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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 10:10:1.0.1.1.11.0.76.1 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.1 Basis and purpose. | NRC | [56 FR 47135, Sept. 18, 1991, as amended at 90 FR 33266, July 17, 2025] | (a) Basis. This part implements the Administrative False Claims Act of 2023 (31 U.S.C. 3801-3812). 31 U.S.C. 3809 requires each authority head to promulgate regulations necessary to implement the provisions of that Act. (b) Purpose. This part (1) establishes administrative procedures for imposing civil penalties and assessments against persons who make, submit, or present, or cause to be made, submitted, or presented, false, fictitious, or fraudulent claims or written statements to authorities or to their agents, and (2) specifies the hearing and appeal rights of persons subject to allegations of liability for such penalties and assessments. | ||||||
| 10:10:1.0.1.1.11.0.76.10 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.10 Default upon failure to file an answer. | NRC | (a) If the defendant does not file an answer within the time prescribed in § 13.9(a), the reviewing official may refer the complaint to the ALJ. (b) Upon the referral of the complaint, the ALJ shall promptly serve on defendant in the manner prescribed in § 13.8 a notice that an initial decision will be issued under this section. (c) The ALJ shall assume the facts alleged in the complaint to be true, and, if such facts establish liability under § 13.3, the ALJ shall issue an initial decision imposing the maximum amount of penalties and assessments allowed under the statute. (d) Except as otherwise provided in this section, by failing to file a timely answer, the defendant waives any right to further review of the penalties and assessments imposed under paragraph (c) of this section and the initial decision shall become final and binding upon the parties 30 days after it is issued. (e) If, before such an initial decision becomes final, the defendant files a motion with the ALJ seeking to reopen on the grounds that extraordinary circumstances prevented the defendant from filing an answer, the initial decision shall be stayed pending the ALJ's decision on the motion. (f) If, on such motion, the defendant can demonstrate extraordinary circumstances excusing the failure to file a timely answer, the ALJ shall withdraw the initial decision in paragraph (c) of this section if such a decision has been issued, and shall grant the defendant an opportunity to answer the complaint. (g) A decision of the ALJ denying a defendant's motion under paragraph (e) of this section is not subject to reconsideration under § 13.38. (h) The defendant may appeal to the authority head the decision denying a motion to reopen by filing a notice of appeal with the authority head within 15 days after the ALJ denies the motion. The timely filing of a notice of appeal shall stay the initial decision until the authority head decides the issue. (i) If the defendant files a timely notice of appeal with the authority head, the ALJ shall forward… | |||||||
| 10:10:1.0.1.1.11.0.76.11 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.11 Referral of complaint and answer to the ALJ. | NRC | Upon receipt of an answer, the reviewing official shall file the complaint and answer with the ALJ. | |||||||
| 10:10:1.0.1.1.11.0.76.12 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.12 Notice of hearing. | NRC | (a) When the ALJ receives the complaint and answer, the ALJ shall promptly serve a notice of hearing upon the defendant in the manner prescribed by § 13.8. At the same time, the ALJ shall send a copy of such notice to the representative of the authority. (b) Such notice shall include— (1) The tentative time and place, and the nature of the hearing; (2) The legal authority and jurisdiction under which the hearing is to be held; (3) The matters of fact and law to be asserted; (4) A description of the procedures for the conduct of the hearing; (5) The name, address, and telephone number of the representative of the authority and of the defendant, if any; and (6) Such other matters as the ALJ deems appropriate. | |||||||
| 10:10:1.0.1.1.11.0.76.13 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.13 Parties to the hearing. | NRC | (a) The parties to the hearing shall be the defendant and the authority. (b) Pursuant to 31 U.S.C. 3730(c)(5), a private plaintiff under the False Claims Act may participate in these proceedings to the extent authorized by the provisions of that Act. | |||||||
| 10:10:1.0.1.1.11.0.76.14 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.14 Separation of functions. | NRC | [56 FR 47135, Sept. 18, 1991; 56 FR 64839, Dec. 12, 1991] | (a) The investigating official, the reviewing official, and any employee or agent of the authority who takes part in investigating, preparing, or presenting a particular case may not, in such case or a factually related case— (1) Participate in the hearing as the ALJ; (2) Participate or advise in the initial decision or the review of the initial decision by the authority head, except as a witness or a representative in public proceedings; or (3) Make the collection of penalties and assessments under 31 U.S.C. 3806. (b) The ALJ shall not be responsible to, or subject to the supervision or direction of, the investigating official or the reviewing official. (c) Except as provided in paragraph (a) of this section, the representative for the Government may be employed anywhere in the authority, including in the offices of either the investigating official or the reviewing official. | ||||||
| 10:10:1.0.1.1.11.0.76.15 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.15 Ex parte contacts. | NRC | No party or person (except employees of the ALJ's office) shall communicate in any way with the ALJ on any matter at issue in a case, unless on notice and opportunity for all parties to participate. This provision does not prohibit a person or party from inquiring about the status of a case or asking routine questions concerning administrative functions or procedures. | |||||||
| 10:10:1.0.1.1.11.0.76.16 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.16 Disqualification of reviewing official or ALJ. | NRC | (a) A reviewing official or ALJ in a particular case may disqualify himself or herself at any time. (b) A party may file with the ALJ a motion for disqualification of a reviewing official or an ALJ. Such motion shall be accompanied by an affidavit alleging personal bias or other reason for disqualification. (c) Such motion and affidavit shall be filed promptly upon the party's discovery of reasons requiring disqualification, or such objections, shall be deemed waived. (d) Such affidavit shall state specific facts that support the party's belief that personal bias or other reason for disqualification exists and the time and circumstances of the party's discovery of such facts. It shall be accompanied by a certificate of the representative of record that it is made in good faith. (e) Upon the filing of such a motion and affidavit, the ALJ shall proceed no further in the case until he or she resolves the matter of disqualification in accordance with paragraph (f) of this section. (f)(1) If the ALJ determines that a reviewing official is disqualified, the ALJ shall dismiss the complaint without prejudice. (2) If the ALJ disqualifies himself or herself, the case shall be reassigned promptly to another ALJ. (3) If the ALJ denies a motion to disqualify, the authority head may determine the matter only as part of its review of the initial decision upon appeal, if any. | |||||||
| 10:10:1.0.1.1.11.0.76.17 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.17 Rights of parties. | NRC | Except as otherwise limited by this part, all parties may— (a) Be accompanied, represented, and advised by a representative; (b) Participate in any conference held by the ALJ; (c) Conduct discovery; (d) Agree to stipulation of fact or law, which shall be made part of the record; (e) Present evidence relevant to the issues at the hearing; (f) Present and cross-examine witnesses; (g) Present oral arguments at the hearing as permitted by the ALJ; and (h) Submit written briefs and proposed findings of fact and conclusions of law after the hearing. | |||||||
| 10:10:1.0.1.1.11.0.76.18 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.18 Authority of the ALJ. | NRC | (a) The ALJ shall conduct a fair and impartial hearing, avoid delay, maintain order, and assure that a record of the proceeding is made. (b) The ALJ has the authority to— (1) Set and change the date, time, and place of the hearing upon reasonable notice to the parties; (2) Continue or recess the hearing in whole or in part for a reasonable period of time; (3) Hold conferences to identify or simplify the issues, or to consider other matters that may aid in the expeditious disposition of the proceeding; (4) Administer oaths and affirmations; (5) Issue subpoenas requiring the attendance of witnesses and the production of documents at depositions or at hearings; (6) Rule on motions and other procedural matters; (7) Regulate the scope and timing of discovery; (8) Regulate the course of the hearing and the conduct of representatives and parties; (9) Examine witnesses; (10) Receive, rule on, exclude, or limit evidence; (11) Upon motion of a party, take official notice of facts; (12) Upon motion of a party, decide cases, in whole or in part, by summary judgment where there is no disputed issue of material fact; (13) Conduct any conference, argument, or hearing on motions in person or by telephone; and (14) Exercise such other authority as is necessary to carry out the responsibilities of the ALJ under this part. (c) The ALJ does not have the authority to find Federal statutes or regulations invalid. | |||||||
| 10:10:1.0.1.1.11.0.76.19 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.19 Prehearing conferences. | NRC | (a) The ALJ may schedule prehearing conferences as appropriate. (b) Upon the motion of any party, the ALJ shall schedule at least one prehearing conference at a reasonable time in advance of the hearing. (c) The ALJ may use prehearing conferences to discuss the following: (1) Simplification of the issues; (2) The necessity or desirability of amendments to the pleadings, including the need for a more definite statement; (3) Stipulations and admissions of fact or as to the contents and authenticity of documents; (4) Whether the parties can agree to submission of the case on a stipulated record; (5) Whether a party chooses to waive appearance at an oral hearing and to submit only documentary evidence (subject to the objection of other parties) and written argument; (6) Limitation of the number of witnesses; (7) Scheduling dates for the exchange of witness lists and of proposed exhibits; (8) Discovery; (9) The time and place for the hearing; and (10) Such other matters as may tend to expedite the fair and just disposition of the proceedings. (d) The ALJ may issue an order containing all matters agreed upon by the parties or ordered by the ALJ at a prehearing conference. | |||||||
| 10:10:1.0.1.1.11.0.76.2 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.2 Definitions. | NRC | [56 FR 47135, Sept. 18, 1991; 56 FR 49945, Oct. 2, 1991, as amended at 62 FR 40427, July 29, 1997; 65 FR 59272, Oct. 4, 2000; 71 FR 15007, Mar. 27, 2006; 72 FR 49152, Aug. 28, 2007; 72 FR 64529, Nov. 16, 2007; 90 FR 33266, July 17, 2025] | As used in this part: ALJ means an Administrative Law Judge in the authority appointed pursuant to 5 U.S.C. 3105 or detailed to the authority pursuant to 5 U.S.C. 3344. Authority means the Nuclear Regulatory Commission. Authority head means the Commission of five members or a quorum thereof sitting as a body, as provided by section 201 of the Energy Reorganization Act of 1974 (88 Stat. 1242). Benefit means, in the context of “statement”, anything of value, including but not limited to any advantage, preference, privilege, license, permit, favorable decision, ruling, status, or loan guarantee. Claim means any request, demand, or submission— (1) Made to the authority for property, services, or money (including money representing grants, loans, insurance, or benefits); (2) Made to a recipient of property, services, or money from the authority or to a party to a contract with the authority— (i) For property or services if the United States— (A) Provided such property or services; (B) Provided any portion of the funds for the purchase of such property or services; or (C) Will reimburse such recipient or party for the purchase of such property or services; or (ii) For the payment of money (including money representing grants, loans, insurance, or benefits) if the United States— (A) Provided any portion of the money requested or demanded; or (B) Will reimburse such recipient or party for any portion of the money paid on such request or demand; or (3) Made to the authority which has the effect of concealing or improperly avoiding or decreasing an obligation to pay or transmit property, services, or money. Complaint means the administrative complaint served by the reviewing official on the defendant under § 13.7. Defendant means any person alleged in a complaint under § 13.7 to be liable for a civil penalty or assessment under § 13.3. Digital ID certificate means a file stored on a participant's computer that contains the participant's name, e-mail address, and participant's digital signature, pr… | ||||||
| 10:10:1.0.1.1.11.0.76.20 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.20 Disclosure of documents. | NRC | (a) Upon written request to the reviewing official, the defendant may review any relevant and material documents, transcripts, records, and other materials that relate to the allegations set out in the complaint and upon which the findings and conclusions of the investigating official under § 13.4(b) are based, unless such documents are subject to a privilege under Federal law. Upon payment of fees for duplication, the defendant may obtain copies of such documents. (b) Upon written request to the reviewing official, the defendant also may obtain a copy of all exculpatory information in the possession of the reviewing official or investigating official relating to the allegations in the complaint, even if it is contained in a document that would otherwise be privileged. If the document would otherwise be privileged, only that portion containing exculpatory information must be disclosed. (c) The notice sent to the Attorney General from the reviewing official as described in § 13.5 is not discoverable under any circumstances. (d) The defendant may file a motion to compel disclosure of the documents subject to the provisions of this section. Such a motion may only be filed with the ALJ following the filing of an answer pursuant to § 13.9. | |||||||
