FAA 14 CFR PART 16-2011 RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS《联邦援助机场实施程序的实践规则》.pdf

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1、90 14 CFR Ch. I (1111 Edition) 15.113 the adverse judgment, the publisher shall (1) Give notice to the FAA as re-quired by 15.107(d) of this part; (2) Submit a copy of the trial courts decision to the FAA Chief Counsel not more than 5 business days after the ad-verse judgment is rendered; and (3) If

2、 an appeal is taken from the ad-verse judgment, submit a copy of the appellate decision to the FAA Chief Counsel not more than 30 days after that decision is rendered. (d) Within 60 days after receipt of the trial courts decision, the Adminis-trator by registered mail will (1) Notify the publisher t

3、hat indem-nification is required under this part; (2) Request that the publisher appeal the trial courts adverse decision; or (3) Notify the publisher that it is not entitled to indemnification under this part and briefly state the basis for the denial. 15.113 Indemnification agreements. (a) Upon a

4、finding of the Adminis-trator that indemnification is required under this part, and after obtaining the concurrence of the United States De-partment of Justice, the FAA will promptly enter into an indemnification agreement providing for the payment of the costs specified in paragraph (c) of this sec

5、tion. (b) The indemnification agreement will be signed by the Chief Counsel and the publisher. (c) The FAA will indemnify the pub-lisher for (1) Compensatory damages awarded by the court against the publisher; (2) Reasonable costs and fees, includ-ing reasonable attorney fees at a rate not to exceed

6、 that permitted under the Equal Access to Justice Act (5 U.S.C. 504), and any postjudgment interest, if the publisher conducts a good faith de-fense, or pursues a good faith appeal, at the request, or with the concurrence, of the FAA. (d) Except as otherwise provided in this section, the FAA will no

7、t indem-nify the publisher for (1) Punitive or exemplary damages; (2) Civil or criminal fines or any other litigation sanctions; (3) Postjudgment interest; (4) Costs; (5) Attorney fees; or (6) Other incidental expenses. (e) The indemnification agreement must provide that the Government will be subro

8、gated to all claims or rights of the publisher, including third-party claims, cross-claims, and counter-claims. 15.115 Payment. After execution of the indemnifica-tion agreement, the FAA will submit the agreement to the United States De-partment of Justice and request pay-ment, in accordance with th

9、e agree-ment, from the Judgment Fund. PART 16RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS Subpart AGeneral Provisions Sec. 16.1 Applicability and description of part. 16.3 Definitions. 16.5 Separation of functions. Subpart BGeneral Rules Applicable to Complaints, Proceedi

10、ngs Initiated by the FAA, and Appeals 16.11 Expedition and other modification of process. 16.13 Filing of documents. 16.15 Service of documents on the parties and the agency. 16.17 Computation of time. 16.19 Motions. Subpart CSpecial Rules Applicable to Complaints 16.21 Pre-complaint resolution. 16.

11、23 Complaints, answers, replies, rebuttals, and other documents. 16.25 Dismissals. 16.27 Incomplete complaints. 16.29 Investigations. 16.31 Directors determinations after inves-tigations. 16.33 Final decisions without hearing. Subpart DSpecial Rules Applicable to Proceedings Initiated by the FAA 16.

12、101 Basis for the initiation of agency ac-tion. 16.103 Notice of investigation. 16.105 Failure to resolve informally. VerDate Mar2010 14:10 Mar 01, 2011 Jkt 223043 PO 00000 Frm 00100 Fmt 8010 Sfmt 8010 Y:SGML223043.XXX 223043wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduct

13、ion or networking permitted without license from IHS-,-,-91 Federal Aviation Administration, DOT 16.1 Subpart EProposed Orders of Compliance 16.109 Orders terminating eligibility for grants, cease and desist orders, and other compliance orders. Subpart FHearings 16.201 Notice and order of hearing. 1

14、6.202 Powers of a hearing officer. 16.203 Appearances, parties, and rights of parties. 16.207 Intervention and other participation. 16.209 Extension of time. 16.211 Prehearing conference. 16.213 Discovery. 16.215 Depositions. 16.217 Witnesses. 16.219 Subpoenas. 16.221 Witness fees. 16.223 Evidence.

