FAA 14 CFR PART 406-2011 INVESTIGATIONS ENFORCEMENT AND ADMINISTRATIVE REVIEW《调查 实施和行政审查》.pdf

1、493 Commercial Space Transportation, FAA, DOT 406.1 (b) The detriment cannot be elimi-nated effectively through the exercise of other authority of the Office. 53 FR 11014, Apr. 4, 1988, as amended by Amdt. 4051, 65 FR 56657, Sept. 19, 2000; Amdt. 4053, 72 FR 17017, Apr. 6, 2007 PART 406INVESTIGATION

2、S, EN-FORCEMENT, AND ADMINISTRA-TIVE REVIEW Subpart AInvestigations and Enforcement Sec. 406.1 Hearings in license, permit, and pay-load actions. 406.3 Submissions; oral presentation in li-cense, permit, and payload actions. 406.5 Administrative law judges rec-ommended decision in license, permit, a

3、nd payload actions. 406.7 Reserved 406.9 Civil penalties. 406.10406.100 Reserved Subpart BRules of Practice in FAA Space Transportation Adjudications 406.101 Applicability. 406.103 Definitions that apply in part 406. 406.105 Separation of functions for pros-ecuting civil penalties and advising the F

4、AA decisionmaker. 406.107 Appearances of parties, and attor-neys and representatives. 406.109 Administrative law judgespowers and limitations. 406.111 Signing documents. 406.113 Filing of documents with the Docket Management System (DMS) and sending documents to the administrative law judge and Assi

5、stant Chief Counsel for Litigation. 406.115 Serving documents on other parties. 406.117 Confidential information. 406.119 Computation of time. 406.121 Extension of time. 406.123 Waivers. 406.127 Complaint and answer in civil pen-alty adjudications. 406.133 Amendment of pleadings. 406.135 Withdrawal

6、of complaint or request for hearing. 406.137 Intervention. 406.139 Joint procedural or discovery sched-ule. 406.141 Motions. 406.143 Discovery. 406.147 Notice of hearing. 406.149 Evidence. 406.151 Standard of proof. 406.153 Burden of proof. 406.155 Offer of proof. 406.157 Expert or opinion witnesses

7、 406.159 Subpoenas. 406.161 Witness fees. 406.163 Record. 406.165 Argument before the administrative law judge. 406.167 Initial decision. 406.173 Interlocutory appeals. 406.175 Appeal from initial decision. 406.177 Petition to reconsider or modify a final decision and order of the FAA deci-sionmake

8、r on appeal. 406.179 Judicial review of a final decision and order. AUTHORITY: 49 U.S.C. 7010170121. SOURCE: Docket No. FAA20018607, 66 FR 2180, Jan. 10, 2001, unless otherwise noted. Subpart AInvestigations and Enforcement 406.1 Hearings in license, permit, and payload actions. (a) Pursuant to 49 U

9、S.C. 70110, the following are entitled to a determina-tion on the record after an opportunity for a hearing in accordance with 5 U.S.C. 554. (1) An applicant for a license and a proposed transferee of a license regard-ing any decision to issue or transfer a license with conditions or to deny the is

10、suance or transfer of such license; (2) An owner or operator of a payload regarding any decision to prevent the launch or reentry of the payload; (3) A licensee regarding any decision to suspend, modify, or revoke a license or to terminate, prohibit, or suspend any licensed activity; (4) An applican

11、t for a permit regard-ing an FAA decision to issue a permit with conditions or to deny the issuance of the permit; and (5) A permittee regarding any deci-sion to suspend, modify, or revoke a permit or to terminate, prohibit, or suspend any permitted activity. (b) An administrative law judge will be

12、designated to preside over any hear-ing held under this part. Docket No. FAA20018607, 66 FR 2180, Jan. 10, 2001, as amended by Amdt. 4064, 72 FR 17017, Apr. 6, 2007 VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00503 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1P

13、ROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-494 14 CFR Ch. III (1111 Edition) 406.3 406.3 Submissions; oral presentation in license, permit, and payload ac-tions. (a) The FAA will make decisions about license, permit, and payload ac-t

14、ions under this subpart based on writ-ten submissions unless the administra-tive law judge requires an oral presen-tation. (b) Submissions must include a de-tailed exposition of the evidence or ar-guments supporting the petition. Where an applicant must demonstrate an equivalent level of safety or f