| 10:10:1.0.1.1.11.0.76.21 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.21 Discovery. | NRC | (a) The following types of discovery are authorized: (1) Requests for production of documents for inspection and copying; (2) Requests for admissions of the authenticity of any relevant document or of the truth of any relevant fact; (3) Written interrogatories; and (4) Depositions. (b) For the purpose of this section and §§ 13.22 and 13.23, the term “documents” includes information, documents, reports, answers, records, accounts, papers, and other data and documentary evidence. Nothing contained herein shall be interpreted to require the creation of a document. (c) Unless mutually agreed to by the parties, discovery is available only as ordered by the ALJ. The ALJ shall regulate the timing of discovery. (d) Motions for discovery. (1) A party seeking discovery may file a motion with the ALJ. Such a motion shall be accompanied by a copy of the requested discovery, or in the case of depositions, a summary of the scope of the proposed deposition. (2) Within ten days of service, a party may file an opposition to the motion and/or a motion for protective order as provided in § 13.24. (3) The ALJ may grant a motion for discovery only if he or she finds that the discovery sought— (i) Is necessary for the expeditious, fair, and reasonable consideration of the issues; (ii) Is not unduly costly or burdensome; (iii) Will not unduly delay the proceeding; and (iv) Does not seek privileged information. (4) The burden of showing that discovery should be allowed is on the party seeking discovery. (5) The ALJ may grant discovery subject to a protective order under § 13.24. (e) Depositions. (1) If a motion for deposition is granted, the ALJ shall issue a subpoena for the deponent, which may require the deponent to produce documents. The subpoena shall specify the time and place at which the deposition will be held. (2) The party seeking to depose shall serve the subpoena in the manner prescribed in § 13.8. (3) The deponent may file with the ALJ a motion to quash the subpoena or a motion for a protective order … | |||||||
| 10:10:1.0.1.1.11.0.76.22 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.22 Exchange of witness lists, statements, and exhibits. | NRC | (a) At least 15 days before the hearing or at such other times as may be ordered by the ALJ, the parties shall exchange witness lists, copies of prior statements of proposed witnesses, and copies of proposed hearing exhibits, including copies of any written statements that the party intends to offer in lieu of live testimony in accordance with § 13.33(b). At the time the above documents are exchanged, any party that intends to rely on the transcript of deposition testimony in lieu of live testimony at the hearing, if permitted by the ALJ, shall provide each party with a copy of the specific pages of the transcript it intends to introduce into evidence. (b) If a party objects, the ALJ shall not admit into evidence the testimony of any witness whose name does not appear on the witness list or any exhibit not provided to the opposing party as provided above unless the ALJ finds good cause for the failure or that there in no prejudice to the objecting party. (c) Unless another party objects within the time set by the ALJ, documents exchanged in accordance with paragraph (a) of this section shall be deemed to be authentic for the purpose of admissibility at the hearing. | |||||||
| 10:10:1.0.1.1.11.0.76.23 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.23 Subpoenas for attendance at hearing. | NRC | (a) A party wishing to procure the appearance and testimony of any individual at the hearing may request that the ALJ issue a subpoena. (b) A subpoena requiring the attendance and testimony of an individual may also require the individual to produce documents at the hearing. (c) A party seeking a subpoena shall file a written request therefor not less than 15 days before the date fixed for the hearing unless otherwise allowed by the ALJ for good cause shown. Such request shall specify any documents to be produced and shall designate the witnesses and describe the address and location thereof with sufficient particularity to permit such witnesses to be found. (d) The subpoena shall specify the time and place at which the witness is to appear and any documents the witness is to produce. (e) The party seeking the subpoena shall serve it in the manner prescribed in § 13.8. A subpoena on a party or upon an individual under the control of a party may be served by first class mail. (f) A party or the individual to whom the subpoena is directed may file with the ALJ a motion to quash the subpoena within ten days after service or on or before the time specified in the subpoena for compliance if it is less than ten days after service. | |||||||
| 10:10:1.0.1.1.11.0.76.24 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.24 Protective order. | NRC | (a) A party or a prospective witness or deponent may file a motion for a protective order with respect to discovery sought by an opposing party or with respect to the hearing, seeking to limit the availability or disclosure of evidence. (b) In issuing a protective order, the ALJ may make any order which justice requires to protect a party or person from annoyance, embarrassment, oppression, or undue burden or expense, including one or more of the following: (1) That the discovery not be had; (2) That the discovery may be had only on specified terms and conditions, including a designation of the time or place; (3) That the discovery may be had only through a method of discovery other than that requested; (4) That certain matters not be inquired into, or that the scope of discovery be limited to certain matters; (5) That discovery be conducted with no one present except persons designated by the ALJ; (6) That the contents of discovery or evidence by sealed; (7) That a deposition after being sealed be opened only by order of the ALJ; (8) That a trade secret or other confidential research, development, commercial information, or facts pertaining to any criminal investigation, proceeding, or other administrative investigation not be disclosed or be disclosed only in a designated way; or (9) That the parties simultaneously file specified documents or information enclosed in sealed envelopes to be opened as directed by the ALJ. | |||||||
| 10:10:1.0.1.1.11.0.76.25 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.25 Fees. | NRC | The party requesting a subpoena shall pay the cost of the fees and mileage of any witness subpoenaed in the amounts that would be payable to a witness in a proceeding in United States District Court. A check for witness fees and mileage shall accompany the subpoena when served, except that when a subpoena is issued on behalf of the authority, a check for witness fees and mileage need not accompany the subpoena. | |||||||
| 10:10:1.0.1.1.11.0.76.26 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.26 Filing and service of papers. | NRC | [72 FR 49152, Aug. 28, 2007] | (a) Filing. (1) Unless otherwise provided by order, all filings must be made as electronic submissions in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions may be found in the E-Filing Guidance and on the NRC Web site at http://www.nrc.gov/site-help/e-submittals.html. If a filing contains sections of information or electronic formats that may not be transmitted electronically for security or other reasons, portions not containing those sections will be transmitted electronically to the E-Filing system. In addition, optical storage media (OSM) containing the entire filing must be physically delivered or mailed. In such cases, the submitter does not need to apply to the Commission for an exemption to deviate from the requirements in paragraph (a) of this section. (2) Electronic transmission exemption. The ALJ may relieve a participant who is filing electronic documents of the transmission requirements in paragraph (a) of this section. Such a participant will file electronic documents by physically delivering or mailing an OSM containing the documents. The electronic formatting requirement in paragraph (a) of this section must be met. (3) Electronic document exemption. The ALJ may relieve a participant of both the electronic (computer file) formatting and transmission requirements in paragraph (a)(1) of this section. Such a participant will file paper documents physically or by mail to the Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention: Rulemakings and Adjudications Staff. Filing by mail is complete upon deposit in the mail. (4) Requesting an exemption. A participant seeking an exemption under paragraphs (a)(2) or (a)(3) of this section must submit the exemption request with its first filing in the proceeding. In the request, the requestor must show good cause as to why it cannot file electronically. The filer may not c… | ||||||
| 10:10:1.0.1.1.11.0.76.27 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.27 Computation of time. | NRC | [72 FR 49153, Aug. 28, 2007] | (a) In computing any period of time under this part or in an order issued thereunder, the time begins with the day following the act, event, or default, and includes the last day of the period, unless it is a Saturday or Sunday, a Federal legal holiday at the place where the action or event is to occur, or a day on which, because of emergency closure of the federal government in Washington, DC, NRC Headquarters does not open for business, in which event it includes the next day that is not a Saturday, Sunday, holiday or emergency closure. (b) When the period of time allowed is less than seven (7) days, intermediate Saturdays, Sundays, Federal legal holidays, and emergency closures shall be excluded from the computation. (c) Whenever an action is required within a prescribed period by a document served pursuant to § 13.26, no additional time is added to the prescribed period except in the following circumstances: (1) If a notice or document is served upon a participant, by first-class mail only, three (3) calendar days will be added to the prescribed period for all the participants in the proceeding. (2) If a notice or document is served upon a participant, by express mail or other expedited service only, two (2) calendar days will be added to the prescribed period for all the participants in the proceeding. (3) If a document is to be served by multiple service methods, such as partially electronic and entirely on an OSM, the additional number of days is computed according to the service method used to deliver the entire document, excluding courtesy copies, to all of the other participants in the proceeding. The presiding officer may determine the calculation of additional days when a participant is not entitled to receive an entire filing served by multiple methods. (4) In mixed service proceedings where all participants are not using the same filing and service method, the number of days for service will be determined by the presiding officer based on considerations of fairness and efficiency. The same num… | ||||||
| 10:10:1.0.1.1.11.0.76.28 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.28 Motions. | NRC | (a) Any application to the ALJ for an order or ruling shall be by motion. Motions shall state the relief sought, the authority relied upon, and the facts alleged, and shall be filed with the ALJ and served on all other parties. (b) Except for motions made during a prehearing conference or at the hearing, all motions shall be in writing. The ALJ may require that oral motions be reduced to writing. (c) Within 15 days after a written motion is served, or such other time as may be fixed by the ALJ, any party may file a response to such motion. (d) The ALJ may not grant a written motion before the time for filing responses thereto has expired, except upon consent of the parties or following a hearing on the motion, but may overrule or deny such motion without awaiting a response. (e) The ALJ shall make a reasonable effort to dispose of all outstanding motions prior to the beginning of the hearing. | |||||||
| 10:10:1.0.1.1.11.0.76.29 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.29 Sanctions. | NRC | (a) The ALJ may sanction a person, including any party or representative for— (1) Failing to comply with an order, rule, or procedure governing the proceeding; (2) Failing to prosecute or defend an action; or (3) Engaging in other misconduct that interferes with the speedy, orderly, or fair conduct of the hearing. (b) Any such sanction, including but not limited to those listed in paragraphs (c), (d), and (e) of this section, shall reasonably relate to the severity and nature of the failure or misconduct. (c) When a party fails to comply with an order, including an order for taking a deposition, the production of evidence within the party's control, or a request for admission, the ALJ may— (1) Draw an inference in favor of the requesting party with regard to the information sought; (2) In the case of requests for admission, deem each matter of which an admission is requested to be admitted; (3) Prohibit the party failing to comply with such order from introducing evidence concerning, or otherwise relying upon testimony relating to the information sought; and (4) Strike any part of the pleadings or other submissions of the party failing to comply with such request. (d) If a party fails to prosecute or defend an action under this part commenced by service of a notice of hearing, the ALJ may dismiss the action or may issue an initial decision imposing penalties and assessments. (e) The ALJ may refuse to consider any motion, request, response, brief or other document which is not filed in a timely fashion. | |||||||
