RULES OF PRACTICE IN PROCEEDINGS

• Citation: 14 CFR Part 302
• Sections: 131

§ 302.1 Applicability and description of part.

(a) Applicability. This part governs the conduct of all aviation economic proceedings before the Department whether instituted by order of the Department or by the filing with the Department of an application, complaint, petition, motion, or other authorized or required document. This part also contains delegations to administrative law judges and to the DOT decisionmaker of the Department's function to render the agency decision in certain cases and the procedures for review of those decisions. This part applies unless otherwise specified by order of the Department.

(b) Description. Subpart A of this part sets forth general rules applicable to all types of proceedings. Each of the other subparts of this part sets forth special rules applicable to the type of proceedings described in the title of the subpart. Therefore, for information as to applicable rules, reference should be made to subpart A and to the rules in the subpart relating to the particular type of proceeding, if any. In addition, reference should be made to Subtitle VII of Title 49 of the United States Code (Transportation) (“the Statute”), and to the substantive rules, regulations and orders of the Department relating to the proceeding. Wherever there is any conflict between one of the general rules in subpart A and a special rule in another subpart applicable to a particular type of proceeding, the special rule will govern.

(c) Reference to part and method of citing rules. This part may be referred to as the “Rules of Practice”. Each section, and any paragraph or subparagraph thereof, may be referred to as a “Rule”. The number of each rule need include only the numbers and letters at the right of the decimal point. For example, “302.7 Service of documents ”, may be referred to as “Rule 7”.

§ 302.2 Definitions.

Administrative law judge as used in this part means an administrative law judge appointed pursuant to 5 U.S.C. 3105.

DOT Decisionmaker as used in this part is the official authorized to issue final decisions of the Department as set forth in § 302.18. This includes the Assistant Secretary for Aviation and International Affairs, the senior career official in the Office of the Assistant Secretary for Aviation and International Affairs, the Deputy Secretary, and the Secretary.

Hearing case or oral hearing case means any proceeding that the Department has determined will be conducted on the record using oral evidentiary procedures subject to 5 U.S.C. 556 and 557.

Non-hearing case means any proceeding not involving oral evidentiary procedures.

Party as used in this part includes the person initiating a proceeding, such as an applicant, complainant, or petitioner; any person filing an answer to such filing; and any other persons as set forth in § 302.10.

§ 302.3 Filing of documents.

(a) Filing address, date of filing, hours. (1) Documents required by any section of this part to be filed with the Department must be filed with Department of Transportation Dockets at the Department's offices in Washington, DC. Documents may be filed either on paper or by electronic means using the process set at http://www.regulations.gov .

(2) Such documents will be deemed to be filed on the date on which they are actually received by the Department. Documents must be filed between the hours of 9:00 a.m. and 5:00 p.m., eastern standard or daylight savings time, whichever is in effect in the District of Columbia at the time, Monday to Friday, inclusive, except on legal holidays. Electronic filings may be made at any time under the process set by the Department. Electronic filings that are received after the specified Dockets Facility hours shall be deemed to be constructively received on the next Dockets Facility business day.

(b) Formal specifications of documents. (1) Documents filed under this part must be on white paper not larger than 8

1/2 by 11 inches, including any tables, charts and other documents that may be included. Ink must be black to provide substantial contrast for scanning and photographic reproduction. Text must be double-spaced (except for footnotes and long quotations which may be single-spaced) using type not smaller than 12 point. The left margin must be at least 1

1/2 inches; all other margins must be at least 1 inch. The title page and first page must bear a clear date and all subsequent pages must bear a page number and abbreviated heading. In order to facilitate automated processing in document sheet feeders, documents of more than one page should be held together with removable metal clips or similar retainers. Original documents may not be bound in any form or include tabs, except in cases assigned by order to an Administrative Law Judge for hearing, in which case the filing requirements will be set by order. Section 302.35 contains additional requirements as to the contents and style of briefs.

(2) Papers may be reproduced by any duplicating process, provided all copies are clear and legible. Appropriate notes or other indications must be used, so that the existence of any matters shown in color on the original will be accurately indicated on all copies.

(c) Number of copies. Unless otherwise specified, an executed original, along with the number of true copies set forth below for each type of proceeding, must be filed with Department of Transportation Dockets. The copies filed need not be signed, but the name of the person signing the original document, as distinguished from the firm or organization he or she represents, must also be typed or printed on all copies below the space provided for signature. Electronic filers need only submit one copy of the document, which must conform to the submission requirements given in the electronic filing instructions at http://www.regulations.gov and in this part, as applicable.

Number of copies

Airport Fees

9

Agreements:

International Air Transport Association (IATA)

6

Other (under 49 U.S.C. 41309)

9

Complaints:

Enforcement

5

Mail Contracts

4

Rates, Fares and Charges in Foreign Air Transportation

6

Unfair Practices in Foreign Air Transportation

7

Employee Protection Program (14 CFR 314)

7

Exemptions:

Computer Reservations Systems (14 CFR 255)

8

Slot Exemptions (under 49 U.S.C. 41714)

7

Tariffs (under 49 U.S.C. Chapter 415 or 14 CFR 221)

5

Other (under 49 U.S.C. 40109)

7

Foreign Air Carrier Permits/Exemptions

7

International Authority for U.S. Air Carriers (certificates, exemptions, allocation of limited frequencies, designations, or charters)

7

Mail Rate Proceedings

4

Name Change/Trade Name Registrations

4

Suspension of Service (14 CFR 323)

4

Tariff Justifications to exceed Standard International Fare Level

6

U.S. Air Carrier Certificates (involving Initial or Continuing Fitness)

6

Other matters

3

(d) Prohibition and dismissal of certain documents. (1) No document that is subject to the general requirements of this subpart concerning form, filing, subscription, service or similar matters will be accepted for filing by the Department, and will not be physically incorporated in the docket of the proceeding, unless:

(i) Such document and its filing by the person submitting it have been expressly authorized or required in the Statute, any other law, this part, other Department regulations, or any order, notice or other document issued by the DOT decisionmaker, the Chief Administrative Law Judge or an administrative law judge assigned to the proceeding, and

(ii) Such document complies with each of the requirements of this paragraph and 302.7, and for those electronically filed, the requirements specified at http://www.regulations.gov , and is submitted as a formal application, complaint, petition, motion, answer, pleading, or similar paper rather than as a letter, telegram, or other informal written communication; Provided, however, That for good cause shown, pleadings of any public body or civic organization or comments concerning tariff agreements that have not been docketed, may be submitted in the form of a letter.

(2) If any document initiating, or filed in, a proceeding is not in substantial conformity with the applicable rules or regulations of the Department as to the contents thereof, or is otherwise insufficient, the Department, on its own initiative, or on motion of any party, may reject, strike or dismiss such document, or require its amendment.

(e) Official docket copy. With respect to all documents filed under this part, the electronic record produced by the Department shall thereafter be the official docket copy of the document and any subsequent copies generated by the Department's electronic records system will be usable for admission as record copies in any proceeding before the Department.

(f) Retention of documents by the Department. All documents filed with or presented to the Department Dockets will be retained in the permanent docket of the Department of Transportation.

§ 302.4 General requirements as to documents.

(a) Contents. (1) In case there is no rule, regulation, or order of the Department that prescribes the contents of a formal application, petition, complaint, motion or other authorized or required document, such document shall contain a proper identification of the parties concerned, a concise but complete statement of the facts relied upon and the relief sought, and, where required, such document shall be accompanied by an Energy Statement, in conformity with the provisions of part 313 of this chapter.

(2)(i) Each document must include with or provide on its first page:

(A) The docket title and subject;

(B) The relevant operating administration before which the application or request is filed;

(C) The identity of the filer and its filing agent, if applicable;

(D) The name and mailing address of the designated agent for service of any documents filed in the proceeding, along with the telephone and facsimile numbers and, if available, electronic mail address of that person; and

(E) The title of the specific action being requested.

(ii) Department of Transportation Dockets has an Expedited Processing Sheet that filers can use to assist in preparing this index for submission of paper documents, and an electronic registration for electronic filing at http://www.regulations.gov .

(3) All documents filed under this part consisting of twenty (20) or more pages must contain a subject index of the matter in such document, with page references.

(b) Verification: The following certification shall be included with every pleading filed under this part: “Pursuant to Title 18 United States Code Section 1001, I [ the individual signing the pleading, who shall be a principal owner, senior officer, or internal counsel of the pleader ], in my individual capacity and as the authorized representative of the pleader, have not in any manner knowingly and willfully falsified, concealed or failed to disclose any material fact or made any false, fictitious, or fraudulent statement or knowingly used any documents which contain such statements in connection with the preparation, filing or prosecution of the pleading. I understand that an individual who is found to have violated the provisions of 18 U.S.C. section 1001 shall be fined or imprisoned not more than five years, or both.” In addition, electronic subscription requirements shall be those specified at http://www.regulations.gov .

§ 302.5 Amendment of documents.

