1、259 SUBCHAPTER BPROCEDURAL REGULATIONS PART 300RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER Sec. 300.0 Applicability. 300.0a Applicability of 49 CFR part 99. 300.1 Judicial standards of practice. 300.2 Prohibited communications. 300.3 Reporting of communications. 300.4 Separation of functi
2、ons in hearing cases. 300.5 Prohibited conduct. 300.6 Practitioners standards of conduct. 300.7 Conciseness. 300.8 Gifts and hospitality and other con-duct affecting DOT employees. 300.9 Permanent disqualification of employ-ees from matters in which they person-ally participated before joining DOT o
3、r the Civil Aeronautics Board. 300.10 Temporary disqualification of em-ployees from matters in which they had official responsibility before joining DOT. 300.10a Permanent and temporary disquali-fication of DOT employees. 300.11 Disqualification of Government offi-cers and employees. 300.12 Practice
4、 of special Government em-ployees permitted. 300.13 Permanent disqualification of former Civil Aeronautics Board members and employees and DOT employees from mat-ters in which they personally partici-pated. 300.14 Temporary disqualification of former DOT employees from matters formerly under their o
5、fficial responsibility. 300.15 Opinions or rulings by the General Counsel. 300.16 Waivers. 300.17 Disqualification of partners of DOT employees. 300.18 Motions to disqualify DOT employee in review of hearing matters. 300.19 Use of confidential information. 300.20 Violations. AUTHORITY: 49 U.S.C. sub
6、title I and chap-ters 401, 411, 413, 415, 417, 419, 421, 449, 461, 463, and 465. SOURCE: Docket No. 82, 50 FR 2380, Jan. 16, 1985, unless otherwise noted. 300.0 Applicability. The rules of conduct set forth in this part except as otherwise provided in this or any other DOT regulation shall govern th
7、e conduct of the parties and their representatives, and the relation-ships between the Office of the Sec-retary of Transportation, the Office of the Assistant Secretary for Aviation and International Affairs, and the Of-fice of the General Counsel, including regular personnel, and officials, special
8、 Government employees, consultants, or experts under contract to the Depart-ment of Transportation (DOT) and ad-ministrative law judges (hereinafter re-ferred to as DOT employee(s) and all other persons in all DOT matters in-volving aviation economic and enforce-ment proceedings. Docket No. 82, 50 F
9、R 2380, Jan. 16, 1985, as amended by Amdt. 1261, 59 FR 10061, Mar. 3, 1994; 60 FR 43528, Aug. 22, 1995 300.0a Applicability of 49 CFR part 99. (a) Except as provided in paragraph (b) of this section, each DOT employee involved in matters covered by this chapter shall comply with the rules on Employe
10、e Responsibilities and Con-duct in 49 CFR part 99. (b) The rules in this part shall be construed as being consistent with those in 49 CFR part 99. If a rule in this part is more restrictive than a rule in 49 CFR part 99, the more restrictive rule shall apply. 300.1 Judicial standards of practice. Ce
11、rtain of DOTs functions involving aviation economic and enforcement proceedings are similar to those of a court, and parties to cases before DOT and those who represent such parties are expectedin fact and in appear-anceto conduct themselves with honor and dignity as they would before a court. By th
12、e same token, any DOT employee or administrative law judge carrying out DOTs quasi-judicial func-tions and any DOT employee making recommendations or advising them are expected to conduct themselves with the same fidelity to appropriate stand-ards of propriety that characterize a court and its staff
13、. The standing and effectiveness of DOT in carrying out its quasi-judicial functions are in direct relation to the observance by DOT, VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00269 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot
14、for ResaleNo reproduction or networking permitted without license from IHS-,-,-260 14 CFR Ch. II (1111 Edition) 300.2 DOT employees, and the parties and at-torneys appearing before DOT of the highest standards of judicial and pro-fessional ethics. The rules of conduct set forth in this part are to b
15、e inter-preted in light of those standards. Docket No. 82, 50 FR 2380, Jan. 16, 1985, as amended at 60 FR 43528, Aug. 22, 1995 300.2 Prohibited communications. (a) Basic requirement. Except as pro-vided in paragraphs (c), (d) and (e) there shall be no substantive commu-nication in either direction b
16、etween any concerned DOT employee and any interested person outside DOT, con-cerning a public proceeding, until after final disposition of the proceeding, other than as provided by Federal stat-ute or published DOT rule or order. (b) Definitions. For purposes of this part: (1) A substantive communic