| 10:10:1.0.1.1.11.0.76.3 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.3 Basis for civil penalties and assessments. | NRC | [56 FR 47135, Sept. 18, 1991, as amended at 61 FR 53555, Oct. 11, 1996; 62 FR 59275, Nov. 3, 1997; 65 FR 59273, Oct. 4, 2000; 71 FR 15007, Mar. 27, 2006; 73 FR 54673, Sept. 23, 2008; 81 FR 43021, July 1, 2016; 82 FR 8135, Jan. 24, 2017; 83 FR 1517, Jan. 12, 2018; 84 FR 2435, Feb. 7, 2019; 85 FR 2283, Jan. 15, 2020; 86 FR 3747, Jan. 15, 2021; 87 FR 2312, Jan. 14, 2022; 88 FR 2190, Jan. 13, 2023; 89 FR 2114, Jan. 12, 2024; 90 FR 3614, Jan. 15, 2025; 90 FR 33266, July 17, 2025] | (a) Claims. (1) Any person who makes a claim that the person knows or has reason to know— (i) Is false, fictitious, or fraudulent; (ii) Includes or is supported by any written statement which asserts a material fact which is false, fictitious, or fraudulent; (iii) Includes or is supported by any written statement that— (A) Omits a material fact; (B) Is false, fictitious, or fraudulent as a result of such omission; and (C) Is a statement in which the person making such statement has a duty to include such material fact; or (iv) Is for payment for the provision of property or services which the person has not provided as claimed, shall be subject, in addition to any other remedy that may be prescribed by law, to a civil penalty of not more than $14,308 for each such claim. (2) Each voucher, invoice, claim form, or other individual request or demand for property, services, or money constitutes a separate claim. (3) A claim shall be considered made to the authority, recipient, or party when such claim is actually made to an agent, fiscal intermediary or other entity, including any State or political subdivision thereof, acting for or on behalf of the authority, recipient, or party. (4) Each claim for property, services, or money is subject to a civil penalty regardless of whether such property, services, or money is actually delivered or paid. (5) If the Government has made any payment (including transferred property or provided services) on a claim, a person subject to a civil penalty under paragraph (a)(1) of this section shall also be subject to an assessment of not more than twice the amount of such claim or that portion thereof that is determined to be in violation of paragraph (a)(1) of this section. Such assessment shall be in lieu of damages sustained by the Government because of such claim. (b) Statements. (1) Any person who makes a written statement that— (i) The person knows or has reason to know— (A) Asserts a material fact which is false, fictitious, or fraudulent; or (B) Is false, fic… | ||||||
| 10:10:1.0.1.1.11.0.76.30 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.30 The hearing and burden of proof. | NRC | (a) The ALJ shall conduct a hearing on the record in order to determine whether the defendant is liable for a civil penalty or assessment under § 13.3 and, if so, the appropriate amount of any such civil penalty or assessment considering any aggravating or mitigating factors. (b) The authority shall prove defendant's liability and any aggravating factors by a preponderance of the evidence. (c) The defendant shall prove any affirmative defenses and any mitigating factors by a preponderance of the evidence. (d) The hearing shall be open to the public unless otherwise ordered by the ALJ for good cause shown. | |||||||
| 10:10:1.0.1.1.11.0.76.31 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.31 Determining the amount of penalties and assessments. | NRC | (a) In determining an appropriate amount of civil penalties and assessments, the ALJ and the authority head, upon appeal, should evaluate any circumstances that mitigate or aggravate the violation and should articulate in their opinions the reasons that support the penalties and assessments they impose. Because of the intangible costs of fraud, the expense of investigating such conduct, and the need to deter others who might be similarly tempted, ordinarily double damages and a significant civil penalty should be imposed. (b) Although not exhaustive, the following factors are among those that may influence the ALJ and the authority head in determining the amount of penalties and assessments to impose with respect to the misconduct ( i.e., the false, fictitious, or fraudulent claims or statements) charged in the complaint: (1) The number of false, fictitious, or fraudulent claims or statements; (2) The time period over which such claims or statements were made; (3) The degree of the defendant's culpability with respect to the misconduct; (4) The amount of money or the value of the property, services, or benefit falsely claimed; (5) The value of the Government's actual loss as a result of the misconduct, including foreseeable consequential damages and the costs of investigation; (6) The relationship of the amount imposed as civil penalties to the amount of the Government's loss; (7) The potential or actual impact of the misconduct upon national defense, public health or safety, or public confidence in the management of Government programs and operations, including particularly the impact on the intended beneficiaries of such programs; (8) Whether the defendant has engaged in a pattern of the same or similar misconduct; (9) Whether the defendant attempted to conceal the misconduct; (10) The degree to which the defendant has involved others in the misconduct or in concealing it; (11) Where the misconduct of employees or agents is imputed to the defendant, the extent to which the defendant's practices fos… | |||||||
| 10:10:1.0.1.1.11.0.76.32 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.32 Location of hearing. | NRC | (a) The hearing may be held— (1) In any judicial district of the United States in which the defendant resides or transacts business; (2) In any judicial district of the United States in which the claim or statement in issue was made; or (3) In such other place as may be agreed upon by the defendant and the ALJ. (b) Each party shall have the opportunity to present argument with respect to the location of the hearing. (c) The hearing shall be held at the place and at the time ordered by the ALJ. | |||||||
| 10:10:1.0.1.1.11.0.76.33 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.33 Witnesses. | NRC | (a) Except as provided in paragraph (b) of this section, testimony at the hearing shall be given orally by witnesses under oath or affirmation. (b) At the discretion of the ALJ, testimony may be admitted in the form of a written statement or deposition. Any such written statement must be provided to all other parties along with the last known address of such witness, in a manner which allows sufficient time for other parties to subpoena such witness for cross-examination at the hearing. Prior written statements of witnesses proposed to testify at the hearing and deposition transcripts shall be exchanged as provided in § 13.22(a). (c) The ALJ shall exercise reasonable control over the mode and order of interrogating witnesses and presenting evidence so as to— (1) Make the interrogation and presentation effective for the ascertainment of the truth; (2) Avoid needless consumption of time; and (3) Protect witnesses from harassment or undue embarrassment. (d) The ALJ shall permit the parties to conduct such cross-examination as may be required for a full and true disclosure of the facts. (e) At the discretion of the ALJ, a witness may be cross-examined on matters relevant to the proceeding without regard to the scope of his or her direct examination. To the extent permitted by the ALJ, cross-examination on matters outside the scope of direct examination shall be conducted in the manner of direct examination and may proceed by leading questions only if the witness is a hostile witness, an adverse party, or a witness identified with an adverse party. (f) Upon motion of any party, the ALJ shall order witnesses excluded so that they cannot hear the testimony of other witnesses. This rule does not authorize exclusion of— (1) A party who is an individual; (2) In the case of a party that is not an individual, an officer or employee of the party appearing for the entity pro se or designated by the party's representative; or (3) An individual whose presence is shown by a party to be essential to the presentation of … | |||||||
| 10:10:1.0.1.1.11.0.76.34 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.34 Evidence. | NRC | (a) The ALJ shall determine the admissibility of evidence. (b) Except as provided in this part, the ALJ shall not be bound by the Federal Rules of Evidence. However, the ALJ may apply the Federal Rules of Evidence where appropriate, e.g., to exclude unreliable evidence. (c) The ALJ shall exclude irrelevant and immaterial evidence. (d) Although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or by considerations of undue delay or needless presentation of cumulative evidence. (e) Although relevant, evidence may be excluded if it is privileged under Federal law. (f) Evidence concerning offers of compromise or settlement shall be inadmissible to the extent provided in Rule 408 of the Federal Rules of Evidence. (g) The ALJ shall permit the parties to introduce rebuttal witnesses and evidence. (h) All documents and other evidence offered or taken for the record shall be open to examination by all parties, unless otherwise ordered by the ALJ pursuant to § 13.24. | |||||||
| 10:10:1.0.1.1.11.0.76.35 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.35 The record. | NRC | (a) The hearing will be recorded and transcribed. Transcripts may be obtained following the hearing from the ALJ at a cost not to exceed the actual cost of duplication. (b) The transcript of testimony, exhibits and other evidence admitted at the hearing, and all papers and requests filed in the proceeding constitute the record for the decision by the ALJ and the authority head. (c) The record may be inspected and copied (upon payment of a reasonable fee) by anyone, unless otherwise ordered by the ALJ pursuant to § 13.24. | |||||||
| 10:10:1.0.1.1.11.0.76.36 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.36 Post-hearing briefs. | NRC | The ALJ may require the parties to file post-hearing briefs. In any event, any party may file a post-hearing brief. The ALJ shall fix the time for filing such briefs, not to exceed 60 days from the date the parties receive the transcript of the hearing or, if applicable, the stipulated record. Such briefs may be accompanied by proposed findings of fact and conclusions of law. The ALJ may permit the parties to file reply briefs. | |||||||
| 10:10:1.0.1.1.11.0.76.37 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.37 Initial decision. | NRC | (a) The ALJ shall issue an initial decision based only on the record, which shall contain findings of fact, conclusions of law, and the amount of any penalties and assessments imposed. (b) The findings of fact shall include a finding on each of the following issues: (1) Whether the claims or statements identified in the complaint, or any portions thereof, violate § 13.3; and (2) If the person is liable for penalties or assessments, the appropriate amount of any such penalties or assessments considering any mitigating or aggravating factors that he or she finds in the case, such as those described in § 13.31. (c) The ALJ shall promptly serve the initial decision on all parties within 90 days after the time for submission of post-hearing briefs and reply briefs (if permitted) has expired. The ALJ shall at the same time serve all parties with a statement describing the right of any defendant determined to be liable for a civil penalty or assessment to file a motion for reconsideration with the ALJ or a notice of appeal with the authority head. If the ALJ fails to meet the deadline contained in this paragraph, he or she shall notify the parties of the reason for the delay and shall set a new deadline. (d) Unless the initial decision of the ALJ is timely appealed to the authority head, or a motion for reconsideration of the initial decision is timely filed, the initial decision shall constitute the final decision of the authority head and shall be final and binding on the parties 30 days after it is issued by the ALJ. | |||||||
| 10:10:1.0.1.1.11.0.76.38 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.38 Reconsideration of initial decision. | NRC | (a) Except as provided in paragraph (d) of this section, any party may file a motion for reconsideration of the initial decision within 20 days of receipt of the initial decision. If service was made by mail, receipt will be presumed to be five days from the date of mailing in the absence of contrary proof. (b) Every such motion must set forth the matters claimed to have been erroneously decided and the nature of the alleged errors. Such motion shall be accompanied by a supporting brief. (c) Responses to such motions shall be allowed only upon request of the ALJ. (d) No party may file a motion for reconsideration of an initial decision that has been revised in response to a previous motion for reconsideration. (e) The ALJ may dispose of a motion for reconsideration by denying it or by issuing a revised initial decision. (f) If the ALJ denies a motion for reconsideration, the initial decision shall constitute the final decision of the authority head and shall be final and binding on the parties 30 days after the ALJ denies the motion, unless the initial decision is timely appealed to the authority head in accordance with § 13.39. (g) If the ALJ issues a revised initial decision, that decision shall constitute the final decision of the authority head and shall be final and binding on the parties 30 days after it is issued, unless it is timely appealed to the authority head in accordance with § 13.39. | |||||||