(a) An application may be amended prior to the filing of answers thereto, or, if no answer is filed, prior to the issuance of an order establishing further procedures, disposing of the application, or setting the case for hearing. Thereafter, applications may be amended only if leave is granted pursuant to the procedures set forth in § 302.11.

(b) Except as otherwise provided, if properly amended, a document and any statutory deadline shall be made effective as of the date of original filing but the time prescribed for the filing of an answer or any further responsive document directed towards the amended document shall be computed from the date of the filing of the amendment.

§ 302.6 Responsive documents.

(a) Answers. Answers to applications, complaints, petitions, motions or other documents or orders instituting proceedings may be filed by any person. In hearing cases, answers may be filed by any party to such proceedings or any person who has a petition for intervention pending. Except as otherwise provided, answers are not required.

(b) Further responsive documents. Except as otherwise provided, a reply to an answer, reply to a reply, or any further responsive document is not authorized.

(c) Motions for leave to file otherwise unauthorized documents. (1) The Department will accept otherwise unauthorized documents for filing only if leave has been obtained from the DOT decisionmaker or, if applicable, the administrative law judge, on written motion and for good cause shown.

(2) Such motions shall contain a concise statement of the matters relied upon as good cause and shall be attached to the pleading or other document for which leave to file is sought, or the written motion may be incorporated into the otherwise unauthorized document for which admission is sought. In such event, the document filed shall be titled to describe both the motion and the underlying documents.

(3) Where unauthorized responsive documents are not permitted, all new matter contained in an answer filed pursuant to paragraph (a) of this section shall be deemed controverted.

(d) Time for filing. Except as otherwise provided, an answer, motion, or other further responsive document shall be filed within seven (7) days after service of any document, order, or ruling to which the proposed filing is responsive and must be served on all parties to the proceeding.

§ 302.7 Service of documents.

(a) Who makes service —(1) The Department. Formal complaints, notices, orders, and similar documents issued by the Department will be served by the Department upon all parties to the proceeding.

(2) The parties. Answers, petitions, motions, briefs, exceptions, notices, protests, or memoranda, or any other documents filed by any party or other person with the Department shall be served by such party or other person upon all parties to the proceeding in which it is filed; including, where applicable, all persons who have petitioned for intervention in, or consolidation of applications with, such proceeding. Proof of service shall accompany all documents when they are filed. The Department may require additional service of any document(s).

(b) How service may be made. Service may be made by first class mail, express mail, priority mail, registered or certified mail, facsimile transmission, personal delivery, or by electronic mail. The Department may prescribe other means of service by order or notice. The means of service selected must be done in such manner so as to have the same attributes as section 46103 of 49 U.S.C. Subtitle VII, which provides for service of notices and processes in a proceeding by personal service or registered or certified mail.

(c) Who may be served. Service upon a party or person may be made upon an individual, or upon a member of a partnership or firm to be served, or upon the president or other officer of the corporation, company, firm, or association to be served, or upon the assignee or legal successor of any of the foregoing, or upon any attorney of record for the party, or upon the agent designated by an air carrier or foreign air carrier under section 46103 of 49 U.S.C. Subtitle VII, but it shall be served upon a person designated by a party to receive service of documents in a particular proceeding in accordance with § 302.4(a)(2)(i)(D) once a proceeding has been commenced.

(d) Where service may be made. Service shall be made at the principal place of business of the party to be served, or at his or her usual residence if he or she is an individual, or at the office of the party's attorney of record, or at the office or usual residence of the agent designated by an air carrier or foreign air carrier under section 46103 of 49 U.S.C. Subtitle VII, or at the post office or electronic address or facsimile number stated for a person designated to receive service pursuant to§ 302.4(a)(2)(i)(D).

(e) Proof of service. Proof of service of any document shall consist of one of the following:

(1) A certificate of mailing executed by the person mailing the document.

(2) A certificate of successful transmission executed by the person transmitting the document by facsimile or electronic mail, listing the facsimile numbers or electronic mail address to which the document was sent, and stating that no indication was received that any transmission had failed. In the event of an electronic transmission failure, any other authorized means of service may be substituted and the appropriate proof of service provided.

(f) Date of service. The date of service by post office or electronic mail is the date of mailing. Whenever proof of service by personal delivery or facsimile transmission is made, the date of such delivery or facsimile transmission shall be the date of service.

(g) Freely Associated State Proceedings. In any proceeding directly involving air transportation to the Federated States of Micronesia, the Marshall Islands, or Palau, the Department and any party or participant in the proceeding shall serve all documents on the President and the designated authorities of the government(s) involved. This requirement shall apply to all proceedings where service is otherwise required, and shall be in addition to any other service required by this chapter.

§ 302.8 Computation of time.

In computing any period of time prescribed or allowed by this part, by notice, order or regulation or by any applicable statute, the day of the act, event, or default after which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included, unless it is a Saturday, Sunday, or legal holiday for the Department, in which event the period runs until the end of the next day that is neither a Saturday, Sunday, nor holiday. When the period of time prescribed is seven (7) days or fewer, intermediate Saturdays, Sundays, and holidays shall be excluded in the computation, unless otherwise specified by the DOT decisionmaker or the administrative law judge assigned to the proceeding, as the case may be.

§ 302.9 Continuances and extensions of time.

(a) Whenever a party has the right or obligation to take action within a period prescribed by this part, by a notice given thereunder, or by an order or regulation, the DOT decisionmaker or the administrative law judge assigned to the proceeding, as appropriate, may:

(1) Before the expiration of the prescribed period, with or without notice, extend such period, or

(2) Upon motion, permit the act to be done after the expiration of the specified period, where good cause for the failure to act on time is clearly shown.

(b) Except where an administrative law judge has been assigned to a proceeding, requests for continuance or extensions of time, as described in paragraph (a) of this section, shall be directed to the DOT decisionmaker. Requests for continuances and extensions of time may be directed to the Chief Administrative Law Judge in the absence of the administrative law judge assigned to the proceeding.

§ 302.10 Parties.

(a) In addition to the persons set forth in § 302.2, in hearing cases, parties shall include Department staff designated to participate in the proceeding and any persons authorized to intervene or granted permission to participate in accordance with §§ 302.19 and 302.20. In any proceeding directly involving air transportation to the Federated States of Micronesia, the Marshall Islands or Palau, these governments or their designated authorities shall be a party.

(b) Upon motion and for good cause shown, the Department may order a substitution of parties, except that in case of the death of a party, substitution may be ordered without the filing of a motion.

(c) An association composed entirely or in part of air carriers may participate in any proceedings of the Department to which the Department's procedural regulations apply if the association represents members that are identified in any documents filed with the Department, and that have specifically authorized the positions taken by the association in that proceeding. The specific authorizations may be informal and evidence of them shall be provided only upon request of the Department. Upon motion of any interested person or upon its own initiative, the Department may issue an order requiring an association to withdraw from a case on the grounds of significant divergence of interest or position within the association.

§ 302.11 Motions.

(a) Generally. An application to the DOT decisionmaker or an administrative law judge for an order or ruling not otherwise specifically provided for in this part shall be by motion. If an administrative law judge is assigned to a proceeding and before the issuance of a recommended or initial decision or the certification of the record to the DOT decisionmaker, all motions shall be addressed to the administrative law judge. At all other times, motions shall be addressed to the DOT decisionmaker. All motions shall be made at an appropriate time depending upon the nature thereof and the relief requested therein. This paragraph should not be construed as authorizing motions in the nature of petitions for reconsideration.

(b) Form and contents. Unless made during a hearing, motions shall be made in writing in conformity with §§ 302.3 and 302.4, shall state their grounds and the relief or order sought, and shall be accompanied by any affidavits or other evidence desired to be relied upon. Motions made during hearings, answers to them, and rulings on them, may be made orally on the record unless the administrative law judge directs otherwise. Written motions shall be filed as separate documents, and shall not be incorporated in any other documents, except where incorporation of a motion in another document is specifically authorized by the Department, or where a document is filed that requests alternative forms of relief and one of these alternative requests is properly to be made by motion. In these instances the document filed shall be appropriately titled and identified to indicate that it incorporates a motion; otherwise, the motion will be disregarded.

(c) Answers to motions. Within seven (7) days after a motion is served, or such other period as the DOT decisionmaker or the administrative law judge may fix, any party to the proceeding may file an answer in support of or in opposition to the motion, accompanied by such affidavits or other evidence as it desires to rely upon. Except as otherwise provided, no reply to an answer, reply to a reply, or any further responsive document shall be filed.

(d) Oral arguments; briefs. No oral argument will be heard on motions unless the DOT decisionmaker or the administrative law judge otherwise directs. Written memoranda or briefs may be filed with motions or answers to motions, stating the points and authorities relied upon in support of the position taken.

(e) Requests for expedition. Any interested person may by motion request expedition of any proceeding or file an answer in support of or in opposition to such motions.

(f) Effect of pendency of motions. The filing or pendency of a motion shall not automatically alter or extend the time to take action fixed by this part or by any order of the Department or of an administrative law judge (or any extension granted thereunder).

