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Federal Register / Vol. 86, No. 188 / Friday, October 1, 2021 / Rules and Regulations 13.119 Immunity and orders requiring testimony or other information.
13.121 Witness fees.
13.123 Submission by party to the investigation.
13.125 Depositions.
13.127 Reports, decisions, and orders.
13.129 Post-investigation action.
13.131 Other procedures.
13.101

13.109

13.111

Applicability.

a This subpart applies to fact-finding investigations in which an investigation has been ordered under 13.3c or 13.5f2.
b This subpart does not limit the authority of any person to issue subpoenas, administer oaths, examine witnesses, and receive evidence in any informal investigation as otherwise provided by law.
13.103

Order of investigation.

The order of investigation a Defines the scope of the investigation by describing the information sought in terms of its subject matter or its relevancy to specified FAA functions;
b Sets forth the form of the investigation which may be either by individual deposition or investigative proceeding or both; and c Names the official who is authorized to conduct the investigation and serve as the presiding officer.
13.105

Notification.

Any person under investigation and any person required to testify and produce documentary or physical evidence during the investigation will be advised of the purpose of the investigation, and of the place where the investigative proceeding or deposition will be convened. This may be accomplished by a notice of investigation or by a subpoena. A copy of the order of investigation may be sent to such persons when appropriate.
13.107

Designation of additional parties.

a The presiding officer may designate additional persons as parties to the investigation, if in the discretion of the presiding officer, it will aid in the conduct of the investigation.
b The presiding officer may designate any person as a party to the investigation if 1 The person petitions the presiding officer to participate as a party;
2 The disposition of the investigation may as a practical matter impair the ability to protect the persons interest unless allowed to participate as a party; and 3 The persons interest is not adequately represented by existing parties.

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Convening the investigation.

The presiding officer will conduct the investigation at a location convenient to the parties involved and as expeditious and efficient as handling of the investigation permits.
Subpoenas.

a At the discretion of the presiding officer, or at the request of a party to the investigation, the presiding officer may issue a subpoena directing any person to appear at a designated time and place to testify or to produce documentary or physical evidence relating to any matter under investigation.
b Subpoenas must be served by personal service on the person or an agent designated in writing for the purpose, or by registered or certified mail addressed to the person or agent.
Whenever service is made by registered or certified mail, the date of mailing will be considered the time when service is made.
c Subpoenas extend in jurisdiction throughout the United States and any territory or possession thereof.
13.113 Noncompliance with the investigative process.

a If a person disobeys a subpoena, the Administrator or a party to the investigation may petition a court of the United States to enforce the subpoena in accordance with applicable statutes.
b If a party to the investigation fails to comply with the provisions of this subpart or an order issued by the presiding officer, the Administrator may bring a civil action to enforce the requirements of this subpart or any order issued under this subpart in a court of the United States in accordance with applicable statutes.
13.115

Public proceedings.

a All investigative proceedings and depositions must be public unless the presiding officer determines that the public interest requires otherwise.
b The presiding officer may order information contained in any report or document filed or in any testimony given pursuant to this subpart withheld from public disclosure when, in the judgment of the presiding officer, disclosure would adversely affect the interests of any person and is not required in the public interest or is not otherwise required by statute to be made available to the public. Any person may make written objection to the public disclosure of information, stating the grounds for such objection.
13.117 Conduct of investigative proceeding or deposition.

a The presiding officer may question witnesses.

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b Any witness may be accompanied by counsel.
c Any party may be accompanied by counsel and either the party or counsel may 1 Question witnesses, provided the questions are relevant and material to the matters under investigation and would not unduly impede the progress of the investigation; and 2 Make objections on the record and argue the basis for such objections.
d Copies of all notices or written communications sent to a party or witness must, upon request, be sent to that persons attorney of record.
13.119 Immunity and orders requiring testimony or other information.

a Whenever a person refuses, on the basis of a privilege against selfincrimination, to testify or provide other information during the course of any investigation conducted under this subpart, the presiding officer may, with the approval of the United States Attorney General, or the delegate of the Attorney General, issue an order requiring the person to give testimony or provide other information. However, no testimony or other information so compelled or any information directly or indirectly derived from such testimony or other information may be used against the person in any criminal case, except in a prosecution for perjury, giving a false statement, or otherwise failing to comply with the order.
b The presiding officer may issue an order under this section if 1 The testimony or other information from the witness may be necessary to the public interest; and 2 The witness has refused or is likely to refuse to testify or provide other information on the basis of a privilege against self-incrimination.
c Immunity provided by this section will not become effective until the person has refused to testify or provide other information on the basis of a privilege against self-incrimination, and an order under this section has been issued. An order, however, may be issued prospectively to become effective in the event of a claim of the privilege.
13.121

Witness fees.

All witnesses appearing, other than employees of the Federal Aviation Administration, are entitled to the same fees and allowances as provided for under 28 U.S.C. 1821.
13.123 Submission by party to the investigation.

a During an investigation conducted under this subpart, a party may submit to the presiding officer
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