| 10:10:1.0.1.1.11.0.76.39 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.39 Appeal to authority head. | NRC | (a) Any defendant who has filed a timely answer and who is determined in an initial decision to be liable for a civil penalty or assessment may appeal such decision to the authority head by filing a notice of appeal with the authority head in accordance with this section. (b)(1) A notice of appeal may be filed at any time within 30 days after the ALJ issues an initial decision. However, if another party files a motion for reconsideration under § 13.38, consideration of the appeal shall be stayed automatically pending resolution of the motion for reconsideration. (2) If a motion for reconsideration is timely filed, a notice of appeal may be filed within 30 days after the ALJ denies the motion or issues a revised initial decision, whichever applies. (3) The authority head may extend the initial 30 day period for an additional 30 days if the defendant files with the authority head a request for an extension within the initial 30 day period and shows good cause. (c) If the defendant files a timely notice of appeal with the authority head and the time for filing motions for reconsideration under § 13.38 has expired, the ALJ shall forward the record of the proceeding to the authority head. (d) A notice of appeal shall be accompanied by a written brief specifying exceptions to the initial decision and reasons supporting the exceptions. (e) The representative for the Government may file a brief in opposition to exceptions within 30 days of receiving the notice of appeal and accompanying brief. (f) There is no right to appear personally before the authority head. (g) There is no right to appeal any interlocutory ruling by the ALJ. (h) In reviewing the initial decision, the authority head shall not consider any objection that was not raised before the ALJ unless a demonstration is made of extraordinary circumstances causing the failure to raise the objection. (i) If any party demonstrates to the satisfaction of the authority head that additional evidence not presented at each hearing is material and that there we… | |||||||
| 10:10:1.0.1.1.11.0.76.4 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.4 Investigation. | NRC | [56 FR 47135, Sept. 18, 1991, as amended at 90 FR 33266, July 17, 2025] | (a) If an investigating official concludes that a subpoena pursuant to the authority conferred by 31 U.S.C. 3804(a) is warranted— (1) The subpoena so issued shall notify the person to whom it is addressed of the authority under which the subpoena is issued and shall identify the records or documents sought; (2) The investigating official may designate a person to act on his or her behalf to receive the documents sought; and (3) The person receiving such subpoena shall be required to tender to the investigating official or the person designated to receive the documents a certification that the documents sought have been produced, or that such documents are not available and the reasons therefor, or that such documents, suitably identified, have been withheld based upon the assertion of an identified privilege. (b) If the investigating official concludes that an action under the Administrative False Claims Act may be warranted, the investigating official shall submit a report containing the findings and conclusions of such investigation to the reviewing official. To the extent possible, before initiating an investigation or submitting a report involving a licensee false statement to the reviewing official, the investigating official shall consult with the Executive Director for Operations to ascertain whether any other agency action is under consideration, pending, or may be taken with regard to the licensee, and to allow for coordination between any action under this part and other enforcement action. (c) Nothing in this section shall preclude or limit an investigating official's discretion to refer allegations directly to the Department of Justice for suit under the False Claims Act or other civil relief, or to refer the matter to the Executive Director for Operations for enforcement action under the Atomic Energy Act, or to defer initiating an investigation or postpone a report or referral to the reviewing official to avoid interference with other enforcement action by the Commission or with a criminal inve… | ||||||
| 10:10:1.0.1.1.11.0.76.40 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.40 Stays ordered by the Department of Justice. | NRC | If at any time the Attorney General or an Assistant Attorney General designated by the Attorney General transmits to the authority head a written finding that continuation of the administrative process described in this part with respect to a claim or statement may adversely affect any pending or potential criminal or civil action related to such claim or statement, the authority head shall stay the process immediately. The authority head may order the process resumed only upon receipt of the written authorization of the Attorney General. | |||||||
| 10:10:1.0.1.1.11.0.76.41 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.41 Stay pending appeal. | NRC | (a) An initial decision is stayed automatically pending disposition of a motion for reconsideration or of an appeal to the authority head. (b) No administrative stay is available following a final decision of the authority head. | |||||||
| 10:10:1.0.1.1.11.0.76.42 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.42 Judicial review. | NRC | Section 3805 of title 31, United States Code, authorizes judicial review by an appropriate United States District Court of a final decision of the authority head imposing penalties or assessments under this part and specifies the procedures for such review. | |||||||
| 10:10:1.0.1.1.11.0.76.43 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.43 Collection of civil penalties and assessments. | NRC | Sections 3806 and 3808(b) of title 31, United States Code, authorize actions for collection of civil penalties and assessments imposed under this part and specify the procedures for such actions. | |||||||
| 10:10:1.0.1.1.11.0.76.44 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.44 Right to administrative offset. | NRC | The amount of any penalty or assessment which has become final, or for which a judgment has been entered under § 13.42 or § 13.43, or any amount agreed upon in a compromise or settlement under § 13.46, may be collected by administrative offset under 31 U.S.C. 3716, except that an administrative offset may not be made under this subsection against a refund of an overpayment of Federal taxes, then or later owing by the United States to the defendant. | |||||||
| 10:10:1.0.1.1.11.0.76.45 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.45 Recovery of Costs and Deposit in Treasury of United States. | NRC | [90 FR 33266, July 17, 2025] | (a) Any amount collected under this part shall be credited first to reimburse the authority or other Federal entity that expended costs in support of the investigation or prosecution of the action, including any court or hearing costs. (b) Any amount reimbursed under paragraph (a) of this section shall be deposited in the appropriations account of the authority or other Federal entity from which the costs described in paragraph (a) of this section were obligated, a similar appropriations account of the authority or other Federal entity; or if the authority or other Federal entity expended nonappropriated funds, another appropriate account; and remain available until expended. (c) Any amounts remaining after reimbursements described in paragraph (a) of this section pursuant to this part shall be deposited as miscellaneous receipts in the Treasury of the United States, except as provided in 31 U.S.C. 3806(g). | ||||||
| 10:10:1.0.1.1.11.0.76.46 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.46 Compromise or settlement. | NRC | [56 FR 47135, Sept. 18, 1991, as amended at 90 FR 33266, July 17, 2025] | (a) Parties may make offers of compromise or settlement at any time. (b) The reviewing official has the exclusive authority to compromise or settle a case under this part at any time after the date on which the reviewing official is permitted to issue a complaint and before the date on which the ALJ issues an initial decision. Before compromising or settling a case under this part, a reviewing official shall notify the Attorney General in writing not later than 30 days before entering into any agreement to compromise or settle allegations of liability under this part and before the date on which the reviewing official is permitted to refer allegations of liability to a presiding officer. (c) The authority head has exclusive authority to compromise or settle a case under this part at any time after the date on which the ALJ issues an initial decision, except during the pendency of any review under § 13.42 or during the pendency of any action to collect penalties and assessments under § 13.43. (d) The Attorney General has exclusive authority to compromise or settle a case under this part during the pendency of any review under § 13.42 or of any action to recover penalties and assessments under 31 U.S.C. 3806. (e) The investigating officer may recommend settlement terms to the reviewing official, the authority head, or the Attorney General, as appropriate. The reviewing official may recommend settlement terms to the authority head, or the Attorney General, as appropriate. (f) Any compromise or settlement must be in writing. | ||||||
| 10:10:1.0.1.1.11.0.76.47 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.47 Limitations. | NRC | [56 FR 47135, Sept. 18, 1991, as amended at 90 FR 33266, July 17, 2025] | (a) A notice to the person alleged to be liable under this part with respect to a claim or statement shall be served in the manner specified in § 13.8 not later than the later of: (1) 6 years after the date on which the violation is committed; or (2) 3 years after the date on which facts material to the action are known or reasonably should have been known by the authority head, but in no event more than 10 years after the date on which the violation is committed. (b) A civil action to recover a penalty or assessment under this part shall be commenced within 3 years after the date on which the determination of liability for such penalty or assessment becomes final. (c) The statute of limitations may be extended by agreement of the parties. | ||||||
| 10:10:1.0.1.1.11.0.76.5 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.5 Review by the reviewing official. | NRC | (a) If, based on the report of the investigating official under § 13.4(b), the reviewing official determines that there is adequate evidence to believe that a person is liable under § 13.3 of this part, the reviewing official shall transmit to the Attorney General a written notice of the reviewing official's intention to issue a complaint under § 13.7. (b) Such notice shall include— (1) A statement of the reviewing official's reasons for issuing a complaint; (2) A statement specifying the evidence that supports the allegations of liability; (3) A description of the claims or statements upon which the allegations of liability are based; (4) An estimate of the amount of money or the value of property, services, or other benefits requested or demanded in violation of § 13.3 of this part; (5) A statement of any exculpatory or mitigating circumstances that may relate to the claims or statements known by the reviewing official or the investigating official; and (6) A statement that there is a reasonable prospect of collecting an appropriate amount of penalties and assessments. | |||||||
| 10:10:1.0.1.1.11.0.76.6 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.6 Prerequisites for issuing a complaint. | NRC | [56 FR 47135, Sept. 18, 1991; 56 FR 49945, Oct. 2, 1991, as amended at 90 FR 33266, July 17, 2025] | (a) The reviewing official may issue a complaint under § 13.7 only if— (1) The Department of Justice approves the issuance of a complaint in a written statement described in 31 U.S.C. 3803(b)(1), and (2) In the case of allegations of liability under § 13.3(a) with respect to a claim, the reviewing official determines that, with respect to such claim or a group of related claims submitted at the same time such claim is submitted (as defined in paragraph (b) of this section), the amount of money or the value of property or services demanded or requested in violation of § 13.3(a) does not exceed $1,000,000. (b) For the purposes of this section, a related group of claims submitted at the same time shall include only those claims arising from the same transaction (e.g., grant, loan, application, or contract) that are submitted simultaneously as part of a single request, demand, or submission. (c) Nothing in this section shall be construed to limit the reviewing official's authority to join in a single complaint against a person claims that are unrelated or were not submitted simultaneously, regardless of the amount of money, or the value of property or services, demanded or requested. | ||||||
| 10:10:1.0.1.1.11.0.76.7 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.7 Complaint. | NRC | (a) On or after the date the Department of Justice approves the issuance of a complaint in accordance with 31 U.S.C. 3803(b)(1), the reviewing official may serve a complaint on the defendant, as provided in § 13.8. (b) The complaint shall state— (1) The allegations of liability against the defendant, including the statutory basis for liability, an identification of the claims or statements that are the basis for the alleged liability, and the reasons why liability allegedly arises from such claims or statements; (2) The maximum amount of penalties and assessments for which the defendant may be held liable; (3) Instructions for filing an answer to request a hearing, including a specific statement of the defendant's right to request a hearing by filing an answer and to be represented by a representative; and (4) That failure to file an answer within 30 days of service of the complaint will result in the imposition of the maximum amount of penalties and assessments without right to appeal, as provided in § 13.10. (c) At the same time the reviewing official serves the complaint, he or she shall serve the defendant with a copy of these regulations. | |||||||
| 10:10:1.0.1.1.11.0.76.8 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.8 Service of complaint. | NRC | [56 FR 47135, Sept. 18, 1991, as amended at 71 FR 15007, Mar. 27, 2006] | (a) Service of a complaint must be made by certified or registered mail or by delivery in any manner authorized by Rule 4(d) of the Federal Rules of Civil Procedure. Service is complete upon receipt. (b) Proof of service, stating the name and address of the person on whom the complaint was served, and the manner and date of service, may be made by— (1) Affidavit of the individual serving the complaint by delivery; (2) A United States Postal Service return receipt card acknowledging receipt; or (3) Written acknowledgment of receipt by the defendant or his or her representative. | ||||||