(g) Disposition of motions. The DOT decisionmaker shall pass upon all motions properly submitted to him or her for decision. The administrative law judge shall pass upon all motions properly addressed to him or her, except that, if the administrative law judge finds that a prompt decision by the DOT decisionmaker on a motion is essential to the proper conduct of the proceeding, the administrative law judge may refer such motion to the DOT decisionmaker for decision.

(h) Appeals to the DOT decisionmaker from rulings of administrative law judges. Rulings of administrative law judges on motions may not be appealed to the DOT decisionmaker prior to his or her consideration of the entire proceeding except in extraordinary circumstances and with the consent of the administrative law judge. An appeal shall be disallowed unless the administrative law judge finds, either on the record or in writing, that the allowance of such an appeal is necessary to prevent substantial detriment to the public interest or undue prejudice to any party. If an appeal is allowed, any party may file a brief with the DOT decisionmaker within such period as the administrative law judge directs. No oral argument will be heard unless the DOT decisionmaker directs otherwise. The rulings of the administrative law judge on a motion may be reviewed by the DOT decisionmaker in connection with his or her final action in the proceeding or at any other appropriate time irrespective of the filing of an appeal or any action taken on it.

§ 302.12 Objections to public disclosure of information.

(a) Generally. Part 7 of the Office of the Secretary regulations, Public Availability of Information, governs the availability of records and documents of the Department to the public. (49 CFR 7.1 et seq. )

(b) Information contained in written documents. Any person who objects to the public disclosure of any information filed in any proceeding, or pursuant to the provisions of 49 U.S.C. Subtitle VII, or any Department rule, regulation, or order, shall segregate, or request the segregation of, such information into a separate submission and shall file it separately in a sealed envelope, bearing the caption of the enclosed submission, and the notation “Confidential Treatment Requested Under § 302.12.” At the time of filing such submission (or, when the objection is made by a person who is not the filer, within five (5) days after the filing of such submission), the objecting party shall file a motion to withhold the information from public disclosure, in accordance with the procedure outlined in paragraph (d) or (f) of this section, as appropriate. Notwithstanding any other provision of this section, copies of the filed submission and of the motion need not be served upon any other party unless so ordered by the Department.

(c) Information contained in oral testimony. Any person who objects to the public disclosure of any information sought to be elicited from a witness or deponent on oral examination shall, before such information is disclosed, make his or her objection known. Upon such objection duly made, the witness or deponent shall be compelled to disclose such information only in the presence of the administrative law judge or the person before whom the deposition is being taken, as the case may be, the official stenographer and such attorneys for and representative of each party as the administrative law judge or the person before whom the deposition is being taken shall designate, and after all present have been sworn to secrecy. The transcript of testimony containing such information shall be segregated and filed in a sealed envelope, bearing the title and docket number of the proceeding, and the notation “Confidential Treatment Requested Under § 302.12 Testimony Given by (name of witness or deponent).” Within five (5) days after such testimony is given, the objecting person shall file a motion in accordance with the procedure outlined in paragraph (d) of this section, to withhold the information from public disclosure. Notwithstanding any other provision of this section, copies of the segregated portion of the transcript and of the motion need not be served upon any other party unless so ordered by the Department.

(d) Form of motion. Motions to withhold from public disclosure information covered by paragraphs (b) and (c) of this section shall be filed with the Department in accordance with the following procedure:

(1) The motion shall include:

(i) An index listing the information or document sought to be withheld by an identifying number, and including its title, description and number of pages, and, if relevant, the specific location within a document;

(ii) A statement explaining how and why the information falls within one or more of the exemptions from the Freedom of Information Act (5 U.S.C. 552(b)(1)-(9)); and

(iii) A statement explaining how and why public disclosure of the information would adversely affect the interests of the objecting persons and is not required in the interest of the public.

(2) Such motion shall be filed with the person conducting the proceeding, or with the person with whom said application, report, or submission is required to be filed. Such motion will be denied when the complete justification required by this paragraph is not provided.

(3) During the pendency of such motion, the ruling official may, by notice or order, allow limited disclosure to parties' representatives, for purposes of participating in the proceeding, upon submission by them of affidavits swearing to protect the confidentiality of the documents at issue.

(e) Conditions of disclosure. The order, notice or other action of the Department containing its ruling upon each such motion will specify the extent to which, and the conditions upon which, the information may be disclosed to the parties and to the public, which ruling shall become effective upon the date stated therein, unless, within five (5) days after the date of the entry of the Department's order with respect thereto, a petition is filed by the objecting person requesting reconsideration by the Department, or a written statement is filed indicating that the objecting person in good faith intends to seek judicial review of the Department's order.

(f) Objection by Government departments or representative thereof. In the case of objection to the public disclosure of any information filed by or elicited from any United States Government department or agency, or representative thereof, under paragraph (b) or (c) of this section, the department or agency making such objection shall be exempted from the provisions of paragraphs (b), (c), and (d) of this section insofar as said paragraphs require the filing of a written objection to such disclosure. However, any department, agency, or representative thereof may, if it so desires, file a memorandum setting forth the reasons why it is claimed that a public disclosure of the information should not be made. If such a memorandum is submitted, it shall be filed and handled as is provided by this section in the case of a motion to withhold information from public disclosure.

§ 302.13 Consolidation of proceedings.

(a) Initiation of consolidations. The Department, upon its own initiative or upon motion, may consolidate for hearing or for other purposes or may contemporaneously consider two or more proceedings that involve substantially the same parties, or issues that are the same or closely related, if it finds that such consolidation or contemporaneous consideration will be conducive to the proper dispatch of its business and to the ends of justice and will not unduly delay the proceedings. Although the Department may, in any particular case, consolidate or contemporaneously consider two or more proceedings on its own motion, the burden of seeking consolidation or contemporaneous consideration of a particular application shall rest upon the applicant and the Department will not undertake to search its docket for all applications that might be consolidated or contemporaneously considered.

(b) Time for filing. Unless the Department has provided otherwise in a particular proceeding, a motion to consolidate or contemporaneously consider an application with any other application shall be filed within 21 days of the original application in the case of international route awards under section 41102 of 49 U.S.C. Subtitle VII ( see § 302.212), or, where a proceeding has been set for hearing before an administrative law judge, not later than the prehearing conference in the proceeding with which consolidation or contemporaneous consideration is requested. If made at such conference, the motion may be oral. All motions for consolidation or consideration of issues that enlarge, expand, or otherwise change the nature of the proceeding shall be addressed to the DOT decisionmaker, unless made orally at the prehearing conference, in which event the presiding administrative law judge shall present such motion to the DOT decisionmaker for his or her decision. A motion that is not timely filed, or that does not relate to an application pending at such time, shall be dismissed unless the movant shall clearly show good cause for failure to file such motion or application on time.

(c) Answer. If a motion to consolidate two or more proceedings is filed with the Department, any party to any of such proceedings, or any person who has a petition for intervention pending, may file an answer to such motion within such period as the DOT decisionmaker may permit. The administrative law judge may require that answers to such motions be stated orally at the prehearing conference in the proceeding with which the consolidation is proposed.

§ 302.14 Petitions for reconsideration.

(a) Department orders subject to reconsideration; time for filing. (1) Unless an order or a rule of the Department specifically provides otherwise:

(i) Any interested person may file a petition for reconsideration of any interlocutory order issued by the Department that institutes a proceeding; and

(ii) Any party to a proceeding may file a petition for reconsideration, rehearing, or reargument of final orders issued by the Department ( See § 302.38), or an interlocutory order that defines the scope and issues of a proceeding or suspends a provision of a tariff on file with the Department.

(2) Unless otherwise provided, petitions for reconsideration shall be filed, in the case of a final order, within twenty (20) days after service thereof, and, in the case of an interlocutory order, within ten (10) days after service. However, neither the filing nor the granting of such a petition shall operate as a stay of such final or interlocutory order unless specifically so ordered by the DOT decisionmaker. Within ten (10) days after a petition for reconsideration, rehearing, or reargument is filed, any party to the proceeding may file an answer in support of or in opposition. Motions for extension of time to file a petition or answer, and for leave to file a petition or answer after the time for the filing has expired, will not be granted except on a showing of unusual and exceptional circumstances, constituting good cause for the movant's inability to meet the established procedural dates.

(b) Contents of petition. A petition for reconsideration, rehearing, or reargument shall state, briefly and specifically, the matters of record alleged to have been erroneously decided, the ground relied upon, and the relief sought. If a decision by the Secretary or Deputy Secretary is requested, the petition should describe in detail the reasons for such request and specify any important national transportation policy issues that are presented. If the petition is based, in whole or in part, on allegations as to the consequences that would result from the final order, the basis of such allegations shall be set forth. If the petition is based, in whole or in part, on new matter, such new matter shall be set forth, accompanied by a statement to the effect that petitioner, with due diligence, could not have known or discovered such new matter prior to the date the case was submitted for decision. Unless otherwise directed by the DOT decisionmaker upon a showing of unusual or exceptional circumstances, petitions for reconsideration, rehearing or reargument or answers thereto that exceed twenty-five (25) pages (including appendices) in length shall not be accepted for filing by Department of Transportation Dockets.

