[Code of Federal Regulations]

[Title 14, Volume 4]

[Revised as of January 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 14CFR300.2]



[Page 267-268]

 

                     TITLE 14--AERONAUTICS AND SPACE

 

   CHAPTER II--OFFICE OF THE SECRETARY, DEPARTMENT OF TRANSPORTATION 

                         (AVIATION PROCEEDINGS)

 

PART 300_RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER--Table 

of Contents

 

Sec. 300.2  Prohibited communications.



    (a) Basic requirement. Except as provided in paragraphs (c), (d) and 

(e) there shall be no substantive communication in either direction 

between any concerned DOT employee and any interested person outside 

DOT, concerning a public proceeding, until after final disposition of 

the proceeding, other than as provided by Federal statute or published 

DOT rule or order.

    (b) Definitions. For purposes of this part:

    (1) A ``substantive communication'' is any written or oral 

communication relevant to the merits of the proceeding.

    (2) The ``DOT decisionmaker'' is defined in 14 CFR 302.2 and 302.18.

    (3) A ``concerned DOT employee'' is a DOT employee who is or may 

reasonably be expected to be directly involved in a decision which is 

subject to a public proceeding.

    (4) A ``public proceeding'' is one of the following:

    (i) A hearing proceeding (i.e., proceeding conducted on-the record 

after notice and opportunity for an oral evidentiary hearing as provided 

in Sec. Sec. 302.17- 302.38)

    (ii) A rulemaking proceeding involving a hearing as described in 

paragraph (b)(4)(i) of this section or an exemption proceeding covered 

by this chapter. (Other rulemaking proceedings are covered by the ex 

parte communication policies of DOT Order 2100.2.)

    (iii) A tariff filing after DOT has ordered an investigation or a 

complaint has been filed or docketed.

    (iv) A proceeding initiated by DOT show-cause order, after the 

filing in the docket of an identifiable written opposition to the 

order's 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 identifiable written opposition to the initiating document.

    (c) General exceptions. Paragraph (a) of this section shall not 

apply to the following:

    (1) Informal communications between legal counsel, including 

discussions about stipulations and other communications considered 

proper in Federal court proceedings.

    (2) Information given to a DOT employee who is participating in a 

hearing 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 

determine whether formal enforcement action should be begun.

    (4) Settlement discussions and mediation efforts.

    (5) Information given at the request of a DOT employee acting upon a 

specific direction of DOT, in a case other than a hearing proceeding as 

described in paragraphs (b)(4) (i) and (ii) (a ``nonhearing 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 

ordered.

    (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. 41731-42.

    (9) In nonhearing cases, communications with other Federal agencies 

not exempted by paragraph (e) of this section, provided the agencies 

have not participated as parties in the proceeding by making filings on-

the-record.

    (10) Information given at the request of a DOT career employee in 

the course of investigating or clarifying information filed, or pursuant 

to a waiver granted to an applicant or other interested person, in 

docketed 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



[[Page 268]]



an order instituting a formal proceeding. Motions for such waivers and 

any answers shall be filed in the applicable docket in accordance with 

Sec. 302.11 of the Department's Procedural Regulations (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 communications asking about the 

status, or requesting expeditious treatment, of a public proceeding. 

However, any request for expeditious treatment should be made in 

accordance with the Rules of Practice, particularly Rule 11, Sec. 

302.11 of this chapter.

    (e) National defense and foreign policy. In nonhearing cases, 

paragraph (a) of this section shall not apply to communications 

concerning 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 

permitted if the communicator's position with respect thereto cannot 

otherwise be fairly presented, but such communications 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 section shall not be considered part of a record, or included as 

available material, for decision in any proceeding.



[Docket No. 82, 50 FR 2380, Jan. 16, 1985, as amended by Amdt. No. 300-

7, 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]