| 10:10:1.0.1.1.11.0.76.9 | 10 | Energy | I | 13 | PART 13—ADMINISTRATIVE REMEDIES FOR FALSE CLAIMS AND STATEMENTS | § 13.9 Answer. | NRC | [56 FR 47135, Sept. 18, 1991; 56 FR 64839, Dec. 12, 1991; 72 FR 49152, Aug. 28, 2007] | (a) The defendant may request a hearing by filing an answer with the reviewing official within thirty (30) days of service of the complaint. Service of an answer shall be made by electronically delivering a copy to the reviewing official in accordance with § 13.26. An answer shall be deemed a request for hearing. (b) In the answer, the defendant— (1) Shall admit or deny each of the allegations of liability made in the complaint; (2) Shall state any defense on which the defendant intends to rely; (3) May state any reasons why the defendant contends that the penalties and assessments should be less than the statutory maximum; and (4) Shall state the name, address, and telephone number of the person authorized by the defendant to act as defendant's representative, if any. (c) If the defendant is unable to file an answer meeting the requirements of paragraph (b) of this section within the time provided, the defendant may, before the expiration of 30 days from service of the complaint, file with the reviewing official a general answer denying liability and requesting a hearing, and a request for an extension of time within which to file an answer meeting the requirements of paragraph (b) of this section. The reviewing official shall file promptly with the ALJ the complaint, the general answer denying liability, and the request for an extension of time as provided in § 13.11. For good cause shown, the ALJ may grant the defendant up to 30 additional days within which to file an answer meeting the requirements of paragraph (b) of this section. | ||||||
| 14:14:1.0.1.2.5.1.11.1 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | A | Subpart A—General Authority to Re-Delegate and Investigative Procedures | § 13.1 Re-delegation. | FAA | Unless otherwise specified, the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement may re-delegate the authority delegated to them under this part. | ||||
| 14:14:1.0.1.2.5.1.11.2 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | A | Subpart A—General Authority to Re-Delegate and Investigative Procedures | § 13.2 Reports of violations. | FAA | (a) Any person who knows of any violation of 49 U.S.C. subtitle VII, 49 U.S.C. chapter 51, or any rule, regulation, or order issued under those statutes, should report the violation to FAA personnel. (b) FAA personnel will review each report made under this section to determine whether any additional investigation or action is warranted. | ||||
| 14:14:1.0.1.2.5.1.11.3 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | A | Subpart A—General Authority to Re-Delegate and Investigative Procedures | § 13.3 Investigations (general). | FAA | (a) The Administrator may conduct investigations; hold hearings; issue subpoenas; require the production of relevant documents, records, and property; and take evidence and depositions. (b) The Administrator has delegated the authority to conduct investigations to the various services and offices for matters within their respective areas. (c) The Administrator delegates to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement the authority to: (1) Issue orders; (2) Conduct formal investigations; (3) Subpoena witnesses and records in conducting a hearing or investigation; (4) Order depositions and production of records in a proceeding or investigation; and (5) Petition a court of the United States to enforce a subpoena or order described in paragraphs (c)(3) and (4) of this section. (d) A complaint against the sponsor, proprietor, or operator of a federally assisted airport involving violations of the legal authorities listed in § 16.1 of this chapter must be filed in accordance with the provisions of part 16 of this chapter. | ||||
| 14:14:1.0.1.2.5.1.11.4 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | A | Subpart A—General Authority to Re-Delegate and Investigative Procedures | § 13.5 Formal complaints. | FAA | (a) Any person may file a complaint with the Administrator with respect to a violation by a person of any requirement under 49 U.S.C. subtitle VII, 49 U.S.C. chapter 51, or any rule, regulation, or order issued under those statutes, as to matters within the jurisdiction of the Administrator. This section does not apply to complaints against the Administrator or employees of the FAA acting within the scope of their employment. (b) Complaints filed under this section must— (1) Be submitted in writing and identified as a complaint seeking an appropriate order or other enforcement action; (2) Be submitted to the Federal Aviation Administration, Office of the Chief Counsel, Attention: Formal Complaint Clerk (AGC-300), 800 Independence Avenue SW, Washington, DC 20591; (3) Set forth the name and address, if known, of each person who is the subject of the complaint and, with respect to each person, the specific provisions of the statute, rule, regulation, or order that the complainant believes were violated; (4) Contain a concise but complete statement of the facts relied upon to substantiate each allegation; (5) State the name, address, telephone number, and email of the person filing the complaint; and (6) Be signed by the person filing the complaint or an authorized representative. (c) A complaint that does not meet the requirements of paragraph (b) of this section will be considered a report under § 13.2. (d) The FAA will send a copy of a complaint that meets the requirements of paragraph (b) of this section to the subject(s) of the complaint by certified mail. (e) A subject of the complaint may serve a written answer to the complaint to the Formal Complaint Clerk at the address specified in paragraph (b)(2) of this section no later than 20 days after service of a copy of the complaint. For purposes of this paragraph (e), the date of service is the date on which the FAA mailed a copy of the complaint to the subject of the complaint. (f) After the subject(s) of the complaint have served a written answer or … | ||||
| 14:14:1.0.1.2.5.1.11.5 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | A | Subpart A—General Authority to Re-Delegate and Investigative Procedures | § 13.7 Records, documents, and reports. | FAA | Each record, document, and report that FAA regulations require to be maintained, exhibited, or submitted to the Administrator may be used in any investigation conducted by the Administrator; and, except to the extent the use may be specifically limited or prohibited by the section which imposes the requirement, the records, documents, and reports may be used in any civil penalty action, certificate action, or other legal proceeding. | ||||
| 14:14:1.0.1.2.5.2.11.1 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | B | Subpart B—Administrative Actions | § 13.11 Administrative disposition of certain violations. | FAA | (a) If, after an investigation, FAA personnel determine that an apparent violation of 49 U.S.C. subtitle VII, 49 U.S.C. chapter 51, or any rule, regulation, or order issued under those statutes, does not require legal enforcement action, an appropriate FAA official may take administrative action to address the apparent violation. (b) An administrative action under this section does not constitute a formal adjudication of the matter, and may take the form of— (1) A Warning Notice that recites available facts and information about the incident or condition and indicates that it may have been a violation; or (2) A Letter of Correction that states the corrective action the apparent violator has taken or agrees to take. If the apparent violator does not complete the agreed corrective action, the FAA may take legal enforcement action. | ||||
| 14:14:1.0.1.2.5.3.11.1 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | C | Subpart C—Legal Enforcement Actions | § 13.13 Consent orders. | FAA | (a) The Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement may issue a consent order to resolve any matter with a person that may be subject to legal enforcement action. (b) A person that may be subject to legal enforcement action may propose a consent order. The proposed consent order must include— (1) An admission of all jurisdictional facts; (2) An express waiver of the right to further procedural steps and of all rights to legal review in any forum; (3) An express waiver of attorney's fees and costs; (4) If a notice or order has been issued prior to the proposed consent order, an incorporation by reference of the notice or order and an acknowledgment that the notice or order may be used to construe the terms of the consent order; and (5) If a request for hearing or appeal is pending in any forum, a provision that the person will withdraw the request for hearing or notice of appeal. | ||||
| 14:14:1.0.1.2.5.3.11.2 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | C | Subpart C—Legal Enforcement Actions | § 13.14 [Reserved] | FAA | |||||
| 14:14:1.0.1.2.5.3.11.3 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | C | Subpart C—Legal Enforcement Actions | § 13.15 Civil penalties: Other than by administrative assessment. | FAA | (a) The FAA uses the procedures in this section when it seeks a civil penalty other than by the administrative assessment procedures in § 13.16 or § 13.18. (b) The authority of the Administrator to seek a civil penalty, and the ability to refer cases to the United States Attorney General, or the delegate of the Attorney General, for prosecution of civil penalty actions sought by the Administrator is delegated to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement. This delegation applies to cases involving one or more of the following: (1) An amount in controversy in excess of: (i) $400,000, if the violation was committed by a person other than an individual or small business concern; or (ii) $50,000, if the violation was committed by an individual or small business concern. (2) An in rem action, seizure of aircraft subject to lien, suit for injunctive relief, or for collection of an assessed civil penalty. (c) The Administrator may compromise any civil penalty proposed under this section, before referral to the United States Attorney General, or the delegate of the Attorney General, for prosecution. (1) The Administrator, through the Chief Counsel, a Deputy Chief Counsel, or the Assistant Chief Counsel for Enforcement sends a civil penalty letter to the person charged with a violation. The civil penalty letter contains a statement of the charges; the applicable law, rule, regulation, or order; and the amount of civil penalty that the Administrator will accept in full settlement of the action or an offer to compromise the civil penalty. (2) Not later than 30 days after receipt of the civil penalty letter, the person cited with an alleged violation may respond to the civil penalty letter by— (i) Submitting electronic payment, a certified check, or money order in the amount offered by the Administrator in the civil penalty letter. The agency attorney will send a letter to the person charged with the violation stating that payment is accepted in full settlement of t… | ||||
| 14:14:1.0.1.2.5.3.11.4 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | C | Subpart C—Legal Enforcement Actions | § 13.16 Civil penalties: Administrative assessment against a person other than an individual acting as a pilot, flight engineer, mechanic, or repairman; administrative assessment against all persons for hazardous materials violations. | FAA | (a) General. The FAA uses the procedures in this section when it assesses a civil penalty against a person other than an individual acting as a pilot, flight engineer, mechanic, or repairman for a violation cited in the first sentence of 49 U.S.C. 46301(d)(2), or in 49 U.S.C. 47531, or any implementing rule, regulation, or order, except when the U.S. district courts have exclusive jurisdiction. (b) District court jurisdiction. The U.S. district courts have exclusive jurisdiction of any civil penalty action initiated by the FAA for violations described in paragraph (a) of this section if— (1) The amount in controversy is more than $400,000 for a violation committed by a person other than an individual or small business concern; (2) The amount in controversy is more than $50,000 for a violation committed by an individual or a small business concern; (3) The action is in rem or another action in rem based on the same violation has been brought; (4) The action involves an aircraft subject to a lien that has been seized by the Government; or (5) Another action has been brought for an injunction based on the same violation. (c) Hazardous materials violations. An order assessing a civil penalty for a violation under 49 U.S.C. chapter 51, or a rule, regulation, or order issued under 49 U.S.C. chapter 51, is issued only after the following factors have been considered: (1) The nature, circumstances, extent, and gravity of the violation; (2) With respect to the violator, the degree of culpability, any history of prior violations, the ability to pay, and any effect on the ability to continue to do business; and (3) Other matters that justice requires. (d) Delegation of authority. The authority of the Administrator is delegated to each Deputy Chief Counsel and the Assistant Chief Counsel for Enforcement, as follows: (1) Under 49 U.S.C. 46301(d), 47531, and 5123, and 49 CFR 1.83, to initiate and assess civil penalties for a violation of those statutes or a rule, regulation, or order issued under those prov… | ||||