(c) Successive petitions. A successive petition for rehearing, reargument, reconsideration filed by the same party or person, and upon substantially the same ground as a former petition that has been considered or denied will not be entertained.

§ 302.15 Non-hearing procedures.

In cases where oral evidentiary hearing procedures will not be used, § 302.17 through § 302.37, relating to hearing procedures, shall not be applicable except to the extent that the DOT decisionmaker shall determine that the application of some or all of such rules in the particular case will be conducive to the proper dispatch of its business and to the public interest. References in these and other sections of this part to powers or actions by administrative law judges shall not apply.

§ 302.16 Petitions for rulemaking.

Any interested person may petition the Department for the issuance, amendment, modification, or repeal of any regulation or guidance document, subject to the provisions of 49 CFR 5.3.

§ 302.17 Administrative law judges.

(a) Powers and delegation of authority. (1) An administrative law judge shall have the following powers, in addition to any others specified in this part:

(i) To give notice concerning and to hold hearings;

(ii) To administer oaths and affirmations;

(iii) To examine witnesses;

(iv) To issue subpoenas and to take or cause depositions to be taken;

(v) To rule upon offers of proof and to receive relevant evidence;

(vi) To regulate the course and conduct of the hearing;

(vii) To hold conferences before or during the hearing for the settlement or simplification of issues;

(viii) To rule on motions and to dispose of procedural requests or similar matters;

(ix) To make initial or recommended decisions as provided in § 302.31;

(x) To take any other action authorized by this part or by the Statute.

(2) The administrative law judge shall have the power to take any other action authorized by part 385 of this chapter or by the Administrative Procedure Act.

(3) The administrative law judge assigned to a particular case is delegated the DOT decisionmaker's function of making the agency decision on the substantive and procedural issues remaining for disposition at the close of the hearing in such case, except that this delegation does not apply in cases where the record is certified to the DOT decisionmaker, with or without an initial or recommended decision by the administrative law judge, or in cases requiring Presidential approval under section 41307 of 49 U.S.C. Subtitle VII. This delegation does not apply to the review of rulings by the administrative law judge on interlocutory matters that have been appealed to the DOT decisionmaker in accordance with the requirements of § 302.11.

(4) The administrative law judge's authority in each case will terminate either upon the certification of the record in the proceeding to the DOT decisionmaker, or upon the issuance of an initial or recommended decision, or when he or she shall have withdrawn from the case upon considering himself or herself disqualified.

(b) Disqualification. An administrative law judge shall withdraw from the case if at any time he or she deems himself or herself disqualified. If, prior to the initial or recommended decision in the case, there is filed with the administrative law judge, in good faith, an affidavit of personal bias or disqualification with substantiating facts and the administrative law judge does not withdraw, the DOT decisionmaker shall determine the matter, if properly presented by exception or brief, as a part of the record and decision in the case. The DOT decisionmaker shall not otherwise consider any claim of bias or disqualification. The DOT decisionmaker, in his or her discretion, may order a hearing on a charge of bias or disqualification.

§ 302.18 DOT decisionmaker.

(a) Assistant Secretary for Aviation and International Affairs. Except as provided in paragraphs (b) and (c) of this section, the Assistant Secretary for Aviation and International Affairs is the DOT decisionmaker. The Assistant Secretary shall have all of the powers set forth in § 302.17(a)(1) and those additional powers delegated by the Secretary. The Assistant Secretary may delegate this authority in appropriate non-hearing cases to subordinate officials.

(b) Oral hearing cases assigned to the senior career official. Carrier selection proceedings for international route authority that are set for oral hearing and such other oral hearing cases as the Secretary deems appropriate will be assigned to the senior career official in the Office of the Assistant Secretary for Aviation and International Affairs, who will serve as the DOT decisionmaker. In all such cases, the administrative law judge shall render a recommended decision to the senior career official, who shall have all of the powers set forth in § 302.17(a)(1) and those additional powers delegated by the Secretary.

(1) Decisions of the senior career official are subject to review by, and at the discretion of, the Assistant Secretary for Aviation and International Affairs. Petitions for discretionary review of decisions of the senior career official will not be entertained. A notice of review by the Assistant Secretary will establish the procedures for review. Unless a notice of review is issued, the decision of the senior career official will be issued as a final decision of the Department and will be served fourteen (14) days after it is adopted by the senior career official.

(2) Final decisions of the senior career official may be reviewed upon a petition for reconsideration filed pursuant to § 302.14. Such a petition shall state clearly the basis for requesting reconsideration and shall specify any questions of national transportation policy that may be involved. The Assistant Secretary will either grant or deny the petition.

(3) Upon review or reconsideration, the Assistant Secretary may either affirm the decision or remand the decision to the senior career official for further action consistent with such order of remand.

(4) Subject to the provisions of paragraphs (b)(1) through (3) of this section, final decisions of the senior career official will be transmitted to the President of the United States when required under 49 U.S.C. 41307.

(c) Secretary and Deputy Secretary. The Secretary or Deputy Secretary may exercise any authority of the Assistant Secretary whenever he or she believes a decision involves important questions of national transportation policy.

§ 302.19 Participation by persons not parties.

Any person, including any State, subdivision thereof, State aviation commission, or other public body, may appear at any hearing, other than in an enforcement proceeding, and present any evidence that is relevant to the issues. With the consent of the administrative law judge or the DOT decisionmaker, such person may also cross-examine witnesses directly. Such persons may also present to the administrative law judge a written statement on the issues involved in the proceeding. Such written statements shall be filed and served on all parties prior to the close of the hearing.

§ 302.20 Formal intervention.

(a) Who may intervene. Any person who has a statutory right to be made a party to an oral evidentiary hearing proceeding shall be permitted to intervene. Any person whose intervention will be conducive to the public interest and will not unduly delay the conduct of such proceeding may be permitted to intervene.

(b) Considerations relevant to determination of petition to intervene. In passing upon a petition to intervene, the following factors, among other things, will be considered and will be liberally interpreted to facilitate the effective participation by members of the public in Department proceedings:

(1) The nature of the petitioner's right under the statute to be made a party to the proceeding;

(2) The nature and extent of the property, financial or other interest of the petitioner;

(3) The effect of the order that may be entered in the proceeding on petitioner's interest;

(4) The availability of other means whereby the petitioner's interest may be protected;

(5) The extent to which petitioner's interest will be represented by existing parties;

(6) The extent to which petitioner's participation may reasonably be expected to assist in the development of a sound record; and

(7) The extent to which participation of the petitioner will broaden the issues or delay the proceeding.

(c) Petition to intervene —(1) Contents. Any person desiring to intervene in a proceeding shall file a petition in conformity with this part setting forth the facts and reasons why he or she thinks he or she should be permitted to intervene. The petition should make specific reference to the factors set forth in paragraph (b) of this section.

(2) Time for filing. Unless otherwise ordered by the Department:

(i) A petition to intervene shall be filed with the Department prior to the first prehearing conference, or, in the event that no such conference is to be held, not later than fifteen (15) days prior to the hearing.

(ii) A petition to intervene filed by a city, other public body, or a chamber of commerce shall be filed with the Department not later than the last day prior to the beginning of the hearing.

(iii) A petition to intervene that is not timely filed shall be dismissed unless the petitioner shall clearly show good cause for his or her failure to file such petition on time.

(3) Answer. Any party to a proceeding may file an answer to a petition to intervene, making specific reference to the factors set forth in paragraph (b) of this section, within seven (7) days after the petition is filed.

(4) Disposition. The decision granting, denying or otherwise ruling on any petition to intervene may be issued without receiving testimony or oral argument either from the petitioner or other parties to the proceeding.

(d) Effect of granting intervention. A person permitted to intervene in a proceeding thereby becomes a party to the proceeding. However, interventions provided for in this section are for administrative purposes only, and no decision granting leave to intervene shall be deemed to constitute an expression by the Department that the intervening party has such a substantial interest in the order that is to be entered in the proceeding as will entitle it to judicial review of such order.

§ 302.21 Appearances.

(a) Any party to a proceeding may appear and be heard in person or by a designated representative.

(b) No register of persons who may practice before the Department is maintained and no application for admission to practice is required.

(c) Any person practicing or desiring to practice before the Department may, upon hearing and good cause shown, be suspended or barred from practicing.

§ 302.22 Prehearing conference.

