FAA 14 CFR PART 305-2011 RULES OF PRACTICE IN INFORMAL NONPUBLIC INVESTIGATIONS《非正式非公开调查的行为规范》.pdf

1、327 Office of the Secretary, DOT 305.7 PART 305RULES OF PRACTICE IN INFORMAL NONPUBLIC INVES-TIGATIONS Sec. 305.1 Applicability. 305.2 Definition. 305.3305.4 Reserved 305.5 Initiation of investigation. 305.6 Appearance of witnesses. 305.7 Issuance of investigation subpenas. 305.8 Reserved 305.9 Righ

2、ts of witnesses. 305.10 Nonpublic character of proceedings. 305.11 Procedures after investigation. 305.12 Motions to quash or modify an inves-tigation subpena. AUTHORITY: 49 U.S.C. chapters 401, 417, 461; 5 U.S.C. 555, 556. SOURCE: Docket No. 82, 50 FR 2421, Jan. 16, 1985, unless otherwise noted. 30

3、5.1 Applicability. The provisions of this part shall gov-ern informal nonpublic investigations, as distinguished from formal investiga-tions and adjudicatory proceedings, un-dertaken by the Office of the Assistant General Counsel for Aviation Enforce-ment and Proceedings with a view to obtaining inf

4、ormation from any per-son. While the Department seeks and encourages voluntary cooperation and believes that it is in the best interest of all parties concerned, it will utilize the procedures provided by this part to compel the disclosure of information by any person where DOT wishes to de-termine

5、whether such person, or any other person, has been or is violating any provisions of Title IV or sections 101(3), 1002, 1003, or 1108(b) of the Act, or any rule, regulation, order, certifi-cate, permit, or letter or registration issued pursuant thereto by DOT and when the information appears to be r

6、el-evant to the matter under investiga-tion. This part shall not apply to em-ployees or records of other agencies of the U.S. Government, the District of Columbia, or the several States and their political subdivisions. 305.2 Definition. For the purpose of, and as used in this part, the term investi

7、gation means a non-adjudicatory, informal nonpublic investigation for the purpose of deter-mining whether formal enforcement action should be instituted with re-spect to alleged violations of law. 305.3305.4 Reserved 305.5 Initiation of investigation. An investigation may be initiated by order of th

8、e Department. Attorneys of the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings shall conduct such inves-tigations pursuant to the provisions of this part and they shall be designated Investigation Attorneys. Investigation Attorneys, administrative law judges and the

9、DOT decisionmaker are hereby authorized to exercise and perform their duties and functions under this part in accordance with the provisions of the Act and the rules and regula-tions of the Department. 305.6 Appearance of witnesses. Witnesses may be required to appear before any administrative law j

10、udge for the purpose of receiving their testi-mony or receiving from them docu-ments or other data relating to any subject under investigation. Such testi-mony shall be mechanically or steno-graphically recorded, and a transcript thereof shall be made and incorporated in the record of the investigat

11、ion. 305.7 Issuance of investigation sub-penas. (a) The Deputy General Counsel, the DOT decisionmaker, the chief adminis-trative law judge or the administrative law judge designated to preside at the reception of evidence, may issue a sub-pena directing the person named there-in to appear before a d

12、esignated admin-istrative law judge at a designated time and place to testify or to produce documentary evidence relating to any matter under investigation, or both. Each such subpena shall briefly advise the person required to testify or sub-mit documentary evidence of the pur-pose and scope of the

13、 investigation, and a copy of the order initiating the investigation shall be attached to the subpena. (b) Witnesses subpenaed to appear shall be paid the fees and mileage pre-scribed in 302.7 of the Rules of Prac-tice (14 CFR 302.7). Service of such sub-penas shall be made in accordance with VerDat

14、e Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00337 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-,-,-328 14 CFR Ch. II (1111 Edition) 305.8 the provisions of 302.

15、27(c) of the Rules of Practice (14 CFR 302.27(c). Docket No. 82, 50 FR 2421, Jan. 16, 1985, as amended at 65 FR 6456, Feb. 9, 2000 305.8 Reserved 305.9 Rights of witnesses. Any person required to testify or to submit documentary evidence shall be entitled to procure, on payment of law-fully prescrib

16、ed costs, a copy of any document produced by such person and of his or her own testimony as steno-graphically reported. Any person com-pelled to testify or to produce docu-mentary evidence may be accom-panied, represented, and advised by counsel. 305.10 Nonpublic character of pro-ceedings. Investiga

17、tions shall be attended only by the witnesses and their counsel, the administrative law judge, the Inves-tigation Attorney, other DOT per-sonnel concerned with the conduct of the proceeding and the official stenog-rapher. All orders initiating investiga-tions, motions to quash or modify in-vestigati

18、on subpenas, orders disposing of such motions, documents, and tran-scripts of testimony shall be part of the record in the investigation. Unless DOT determines otherwise, all orders initiating investigations which do not disclose the identity of the particular persons of firms under investigation sh

19、all be published in the FEDERAL REG-ISTER. Except as otherwise required by law, the remainder of the record of such proceedings shall constitute inter-nal DOT documents which shall not be available to the general public. The use of such records in DOT proceedings subject to part 302 of the Rules of

20、Prac-tice shall be governed by 302.25(g) and 302.12 and by the law of evidence appli-cable to DOT proceedings. Docket No. 82, 50 FR 2421, Jan. 16, 1985, as amended at 65 FR 6456, Feb. 9, 2000 305.11 Procedures after investiga-tion. Upon completion of the investiga-tion, where the Deputy General Coun