| 14:14:1.0.1.2.5.3.11.5 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | C | Subpart C—Legal Enforcement Actions | § 13.17 Seizure of aircraft. | FAA | (a) The Chief Counsel, or a Regional Administrator for an aircraft within the region, may issue an order authorizing a State or Federal law enforcement officer or a Federal Aviation Administration safety inspector to seize an aircraft that is involved in a violation for which a civil penalty may be imposed on its owner or the individual commanding the aircraft. (b) Each person seizing an aircraft under this section places it in the nearest available and adequate public storage facility in the judicial district in which it was seized. (c) The Regional Administrator or Chief Counsel, without delay, sends a written notice and a copy of this section to the registered owner of the seized aircraft and to each other person shown by FAA records to have an interest in it, stating the— (1) Time, date, and place of seizure; (2) Name and address of the custodian of the aircraft; (3) Reasons for the seizure, including the violations alleged or proven to have been committed; and (4) Amount that may be tendered as— (i) A compromise of a civil penalty for the alleged violation; or (ii) Payment for a civil penalty imposed for a proven violation. (d) The Chief Counsel or Assistant Chief Counsel for Enforcement immediately sends a report to the United States Attorney for the judicial district in which it was seized, requesting the United States Attorney to institute proceedings to enforce a lien against the aircraft. (e) The Regional Administrator or Chief Counsel directs the release of a seized aircraft when— (1) The alleged violator pays a civil penalty or an amount agreed upon in compromise, and the costs of seizing, storing, and maintaining the aircraft; (2) The aircraft is seized under an order of a court of the United States in proceedings in rem initiated under 49 U.S.C. 46305 to enforce a lien against the aircraft; (3) The United States Attorney General, or the delegate of the Attorney General, notifies the FAA that the United States Attorney General, or the delegate of the Attorney General, refuses to institut… | ||||
| 14:14:1.0.1.2.5.3.11.6 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | C | Subpart C—Legal Enforcement Actions | § 13.18 Civil penalties: Administrative assessment against an individual acting as a pilot, flight engineer, mechanic, or repairman. | FAA | (a) General. (1) This section applies to each action in which the FAA seeks to assess a civil penalty by administrative procedures against an individual acting as a pilot, flight engineer, mechanic, or repairman under 49 U.S.C. 46301(d)(5) for a violation listed in 49 U.S.C. 46301(d)(2). This section does not apply to a civil penalty assessed for a violation of 49 U.S.C. chapter 51, or a rule, regulation, or order issued thereunder. (2) Notwithstanding the provisions of paragraph (a)(1) of this section, the U.S. district courts have exclusive jurisdiction of any civil penalty action involving an individual acting as a pilot, flight engineer, mechanic, or repairman for violations described in paragraph (a)(1), or under 49 U.S.C. 46301(d)(4), if: (i) The amount in controversy is more than $50,000; (ii) The action involves an aircraft subject to a lien that has been seized by the government; or (iii) Another action has been brought for an injunction based on the same violation. (b) Definitions. As used in this part, the following definitions apply: (1) Flight engineer means an individual who holds a flight engineer certificate issued under part 63 of this chapter. (2) Individual acting as a pilot, flight engineer, mechanic, or repairman means an individual acting in such capacity, whether or not that individual holds the respective airman certificate issued by the FAA. (3) Mechanic means an individual who holds a mechanic certificate issued under part 65 of this chapter. (4) Pilot means an individual who holds a pilot certificate issued under part 61 of this chapter. (5) Repairman means an individual who holds a repairman certificate issued under part 65 of this chapter. (c) Delegation of authority. The authority of the Administrator is delegated to the Chief Counsel and each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement, as follows: (1) To initiate and assess civil penalties under 49 U.S.C. 46301(d)(5); (2) To refer cases to the Attorney General of the United Sta… | ||||
| 14:14:1.0.1.2.5.3.11.7 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | C | Subpart C—Legal Enforcement Actions | § 13.19 Certificate actions appealable to the National Transportation Safety Board. | FAA | [Docket FAA-2018-1051, Amdt. 13-40, 86 FR 54527, Oct. 1, 2021, as amended by Docket FAA-2018-1051, Amdt. 13-40A, 87 FR 61233, Oct. 11, 2022] | (a) This section applies to certificate actions by the Administrator that are appealable to the National Transportation Safety Board. (1) Under 49 U.S.C. 44709(b) the Administrator may issue an order amending, modifying, suspending, or revoking all or part of any type certificate, production certificate, airworthiness certificate, airman certificate, air carrier operating certificate, air navigation facility certificate, or air agency certificate if as a result of a reinspection, reexamination, or other investigation, the Administrator determines that the public interest and safety in air commerce requires it, if a certificate holder has violated an aircraft noise or sonic boom standard or regulation prescribed under 49 U.S.C. 44715(a), or if the holder of the certificate is convicted of violating 16 U.S.C. 742j-1(a). (2) The authority of the Administrator to issue orders under 49 U.S.C. 44709(b)(1)(A) and (b)(2) is delegated to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement. (b) The agency attorney will issue a notice before issuing a non-immediately effective order to amend, modify, suspend, or revoke a type certificate, production certificate, airworthiness certificate, airman certificate, air carrier operating certificate, air navigation facility certificate, air agency certificate, or to revoke an aircraft certificate of registration because the aircraft was used to carry out or facilitate an activity punishable under a law of the United States or a State related to a controlled substance (except a law related to simple possession of a controlled substance), by death or imprisonment for more than one year, and the owner of the aircraft permitted the use of the aircraft knowing that the aircraft was to be used for the activity. (1) A notice of proposed certificate action will advise the certificate holder or aircraft owner of the charges or other reasons upon which the Administrator bases the proposed action, and allows the holder to answer any charges and to… | |||
| 14:14:1.0.1.2.5.3.11.8 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | C | Subpart C—Legal Enforcement Actions | § 13.20 Orders of compliance, cease and desist orders, orders of denial, and other orders. | FAA | (a) General. This section applies to all of the following: (1) Orders of compliance; (2) Cease and desist orders; (3) Orders of denial; (4) Orders suspending or revoking a certificate of registration (but not revocation of a certificate of registration because the aircraft was used to carry out or facilitate an activity punishable, under a law of the United States or a State related to a controlled substance (except a law related to simple possession of a controlled substance), by death or imprisonment for more than one year and the owner of the aircraft permitted the use of the aircraft knowing that the aircraft was to be used for the activity); and (5) Other orders issued by the Administrator to carry out the provisions of the Federal aviation statute codified at 49 U.S.C. subtitle VII that apply this section by statute, rule, regulation, or order, or for which there is no specific administrative process provided by statute, rule, regulation, or order. (b) Applicability of procedures. (1) Prior to the issuance of a non-immediately effective order covered by this section, the Administrator will provide the person who would be subject to the order with notice, advising the person of the charges or other reasons upon which the proposed action is based, and the provisions in paragraph (c) of this section apply. (2) If the Administrator is of the opinion that an emergency exists related to safety in air commerce and requires immediate action and issues an order covered by this section that is immediately effective, the provisions of paragraph (d) of this section apply. (c) Non-emergency procedures. (1) Within 30 days after service of the notice, the person subject to the notice may: (i) Submit a written reply; (ii) Agree to the issuance of the order as proposed in the notice of proposed action, waiving any right to contest or appeal the agreed-upon order issued under this option in any administrative or judicial forum; (iii) Submit a written request for an informal conference to discuss the matter w… | ||||
| 14:14:1.0.1.2.5.3.11.9 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | C | Subpart C—Legal Enforcement Actions | §§ 13.21 -13.29 [Reserved] | FAA | |||||
| 14:14:1.0.1.2.5.4.11.1 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.31 Applicability. | FAA | This subpart applies to proceedings in which a hearing has been requested in accordance with § 13.20 or § 13.75. Hearings under this subpart are considered informal and are provided through the Office of Adjudication. | ||||
| 14:14:1.0.1.2.5.4.11.10 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.47 Withdrawal or amendment of the complaint, answer, or other filings. | FAA | (a) Withdrawal. At any time before the hearing, the complainant may withdraw the complaint, and the respondent may withdraw the request for hearing. (b) Amendments. At any time more than 10 days before the date of hearing, any party may amend its complaint, answer, or other pleading, by filing the amendment with the FAA Hearing Docket and serving a copy of it on every other party. After that time, amendment requires approval of the hearing officer. If an initial pleading is amended, the hearing officer must allow the other parties a reasonable opportunity to respond. | ||||
| 14:14:1.0.1.2.5.4.11.11 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.49 Motions. | FAA | (a) Motions in lieu of an answer. A respondent may file a motion to dismiss or a motion for a more definite statement in place of an answer. If the hearing officer denies the motion, the respondent must file an answer within 10 days. (1) Motion to dismiss. The respondent may file a motion asserting that the allegations in the complaint fail to state a violation of Federal aviation statutes, a violation of regulations in this chapter, lack of qualification of the respondent, or other appropriate grounds. (2) Motion for more definite statement. The respondent may file a motion that the allegations in the notice be made more definite and certain. (b) Motion to dismiss request for hearing. The FAA may file a motion to dismiss a request for hearing based on jurisdiction, timeliness, or other appropriate grounds. (c) Motion for decision on the pleadings or for summary decision. After the complaint and answer are filed, either party may move for a decision on the pleadings or for a summary decision, in the manner provided by Rules 12 and 56, respectively, of the Federal Rules of Civil Procedure. (d) Motion to strike. Upon motion of either party, the hearing officer may order stricken, from any pleadings, any insufficient allegation or defense, or any redundant, immaterial, impertinent, or scandalous matter. (e) Motion to compel. Any party may file a motion asking the hearing officer to order any other party to produce discovery requested in accordance with § 13.53 if— (1) The other party has failed to timely produce the requested discovery; and (2) The moving party certifies it has in good faith conferred with the other party in an attempt to obtain the requested discovery prior to filing the motion to compel. (f) Motion for protective order. The hearing officer may order information contained in anything filed, or in any testimony given pursuant to this subpart withheld from public disclosure when, in the judgment of the hearing officer, disclosure would be detrimental to aviation safety; discl… | ||||
| 14:14:1.0.1.2.5.4.11.12 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.51 Intervention. | FAA | Any person may move for leave to intervene in a proceeding and may become a party thereto, if the hearing officer, after the case is sent to the hearing officer for hearing, finds that the person may be bound by the order to be issued in the proceedings or has a property or financial interest that may not be adequately represented by existing parties, and that the intervention will not unduly broaden the issues or delay the proceedings. Except for good cause shown, a motion for leave to intervene may not be considered if it is filed less than 10 days before the hearing. | ||||
| 14:14:1.0.1.2.5.4.11.13 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.53 Discovery. | FAA | (a) Filing. Discovery requests and responses are not filed with the FAA Hearing Docket unless in support of a motion, offered for impeachment, or other permissible circumstances as approved by the hearing officer. (b) Scope of discovery. Any party may discover any matter that is not privileged and is relevant to any party's claim or defense. (c) Time for response to written discovery requests. (1) Written discovery includes interrogatories, requests for admission or stipulations, and requests for production of documents. (2) Unless otherwise directed by the hearing officer, a party must serve its response to a discovery request no later than 30 days after service of the discovery request. (d) Depositions. After the respondent has filed a request for hearing and an answer, either party may take testimony by deposition. (e) Limits on discovery. The hearing officer may limit the frequency and extent of discovery upon a showing by a party that— (1) The discovery requested is cumulative or repetitious; (2) The discovery requested can be obtained from another less burdensome and more convenient source; (3) The party requesting the information has had ample opportunity to obtain the information through other discovery methods permitted under this section; or (4) The method or scope of discovery requested by the party is unduly burdensome or expensive. | ||||
| 14:14:1.0.1.2.5.4.11.14 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.55 Notice of hearing. | FAA | The hearing officer must set a reasonable date, time, and location for the hearing, and must give the parties adequate notice thereof, and of the nature of the hearing. Due regard must be given to the convenience of the parties with respect to the location of the hearing. | ||||
