DOT 49 CFR PART 821-2010 RULES OF PRACTICE IN AIR SAFETY PROCEEDINGS.pdf

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1、573 National Transportation Safety Board 821.1 PART 821RULES OF PRACTICE IN AIR SAFETY PROCEEDINGS Subpart AGeneral Provisions Sec. 821.1 Definitions. 821.2 Applicability and description of part. 821.3 Description of docket numbering sys-tem. Subpart BGeneral Rules Applicable to Petitions for Review

2、, Appeals to the Board, and Appeals from Law Judges Initial Decisions and Appealable Or-ders 821.6 Appearances and rights of witnesses. 821.7 Filing of documents with the Board. 821.8 Service of documents. 821.9 Intervention and amicus appearance. 821.10 Computation of time. 821.11 Extensions of tim

3、e. 821.12 Amendment and withdrawal of plead-ings. 821.13 Waivers. 821.14 Motions. 821.15 Motion to disqualify a Board Member. 821.16 Interlocutory appeals from law judges rulings on motions. 821.17 Motions to dismiss, for judgment on the pleadings and for summary judg-ment. 821.18 Motion for a more

4、definite statement. 821.19 Depositions and other discovery. 821.20 Subpoenas, witness fees, and appear-ances of Board Members, officers and em-ployees. 821.21 Official notice. Subpart CSpecial Rules Applicable to Proceedings Under 49 U.S.C. 44703 821.24 Initiation of proceeding. 821.25 Burden of pro

5、of. 821.26 Motion to dismiss petition for review for lack of standing. Subpart DSpecial Rules Applicable to Proceedings Under 49 U.S.C. 44709 821.30 Initiation of proceeding. 821.31 Complaint procedure. 821.32 Burden of proof. 821.33 Motion to dismiss stale complaint. Subpart ELaw Judges 821.35 Assi

6、gnment, duties and powers. Subpart FHearing 821.37 Notice of hearing. 821.38 Evidence. 821.39 Argument and submissions. 821.40 Record. Subpart GInitial Decision 821.42 Initial decision by law judge. 821.43 Effect of law judges initial decision or appealable order and appeal there-from. Subpart HAppe

7、al from Initial Decision 821.47 Notice of appeal. 821.48 Briefs and oral argument. 821.49 Issues on appeal. 821.50 Petition for rehearing, reargument, reconsideration or modification of an order of the Board. Subpart ISpecial Rules Applicable to Proceedings Involving Emergency and Other Immediately

8、Effective Orders 821.52 General. 821.53 Appeal. 821.54 Petition for review of Administra-tors determination of emergency. 821.55 Complaint, answer to complaint, mo-tions and discovery. 821.56 Hearing and initial decision or ap-pealable order of law judge. 821.57 Procedure on appeal. Subpart JEx Part

9、e Communications 821.60 Definitions. 821.61 Prohibited ex parte communications. 821.62 Procedures for handling ex parte communications. 821.63 Requirement to show cause and impo-sition of sanction. Subpart KJudicial Review of Board Orders 821.64 Judicial review. AUTHORITY: 49 U.S.C. 11011155, 447014

10、4723, 46301; unless otherwise noted. SOURCE: 68 FR 22625, Apr. 29, 2003, unless otherwise noted. Subpart AGeneral Provisions 821.1 Definitions. (a) As used in this part: Administrator means the Adminis-trator of the Federal Aviation Admin-istration (FAA); Airman certificate means any certifi-cate is

11、sued by the FAA to an airman, and shall include medical certificates required for airmen; Appeal from an initial decision means a request to the Board to review a law judges decision; VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00583 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 o

12、n DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-574 49 CFR Ch. VIII (10110 Edition) 821.2 Appeal to the Board means a request to the Board for the review by a law judge of an order of the Administrator; Appealable order means

13、 an order of a law judge that has the effect of termi-nating the proceeding, such as one granting a motion to dismiss in lieu of an answer, as provided in 821.17, or one granting a motion for judgment on the pleadings or summary judgment. Appealable order does not include an order granting in part a

14、 motion to dis-miss and requiring an answer to any remaining allegation or allegations, an order granting in part judgment on the pleadings or summary judgment, or a ruling on an interlocutory matter; Board means the National Transpor-tation Safety Board; Case Manager means the officer of the Boards