17、ation is any written or oral communication rel-evant to the merits of the proceeding. (2) The DOT decisionmaker is de-fined in 14 CFR 302.2 and 302.18. (3) A concerned DOT employee is a DOT employee who is or may reason-ably be expected to be directly in-volved in a decision which is subject to a pu
18、blic proceeding. (4) A public proceeding is one of the following: (i) A hearing proceeding (i.e., pro-ceeding conducted on-the record after notice and opportunity for an oral evi-dentiary hearing as provided in 302.17 302.38) (ii) A rulemaking proceeding involv-ing a hearing as described in paragrap
19、h (b)(4)(i) of this section or an exemption proceeding covered by this chapter. (Other rulemaking proceedings are cov-ered by the ex parte communication policies of DOT Order 2100.2.) (iii) A tariff filing after DOT has or-dered an investigation or a complaint has been filed or docketed. (iv) A proc
20、eeding initiated by DOT show-cause order, after the filing in the docket of an identifiable written oppo-sition to the orders tentative findings. (v) Any other proceeding initiated by a docket filing, other than a petition for generally applicable rulemaking, after the filing in the docket of an ide
21、ntifiable written opposition to the initiating document. (c) General exceptions. Paragraph (a) of this section shall not apply to the following: (1) Informal communications be-tween legal counsel, including discus-sions about stipulations and other communications considered proper in Federal court p
22、roceedings. (2) Information given to a DOT em-ployee who is participating in a hear-ing case on behalf of an office that is a party, to another DOT employee who is reviewing that work, or to his or her supervisors within that office. (3) Communications made in the course of an investigation to deter
23、mine whether formal enforcement action should be begun. (4) Settlement discussions and medi-ation efforts. (5) Information given at the request of a DOT employee acting upon a spe-cific direction of DOT, in a case other than a hearing proceeding as described in paragraphs (b)(4) (i) and (ii) (a non-
24、hearing case), where DOT has decided that emergency conditions exist and this rule would otherwise prevent the obtaining of needed information in a timely manner. (6) Information given at the request of a DOT employee in a tariff matter after a complaint is filed but before an investigation is order
25、ed. (7) Nonhearing cases that are to be decided within 30 days after the filing of the initiating document. (8) Nonhearing cases arising under 49 U.S.C. 4173142. (9) In nonhearing cases, communica-tions with other Federal agencies not exempted by paragraph (e) of this sec-tion, provided the agencies
26、 have not participated as parties in the pro-ceeding by making filings on-the- record. (10) Information given at the request of a DOT career employee in the course of investigating or clarifying informa-tion filed, or pursuant to a waiver granted to an applicant or other inter-ested person, in docke
27、ted proceedings involving determinations of fitness and/or U.S. citizenship only, for that portion of the proceeding that precedes the issuance of a show-cause order or an order instituting a formal pro-ceeding. Motions for such waivers and VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm
28、00270 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-,-,-261 Office of the Secretary, DOT 300.4 any answers shall be filed in the appli-cable docket in accordance with 302
29、.11 of the Departments Procedural Regu-lations (14 CFR 302.11) and served upon all parties to the proceeding. (d) Status and expedition requests. Paragraph (a) of this section shall not apply to oral or written communica-tions asking about the status, or re-questing expeditious treatment, of a publi
30、c proceeding. However, any re-quest for expeditious treatment should be made in accordance with the Rules of Practice, particularly Rule 11, 302.11 of this chapter. (e) National defense and foreign policy. In nonhearing cases, paragraph (a) of this section shall not apply to commu-nications concerni
31、ng national defense or foreign policy matters, including international aviation matters. In hearing cases, any communications on those subjects that would be barred by paragraph (a) of this section are per-mitted if the communicators position with respect thereto cannot otherwise be fairly presented
32、, but such commu-nications shall not be included as part of the record on which decisions must be made. (f) Communications not considered. A communication in violation of this sec-tion shall not be considered part of a record, or included as available mate-rial, for decision in any proceeding. Docke
33、t No. 82, 50 FR 2380, Jan. 16, 1985, as amended by Amdt. No. 3007, 52 FR 18904, May 20, 1987; 60 FR 10312, Feb. 24, 1995; 60 FR 43528, Aug. 22, 1995; 60 FR 43528, Aug. 22, 1995; 65 FR 6456, Feb. 9, 2000 300.3 Reporting of communications. (a) General. The following types of substantive communication