21、-sel, determines that no corrective ac-tion is warranted, the investigation will be closed, and any documentary evidence obtained in the investigation will be returned to the persons who produced it. Where remedial action is indicated by the investigation, the Deputy General Counsel will proceed pur

22、suant to subpart D of part 302 of the Rules of Practice or will take such other action as may be appropriate. Docket No. 82, 50 FR 2421, Jan. 16, 1985, as amended at 65 FR 6456, Feb. 9, 2000 305.12 Motions to quash or modify an investigation subpena. Any person upon whom an investiga-tion subpena is

23、 served may, within seven (7) days after such service or at any time prior to the return date thereof, whichever is earlier, file a mo-tion to quash or modify such subpena with the administrative law judge who issued such subpena, or in the event the administrative law judge is not available, with t

24、he chief administra-tive law judge for action by himself or herself or by the DOT decisionmaker. Such motions shall be made in writing in conformity with Rules 3 and 4 of the Rules of Practice (part 302 of this sub-chapter); shall state with particularity the grounds therefor and the relief sought;

25、shall be accompanied by the evidence relied upon and all such fac-tual matter shall be verified in accord-ance with the provisions of Rule 4(b) of the aforesaid Rules of Practice. Writ-ten memoranda or briefs may be filed with the motions, stating the points and authorities relied upon. No oral ar-g

26、ument will be heard on such motions unless the chief administrative law judge, the administrative law judge or the DOT decisionmaker directs other-wise. A subpena will be quashed or modified if the evidence whose produc-tion is required is not reasonably rel-evant to the matter under investiga-tion,

27、 or the demand made does not de-scribe with sufficient particularity the information sought, or the subpena is unlawful or unduly burdensome. The filing of a motion to quash or modify an investigation subpena shall stay the return date of such subpena until such motion is granted or denied. The DOT

28、decisionmaker may at any time re-view, upon his or her own initiative, the ruling of an administrative law judge or the chief administrative law VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00338 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided

29、 by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-329 Office of the Secretary, DOT 313.2 judge denying a motion to quash a sub-pena. In such cases, the DOT decision-maker may order that the return date of a subpena which he or she has elect-ed to review be sta

30、yed pending DOT ac-tion thereon. Docket No. 82, 50 FR 2421, Jan. 16, 1985, as amended at 65 FR 6457, Feb. 9, 2000 PART 313IMPLEMENTATION OF THE ENERGY POLICY AND CON-SERVATION ACT Sec. 313.1 Purpose, scope, and authority. 313.2 Policy. 313.3 Definitions. 313.4 Major regulatory actions. 313.5 Energy

31、information. 313.6 Energy statements. 313.7 Integration with environmental proce-dures. AUTHORITY: 42 U.S.C. 6362(b), 49 U.S.C. Chapter 401. SOURCE: Docket No. 82, 50 FR 2425, Jan. 16, 1985, unless otherwise noted. 313.1 Purpose, scope, and authority. (a) Chapter 77 (Energy Conservation) of Title 42

32、 (The Public Health and Wel-fare), authorizes and directs certain ac-tions to conserve energy supplies through energy conservation programs and where necessary, the regulation of certain energy uses, and to provide for improved energy efficiency of motor vehicles, major appliances, and certain other

33、 consumer products. In further-ance of these purposes, 42 U.S.C. 6362 requires several transportation regu-latory agencies, including DOT, to sub-mit a number of reports to the Con-gress with respect to energy conserva-tion and efficiency, and where prac-ticable and consistent with the exer-cise of

34、DOTs authority under other law, to include in any major regulatory action a statement of its probable im-pact on energy efficiency and energy conservation. 42 U.S.C. 6362(b) directs DOT to define the term major regu-latory action by rule. (b) Section 40113 of Subtitle VII of Title 49 of the United S

35、tates Code (Transportation)(the Statute), au-thorizes DOT to establish such rules, regulations, and procedures as are nec-essary to the exercise of its functions and are consistent with the purposes of the Statute. (c) The purpose of these regulations is to establish procedures and guide-lines for t

36、he implementation of DOTs responsibility under 42 U.S.C. 6362 to include in any major regulatory action taken by DOT a statement of the prob-able impact on energy efficiency and energy conservation. (d) These regulations apply to all proceedings before DOT, as provided herein. Docket No. 82, 50 FR 2

37、425, Jan. 16, 1985, as amended at 60 FR 43528, 43529, Aug. 22, 1995 313.2 Policy. (a) General. It is the policy of DOT to view the conservation of energy and the energy efficiency improvement goals of Chapter 77 of Title 42 as part of DOTs overall mandate, to be consid-ered along with the several pu

38、blic in-terest and public convenience and ne-cessity factors enumerated in section 40101 of the Statute. To the extent practicable and consistent with DOTs authority under the Statute and other law, energy conservation and efficiency are to be weighed in the decision-making process just as are DOTs

39、tradi-tional policies and missions. (b) Implementation. Implementation of this policy is through the integration of energy findings and conclusions into decisions, opinions, or orders in pro-ceedings involving a major regulatory action, as defined in this part. (c) Proceedings in progress. The provi

40、-sions of this part are intended pri-marily for prospective application. Proceedings in progress on the effec-tive date of this part, in which an ap-plication has been docketed but no final decision made public, shall adhere to 313.6(a) of this part, provided that the fair, efficient, and timely adm

41、inis-tration of DOTs regulatory activities is not compromised thereby. Nothing herein shall imply a requirement for new or additional hearings, a reopening of the record, or any other procedures which would tend to delay a timely de-cision in proceedings in progress. (d) Hearings. Public hearings wi

42、ll not normally be held for the purpose of im-plementing 42 U.S.C. 6362, particularly in connection with proposed actions VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00339 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-,-,-