15、 Office of Administrative Law Judges responsible for the processing of cases within that office; Certificate means any certificate issued by the Administrator under 49 U.S.C. Chapter 447; Chief Law Judge means the adminis-trative law judge in charge of the adju-dicative function of the Boards Office

16、 of Administrative Law Judges; Complaint means an order of the Ad-ministrator, reissued for pleading pur-poses, from which an appeal to the Board has been taken pursuant to sec-tions 49 U.S.C. 44106, 44709 or 46301; Emergency order means an order of the Administrator issued pursuant to 49 U.S.C. 447

17、09, which recites that an emergency exists and that safety in air commerce or air transportation and the public interest require the imme-diate effectiveness of such order; Flight engineer means a person who holds a flight engineer certificate issued under Part 63 of Title 14 of the Code of Federal

18、Regulations; Initial decision means the law judges decision on the issue or issues remain-ing for disposition at the close of a hearing; Law judge means the administrative law judge assigned to hear and preside over the respective proceeding; Mechanic means a person who holds a mechanic certificate

19、issued under Part 65 of Title 14 of the Code of Federal Regulations; Order means the document (some-times also termed the complaint) by which the Administrator seeks to amend, modify, suspend or revoke a certificate, or impose a civil penalty; Petition for review means a petition filed pursuant to 4

20、9 U.S.C. 44703 for re-view of the Administrators denial of an application for issuance or renewal of an airman certificate; Petitioner means a person who has filed a petition for review; Pilot means a person who holds a pilot certificate issued under Part 61 of Title 14 of the Code of Federal Regula

21、-tions; Repairman means a person who holds a repairman certificate issued under Part 65 of Title 14 of the Code of Fed-eral Regulations; Respondent means the holder of a cer-tificate who has appealed to the Board from an order of the Administrator amending, modifying, suspending or re-voking a certi

22、ficate, or imposing a civil penalty. (b) Terms defined in 49 U.S.C. Chap-ters 11, 447 and 463 are used as so de-fined. 821.2 Applicability and description of part. The provisions of this part govern all air safety proceedings, including pro-ceedings before a law judge on petition for review of the d

23、enial of any airman certificate (including a medical certifi-cate), or on appeal from any order of the Administrator amending, modi-fying, suspending or revoking a certifi-cate. The provisions of this part also govern all proceedings on appeal from an order of the Administrator imposing a civil pena

24、lty on a flight engineer, mechanic, pilot or repairman, or a per-son acting in such capacity. All pro-ceedings on appeal to the Board from any initial decision or order of a law judge are also governed by this part. 821.3 Description of docket num-bering system. In addition to sequential numbering o

25、f cases as received, each case formally handled by the Board will receive a let-ter prefix. These letter prefixes reflect the case type: SE for safety enforce-ment (certificate suspension/revoca-tion) cases; SM (safety medical) for cases involving denials of medical cer-tification; CD for cases invo

26、lving VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00584 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-575 National Transportation Safety Board 821.7 non-medi

27、cal certificate denials; SR for cases involving safety registration issues under 49 U.S.C. 44101 et seq.; CP for cases involving the imposi-tion of civil penalties; NA for cases in which a petition for review or appeal is not accepted because of a patent pro-cedural deficiency; and EAJA for cases in

28、volving applications for fees and expenses under the Equal Access to Justice Act, governed by Part 826. Subpart BGeneral Rules Appli-cable to Petitions for Review, Appeals to the Board, and Appeals From Law Judges Ini-tial Decisions and Appealable Orders 821.6 Appearances and rights of wit-nesses. (

29、a) Any party to a proceeding may appear and be heard in person, or by an attorney or other representative des-ignated by that party. Upon hearing, and for good cause shown, the Board may suspend or bar any person from practicing before it. (b) Any person appearing in person in any proceeding governe

30、d by this part may be accompanied, represented and advised, and may be examined by, his or her own counsel or representative. (c) Any person who submits data or evidence in a proceeding governed by this part may, by timely request, pro-cure a copy of any document submitted by him or her, or a copy o

31、f any tran-script made of his or her testimony, on payment of reasonable costs. Original documents, data or evidence may be re-tained by a party upon permission of the law judge or the Board, upon sub-stitution of a copy thereof. (d) Any party to a proceeding who is represented by an attorney or rep