15、idel-ity, the applicant must make a clear and convincing demonstration. (c) Petitions shall be filed as soon as practicable, but in no event more than 30 days after issuance of decision or finding under 406.1. Docket No. FAA20018607, 66 FR 2180, Jan. 10, 2001, as amended by Amdt. 4063, 71 FR 50530,

16、Aug. 25, 2006; Amdt. 4064, 72 FR 17017, Apr. 6, 2007 406.5 Administrative law judges rec-ommended decision in license, per-mit, and payload actions. (a) The Associate Administrator, who shall make the final decision on the matter at issue, shall review the rec-ommended decision of the administra-tiv

17、e law judge. The Associate Adminis-trator shall make such final decision within thirty days of issuance of the recommended decision. (b) The authority and responsibility to review and decide rests solely with the Associate Administrator and may not be delegated. 406.7 Reserved 406.9 Civil penalties.

18、 (a) Civil penalty liability. Under 49 U.S.C. 70115(c), a person found by the FAA to have violated a requirement of the Act, a regulation issued under the Act, or any term or condition of a li-cense or permit issued or transferred under the Act, is liable to the United States for a civil penalty of

19、not more than $110,000 for each violation, as ad-justed for inflation. A separate viola-tion occurs for each day the violation continues. (b) Delegations. The authority to im-pose civil penalties is exercised by an agency attorney as described in 406.105. (c) Notice of proposed civil penalty. A civi

20、l penalty action is initiated when the agency attorney advises a person, referred to as the respondent, of the charges or other reasons upon which the FAA bases the proposed action and allows the respondent to answer the charges and to be heard as to why the civil penalty should not be imposed. A no

21、tice of proposed civil penalty states the facts alleged; any requirement of the Act, a regulation issued under the Act, or any term or condition of a li-cense or permit issued or transferred under the Act allegedly violated by the respondent; and the amount of the pro-posed civil penalty. Not later

22、than 30 days after receipt of the notice of pro-posed civil penalty the respondent may elect to proceed by one or more of the following: (1) Pay the amount of the proposed civil penalty or an agreed upon amount, in which case the agency at-torney will issue either an order impos-ing civil penalty or

23、 a compromise order in that amount. (2) Submit to the agency attorney one of the following: (i) Written information, including documents and witnesses statements, demonstrating that a violation did not occur or that a penalty, or the amount of the proposed penalty, is not war-ranted by the circumsta

24、nces. (ii) A written request to reduce the proposed civil penalty, the amount of reduction, and the reasons and any document supporting a reduction of the proposed civil penalty, including records indicating a financial inability to pay or records showing that pay-ment of the proposed civil penalty

25、would prevent the person from con-tinuing in business. (iii) A written request for an infor-mal conference to discuss the matter with the agency attorney and to sub-mit relevant information. (3) Request that a final notice of pro-posed civil penalty be issued so that the respondent may request a hea

26、ring in accordance with paragraph (g) of this section. (d) Final notice of proposed civil pen-alty. A final notice of proposed civil penalty (final notice) provides the last VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00504 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DS

27、KGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-495 Commercial Space Transportation, FAA, DOT 406.9 opportunity for the respondent to re-quest a hearing. (1) The agency attorney issues a final notice if one of the following occur

28、s: (i) The respondent fails to respond to the notice of proposed civil penalty not later than 30 days after the date the re-spondent received the notice of pro-posed civil penalty. (ii) The parties have not agreed to a resolution of the action after partici-pating in informal procedures under paragr

29、aph (c)(2) of this section. (iii) The respondent requests the issuance of a final notice in accordance with paragraph (c)(3) of this section. (2) Not later than 15 days after the date the respondent received the final notice of proposed civil penalty, the re-spondent shall do one of the following: (

30、i) Submit the amount of the pro-posed civil penalty or an agreed-upon amount, in which case the agency at-torney issues either an order imposing civil penalty or a compromise order in that amount. (ii) Request a hearing in accordance with paragraph (g) of this section. (e) Order imposing civil penal

31、ty. An order imposing civil penalty is the final order of the Secretary imposing a civil penalty. An order imposing civil penalty is issued for a violation de-scribed in paragraph (a) of this section after notice and an opportunity for a hearing. (1) The agency attorney either issues an order imposi

32、ng civil penalty, or an-other document becomes an order im-posing civil penalty, as described below. (i) The agency attorney issues an order imposing civil penalty if, in re-sponse to a notice of proposed civil penalty or a final notice of proposed civil penalty, the respondent pays or agrees to pay