(a) Purpose and scope of conference. At the discretion of the administrative law judge, a prehearing conference may be called prior to any hearing. Written notice of the prehearing conference shall be sent by the administrative law judge to all parties to a proceeding and to other persons who appear to have an interest in such proceeding. The purpose of such a conference is to define the issues and the scope of the proceeding, to secure statements of the positions of the parties and amendments to the pleadings, to schedule the exchange of exhibits before the date set for hearing, and to arrive at such agreements as will aid in the conduct and disposition of the proceeding. For example, consideration will be given to:

(1) Matters that the DOT decisionmaker can consider without the necessity of proof;

(2) Admissions of fact and of the genuineness of documents;

(3) Requests for documents;

(4) Admissibility of evidence;

(5) Limitation of the number of witnesses;

(6) Reducing of oral testimony to exhibit form;

(7) Procedure at the hearing; and

(8) Use of electronic media as a basis for exchange of briefs, hearing transcripts and exhibits, etc., in addition to the official record copy.

(b) Actions during prehearing conference. The administrative law judge may require a further conference, or responsive pleadings, or both. If a party refuses to produce documents requested by another party at the conference, the administrative law judge may compel the production of such documents prior to a hearing by subpoena issued in accordance with the provisions of § 302.25 as though at a hearing. Applications for the production prior to hearing of documents in the Department's possession shall be addressed to the administrative law judge, in accordance with the provisions of § 302.25(g), in the same manner as provided therein for production of documents at a hearing. The administrative law judge may also, on his or her own initiative or on motion of any party, direct any party to the proceeding (air carrier or non-air carrier) to prepare and submit exhibits setting forth studies, forecasts, or estimates on matters relevant to the issues in the proceeding.

(c) Report of prehearing conference. The administrative law judge shall issue a report of prehearing conference, defining the issues, giving an account of the results of the conference, specifying a schedule for the exchange of exhibits and rebuttal exhibits, the date of hearing, and specifying a time for the filing of objections to such report. The report shall be served upon all parties to the proceeding and any person who appeared at the conference. Objections to the report may be filed by any interested person within the time specified therein. The administrative law judge may revise his or her report in the light of the objections presented. The revised report, if any, shall be served upon the same persons as was the original report. Exceptions may be taken on the basis of any timely written objection that has not been met by a revision of the report if the exceptions are filed within the time specified in the revised report. Such report shall constitute the official account of the conference and shall control the subsequent course of the proceeding, but it may be reconsidered and modified at any time to protect the public interest or to prevent injustice.

§ 302.23 Hearing.

The administrative law judge to whom the case is assigned or the DOT decisionmaker shall give the parties reasonable notice of a hearing or of the change in the date and place of a hearing and the nature of such hearing.

§ 302.24 Evidence.

(a) Presenting evidence. Presenting evidence at the hearing shall be limited to material evidence relevant to the issues as drawn by the pleadings or as defined in the report of prehearing conference, subject to such later modifications of the issues as may be necessary to protect the public interest or to prevent injustice, and shall not be unduly repetitious. Evidence shall be presented in such form by all parties as the administrative law judge may direct.

(b) Objections to evidence. Objections to the admission or exclusion of evidence shall be in short form, stating the grounds of objections relied upon, and the transcript shall not include argument or debate except as ordered by the administrative law judge. Rulings on such objections shall be a part of the transcript.

(c) Exhibits. When exhibits are offered in evidence, one copy must be furnished to each of the parties at the hearing, and two copies to the administrative law judge, unless the parties previously have been furnished with copies or the administrative law judge directs otherwise. If the administrative law judge has not fixed a time for the exchange of exhibits, the parties shall exchange copies of exhibits at the earliest practicable time, preferably before the hearing or, at the latest, at the commencement of the hearing. Copies of exhibits may, at the discretion of the administrative law judge or the DOT decisionmaker, be furnished by use of electronic media in lieu of or in addition to a paper record copy.

(d) Substitution of copies for original exhibits. In his or her discretion, the administrative law judge may permit a party to withdraw original documents offered in evidence and substitute true copies in lieu thereof.

(e) Designation of parts of documents. When relevant and material matter offered in evidence by any party is embraced in a book, paper, or document containing other matter not material or relevant, the party offering the same shall plainly designate the matter so offered. The immaterial and irrelevant parts shall be excluded and shall be segregated insofar as practicable. If the volume of immaterial or irrelevant matter would unduly encumber the record, such submission will not be received in evidence, but may be marked for identification, and, if properly authenticated, the relevant or material matter may be read into the record, or, if the administrative law judge so directs, a true copy of such matter, in proper form, shall be received as an exhibit, and like copies delivered by the party offering the same to opposing parties or their attorneys appearing at the hearing, who shall be afforded an opportunity to examine the submission, and to offer in evidence in like manner other portions of the exhibit.

(f) Records in other proceedings. In case any portion of the record in any other proceeding or civil or criminal action is offered in evidence, a true copy of such portion shall be presented for the record in the form of an exhibit unless:

(1) The portion is specified with particularity in such manner as to be readily identified;

(2) The party offering the same agrees unconditionally to supply such copies later, or when required by the DOT decisionmaker;

(3) The parties represented at the hearing stipulate upon the record that such portion may be incorporated by reference, and that any portion offered by any other party may be incorporated by like reference upon compliance with paragraphs (f)(1) and (2) of this section; and

(4) The administrative law judge directs such incorporation or waives the requirement in paragraph (f)(3) of this section with the consent of the parties.

(g) Official notice of facts contained in certain documents. (1) Without limiting, in any manner or to any extent, the discretionary powers of the DOT decisionmaker and the administrative law judge to notice other matters or documents properly the subject of official notice, facts contained in any document within the categories enumerated in this subdivision are officially noticed in all formal economic proceedings except those subject to subpart D of this part. Each such category shall include any document antedating the final Department decision in the proceeding where such notice is taken. The matters officially noticed under the provisions of this paragraph are:

(i) Air carrier certificates or applications therefor, together with any requests for amendment, and pleadings responding to applications when properly filed.

(ii) All Form 41 reports required to be filed by air carriers with the Department.

(iii) Reports of Traffic and Financial Data of all U.S. Air Carriers issued by the Department or by its predecessor.

(iv) Airline Traffic Surveys and Passenger Origin-Destination Surveys, Domestic or International, compiled by the Department or its predecessor and published and/or made available either to the public or to parties in proceedings.

(v) Compilations of data relating to competition in the airline industry and made available to the public by the Department or its predecessor.

(vi) Passenger, mail, express, and freight data submitted to the Department and its predecessor as part of ER-586 Service Segment Data by U.S. carriers, or similar data submitted to the Department by U.S. air carriers (T-100) or (T-100F) that are not confidential.

(vii) All tariffs, including the electronic versions, and amendments thereof, of all air carriers, on file with the Department.

(viii) Service Mail Pay and Subsidy for U.S. Certificated Air Carriers published by the Department or its predecessor, including any supplemental data and subsequent issues published by the Department or its predecessor.

(ix) Airport Activity Statistics of Certificated Air Carriers compiled and published by the Federal Aviation Administration (FAA) or the Department.

(x) Air Traffic Activity Data issued by the FAA.

(xi) National Plan of Integrated Airport Systems (NPIAS) issued by the FAA.

(xii) Chart Supplements, issued by the FAA.

(xiii) The Airman's Information Manual issued by the FAA.

(xiv) Monthly, quarterly and annual reports of the Immigration and Naturalization Service, U.S. Department of Justice.

(xv) All forms and reports required by the U.S. Postal Service to be filed by air carriers authorized to transport mail.

(xvi) All orders of the Postmaster General designating schedules for the transportation of mail.

(xvii) Publications of the Bureau of the Census of the U.S. Department of Commerce (DOC) relating, but not necessarily limited, to population, manufacturing, business, statistics, and any yearbooks, abstracts, or similar publications published by DOC.

(xviii) All Official Airline Guides, including the North American, Worldwide, All-Cargo and quick reference editions, including electronic versions.

(xix) Official Railways Guide and Russell's Official National Motor Coach Guide.

(xx) The Rand McNally Commercial Atlas and Marketing Guide, and the Rand McNally Road Atlas, United States, Canada, and Mexico.

(xxi) The Rand McNally Commercial Atlas and Marketing Guide, and the Rand McNally Road Atlas, United States, Canada, and Mexico.

(xxii) Survey of Buying Power published by Sales Management Magazine.

(2) Any fact contained in a document belonging to a category enumerated in paragraph (g)(1) of this section shall be deemed to have been physically incorporated into and made part of the record in such proceedings. However, such taking of official notice shall be subject to the rights granted to any party or intervener to the proceeding under section 7(d) of the Administrative Procedure Act (5 U.S.C. 557(d)).

(3) The decisions of the Department and its administrative law judges may officially notice any appropriate matter without regard to whether or not such items are contained in a document belonging to the categories enumerated in paragraph (g)(1) of this section. However, where the decision rests on official notice of a material fact or facts, it will set forth such items with sufficient particularity to advise interested persons of the matters that have been noticed.

(h) Receipt of documents after hearing. No document or other writings shall be accepted for the record after the close of the hearing except in accordance with an agreement of the parties and the consent of the administrative law judge or the DOT decisionmaker.