| 14:14:1.0.1.2.5.4.11.15 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.57 Subpoenas and witness fees. | FAA | (a) Application. The hearing officer, upon application by any party to the proceeding, may issue subpoenas requiring the attendance of witnesses or the production of documents or tangible things at a hearing or for the purpose of taking depositions, as permitted by law. The application for producing evidence must show its general relevance and reasonable scope. Absent good cause shown, a party must file a request for a subpoena at least: (1) 15 days before a scheduled deposition under the subpoena; or (2) 30 days before a scheduled hearing where attendance at the hearing is sought. (b) Procedure. A party seeking the production of a document in the custody of an FAA employee must use the discovery procedure found in § 13.53, and if necessary, a motion to compel under § 13.49. A party that applies for the attendance of an FAA employee at a hearing must send the application, in writing, to the hearing officer. The application must set forth the need for that employee's attendance. (c) Fees. Except for an employee of the agency who appears at the direction of the agency, a witness who appears at a deposition or hearing is entitled to the same fees and allowances as provided for under 28 U.S.C. 1821. The party who applies for a subpoena to compel the attendance of a witness at a deposition or hearing, or the party at whose request a witness appears at a deposition or hearing, must pay the witness fees and allowances described in this section. (d) Service of subpoenas. Any person who is at least 18 years old and not a party may serve a subpoena. Serving a subpoena requires delivering a copy to the named person. Except for the complainant, the party that requested the subpoena must tender at the time of service the fees for 1 day's attendance and the allowances allowed by law if the subpoena requires that person's attendance. Proving service, if necessary, requires the filing with the FAA Hearing Docket of a statement showing the date and manner of service and the names of the persons served. The server mus… | ||||
| 14:14:1.0.1.2.5.4.11.16 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.59 Evidence. | FAA | (a) Each party to a hearing may present the party's case or defense by oral or documentary evidence, submit evidence in rebuttal, and conduct such cross-examination as may be needed for a full disclosure of the facts. (b) Except with respect to affirmative defenses and notices of proposed denial, the burden of proof is upon the complainant. | ||||
| 14:14:1.0.1.2.5.4.11.17 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.61 Argument and submittals. | FAA | The hearing officer must give the parties adequate opportunity to present arguments in support of motions, objections, and the final order. The hearing officer may determine whether arguments are to be oral or written. At the end of the hearing, the hearing officer may allow each party to submit written proposed findings and conclusions and supporting reasons for them. | ||||
| 14:14:1.0.1.2.5.4.11.18 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.63 Record, decision, and aircraft registration proceedings. | FAA | (a) The record. (1) The testimony and exhibits admitted at a hearing, together with all papers, requests, and rulings filed in the proceedings, are the exclusive basis for the issuance of the hearing officer's decision. (2) On appeal to the Administrator, the record shall include all of the information identified in paragraph (a)(1) of this section and evidence proffered but not admitted at the hearing. (3) Any party may obtain a transcript of the hearing from the official reporter upon payment of the required fees. (b) Hearing officer's decision. The decision by the hearing officer must include findings of fact based on the record, conclusions of law, and an appropriate order. (c) Certain aircraft registration proceedings. If the hearing officer determines that an aircraft is ineligible for a certificate of aircraft registration in proceedings relating to aircraft registration orders suspending or revoking a certificate of registration under § 13.20, the hearing officer may suspend or revoke the aircraft registration certificate. | ||||
| 14:14:1.0.1.2.5.4.11.19 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.65 Appeal to the Administrator, reconsideration, and judicial review. | FAA | (a) Any party to a hearing may appeal from the order of the hearing officer by filing with the FAA Hearing Docket a notice of appeal to the Administrator within 20 days after the date of issuance of the order. Filing and service of the notice of appeal, and any other papers, are accomplished according to the procedures in § 13.43. (b) If a notice of appeal is not filed from the order issued by a hearing officer, such order is final with respect to the parties. Such order is not binding precedent and is not subject to judicial review. (c) Any person filing an appeal authorized by paragraph (a) of this section must file an appeal brief with the Administrator within 40 days after the date of issuance of the order, and serve a copy on the other party. A reply brief must be filed within 40 days after service of the appeal brief and a copy served on the appellant. (d) On appeal, the Administrator reviews the record of the proceeding and issues an order dismissing, reversing, modifying or affirming the order. The Administrator's order includes the reasons for the Administrator's action. The Administrator considers only whether: (1) Each finding of fact is supported by a preponderance of the reliable, probative, and substantial evidence; (2) Each conclusion is made in accordance with law, precedent, and policy; and (3) The hearing officer committed any prejudicial error. (e) The Director and legal personnel of the Office of Adjudication serve as the advisors to the Administrator for appeals under this section. (1) The Director has the authority to: (i) Manage all or portions of individual appeals; and to prepare written decisions and proposed final orders in such appeals; (ii) Issue procedural and other interlocutory orders aimed at proper and efficient appeal management, including, without limitation, scheduling and sanctions orders; (iii) Grant or deny motions to dismiss appeals; (iv) Dismiss appeals upon request of the appellant or by agreement of the parties; (v) Stay decisions and orders of the Administ… | ||||
| 14:14:1.0.1.2.5.4.11.2 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.33 Parties, representatives, and notice of appearance. | FAA | (a) Parties. Parties to proceedings under this subpart include the following: Complainant, respondent, and where applicable, intervenor. (1) Complainant is the FAA Office that issued the notice of proposed action under the authorities listed in § 13.31. (2) Respondent is the party filing a request for hearing. (3) Intervenor is a person permitted to participate as a party under § 13.51. (b) Representatives. Any party to a proceeding under this subpart may appear and be heard in person or by a representative. A representative is an attorney, or another representative designated by the party. (c) Notice of appearance —(1) Content. The representative of a party must file a notice of appearance that includes the representative's name, address, telephone number, and, if available, fax number, and email address. (2) Filing. A notice of appearance may be incorporated into an initial filing in a proceeding. A notice of appearance by additional representatives or substitutes after an initial filing in a proceeding must be filed independently. | ||||
| 14:14:1.0.1.2.5.4.11.20 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.67 Procedures for expedited proceedings. | FAA | (a) When an expedited administrative hearing is requested in accordance with § 13.20(d), the procedures in this subpart will apply except as provided in paragraphs (a)(1) through (7) of this section. (1) Service and filing of pleadings, motions, and documents must be by overnight delivery, and fax or email. Responses to motions must be filed within 7 days after service of the motion. (2) Within 3 days after receipt of the request for hearing, the agency must file a copy of the notice of proposed action, which serves as the complaint, to the FAA Hearing Docket. (3) Within 3 days after receipt of the complaint, the person that requested the hearing must file an answer to the complaint. All allegations in the complaint not specifically denied in the answer are deemed admitted. Failure to file a timely answer, absent a showing of good cause, constitutes withdrawal of the request for hearing. (4) Within 3 days of the filing of the complaint, the Director of the Office of Adjudication will assign a hearing officer to preside over the matter. (5) The parties must serve discovery as soon as possible and set time limits for compliance with discovery requests that accommodate the accelerated adjudication schedule set forth in this subpart. The hearing officer will resolve any failure of the parties to agree to a discovery schedule. (6) The expedited hearing must commence within 40 days after the notice of proposed action was issued. (7) The hearing officer must issue an oral decision and order dismissing, reversing, modifying, or affirming the notice of proposed action at the close of the hearing. If a notice of appeal is not filed, such order is final with respect to the parties and is not subject to judicial review. (b) Any party to the expedited hearing may appeal from the initial decision of the hearing officer to the Administrator by filing a notice of appeal within 3 days after the date on which the decision was issued. The time limitations for the filing of documents for appeals under this section will not b… | ||||
| 14:14:1.0.1.2.5.4.11.21 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.69 Other matters: Alternative dispute resolution, standing orders, and forms. | FAA | (a) Parties may use mediation to achieve resolution of issues in controversy addressed by this subpart. Parties seeking alternative dispute resolution services may engage the services of a mutually acceptable mediator. The mediator must not participate in the adjudication under this subpart of any matter in which the mediator has provided mediation services. Mediation discussions and submissions will remain confidential consistent with the provisions of the Administrative Dispute Resolution Act, the principles of Federal Rule of Evidence 408, and other applicable Federal laws. (b) The Director of the Office of Adjudication may issue standing orders and forms needed for the proper dispatch of business under this subpart. | ||||
| 14:14:1.0.1.2.5.4.11.3 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.35 Request for hearing, complaint, and answer. | FAA | (a) Initial filing and service. A request for hearing must be filed with the FAA Hearing Docket, and a copy must be served on the official who issued the notice of proposed action, in accordance with the requirements in § 13.43 for filing and service of documents. The request for hearing must be in writing and describe the action proposed by the FAA, and must contain a statement that a hearing is requested under this subpart. (b) Complaint. Within 20 days after service of the copy of the request for hearing, the official who issued the notice of proposed action must forward a copy of that notice, which serves as the complaint, to the FAA Hearing Docket. (c) Answer. Within 30 days after service of the copy of the complaint, the Respondent must file an answer to the complaint. All allegations in the complaint not specifically denied in the answer are deemed admitted. | ||||
| 14:14:1.0.1.2.5.4.11.4 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.37 Hearing officer: Assignment and powers. | FAA | As soon as practicable after the filing of the complaint, the Director of the Office of Adjudication will assign a hearing officer to preside over the matter. The hearing officer may— (a) Give notice concerning, and hold, prehearing conferences and hearings; (b) Administer oaths and affirmations; (c) Examine witnesses; (d) Adopt procedures for the submission of evidence in written form; (e) Issue subpoenas; (f) Rule on offers of proof; (g) Receive evidence; (h) Regulate the course of proceedings, including but not limited to discovery, motions practice, imposition of sanctions, and the hearing; (i) Hold conferences, before and during the hearing, to settle and simplify issues by consent of the parties; (j) Dispose of procedural requests and similar matters; (k) Issue protective orders governing the exchange and safekeeping of information otherwise protected by law, except that national security information may not be disclosed under such an order; (l) Issue orders and decisions, and make findings of fact, as appropriate; and (m) Take any other action authorized by this subpart. | ||||
| 14:14:1.0.1.2.5.4.11.5 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.39 Disqualification of hearing officer. | FAA | (a) Motion and supporting affidavit. Any party may file a motion for disqualification under § 13.49(g). A party must state the grounds for disqualification, including, but not limited to, a financial or other personal interest that would be affected by the outcome of the enforcement action, personal animus against a party to the action or against a group to which a party belongs, prejudgment of the adjudicative facts at issue in the proceeding, or any other prohibited conflict of interest. A party must submit an affidavit with the motion for disqualification that sets forth, in detail, the matters alleged to constitute grounds for disqualification. (b) Timing. A motion for disqualification must be filed prior to the issuance of the hearing officer's decision under § 13.63(b). Any party may file a response to a motion for disqualification, but must do so no later than 5 days after service of the motion for disqualification. (c) Decision on motion for disqualification. The hearing officer must render a decision on the motion for disqualification no later than 15 days after the motion has been filed. If the hearing officer finds that the motion for disqualification and supporting affidavit show a basis for disqualification, the hearing officer must withdraw from the proceedings immediately. If the hearing officer finds that disqualification is not warranted, the hearing officer must deny the motion and state the grounds for the denial on the record. If the hearing officer fails to rule on a party's motion for disqualification within 15 days after the motion has been filed, the motion is deemed granted. (d) Self-disqualification. A hearing officer may disqualify himself or herself at any time. | ||||
