATA also believes the law judges would not grant a challenge to the FAA's emergency action even when the respondent presents evidence indicating the factual allegations are not true, as a result of the deferential standard of review.
The Transport Workers Union of America (TWU) commented concerning the standard of review of the emergency status of cases. TWU acknowledges the need for some deference to the FAA's factual allegations, given the fact that a challenge concerning the emergency status is limited in scope and cannot consist of litigating the merits of the case. As with its response to the ANPRM, TWU again suggests adoption of a less deferential standard of review than the current “assuming the truth” standard. TWU analogizes its proposed review of FAA emergency cases to Federal courts' review of temporary restraining orders or preliminary injunctionsto require the FAA to show a substantial likelihood of success on the merits.
TWU notes other Federal agencies apply this “substantial likelihood of success” standard when determining whether to grant a stay of a case.
In order to implement these statutory provisions, on July 11, 2000, the NTSB published an interim rule with a request for comments. 65 FR 42637. This interim rule amended 49 CFR part 821 by providing NTSB's law judges with the authority to issue orders affirming or denying the FAA's emergency determination under 49 U.S.C. 44709(e). The interim rule directed NTSB law judges to determine whether the Administrator abused his or her discretion in finding an emergency existed under the facts alleged in the Administrator's order. The NTSB assumed the facts to be true for the limited purpose of reviewing the emergency determination. The NTSB incorporated the abuse of discretion standard of review that had been set forth in Nevada Airlines v. Bond, 622 F.2d 1017 (9th Cir. 1980).
Courts have since upheld the “arbitrary and capricious, an abuse of discretion, or otherwise not in accordance with law” standard in other cases. See Ickes v. FAA, 299 F.3d 260 (3d Cir. 2002) (citing Blackman v. Busey, 938 F.2d 659, 663 (6th Cir. 1991)); Armstrong v. FAA, 515 F.3d 1294 (D.C. Cir. 2008).
[w]ithin 5 days after the Board's receipt of [a petition for review of the FAA's emergency determination], the * * * law judge * * * shall dispose of the petition by written order, and, in so doing, shall consider whether, based on the acts and omissions alleged in the Administrator's order, and assuming the truth of such factual allegations, the Administrator's emergency determination was appropriate under the circumstances, in that it supports a finding that aviation safety would likely be compromised by a stay of the effectiveness of the order during the pendency of the respondent's appeal.
This standard, therefore, was a departure from the more stringent standard the courts affirmed.
Several parties commented on the proposed changes to allow for electronic submission of documents. All commenters generally concur with permitting electronic submission. AOPA agrees with the move toward an electronic filing system by accepting documents via electronic mail, and stated it also agrees with the proposal to continue receiving documents by facsimile or postal mail, as not all respondents may have access to electronic mail. NBAA and NATA, however, both suggest creation of an electronic docketing system, such as the Federal courts' Public Access to Court Electronic Records (PACER) system. They indicate electronic docketing would provide for the timeliest and most efficient means of allowing parties to receive documents, and therefore provide a “level playing field” for both parties. ALPA's comment states it agrees with the proposed changes to allow for electronic submission of documents.
Some commenters, such as NATA and NBAA, indicate they have “no objection” to the proposed change in § 821.12(b). The Aviation Law Firm suggests changing the word “may” to “shall,” to require law judges to accept arguments on the issue of dismissal with or without prejudice. The comment from the Aviation Law Firm includes a summary of recent cases concerning the EAJA. In particular, in the case of Green Aviation Management Co., LLC v. Federal Aviation Administration, 676 F.3d 200 (DC Cir. 2012), the DC Circuit indicated the with-or-without-prejudice prong of the three-prong test articulated in District of Columbia v. Straus, 590 F.3d 898 (DC Cir. 2010), is indeed an important consideration. In Green, the District of Columbia Circuit Court of Appeals held the applicant was the prevailing party because the law judge dismissed the complaint with prejudice. Green, 676 F.3d at 204-205. Because this prong is such an important consideration, the Aviation Law Firm suggests the NTSB rules state law judges “shall” consider arguments concerning whether they should dismiss a case with prejudice when the FAA withdraws the complaint.
Likewise, AOPA submitted a comment urging the NTSB to change the EAJA rules to allow a respondent to recover fees from the time he or she begins preparing the defense (i.e., once the respondent becomes aware of the investigation). As with the FAA's suggestion regarding the calculation for the cap of fees under the EAJA, the NTSB did not propose a change or solicit comments regarding when to permit recovery of fees to commence. As a result, the NTSB declines to consider this change in the current rulemaking.
Finally, ARSA suggests an alteration to the language in the stale complaint rule (codified at 49 CFR 821.33), to shift the burden to the FAA in response to a respondent's motion to dismiss based on the stale complaint rule. Specifically, ARSA suggests changing the rule to require the FAA to reply within 15 days of a motion to dismiss based on the stale complaint rule, and to require the reply show good cause existed for the FAA's delay, or that public interest warrants imposition of the sanction, notwithstanding the delay. The NTSB did not propose a change or request comments concerning the stale complaint rule. Therefore, as indicated above, the NTSB will not attempt to issue such a change herein.
