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Federal Register / Vol. 86, No. 188 / Friday, October 1, 2021 / Rules and Regulations
1 A list of witnesses to be called, specifying the subject matter of the expected testimony of each witness; and 2 A list of exhibits to be considered for inclusion in the record.
b If the presiding officer determines that the testimony of a witness or the receipt of an exhibit in accordance with paragraph a of this section will be relevant, competent, and material to the investigation, the presiding officer may subpoena the witness or use the exhibit during the investigation.
13.125

Depositions.

Depositions for investigative purposes may be taken at the discretion of the presiding officer with reasonable notice to the party under investigation.
Depositions must be taken before the presiding officer or other person authorized to administer oaths and designated by the presiding officer. The testimony must be reduced to writing by the person taking the deposition, or under the direction of that person, and where possible must then be subscribed by the deponent. Any person may be compelled to appear and testify and to produce physical and documentary evidence.
13.127

Reports, decisions, and orders.

The presiding officer must issue a written report based on the record developed during the formal investigation, including a summary of principal conclusions. A summary of principal conclusions must be prepared by the official who issued the order of investigation in every case that results in no action, or no action as to a particular party to the investigation. All such reports must be furnished to the parties to the investigation and made available to the public on request.
13.129

Post-investigation action.

A decision on whether to initiate subsequent action must be made on the basis of the record developed during the formal investigation and any other information in the possession of the Administrator.
13.131

Other procedures.

Any question concerning the scope or conduct of a formal investigation not covered in this subpart may be ruled on by the presiding officer on his or her own initiative, or on the motion of a party or a person testifying or producing evidence.
8. Revise subpart G to read as follows:
Subpart GRules of Practice In FAA
Civil Penalty Actions Sec.
13.201

Applicability.

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13.202 Definitions.
13.203 Separation of functions.
13.204 Appearances and rights of parties.
13.205 Administrative law judges.
13.206 Intervention.
13.207 Certification of documents.
13.208 Complaint.
13.209 Answer.
13.210 Filing of documents.
13.211 Service of documents.
13.212 Computation of time.
13.213 Extension of time.
13.214 Amendment of pleadings.
13.215 Withdrawal of complaint or request for hearing.
13.216 Waivers.
13.217 Joint procedural or discovery schedule.
13.218 Motions.
13.219 Interlocutory appeals.
13.220 Discovery.
13.221 Notice of hearing.
13.222 Evidence.
13.223 Standard of proof.
13.224 Burden of proof.
13.225 Offer of proof.
13.226 Public disclosure of information.
13.227 Expert or opinion witnesses.
13.228 Subpoenas.
13.229 Witness fees.
13.230 Record.
13.231 Argument before the administrative law judge.
13.232 Initial decision.
13.233 Appeal from initial decision.
13.234 Petition to reconsider or modify a final decision and order of the FAA
decisionmaker on appeal.
13.235 Judicial review of a final decision and order.
13.236 Alternative dispute resolution.
13.201

Applicability.

This subpart applies to all civil penalty actions initiated under 13.16
in which a hearing has been requested.
13.202

Definitions.

For this subpart only, the following definitions apply:
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 or the Assistant Chief Counsel responsible for the prosecution of enforcement-related matters under this subpart, or attorneys who are supervised by those officials or are assigned to prosecute a particular enforcement-related matter under this subpart. Agency attorney does not include the Chief Counsel or anyone from the Office of Adjudication.
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. 46301d2 or in 49 U.S.C. 47531, or of the Federal hazardous materials transportation statute, 49 U.S.C. 51215128, or a rule,
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regulation, or order issued under those statutes, that has been filed with the FAA Hearing Docket after a hearing has been requested under 13.16f3 or g2ii.
Complainant means the FAA office that issued the notice of proposed civil penalty under 13.16.
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 Administrators 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. mail, U.S. certified mail, U.S. registered mail, or use of an expedited or overnight express courier service, but does not include email.
Office of Adjudication means the Federal Aviation Administration Office of Adjudication, including the FAA
Hearing Docket, the Director of the Office of Adjudication and legal personnel, or any subsequently designated office including its head and any legal personnel that advises the FAA decisionmaker regarding appeals of initial decisions and orders to the FAA decisionmaker.
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. 46301d2 or in 49 U.S.C. 47531, or of the Federal hazardous materials transportation statute, 49 U.S.C. 51215128, 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 is 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 is 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, the complainant and any intervenor.
Personal delivery includes handdelivery or use of a contract or express messenger service. Personal delivery
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