| 14:14:1.0.1.2.5.4.11.6 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.41 Separation of functions and prohibition on ex parte communications. | FAA | (a) Separation of powers. The hearing officer independently exercises the powers under this subpart in a manner conducive to justice and the proper dispatch of business. The hearing officer must not participate in any appeal to the Administrator. (b) Ex parte communications. (1) No substantive ex parte communications between the hearing officer and any party are permitted. (2) A hearing, conference, or other event scheduled with prior notice will not constitute ex parte communication prohibited by this section. A hearing, conference, or other event scheduled with prior notice, may proceed in the hearing officer's sole discretion if a party fails to appear, respond, or otherwise participate, and will not constitute an ex parte communication prohibited by this section. (3) For an appeal to the Administrator under this subpart, FAA attorneys representing the complainant must not advise the Administrator or engage in any ex parte communications with the Administrator or his advisors. | ||||
| 14:14:1.0.1.2.5.4.11.7 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.43 Service and filing of pleadings, motions, and documents. | FAA | (a) General rule. A party must file all requests for hearing, pleadings, motions, and documents with the FAA Hearing Docket, and must serve a copy upon all parties to the proceedings. (b) Methods of filing. Filing must be by email, personal delivery, expedited or overnight courier express service, mail, or fax. (c) Address for filing. A person filing a document with the FAA Hearing Docket must use the address identified for the method of filing as follows: (1) If delivery is in person, or by expedited or overnight express courier service. Federal Aviation Administration, 600 Independence Avenue SW, Wilbur Wright Building—Suite 2W100, Washington, DC 20597; Attention: FAA Hearing Docket, AGC-70. (2) If delivery is via U.S. mail, or U.S. certified or registered mail. Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20591; Attention: FAA Hearing Docket, AGC-70, Wilbur Wright Building—Suite 2W100. (3) Contact information. The FAA Office of Adjudication will make available on its website an email address and fax number for the FAA Hearing Docket, as well as other contact information. (d) Requirement to file an original document and number of copies. A party must file an original document and one copy when filing by personal delivery or by mail. Only one copy must be filed if filing is accomplished by email or fax. (e) Filing by email. A document that is filed by email must be attached as a Portable Document Format (PDF) file to an email. The document must be signed in accordance with § 13.207. The email message does not constitute a submission, but serves only to deliver the attached PDF file to the FAA Hearing Docket. (f) Methods of service —(1) General. A person may serve any document by email, personal delivery, expedited or overnight courier express service, mail, or fax. (2) Service by email. Service of documents by email is voluntary and requires the prior consent of the person to be served by email. A person may retract consent to be served by email by fil… | ||||
| 14:14:1.0.1.2.5.4.11.8 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.44 [Reserved] | FAA | |||||
| 14:14:1.0.1.2.5.4.11.9 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | D | Subpart D—Rules of Practice for FAA Hearings | § 13.45 Computation of time and extension of time. | FAA | (a) In computing any period of time prescribed or allowed by this subpart, the date of the act, event, default, notice, or order is not to be included in the computation. The last day of the period so computed is to be included unless it is a Saturday, Sunday, or Federal holiday, in which event the period runs until the end of the next day that is not a Saturday, Sunday, or a Federal holiday. (b) Whenever a party must respond within a prescribed period after service by mail, 5 days are added to the prescribed period. (c) The parties may agree to extend the time for filing any document required by this subpart with the consent of— (1) The Director of the Office of Adjudication prior to the designation of a hearing officer; (2) The hearing officer prior to the filing of a notice of appeal; or (3) The Director of the Office of Adjudication after the filing of a notice of appeal. (d) If the parties do not agree, a party may make a written request to extend the time for filing to the appropriate official identified in paragraph (c) of this section. The appropriate official may grant the request for good cause shown. | ||||
| 14:14:1.0.1.2.5.5.11.1 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | E | Subpart E—Orders of Compliance Under the Hazardous Materials Transportation Act | § 13.70 Delegation of authority. | FAA | [Docket FAA-2018-1051, Amdt. 13-40A, 87 FR 61233, Oct. 11, 2022] | The authority of the Administrator under 49 U.S.C. 5121(a) and (d) is delegated to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement. | |||
| 14:14:1.0.1.2.5.5.11.2 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | E | Subpart E—Orders of Compliance Under the Hazardous Materials Transportation Act | § 13.71 Applicability. | FAA | (a) An order of compliance may be issued after notice and an opportunity for a hearing in accordance with §§ 13.73 through 13.77 whenever the Chief Counsel, a Deputy Chief Counsel, or the Assistant Chief Counsel for Enforcement has reason to believe that a person is engaging in the transportation or shipment by air of hazardous materials in violation of the Hazardous Materials Transportation Act, as amended and codified at 49 U.S.C. chapter 51, or any rule, regulation, or order issued under 49 U.S.C. chapter 51, for which the FAA exercises enforcement responsibility, and the circumstances do not require the issuance of an emergency order under 49 U.S.C. 5121(d). (b) If circumstances require the issuance of an emergency order under 49 U.S.C. 5121(d), the Chief Counsel, a Deputy Chief Counsel, or the Assistant Chief Counsel for Enforcement will issue an emergency order of compliance as described in § 13.81. | ||||
| 14:14:1.0.1.2.5.5.11.3 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | E | Subpart E—Orders of Compliance Under the Hazardous Materials Transportation Act | § 13.73 Notice of proposed order of compliance. | FAA | The Chief Counsel, a Deputy Chief Counsel, or the Assistant Chief Counsel for Enforcement may issue to an alleged violator a notice of proposed order of compliance advising the alleged violator of the charges and setting forth the remedial action sought in the form of a proposed order of compliance. | ||||
| 14:14:1.0.1.2.5.5.11.4 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | E | Subpart E—Orders of Compliance Under the Hazardous Materials Transportation Act | § 13.75 Reply or request for hearing. | FAA | (a) Within 30 days after service upon the alleged violator of a notice of proposed order of compliance, the alleged violator may— (1) Submit a written reply; (2) Submit a written request for an informal conference to discuss the matter with an agency attorney; or (3) Request a hearing in accordance with subpart D of this part. (b) If, after an informal conference is held or a reply is filed, the agency attorney notifies the person named in the notice that some or all of the proposed agency action will not be withdrawn or will not be subject to a consent order of compliance, the alleged violator may, within 10 days after receiving the agency attorney's notification, request a hearing in accordance with subpart D of this part. (c) Failure of the alleged violator to file a reply or request a hearing within the period provided in paragraph (a) or (b) of this section, as applicable— (1) Constitutes a waiver of the right to a hearing under subpart D of this part and the right to petition for judicial review; and (2) Authorizes the Administrator to make any appropriate findings of fact and to issue an appropriate order of compliance, without further notice or proceedings. | ||||
| 14:14:1.0.1.2.5.5.11.5 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | E | Subpart E—Orders of Compliance Under the Hazardous Materials Transportation Act | § 13.77 Consent order of compliance. | FAA | (a) At any time before the issuance of an order of compliance, an agency attorney and the alleged violator may agree to dispose of the case by the issuance of a consent order of compliance. (b) The alleged violator may submit a proposed consent order to an agency attorney. The proposed consent order must include— (1) An admission of all jurisdictional facts; (2) An express waiver of the right to further procedural steps and of all rights to legal review in any forum; (3) An express waiver of attorney's fees and costs; (4) If a notice has been issued prior to the proposed consent order of compliance, an incorporation by reference of the notice and an acknowledgement that the notice may be used to construe the terms of the consent order of compliance; and (5) If a request for hearing is pending in any forum, a provision that the alleged violator will withdraw the request for a hearing and request that the case be dismissed. | ||||
| 14:14:1.0.1.2.5.5.11.6 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | E | Subpart E—Orders of Compliance Under the Hazardous Materials Transportation Act | § 13.79 [Reserved] | FAA | |||||
| 14:14:1.0.1.2.5.5.11.7 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | E | Subpart E—Orders of Compliance Under the Hazardous Materials Transportation Act | § 13.81 Emergency orders. | FAA | (a) Notwithstanding §§ 13.73 through 13.77, the Chief Counsel, each Deputy Chief Counsel, or the Assistant Chief Counsel for Enforcement may issue an emergency order of compliance, which is effective upon issuance, in accordance with the procedures in subpart C of 49 CFR part 109, if the person who issues the order finds that there is an “imminent hazard” as defined in 49 CFR 109.1. (b) The FAA official who issued the emergency order of compliance may rescind or suspend the order if the criteria set forth in paragraph (a) of this section are no longer satisfied, and, when appropriate, may issue a notice of proposed order of compliance under § 13.73. (c) If at any time in the course of a proceeding commenced in accordance with § 13.73 the criteria set forth in paragraph (a) of this section are satisfied, the official who issued the notice may issue an emergency order of compliance, even if the period for filing a reply or requesting a hearing specified in § 13.75 has not expired. | ||||
| 14:14:1.0.1.2.5.5.11.8 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | E | Subpart E—Orders of Compliance Under the Hazardous Materials Transportation Act | 13.83-13.87 [Reserved] | FAA | |||||
| 14:14:1.0.1.2.5.6.11.1 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | F | Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation | § 13.101 Applicability. | FAA | (a) This subpart applies to fact-finding investigations in which an investigation has been ordered under § 13.3(c) or § 13.5(f)(2). (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. | ||||
| 14:14:1.0.1.2.5.6.11.10 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | F | Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation | § 13.119 Immunity and orders requiring testimony or other information. | FAA | (a) Whenever a person refuses, on the basis of a privilege against self-incrimination, 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. | ||||
| 14:14:1.0.1.2.5.6.11.11 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | F | Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation | § 13.121 Witness fees. | FAA | 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. | ||||
| 14:14:1.0.1.2.5.6.11.12 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | F | Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation | § 13.123 Submission by party to the investigation. | FAA | (a) During an investigation conducted under this subpart, a party may submit to the presiding officer— (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. | ||||
| 14:14:1.0.1.2.5.6.11.13 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | F | Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation | § 13.125 Depositions. | FAA | 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. | ||||
| 14:14:1.0.1.2.5.6.11.14 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | F | Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation | § 13.127 Reports, decisions, and orders. | FAA | 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. | ||||
| 14:14:1.0.1.2.5.6.11.15 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | F | Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation | § 13.129 Post-investigation action. | FAA | 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. | ||||
| 14:14:1.0.1.2.5.6.11.16 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | F | Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation | § 13.131 Other procedures. | FAA | 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. | ||||
| 14:14:1.0.1.2.5.6.11.2 | 14 | Aeronautics and Space | I | B | 13 | PART 13—INVESTIGATIVE AND ENFORCEMENT PROCEDURES | F | Subpart F—Formal Fact-Finding Investigation Under an Order of Investigation | § 13.103 Order of investigation. | FAA | 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. |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
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CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
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CREATE INDEX idx_cfr_agency ON cfr_sections(agency);