III. Regulatory Analyses Back to Top
The NTSB is also aware that the Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires each agency to review its rulemaking to assess the potential impact on small entities, unless the agency determines that a rule is not expected to have a significant economic impact on a substantial number of small entities. The NTSB certifies this final rule will not have a significant economic impact on a substantial number of small entities.
PART 821—RULES OF PRACTICE IN AIR SAFETY PROCEEDINGS Back to Top
1.The authority citation for 49 CFR part 821 is revised to read as follows: Authority:
2.In § 821.6, revise paragraphs (b) and (d) to read as follows: § 821.6 Appearances and rights of witnesses.
3.In § 821.7, revise paragraphs (a), (e), and (f) to read as follows: § 821.7 Filing of documents with the Board.
(a) Filing address, method and date of filing. (1) Except as provided in paragraph (a)(2) of this section, documents are to be filed with the Office of Administrative Law Judges, National Transportation Safety Board, 490 L'Enfant Plaza East SW., Washington, DC 20594, and addressed to the assigned law judge, if any. If the proceeding has not yet been assigned to a law judge, documents shall be addressed to the Case Manager. Paragraph (a)(3) of this section provides the acceptable methods for filing documents under this provision.
(2) Subsequent to the filing of a notice of appeal with the Office of Administrative Law Judges from a law judge's initial decision or appealable order, the issuance of a decision permitting an interlocutory appeal, or the expiration of the period within which an appeal from the law judge's initial decision or appealable order may be filed, all documents are to be filed with the Office of General Counsel, National Transportation Safety Board, 490 L'Enfant Plaza East SW., Washington, DC 20594. Paragraph (a)(3) of this section provides the acceptable methods for filing documents under this provision.
(f) Designation of person to receive service. The initial document filed by a party in a proceeding governed by this part, and any subsequent document advising the Board of any representation or change in representation of a party that is filed pursuant to § 821.6(d), shall show on the first page the name, address and telephone number of the person or persons who may be served with documents on that party's behalf.
4.In § 821.8, revise paragraphs (a), (b)(1), (c), (d), and (e) to read as follows: § 821.8 Service of documents.
(a) Who must be served. (1) Copies of all documents filed with the Board must be simultaneously served on (i.e., sent to) all other parties to the proceeding, on the date of filing, by the person filing them. A certificate of service shall be a part of each document and any copy or copies thereof tendered for filing, and shall certify concurrent service on the Board and the parties. A certificate of service shall be in substantially the following form:
I hereby certify that I have this day served the foregoing [specify document] on the following party's counsel or designated representatives [or party, if without counsel or representative], at the address indicated, by [specify the method of service (e.g., first-class mail, electronic mail, personal service, etc.)] [List names and addresses of all persons served] Dated at ___this__ day of_____ 20_ (Signature)_____ For (on behalf of)_____
(2) Service shall be made on the person designated in accordance with § 821.7(f) to receive service. If no such person has been designated, service shall be made directly on the party. (b) Method of Service. (1) Service of documents by any party on any other party shall be accomplished by any method prescribed in § 821.7(a)(3) for the filing of documents with the Board. A party may waive the applicability of this paragraph, and elect to be served with documents by the other parties to the proceeding solely by electronic mail, by filing a written document with the Board (with copies to the other parties) expressly stating such a preference.
(c) Where service shall be made. Except for electronic mail, personal service, parties shall be served at the address appearing in the official record, which the Board must receive under §§ 821.6(d) and 821.7(f). In the case of an agent designated by an air carrier under 49 U.S.C. 46103, service may be accomplished only at the agent's office or usual place of residence.
(e) Date of service. The date of service shall be determined in the same manner as the filing date is determined under § 821.7(a)(4).
5.In § 821.12, revise paragraph (b) to read as follows: § 821.12 Amendment and withdrawal of pleadings.
(b) Withdrawal. Except in the case of a petition for review, an appeal to the Board, a complaint, or an appeal from a law judge's initial decision or appealable order, pleadings may be withdrawn only upon approval of the law judge or the Board. The law judge may dismiss the case after receiving a motion to dismiss based on withdrawal of the complaint. The law judge shall accept arguments or motions, oral or written, from the parties, if offered, on the issue of whether a dismissal resulting from the withdrawal of a complaint should be deemed to occur with or without prejudice.
6.In § 821.35, revise paragraph (b)(10) to read as follows: § 821.35 Assignment, duties and powers.
7.In § 821.50, revise paragraph (c) to read as follows: § 821.50 Petition for rehearing, reargument, reconsideration or modification of an order of the Board.
8.In § 821.52, add paragraph (e) to read as follows: § 821.52 General.
9.In § 821.54, paragraphs (b), (c), and (e) to read as follows: § 821.54 Petition for review of Administrator's determination of emergency.