15、16.225 Public disclosure of evidence. 16.227 Standard of proof. 16.229 Burden of proof. 16.231 Offer of proof. 16.233 Record. 16.235 Argument before the hearing officer. 16.237 Waiver of procedures. Subpart GInitial Decisions, Orders and Appeals 16.241 Initial decisions, orders, and appeals. 16.243

16、Consent orders. Subpart HJudicial Review 16.247 Judicial review of a final decision and order. Subpart IEx Parte Communications 16.301 Definitions. 16.303 Prohibited ex parte communications. 16.305 Procedures for handling ex parte communications. 16.307 Requirement to show cause and impo-sition of s

17、anction. AUTHORITY: 49 U.S.C. 106(g), 322, 1110, 1111, 1115, 1116, 1718 (a) and (b), 1719, 1723, 1726, 1727, 40103(e), 40113, 40116, 44502(b), 46101, 46104, 46110, 47104, 47106(e), 47107, 47108, 47111(d), 47122, 4712347125, 4715147153, 48103. SOURCE: Docket No. 27783, 61 FR 54004, Oc-tober 16, 1996,

18、 unless otherwise noted. Subpart AGeneral Provisions 16.1 Applicability and description of part. (a) General. The provisions of this part govern all proceedings involving Federally-assisted airports, except for disputes between U.S. and foreign air carriers and airport proprietors con-cerning the re

19、asonableness of airport fees covered by 14 CFR part 302, wheth-er the proceedings are instituted by order of the FAA or by filing with the FAA a complaint, under the following authorities: (1) 49 U.S.C. 40103(e), prohibiting the grant of exclusive rights for the use of any landing area or air naviga

20、tion fa-cility on which Federal funds have been expended (formerly section 308 of the Federal Aviation Act of 1958, as amended). (2) Requirements of the Anti-Head Tax Act, 49 U.S.C. 40116. (3) The assurances contained in grant-in-aid agreements issued under the Federal Airport Act of 1946, 49 U.S.C.

21、 1101 et seq (repealed 1970). (4) The assurances contained in grant-in-aid agreements issued under the Airport and Airway Development Act of 1970, as amended, 49 U.S.C. 1701 et seq. (5) The assurances contained in grant-in-aid agreements issued under the Airport and Airway Improvement Act of 1982 (A

22、AIA), as amended, 49 U.S.C. 47101 et seq., specifically section 511(a), 49 U.S.C. 47107(a) and (b). (6) Section 505(d) of the Airport and Airway Improvement Act of 1982, as amended, 49 U.S.C. 47113. (7) Obligations contained in property deeds for property transferred pursuant to section 16 of the Fe

23、deral Airport Act (49 U.S.C. 1115), section 23 of the Air-port and Airway Development Act (49 U.S.C. 1723), or section 516 of the Air-port and Airway Improvement Act (49 U.S.C. 47125). (8) Obligations contained in property deeds for property transferred under the Surplus Property Act (49 U.S.C. 4715

24、147153). (b) Other agencies. Where a grant as-surance concerns a statute, executive order, regulation, or other authority that provides an administrative proc-ess for the investigation or adjudica-tion of complaints by a Federal agency other than the FAA, persons shall use the administrative process

25、 established by those authorities. Where a grant as-surance concerns a statute, executive order, regulation, or other authority that enables a Federal agency other VerDate Mar2010 14:10 Mar 01, 2011 Jkt 223043 PO 00000 Frm 00101 Fmt 8010 Sfmt 8010 Y:SGML223043.XXX 223043wwoods2 on DSK1DXX6B1PROD wit

26、h CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-92 14 CFR Ch. I (1111 Edition) 16.3 than the FAA to investigate, adju-dicate, and enforce compliance under those authorities on its own initiative, the FAA may defer to that Federal agency. (c) Oth

27、er enforcement. If a complaint or action initiated by the FAA involves a violation of the 49 U.S.C. subtitle VII or FAA regulations, except as specified in paragraphs (a)(1) and (a)(2) of this section, the FAA may take investiga-tive and enforcement action under 14 CFR part 13, Investigative and En-

28、forcement Procedures. (d) Effective date. This part applies to a complaint filed with the FAA and to an investigation initiated by the FAA on or after December 16, 1996. 16.3 Definitions. Terms defined in the Acts are used as so defined. As used in this part: Act means a statute listed in 16.1 and a

29、ny regulation, agreement, or doc-ument of conveyance issued or made under that statute. Agency attorney means the Deputy Chief Counsel; the Assistant Chief Counsel and attorneys in the Airports/ Environmental Law Division of the Of-fice of the Chief Counsel; the Assistant Chief Counsel and attorneys

30、 in an FAA region or center who represent the FAA during the investigation of a com-plaint or at a hearing on a complaint, and who prosecute on behalf of the FAA, as appropriate. An agency attor-ney shall not include the Chief Coun-sel; the Assistant Chief Counsel for Litigation, or any attorney on

31、the staff of the Assistant Chief Counsel for Liti-gation, who advises the Associate Ad-ministrator regarding an initial deci-sion of the hearing officer or any ap-peal to the Associate Administrator or who is supervised in that action by a person who provides such advice in an action covered by this

