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Federal Register / Vol. 86, No. 188 / Friday, October 1, 2021 / Rules and Regulations does not include the use of Federal Government interoffice mail service.
Pleading means a complaint, an answer, and any amendment of these documents permitted under this subpart.
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 subpart; or any other address shown by other reasonable and available means.
Respondent means a person named in a complaint.
Writing or written includes paper or electronic documents that are filed or served by email, mail, personal delivery, or fax.
13.203

Separation of functions.

a Civil penalty proceedings, including hearings, are prosecuted by an agency attorney.
b An agency employee who has engaged in the performance of investigative or prosecutorial functions in a civil penalty action must not participate in deciding or advising the administrative law judge or the FAA
decisionmaker in that case, or a factually-related case, but may participate as counsel for the complainant or as a witness in the public proceedings.
c The Chief Counsel and the Director and legal personnel of the Office of Adjudication will advise the FAA
decisionmaker regarding any appeal of an initial decision or order in a civil penalty action to the FAA
decisionmaker.
13.204
parties.

Appearances and rights of
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 must file a notice of appearance in the action, in the manner provided in 13.210, and must serve a copy of the notice of appearance on each party, and on the administrative law judge, if assigned, in the manner provided in 13.211, before participating in any proceeding governed by this subpart. The attorney or representative must include the name, address, and telephone number, and, if available, fax number and email address, of the attorney or representative in the notice of appearance.

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c Any person may request a copy of a document in the record 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.
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 as authorized by law;
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;
9 Make findings of fact and conclusions of law, and issue an initial decision;
10 Bar a person from a specific proceeding based on a finding of obstreperous or disruptive behavior in that specific proceeding; and 11 Take any other action authorized by this subpart.
b Limitations. The administrative law judge must 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 under 13.219c.
c Disqualification. The administrative law judge may disqualify himself or herself at any time. A party may file a motion for disqualification under 13.218.
13.206

Intervention.

a A person may submit 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 must be submitted not later than 10
days before the hearing.
b The administrative law judge may grant a motion for leave to intervene if the administrative law judge finds that intervention will not unduly broaden the issues or delay the proceedings and 1 The person seeking to intervene will be bound by any order or decision entered in the action; or
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2 The person seeking to intervene has a property, financial, or other legitimate interest that may not be addressed adequately by the parties.
c The administrative law judge may determine the extent to which an intervenor may participate in the proceedings.
13.207

Certification of documents.

a Signature required. The attorney of record, the party, or the partys representative must sign, by hand, electronically, or by other method acceptable to the administrative law judge, or, if the matter is on appeal, to the FAA decisionmaker, each document tendered for filing with the FAA
Hearing Docket or served on the administrative law judge and on each other party.
b Effect of signing a document. By signing a document, the attorney of record, the party, or the partys representative certifies that the attorney, the party, or the partys representative has read the document and, based on reasonable inquiry and to the best of that persons knowledge, information, and belief, the document is 1 Consistent with the rules in this subpart;
2 Warranted by existing law or a good faith argument for extension, modification, or reversal of existing law;
and 3 Not unreasonable or unduly burdensome or expensive, not made to harass any person, not made to cause unnecessary delay, and 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 partys representative signs a document in violation of this section, the administrative law judge or the FAA decisionmaker must:
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 judges initial decision to the FAA decisionmaker.
13.208

Complaint.

a Filing. The agency attorney must file the complaint with the FAA Hearing
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