(b) Form, content and service of petition. The petition may be in letter form. A copy of the Administrator's order, from which review of the emergency determination is sought, must be attached to the petition. If a copy of the order is not attached, the petition will be dismissed. While the petition need only request that the Board review the Administrator's determination as to the existence of an emergency requiring the order be effective immediately, it may also enumerate the respondent's reasons for believing that the Administrator's emergency determination is not warranted in the interest of aviation safety. The respondent may include attachments to the petition for review (e.g., affidavits, other documents or records) limited to evidence the respondent believes supports the reasons enumerated in the petition for why the Administrator's emergency determination is not warranted in the interest of aviation safety.
(c) Reply to petition. If the petition enumerates the respondent's reasons for believing that the Administrator's emergency determination is unwarranted, the Administrator may, within 2 days after the date of service of the petition, file a reply, which shall be strictly limited to matters of rebuttal. No submissions other than the respondent's petition and the Administrator's reply in rebuttal will be accepted, except in accordance with paragraph (d) of this section.
(e) Disposition. Within 5 days after the Board's receipt of the petition, the chief law judge (or, if the case has been assigned to a law judge other than the chief law judge, the law judge to whom the case is assigned) shall dispose of the petition by written order, and, in so doing, shall consider whether, based on the acts and omissions alleged in the Administrator's order, and assuming the truth of such factual allegations, the Administrator's emergency determination was appropriate under the circumstances, in that it supports a finding that aviation safety would likely be compromised by a stay of the effectiveness of the order during the pendency of the respondent's appeal. In making this determination, however, the law judge is not so limited to the order's factual allegations themselves, but also shall permit evidence, if appropriate, pertaining to the propriety of the emergency determination, presented by the respondent with the petition and the Administrator with the reply to the petition. This evidence can include affidavits or other such records.
10.In § 821.55, revise paragraph (a) to read as follows: § 821.55 Complaint, answer to complaint, motions and discovery.
(a) Complaint. In proceedings governed by this subpart, the Administrator's complaint shall be filed and simultaneously served on the respondent within 3 days after the date on which the Administrator received the respondent's appeal, or within 3 days after the date of service of an order disposing of a petition for review of an emergency determination, whichever is later.
11.In § 821.57, revise paragraphs (b) and (c) to read as follows: § 821.57 Procedure on appeal.
(b) Briefs and oral argument. Each appeal in proceedings governed by this subpart must be perfected, within 5 days after the date on which the notice of appeal was filed, by the filing, and simultaneous service on the other parties, of a brief in support of the appeal. Any other party to the proceeding may file a brief in reply to the appeal brief within 7 days after the date on which the appeal brief was served on that party. A copy of the reply brief shall simultaneously be served on the appealing party and any other parties to the proceeding. Aside from the time limits specifically mandated by this paragraph, the provisions of §§ 821.7(a)(3) and 821.48 shall apply.
(c) Issues on appeal. The provisions of § 821.49(a) and (b) shall apply in proceedings governed by this subpart.
12.In § 821.64, revise paragraph (b) to read as follows: § 821.64 Judicial Review.
(b) Stay pending judicial review. No request for a stay pending judicial review will be entertained unless it is served on the Board within 15 days after the date of service of the Board's order. The non-moving party may, within 5 days after the date of service of such a motion, file a reply thereto.
PART 826—RULES IMPLEMENTING THE EQUAL ACCESS TO JUSTICE ACT OF 1980 Back to Top
13.The authority citation for 49 CFR part 826 continues read as follows: Authority:
Section 203(a)(1) 99, 99 Stat. 186 (5 U.S.C. 504).
14.Revise § 826.1 to read as follows: § 826.1 Purpose of these rules.
15.Revise § 826.40 to read as follows: § 826.40 Payment of award.
1. Comments submitted in response to the ANPRM are also available in Docket No. NTSB-GC-2011-0001.
2. The Pilot's Bill of Rights removes the requirement that the Board defer to the FAA's interpretation of the Federal Aviation Regulations.
3. As TWU notes in its comment, review of a “traditional stay” consists of a four-part test: (1) Likelihood that the party seeking action would prevail on the merits to any challenge sought; (2) the aggrieved party would suffer irreparable harm in the absence of a stay; (3) other interested parties would not be substantially harmed by a stay; and (4) the public interest supports the granting of a stay. Washington Metro Area Transit Comm'n v. Holiday Tours, Inc., 559 F.2d 841, 843 (D.C. Cir. 1977). TWU's comment also cited a Surface Transportation Board decision for this standard: Eighteen Thirty Group LLC—Acquisition Exemption—in Allegheny County, MD, STB FD 35438, 2010 WL 4639505.
4. TWU cited a Surface Transportation Board (STB) case, Eighteen Thirty Group LLC—Acquisition Exemption in Allegheny County, MD, STB FD 35438, 2010 WL 4639505, in which the STB determined whether to grant a motion to stay their decision. TWU's comment also included citations to two cases from the District of Columbia Court of Appeals that addressed organizations' petitions to agencies for injunctions.
5. In Nevada Airlines, the Ninth Circuit stated as follows concerning review of the emergency status of cases: “[w]ithout an administrative record or agency hearing at this stage of the proceedings and in light of the Administrator's broad discretion, we limit our review to determining whether the Administrator's finding of an emergency was arbitrary and capricious, an abuse of discretion, or otherwise not in accordance with law.”Id. at 1020.