[Code of Federal Regulations]
[Title 14, Volume 4]
[Revised as of January 1, 2008]
From the U.S. Government Printing Office via GPO Access
[CITE: 14CFR300.4]

[Page 266-267]
 
                     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 
 
Sec. 300.4  Separation of functions in hearing cases.

    (a) This section applies after the initiation of a hearing or 
enforcement case by the Department.
    (b) A DOT employee who is participating in a hearing case on behalf 
of an

[[Page 267]]

office that is a party, another DOT employee who is in fact reviewing 
the position taken, or who has participated in developing the position 
taken in that case, or, in cases involving accusatory or disciplinary 
issues (including all enforcement cases) such employees' supervisors 
within that office, shall have no substantive communication with any DOT 
decisionmaker, administrative law judge in the case, or other DOT 
employee advising them, with respect to that or any factually related 
hearing case, except in accordance with a published DOT rule or order. 
In addition, each bureau or office supervisor of a DOT employee who is 
participating in a hearing case on behalf of that office 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 
published DOT rule or order. For each hearing case, bureau or office 
heads shall maintain a publicly available record of those employees who 
are participating or are in fact reviewing the position taken, or who 
have participated in developing the position taken in that case.
    (c) In hearing cases 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 supervisor who 
would not be permitted to advise the DOT decisionmaker under paragraph 
(a) may advise the DOT decisionmaker in the following manner: The 
supervisor's 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 written 
memorandum or summary 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 business days after service or the summary. In 
no event, however, may a supervisor advise the DOT decisionmaker if he 
or she acted as the office's counsel or witness in the matter.
    (d) In enforcement cases, the Office of the Assistant General 
Counsel for Aviation Enforcement and Proceedings, under the supervision 
of the Deputy General Counsel, will conduct all enforcement proceedings 
and related investigative functions, while the General Counsel will 
advise the DOT decisionmaker in the course of the decisional process. 
The Office of the Assistant General Counsel for Aviation Enforcement and 
Proceedings will report to the Deputy General Counsel. To ensure the 
independence of these functions, this Office and the Deputy General 
Counsel, for the purpose of this section, shall be considered an 
``office'' as that term is used in paragraph (a), separate from the 
General Counsel and the rest of the Office of the General Counsel.

[Docket No. 82, 50 FR 2380, Jan. 16, 1985, as amended at 60 FR 43528, 
Aug. 22, 1995]