(i) Exceptions. Formal exceptions to the rulings of the administrative law judge made during the course of the hearing are unnecessary. For all purposes for which an exception otherwise would be taken, it is sufficient that a party, at the time the ruling of the administrative law judge is made or sought, makes known the action he or she desires the administrative law judge to take or his or her objection to an action taken, and his or her grounds therefor.

(j) Offers of proof. Any offer of proof made in connection with an objection taken to any ruling of the administrative law judge rejecting or excluding proffered oral testimony shall consist of a statement of the substance of the evidence that counsel contends would be adduced by such testimony, and if the excluded evidence consists of evidence in documentary or written form or of reference to documents or records, a copy of such evidence shall be marked for identification and shall constitute the offer of proof.

§ 302.25 Subpoenas.

(a) An application for a subpoena requiring the attendance of a witness at a hearing or the production of documentary evidence may be made without notice by any party to the administrative law judge or, in the event that an administrative law judge has not been assigned to a proceeding or is not available, to the DOT decisionmaker or the Chief Administrative Law Judge, for action.

(b) An application for a subpoena shall be in duplicate except that if it is made during the course of a hearing, it may be made orally on the record with the consent of the administrative law judge.

(c) All such applications, whether written or oral, shall contain a statement or showing of general relevance and reasonable scope of the evidence sought, and shall be accompanied by two copies of a draft of the subpoena sought that, in the case of evidence, shall describe the documentary or tangible evidence to be subpoenaed with as much particularity as is feasible, or, in the case of a witness, the name of the witness and a general description of the matters concerning which the witness will be asked to testify.

(d) The administrative law judge or DOT decisionmaker considering any application for a subpoena shall issue the subpoena requested if the application complies with this section. No attempt shall be made to determine the admissibility of evidence in passing upon an application for a subpoena, and no detailed or burdensome showing shall be required as a condition to the issuance of a subpoena.

(e) Where it appears during the course of a proceeding that the testimony of a witness or documentary evidence is relevant to the issues in a proceeding, the administrative law judge, Chief Administrative Law Judge or DOT decisionmaker may issue on his or her own initiative a subpoena requiring such witness to attend and testify or requiring the production of such documentary evidence.

(f) Subpoenas issued under this section shall be served upon the person to whom directed in accordance with § 302.7(b). Any person upon whom a subpoena is served may within seven (7) days after service or at any time prior to the return date thereof, whichever is earlier, file a motion to quash or modify the subpoena with the administrative law judge or, in the event an administrative law judge has not been assigned to a proceeding or is not available, to the DOT decisionmaker or the Chief Administrative Law Judge for action. If the person to whom the motion to modify or quash the subpoena has been addressed or directed, has not acted upon such a motion by the return date, such date shall be stayed pending his or her final action thereon. The DOT decisionmaker may at any time review, upon his or her own initiative, the ruling of an administrative law judge or the Chief Administrative Law Judge denying a motion to quash a subpoena. In such cases, the DOT decisionmaker may order that the return date of a subpoena be stayed pending action thereon.

(g) The provisions of this section are not applicable to the attendance of DOT employees or the production of documentary evidence in the custody thereof at a hearing. The attendance of DOT employees and the production of documentary evidence in their custody are governed by 49 CFR Parts 9 and 7, respectively.

§ 302.26 Depositions.

(a) For good cause shown, the DOT decisionmaker or administrative law judge assigned to a proceeding may order that the testimony of a witness be taken by deposition and that the witness produce documentary evidence in connection with such testimony. Ordinarily an order to take the deposition of a witness will be entered only if:

(1) The person whose deposition is to be taken would be unavailable at the hearing,

(2) The deposition is deemed necessary to perpetuate the testimony of the witness, or

(3) The taking of the deposition is necessary to prevent undue and excessive expense to a party and will not result in an undue burden to other parties or in undue delay.

(b) Any party desiring to take the deposition of a witness shall make application therefor in duplicate to the administrative law judge or, in the event that an administrative law judge has not been assigned to a proceeding or is not available, to the DOT decisionmaker or Chief Administrative Law Judge, setting forth the reasons why such deposition should be taken, the name and residence of the witness, the time and place proposed for the taking of the deposition, and a general description of the matters concerning which the witness will be asked to testify. If good cause be shown, the administrative law judge, the DOT decisionmaker, or the Chief Administrative Law Judge, as the case may be, may, in his or her discretion, issue an order authorizing such deposition and specifying the witness whose deposition is to be taken, the general scope of the testimony to be taken, the time when, the place where, the designated officer (authorized to take oaths) before whom the witness is to testify, and the number of copies of the deposition to be supplied. Such order shall be served upon all parties by the person proposing to take the deposition a reasonable period in advance of the time fixed for taking testimony.

(c) Witnesses whose testimony is taken by deposition shall be sworn or shall affirm before any questions are put to them. Each question shall be recorded and the answers shall be taken down in the words of the witness.

(d) Objections to questions or evidence shall be in short form, stating the grounds of objection relied upon, but no transcript filed by the designated officer shall include argument or debate. Objections to questions or evidence shall be noted by the designated officer upon the deposition, but he or she shall not have power to decide on the competency or materiality or relevance of evidence, and he or she shall record the evidence subject to objection. Objections to questions or evidence not made before the designated officer shall not be deemed waived unless the ground of the objection is one that might have been obviated or removed if presented at that time.

(e) The testimony shall be reduced to writing by the designated officer, or under his or her direction, after which the deposition shall be signed by the witness unless the parties by stipulation waive the signing or the witness is ill or cannot be found or refuses to sign, and certified in usual form by the designated officer. If the deposition is not signed by the witness, the designated officer shall state on the record this fact and the reason therefor. The original deposition and exhibits shall be forwarded to Department of Transportation Dockets and shall be filed in the proceedings.

(f) Depositions may also be taken and submitted on written interrogatories in substantially the same manner as depositions taken by oral examination. Ordinarily such procedure will be authorized only if necessary to achieve the purposes of an oral deposition and to serve the balance of convenience of the parties. The interrogatories shall be filed in quadruplicate with two copies of the application and a copy of each shall be served on each party. Within seven (7) days after service any party may file with the person to whom application was made two copies of his or her objections, if any, to such interrogatories and may file such cross-interrogatories as he or she desires to submit. Cross-interrogatories shall be filed in quadruplicate, and a copy thereof together with a copy of any objections to interrogatories, shall be served on each party, who shall have five (5) days thereafter to file and serve his or her objections, if any, to such cross-interrogatories. Objections to interrogatories or cross-interrogatories, shall be served on the DOT decisionmaker or the administrative law judge considering the application. Objections to interrogatories shall be made before the order for taking the deposition issues and if not so made shall be deemed waived. When a deposition is taken upon written interrogatories, and cross-interrogatories, no party shall be present or represented, and no person other than the witness, a reporter, and the designated officer shall be present at the examination of the witness, which fact shall be certified by the designated officer, who shall ask the interrogatories and cross-interrogatories to the witness in their order and reduce the testimony to writing in the witness's own words. The provisions of paragraph (e) of this section shall be applicable to depositions taken in accordance with this paragraph.

(g) All depositions shall conform to the specifications of § 302.3 except that the filing of three copies thereof shall be sufficient. Any fees of a witness, the reporter, or the officer designated to take the deposition shall be paid by the person at whose instance the deposition is taken.

(h) The fact that a deposition is taken and filed in a proceeding as provided in this section does not constitute a determination that it is admissible in evidence or that it may be used in the proceeding. Only such part or the whole of a deposition as is received in evidence shall constitute a part of the record in such proceeding upon which a decision may be based.

§ 302.27 Rights of witnesses; attendance fees and mileage.

(a) Any person appearing as a witness in any proceeding governed by this part, whether in response to a subpoena or by request or permission of the Department, may be accompanied, represented, and advised by counsel and may be examined by that counsel after other questioning.

(b) Any person who submits data or evidence in a proceeding governed by this part, whether in response to a subpoena or by request or permission of the Department, may retain, or, on payment of lawfully prescribed costs, procure, a copy of any document so submitted or a copy of any transcript made of such testimony.

(c) No person whose attendance at a hearing or whose deposition is to be taken shall be obliged to respond to a subpoena unless upon a service of the subpoena he or she is tendered attendance fees and mileage by the party at whose instance he or she is called in accordance with the requirements of paragraphs (c)(1) and (2) of this section; Provided, That a witness summoned at the instance of the Department or one of its employees, or a salaried employee of the United States summoned to testify as to matters related to his or her public employment, need not be tendered such fees or mileage at that time.

(1) Witnesses who are not salaried employees of the United States, or such employees summoned to testify on matters not related to their public employment, shall be paid the same per diem, subsistence, and mileage fees paid to witnesses for like service in the courts of the United States that are in effect at the time of travel; Provided, That no employee, officer, or attorney of an air carrier who travels under the free or reduced rate provisions of section 41511 of 49 U.S.C. Subtitle VII shall be entitled to any fees or mileage; And provided further, That such fees and mileage shall not be applicable for witnesses summoned to testify in Alaska, and that, in Alaska, where permitted by section 41511 of 49 U.S.C. Subtitle VII, the witness may, at his or her option, accept a pass for travel by air. Such witnesses shall be furnished appropriate forms and instructions for the submission of claims for attendance fees, subsistence, and mileage from the Government before the close of the proceedings that they are required to attend. Only persons summoned by subpoena shall be entitled to claim attendance fees, subsistence, or mileage from the Government.