32、-resentative shall notify the Board of the name, address and telephone num-ber of that attorney or representative. In the event of a change in representa-tion, the party shall notify the Board (in the manner provided in 821.7) and the other parties to the proceeding (pursuant to 821.8) before the ne

33、w at-torney or representative may partici-pate in the proceeding in any way. 821.7 Filing of documents with the Board. (a) Filing address, method and date of filing. (1) Except as provided in para-graph (a)(2) of this section, documents are to be filed with the Office of Ad-ministrative Law Judges,

34、National Transportation Safety Board, 490 LEnfant Plaza East, SW., Room 4704, 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 ad-dressed to the Case Manager. (2) Subsequent to the filing of a no-tic

35、e of appeal from a law judges initial decision or appealable order, the issuance of a decision permitting an in-terlocutory appeal, or the expiration of the period within which an appeal from the law judges initial decision or ap-pealable order may be filed, all docu-ments are to be filed with the O

36、ffice of General Counsel, National Transpor-tation Safety Board, 490 LEnfant Plaza East, SW., Room 6401, Wash-ington, DC 20594. (3) Documents shall be filed by per-sonal delivery, by U.S. Postal Service first-class mail or by overnight deliv-ery service. Except as specifically pro-vided in Subpart I

37、 (governing emer-gency proceedings), facsimile filing is limited. Documents to be filed with a law judge or the Case Manager may be transmitted by facsimile, but such fil-ing must be followed, no later than the next business day, by transmission of the original by personal delivery, first- class mai

38、l or overnight delivery serv-ice. Facsimile filing of documents to be filed with the Office of General Counsel is not permitted unless specifically au-thorized under Subpart I or requested by that office. (4) Documents shall be deemed filed on the date of personal delivery; on the send date shown on

39、 the facsimile (where facsimile service is permitted under paragraph (a)(3) of this section or Subpart I); and, for mail delivery service, on the mailing date shown on the certificate of service, on the date shown on the postmark if there is no certificate of service, or on the mailing date shown by

40、 other evidence if there is no certificate of service and no post-mark. Where the document bears a postmark that cannot reasonably be VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00585 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for Re

41、saleNo reproduction or networking permitted without license from IHS-,-,-576 49 CFR Ch. VIII (10110 Edition) 821.8 reconciled with the mailing date shown on the certificate of service, the docu-ment will be deemed filed on the date of the postmark. (b) Number of copies. Service on the Board of petit

42、ions for review, appeals from orders of the Administrator, and notices of appeal from law judges ini-tial decisions and appealable orders shall be by executed original and 3 cop-ies. Service of all other documents shall be by executed original and one copy. Copies need not be signed, but the name of

43、 the person signing the original shall be shown thereon. (c) Form. (1) Petitions for review, ap-peals to the Board from orders of the Administrator, and notices of appeal from law judges initial decisions and appealable orders may be in the form of a letter signed by the petitioner or ap-pealing par

44、ty, and shall be typewritten or in legible handwriting. (2) Documents filed with the Board consisting of more than one page may be affixed only in the upper left-hand corner by staple or clip, and shall not be bound or hole-punched. Any docu-ment failing to comply with this re-quirement is subject t

45、o being returned to the filing party. (d) Content. Each document filed with the Board shall contain a concise and complete statement of the facts relied upon, and the relief sought, by the fil-ing party. (e) Subscription. The original of every document filed shall be signed by the filing party, or b

46、y that partys attor-ney or other representative. (f) Designation of person to receive serv-ice. The initial document filed by a party in a proceeding governed by this part shall show on the first page the name, address and telephone number of the person or persons who may be served with documents on

47、 that partys behalf. (g) To whom directed. All motions, re-quests and documents submitted in connection with petitions for review and appeals to the Board from orders of the Administrator shall designate, and be addressed to, the law judge to whom the proceeding has been assigned, if any. If the pro

48、ceeding has not yet been assigned to a law judge, the document shall bear the designation unas-signed, and shall be addressed to the Case Manager. All motions, requests and documents submitted subsequent to the filing of a notice of appeal from a law judges initial decision or appeal-able order, or

49、a decision permitting an interlocutory appeal, or after the expi-ration of the period within which an appeal from the law judges initial de-cision or appealable order may be filed, shall be addressed to the Boards Gen-eral Counsel. 821.8 Service of documents. (a) Who must be served. (1) Copies of all documents filed with the Board must be served on (i.e., sent to) all other parties to the proceeding, on the d