33、 a civil penalty in the amount proposed or an agreed upon amount (other than an agreement for a compromise order under paragraph (f) of this section). (ii) Unless the respondent requests a hearing not later than 15 days after the date the respondent received a final no-tice of proposed civil penalty

34、 the final notice of proposed civil penalty be-comes an order imposing civil penalty. (iii) Unless an appeal is filed with the FAA decisionmaker in accordance with 406.175, if the administrative law judge finds that a violation occurred and determines that a civil penalty, in an amount found approp

35、riate by the administrative law judge, is warranted, an initial decision of an administrative law judge under subpart B of this part becomes an order imposing civil pen-alty. (iv) Unless a complaint is filed with a United States district court in accord-ance with 406.176, if the FAA decision-maker f

36、inds that a violation occurred and determines that a civil penalty, in an amount found appropriate by the FAA decisionmaker, is warranted, a final decision and order of the FAA de-cisionmaker under subpart B of this part becomes an order imposing civil penalty. If a person seeks judicial re-view not

37、 later than 60 days after the final decision and order has been served on the respondent, the final decision and order is stayed. (2) Reserved (f) Compromise order. The agency at-torney at any time may agree to com-promise any civil penalty with no find-ing of violation. Under such agreement, the ag

38、ency attorney issues a com-promise order stating: (1) The respondent agrees to pay a civil penalty. (2) The FAA makes no finding of a violation. (3) The compromise order may not be used as evidence of a prior violation in any subsequent civil penalty action, li-cense, or permit action. (g) Request f

39、or hearing. Any respond-ent who has been issued a final notice of proposed civil penalty may, not later than 15 days after the date the respond-ent received the final notice, request a hearing under subpart B of this part. (1) The respondent must file a writ-ten request for hearing with the Fed-eral

40、 Docket Management System (U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12140, 1200 New Jersey Avenue, SE., Washington, DC 20590) and must serve a copy of the request on the agency attorney. Sections 406.113 and 406.115 state how filing and service must be

41、done. (2) The request for hearing must be dated and signed. VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00505 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS

42、496 14 CFR Ch. III (1111 Edition) 406.10406.100 (h) Method of payment. A respondent must pay a civil penalty by check or money order, payable to the Federal Aviation Administration. (i) Collection of civil penalties. If a re-spondent does not pay a civil penalty imposed by an order imposing civ

43、il penalty or a compromise order within 60 days after service of the final order, the FAA may refer the order to the United States Department of Treasury or Department of Justice to collect the civil penalty. (j) Exhaustion of administrative rem-edies. A respondent may seek judicial review of a fina

44、l decision and order of the FAA decisionmaker as provided in 406.179. A respondent has not ex-hausted administrative remedies for purposes of judicial review if the final order is one of the following: (1) An order imposing civil penalty issued by an agency attorney under paragraph (e)(1)(i) of this

45、 section. (2) A final notice of proposed civil penalty that becomes an order impos-ing civil penalty under paragraph (e)(1)(ii) of this section. (3) An initial decision of an adminis-trative law judge that was not appealed to the FAA decisionmaker. (4) A compromise order under para-graph (f) of this

46、 section. (k) Compromise. The FAA may com-promise or remit a civil penalty that has been proposed or imposed under this section. Docket No. FAA20018607, 66 FR 2180, Jan. 10, 2001, as amended by Amdt. 4064, 72 FR 17017, Apr. 6, 2007; 72 FR 68475, Dec. 5, 2007; 75 FR 30693, June 2, 2010 406.10406.100

47、Reserved Subpart BRules of Practice in FAA Space Transportation Ad-judications 406.101 Applicability. (a) Adjudications to which these rules apply. These rules apply to the fol-lowing adjudications: (1) A civil penalty action in which the respondent has requested a hearing under 406.9. (2) Reserved

48、b) Reserved 406.103 Definitions that apply in part 406. For the purpose of this part: Administrative law judge means an ad-ministrative law judge appointed pur-suant to the provisions of 5 U.S.C. 3105. Attorney means a person licensed by a state, the District of Columbia, or a territory of the Unit

49、ed States to prac-tice law or appear before the courts of that state or territory. Complainant in a civil penalty action means the proponent of the civil pen-alty in the FAA. FAA decisionmaker means the Asso-ciate Administrator for Commercial Space Transportation, or the Adminis-trator of the Federal Aviation Admin-istration, acting in the capacity of the decisionmaker on appeal; or a person who has been delegated the