(2) Witnesses who are salaried employees of the United States and who are summoned to testify on matters relating to their public employment, irrespective of at whose instance they are summoned, shall be paid in accordance with applicable Government regulations.

§ 302.28 Transcripts of hearings.

(a) Hearings shall be recorded and transcribed under supervision of the administrative law judge, by a reporting firm under contract with the Department. Copies of the transcript that may, at the discretion of the administrative law judge, be furnished by use of electronic media in addition to the official copy, shall be supplied to the parties to the proceeding by said reporting firm, at the contract price for copies.

(b) The administrative law judge shall determine whether “ordinary transcript” or “daily transcript” (as those terms are defined in the contract) will be necessary and required for the proper conduct of the proceeding and the Department will pay the reporting firm the cost of reporting its proceedings at the contract price for such type of transcript. If the administrative law judge has determined that ordinary transcript is adequate, and has notified the parties of such determination (in the notice of hearings, or otherwise), then any party may request reconsideration of such determination and that daily transcript be required. In determining what is necessary and required for the proper conduct of the proceeding, the administrative law judge shall consider, among other things:

(1) The nature of the proceeding itself;

(2) The DOT decisionmaker's needs as well as the reasonable needs of the parties;

(3) The cost to the Department; and

(4) The requirements of a fair hearing.

(c) If the administrative law judge has determined that ordinary transcript is adequate, or, upon reconsideration, has adhered to such determination, then any party may request the reporting firm to provide daily transcript. In that case, pursuant to its contract with the Department, the reporting firm will be obligated to furnish to the Department daily transcript upon the agreement by the requesting party to pay to the reporting firm an amount equal to the difference between the contract prices for ordinary transcript and daily transcript, provided that the requesting party makes such agreement with the reporting firm at least twenty-four (24) hours in advance of the date for which such transcript is requested.

(d) Any party may obtain from the Office of the Assistant Secretary for Administration, the name and address of the private reporting company with which the Department currently has a contract for transcripts and copies, as well as the contract prices then in effect for such services.

(e) Copies of transcripts ordered by parties other than the Department shall be prepared for delivery to the requesting person at the reporting firm's place of business, within the stated time for the type of transcript ordered. The requesting party and the reporting firm may agree upon some other form or means of delivery (mail, messenger, electronic media, etc.) and the reporting firm may charge for such special service, provided that such charge shall not exceed the reasonable cost of such service.

(f) Changes in the official transcript may be made only when they involve errors affecting substance. A motion to correct a transcript shall be filed with Department of Transportation Dockets, within ten (10) days after receipt of the completed transcript by the Department. If no objections to the motion are filed within ten (10) days thereafter, the transcript may, upon the approval of the administrative law judge, be changed to reflect such corrections. If objections are received, the motion and objections shall be submitted to the official reporter by the administrative law judge together with a request for a comparison of the transcript with the reporter's record of the hearing. After receipt of the report of the official reporter an order shall be entered by the administrative law judge settling the record and ruling on the motion.

§ 302.29 Argument before the administrative law judge.

(a) The administrative law judge shall give the parties to the proceeding adequate opportunity during the course of the hearing for the presentation of arguments in support of or in opposition to motions, and objections and exceptions to rulings of the administrative law judge.

(b) When, in the opinion of the administrative law judge, the volume of the evidence or the importance or complexity of the issues involved warrants, he or she may, either on his or her own motion or at the request of a party, permit the presentation of oral argument, and may impose such time limits on the argument as he or she may determine appropriate. Such argument shall be transcribed and bound with the transcript of testimony and will be available to the Department decisionmaker for consideration in deciding the case.

§ 302.30 Briefs to the administrative law judge.

Within such limited time after the close of the reception of evidence fixed by the administrative law judge, any party may, upon request and under such conditions as the administrative law judge may prescribe, file for his or her consideration briefs which may include proposed findings of fact and conclusions of law that shall contain exact references to the record and authorities relied upon.

§ 302.31 Initial and recommended decisions; certification of the record.

(a) Action by administrative law judge after hearing. Except where the DOT decisionmaker directs otherwise, after the taking of evidence and the receipt of briefs which may include proposed findings of fact and conclusions of law, if any, the administrative law judge shall take the following action:

(1) Initial decision. If the proceeding does not involve foreign air transportation, the administrative law judge shall render an “initial decision.” Such decision shall encompass the administrative law judge's decision on the merits of the proceeding and on all ancillary procedural issues remaining for disposition at the close of the hearing.

(2) Recommended decision. In cases where the action of the Department involves foreign air transportation and is subject to review by the President of the United States pursuant to section 41307 of 49 U.S.C. Subtitle VII, the administrative law judge shall render a “recommended decision.” Such decision shall encompass the administrative law judge's decision on the merits of the proceeding and on all ancillary procedural issues remaining for disposition at the close of the hearing.

(b) Certification to the DOT decisionmaker for decision. At any time prior to the close of the hearing, the DOT decisionmaker may direct the administrative law judge to certify any question or the entire record in the proceeding to the DOT decisionmaker for decision. In cases where the record is thus certified, the administrative law judge shall not render a decision but shall make a recommendation to the DOT decisionmaker as required by section 8(a) of the Administrative Procedure Act (5 U.S.C. 558(a)) unless advised by the DOT decisionmaker that he or she intends to issue a tentative decision.

(c) Every initial or recommended decision issued shall state the names of the persons who are to be served with copies of it, the time within which exceptions to, or petitions for review of, such decision may be filed, and the time within which briefs in support of the exceptions may be filed. In addition, every such decision shall recite that it is made under delegated authority, and contain notice of the provisions of paragraph (d) of this section. In the event the administrative law judge certifies the record to the DOT decisionmaker without an initial or recommended decision, he or she shall notify the parties of the time within which to file with the DOT decisionmaker briefs which may include proposed findings of fact and conclusions of law.

(d) Unless a petition for discretionary review is filed pursuant to § 302.32, exceptions are filed pursuant to § 302.217, or the DOT decisionmaker issues an order to review upon his or her own initiative, the initial decision shall become effective as the final order of the Department thirty (30) days after service thereof; in the case of a recommended decision, that decision shall be transmitted to the President of the United States under 49 U.S.C. 41307. If a petition for discretionary review or exceptions are timely filed or action to review is taken by the DOT decisionmaker upon his or her own initiative, the effectiveness of the initial decision or the transmission of the recommended decision is stayed until the further order of the DOT decisionmaker.

§ 302.32 Petitions for discretionary review of initial or recommended decisions; review proceedings.

(a) Petitions for discretionary review. (1) Review by the DOT decisionmaker pursuant to this section is not a matter of right but is at the sole discretion of the DOT decisionmaker. Any party may file and serve a petition for discretionary review by the DOT decisionmaker of an initial decision or recommended decision within twenty-one (21) days after service thereof, unless the DOT decisionmaker sets a different period for filing.

(2) Petitions for discretionary review shall be filed only upon one or more of the following grounds:

(i) A finding of a material fact is erroneous;

(ii) A necessary legal conclusion is without governing precedent or is a departure from or contrary to law, the Department's rules, or precedent;

(iii) A substantial and important question of law, policy or discretion is involved; or

(iv) A prejudicial procedural error has occurred.

(3) Each issue shall be separately numbered and plainly and concisely stated. Petitioners shall not restate the same point in repetitive discussions of an issue. Each issue shall be supported by detailed citations of the record when objections are based on the record, and by statutes, regulations or principal authorities relied upon. Any matters of fact or law not argued before the administrative law judge, but that the petitioner proposes to argue on brief to the DOT decisionmaker, shall be stated.

(4) Petitions for discretionary review shall be self-contained and shall not incorporate by reference any part of another document. Except by permission of the DOT decisionmaker, petitions shall not exceed twenty (20) pages including appendices and other papers physically attached to the petition.

(5) Requests for oral argument on petitions for discretionary review will not be entertained by the DOT decisionmaker.

(b) Answers. Within fifteen (15) days after service of a petition for discretionary review, any party may file and serve an answer of not more than fifteen (15) pages in support of or in opposition to the petition. If any party desires to answer more than one petition for discretionary review in the same proceeding, he or she shall do so in a single document of not more than twenty (20) pages.

(c) Orders declining review. The DOT decisionmaker's order declining to exercise the discretionary right of review will specify the date upon which the administrative law judge's decision shall become effective as the final decision of the Department. A petition for reconsideration of a Department order declining review will be entertained only when the order exercises, in part, the DOT decisionmaker's discretionary right of review, and such petition shall be limited to the single question of whether any issue designated for review and any issue not so designated are so inseparably interrelated that the former cannot be reviewed independently or that the latter cannot be made effective before the final decision of the Department in the review proceeding.