32、 part. Agency employee means any employee of the U.S. Department of Transpor-tation. Associate Administrator means the As-sociate Administrator for Airports or a designee. Complainant means the person sub-mitting a complaint. Complaint means a written document meeting the requirements of this part f

33、iled with the FAA by a person directly and substantially affected by anything allegedly done or omitted to be done by any person in contravention of any provision of any Act, as defined in this section, as to matters within the juris-diction of the Administrator. Director means the Director of the O

34、f-fice of Airport Safety and Standards. Directors determination means the ini-tial determination made by the Direc-tor following an investigation, which is a non-final agency decision. File means to submit written docu-ments to the FAA for inclusion in the Part 16 Airport Proceedings Docket or to a

35、hearing officer. Final decision and order means a final agency decision that disposes of a com-plaint or determines a respondents compliance with any Act, as defined in this section, and directs appropriate action. Hearing officer means an attorney designated by the FAA in a hearing order to serve a

36、s a hearing officer in a hearing under this part. The following are not designated as hearing officers: the Chief Counsel and Deputy Chief Counsel; the Assistant Chief Counsel and attorneys in the FAA region or center in which the noncompliance has allegedly occurred or is occurring; the Assistant C

37、hief Counsel and attorneys in the Airports and Environmental Law Division of the FAA Office of the Chief Counsel; and the Assistant Chief Counsel and attorneys in the Litiga-tion Division of the FAA Office of Chief Counsel. Initial decision means a decision made by the hearing officer in a hearing u

38、nder subpart F of this part. Mail means U.S. first class mail; U.S. certified mail; and U.S. express mail. Noncompliance means anything done or omitted to be done by any person in contravention of any provision of any Act, as defined in this section, as to matters within the jurisdiction of the Admi

39、nistrator. Party means the complainant(s) and the respondent(s) named in the com-plaint and, after an initial determina-tion providing an opportunity for hear-ing is issued under 16.31 and subpart E of this part, the agency. Person in addition to its meaning under 49 U.S.C. 40102(a)(33), includes a

40、VerDate Mar2010 14:10 Mar 01, 2011 Jkt 223043 PO 00000 Frm 00102 Fmt 8010 Sfmt 8010 Y:SGML223043.XXX 223043wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-93 Federal Aviation Administration, DOT 16.13 public agency a

41、s defined in 49 U.S.C. 47102(a)(15). Personal delivery means hand delivery or overnight express delivery service. Respondent means any person named in a complaint as a person responsible for noncompliance. Sponsor means: (1) Any public agency which, either individually or jointly with one or more ot

42、her public agencies, has re-ceived Federal financial assistance for airport development or planning under the Federal Airport Act, Airport and Airway Development Act or Airport and Airway Improvement Act; (2) Any private owner of a public-use airport that has received financial as-sistance from the

43、FAA for such airport; and (3) Any person to whom the Federal Government has conveyed property for airport purposes under section 13(g) of the Surplus Property Act of 1944, as amended. 16.5 Separation of functions. (a) Proceedings under this part, in-cluding hearings under subpart F of this part, wil

44、l be prosecuted by an agency attorney. (b) After issuance of an initial deter-mination in which the FAA provides the opportunity for a hearing, an agen-cy employee engaged in the perform-ance of investigative or prosecutorial functions in a proceeding under this part will not, in that case or a fact

45、u-ally related case, participate or give advice in an initial decision by the hearing officer, or a final decision by the Associate Administrator or des-ignee on written appeal, and will not, except as counsel or as witness in the public proceedings, engage in any sub-stantive communication regardin

46、g that case or a related case with the hearing officer, the Associate Administrator on written appeal, or agency employees advising those officials in that capac-ity. (c) The Chief Counsel, the Assistant Chief Counsel for Litigation, or an at-torney on the staff of the Assistant Chief Counsel for Li

47、tigation advises the Associate Administrator regarding an initial decision, an appeal, or a final decision regarding any case brought under this part. Subpart BGeneral Rules Appli-cable to Complaints, Pro-ceedings Initiated by the FAA, and Appeals 16.11 Expedition and other modifica-tion of process.

48、 (a) Under the authority of 49 U.S.C. 40113 and 47121, the Director may con-duct investigations, issue orders, and take such other actions as are nec-essary to fulfill the purposes of this part, including the extension of any time period prescribed where necessary or appropriate for a fair and compl

49、ete hearing of matters before the agency. (b) Notwithstanding any other provi-sion of this part, upon finding that cir-cumstances require expedited handling of a particular case or controversy, the Director may issue an order directing any of the following prior to the issuance of the Directors determina-tion: (1) Shortening the time period for any action under this part consistent with due process; (2) If other adequate opportunity to respond to