34、shall be re-ported as specified in paragraph (b) of this section: (1) Any communication in violation of 300.2(a) of this chapter. (2) Information given upon deter-mination of an emergency under 300.2(c)(5) of this chapter. (3) Information given at the request of a DOT employee in a tariff matter und
35、er 300.2(c)(6) of this chapter. (4) Communications in nonhearing cases to be decided within 30 days under 300.2(c)(7) of this chapter. (5) Communications in nonhearing cases arising under 49 U.S.C. 4173142, made under 300.2(c)(8). (b) Public filing. (1) A written commu-nication shall be placed onto
36、the elec-tronic docket management system (DMS) in the file of the docket number corresponding to the proceeding, which shall be available for inspection and copying during business hours in Office of Docket Operations and Media Man-agement. (2) An oral communication shall be summarized by the DOT em
37、ployee re-ceiving it. One copy shall be put into a public file as described in paragraph (b) (1) of this section, and another copy shall be mailed to the communicator. (3) Electronic copies of written com-munications and oral summaries shall be posted to the DOTs electronic dock-et. Such docketed ma
38、terials may be searched, viewed, and downloaded through the Internet at http:/ dms.dot.gov. (4) Copies of all filings under this part dealing with discontinuances or reductions of air transportation shall be mailed to the directly affected local communities, State agencies, and air-port managers. (c
39、) Status and expedition requests. A DOT decisionmaker who receives a communication asking about the sta-tus or requesting expeditious treat-ment of a public proceeding, other than a communication concerning national defense or foreign policy (including international aviation), shall either: (1) Refe
40、r the communicator to Office of Docket Operations and Media Man-agement. (2) If the DOT decisionmaker re-sponds by advising on the status, put a memorandum describing the exchange in the public file as described in para-graph (b)(1) of this section. Docket No. 82, 50 FR 2380, Jan. 16, 1985, as amend
41、ed at 60 FR 43528, Aug. 22, 1995; Doc. No. OST200212200, 67 FR 30325, May 6, 2002 300.4 Separation of functions in hear-ing cases. (a) This section applies after the ini-tiation of a hearing or enforcement case by the Department. (b) A DOT employee who is partici-pating in a hearing case on behalf o
42、f an VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00271 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-,-,-262 14 CFR Ch. II (1111 Edition) 300.5 office that
43、 is a party, another DOT em-ployee who is in fact reviewing the po-sition taken, or who has participated in developing the position taken in that case, or, in cases involving accusa-tory or disciplinary issues (including all enforcement cases) such employees supervisors within that office, shall hav
44、e no substantive communication with any DOT decisionmaker, adminis-trative law judge in the case, or other DOT employee advising them, with re-spect to that or any factually related hearing case, except in accordance with a published DOT rule or order. In addi-tion, each bureau or office supervisor
45、of a DOT employee who is participating in a hearing case on behalf of that of-fice when it is a party shall have no substantive communication with any administrative law judge in the case, or DOT employee advising the judge, in that or any factually related hearing case, except in accordance with a
46、pub-lished DOT rule or order. For each hearing case, bureau or office heads shall maintain a publicly available record of those employees who are par-ticipating or are in fact reviewing the position taken, or who have partici-pated in developing the position taken in that case. (c) In hearing cases
47、involving fares or rates, or applications for a certificate or permit under 49 U.S.C. 41102 and 41302, or applications by a holder for a change in a certificate or permit, a su-pervisor who would not be permitted to advise the DOT decisionmaker under paragraph (a) may advise the DOT deci-sionmaker i
48、n the following manner: The supervisors advice must either be made orally in an open DOT meeting or by a memorandum placed in the docket or other public file of such matter. Oral advice must be summarized in writing by the supervisor and placed in the docket or file of the matter. A copy of such wri
49、tten memorandum or sum-mary of oral advice must be served on each party to the proceeding within 3 business days after such advice is given to the concerned DOT decisionmaker. Each of the parties may comment in writing on such advice within 5 busi-ness days after service or the sum-mary. In no event, however, may a su-pervisor advise the DOT decisionmaker if he or she acted as the offices counsel or witness in the