(d) Review proceedings. (1) The DOT decisionmaker may take review of an initial or recommended decision upon petition or on his or her own initiative or both. The DOT decisionmaker will issue a final order upon such review without further proceedings on any or all the issues where he or she finds that matters raised do not warrant further proceedings.

(2) Where the DOT decisionmaker desires further proceedings, he or she will issue an order for review that will:

(i) Specify the issues to which review will be limited. Only those issues specified in the order shall be argued on brief to the DOT decisionmaker, pursuant to § 302.35, and considered by the DOT decisionmaker;

(ii) Specify the portions of the administrative law judge's decision, if any, that are to be stayed as well as the effective date of the remaining portions thereof; and

(iii) Designate the parties to the review proceeding.

§ 302.33 Tentative decision of the DOT decisionmaker.

(a) Except as provided in paragraph (b) of this section, whenever the administrative law judge certifies the record in a proceeding directly to the DOT decisionmaker without issuing an initial or recommended decision in the matter, the DOT decisionmaker shall, after consideration of any briefs submitted by the parties, prepare a tentative decision and serve it upon the parties. Every tentative decision of the DOT decisionmaker shall state the names of the persons who are to receive copies of it, the time within which exceptions to such decision and briefs, if any, in support of or in opposition to the exceptions may be filed, and the date when such decision will become final in the absence of exceptions thereto. If no exceptions are filed to the tentative decision of the DOT decisionmaker within the period fixed, it shall become final at the expiration of such period unless the DOT decisionmaker orders otherwise.

(b) The DOT decisionmaker may, in his or her discretion, omit a tentative decision in proceedings under subpart B. Final decisions of the DOT decisionmaker are subject to review as provided in § 302.18.

§ 302.34 Exceptions to tentative decisions of the DOT decisionmaker.

(a) Time for filing. Within ten (10) days after service of any tentative decision of the DOT decisionmaker, any party to a proceeding may file exceptions to such decision with the DOT decisionmaker.

(b) Form and contents of exceptions. Each exception shall be separately numbered and shall be stated as a separate point, and appellants shall not restate the same point in several exceptions. Each exception shall state, sufficiently identify, and be limited to, an ultimate conclusion in the decision to which exception is taken (such as, selection of one carrier rather than another to serve any point or points; points included in or excluded from a new route; imposition or failure to impose a given restriction; determination of a rate at a given amount rather than another). No specific exception shall be taken with respect to underlying findings or statements, but exceptions to an ultimate conclusion shall be deemed to include exceptions to all underlying findings and statements pertaining thereto; Provided, however, That exceptions shall specify any matters of law, fact, or policy that were not argued before the administrative law judge but will be set forth for the first time on brief to the DOT decisionmaker.

(c) Effect of failure to file timely and adequate exceptions. No objection may be made on brief or at a later time to an ultimate conclusion that is not expressly made the subject of an exception in compliance with the provisions of this section; Provided, however, That any party may file a brief in support of the decision and in opposition to the exceptions filed by any other party.

§ 302.35 Briefs to the DOT decisionmaker.

(a) Time for filing. Within such period after the date of service of any tentative decision by the DOT decisionmaker as may be fixed therein, any party may file a brief addressed to the DOT decisionmaker in support of his or her exceptions to such decision or in opposition to the exceptions filed by any other party. Briefs to the DOT decisionmaker on initial or recommended decisions of administrative law judges shall be filed only in those cases where the DOT decisionmaker grants discretionary review and orders further proceedings, pursuant to § 302.32(d)(2), and only upon those issues specified in the order. Such briefs shall be filed within thirty (30) days after date of service of the order granting discretionary review unless otherwise specified in the order. In cases where, because of the limited number of parties and the nature of the issues, the filing of opening, answering, and reply briefs will not unduly delay the proceeding and will assist in its proper disposition, the DOT decisionmaker may direct that the parties file briefs at different times rather than at the same time.

(b) Effect of failure to restate objections in briefs. In determining the merits of an appeal, the DOT decisionmaker will not consider the exceptions or the petition for discretionary review but will consider only the brief. Each objection contained in the exceptions or each issue specified in the DOT decisionmaker's order exercising discretionary review must be restated and supported by a statement and adequate discussion of all matters relied upon, in a brief filed pursuant to and in compliance with the requirements of this section.

(c) Formal specifications of briefs —(1) Contents. Each brief shall discuss every point of law, fact, or precedent that the party submitting it is entitled to raise and that it wishes the DOT decisionmaker to consider. Each brief shall include a summary of the argument not to exceed five (5) pages. Support and justification for every point raised shall include itemized references to the pages of the transcript of hearing, exhibit or other matter of record, and citations of the statutes, regulations, or principal authorities relied upon. If a brief or any point discussed in the brief is not in substantial conformity with the requirement for such support and justification, no motion to strike or dismiss such document shall be made but the DOT decisionmaker may disregard the points involved. Copies of briefs may be furnished by use of electronic media in a format acceptable to the Department and the parties.

(2) Incorporation by reference. Briefs to the DOT decisionmaker shall be completely self-contained and shall not incorporate by reference any portion of any other brief or pleading; Provided, however, That instead of submitting a brief to the DOT decisionmaker a party may adopt by reference specifically identified pages or the whole of his or her prior brief to the administrative law judge if the latter complies with all requirements of this section. In such cases, the party shall file with Department of Transportation Dockets a letter exercising this privilege and serve all parties in the same manner as a brief to the DOT decisionmaker.

(3) Length. Except by permission or direction of the DOT decisionmaker, briefs shall not exceed fifty (50) pages including pages contained in any appendix, table, chart, or other document physically attached to the brief, but excluding maps and the summary of the argument. In this case “map” means only those pictorial representations of routes, flight paths, mileage, and similar ancillary data that are superimposed on geographic drawings and contain only such text as is needed to explain the pictorial representation.

§ 302.36 Oral argument before the DOT decisionmaker.

(a) If any party desires to argue a case orally before the DOT decisionmaker, he or she shall request leave to make such argument in his or her exceptions or brief. Such request shall be filed no later than the date when briefs before the DOT decisionmaker are due in the proceeding. The DOT decisionmaker will rule on such request, and, if oral argument is to be allowed, all parties to the proceeding will be advised of the date and hour set for such argument and the amount of time allowed to each party. Requests for oral argument on petitions for discretionary review will not be entertained.

(b) Pamphlets, charts, and other written data may be offered to the DOT decisionmaker at oral argument only in accordance with the following rules: All such material shall be limited to facts in the record of the case being argued and shall be served on all parties to the proceeding with four (4) copies transmitted to Department of Transportation Dockets at least five (5) calendar days in advance of the argument.

§ 302.37 Waiver of procedural steps after hearing.

The parties to any proceeding may agree to waive any one or more of the procedural steps provided in § 302.29 through § 302.36.

§ 302.38 Final decision of the DOT Decisionmaker.

When a case stands submitted to the DOT decisionmaker for final decision on the merits, he or she will dispose of the issues presented by entering an appropriate order that will include a statement of the reasons for his or her findings and conclusions. Such orders shall be deemed “final orders” within the purview of § 302.14(a), in the manner provided by § 302.18.

Appendix A Appendix A to Part 302—Index to Rules of Practice

Appendix A shows the subjects covered by part 302 and the section numbers used before and after the final rule revising part 302, published in the Federal Register on February 9, 2000 and became effective on March 10, 2000.

Subject

Old rule

New rule

ADMINISTRATIVE LAW JUDGES:

Actions after hearings

§ 302.27(b)

§ 302.31(a)

Actions during prehearing conference

§ 302.23(a)

§ 302.22(b)

Arguments before

§ 302.25

§ 302.29

Briefs

§ 302.26

§ 302.30

Licensing cases

§ 302.1752

§ 302.215

Certification for decision

§ 302.22(d)

§ 302.31(b)

Definition

§ 302.22(a)

§ 302.2

Delegation of authority

§ 302.27(a)

§ 307.17(a)(3)

Exceptions

§ 302.27(a)

§ 307.17(a)(3)

Interlocutory matters

§ 302.27(a)

§ 307.17(a)(3)

Disqualification

§ 302.22(b)

§ 302.17(b)

Exceptions

§ 302.24(e)

§ 302.24(i)

Licensing cases

§ 302.1754

§ 302.217

Hearings before

§ 302.24

§ 302.23

Initial decision ( see Initial Decision)

Powers

§ 302.22(c)

§ 302.17(a)

Prehearing conference report

§ 302.23(b)

§ 302.22(c)

Recommended decision ( see Recommended Decision)

Termination of authority

§ 302.22(c)

§ 307.17(a)(4)

ADMISSIONS:

Enforcement proceeding

§ 302.212

§ 302.412

Limitation on use

§ 302.212

§ 302.412(c)

AIRPORT FEES:

Administrative law judge decision

§ 302.615

§ 302.607

Complaints by U.S. or foreign air carriers

§ 302.603(a)

§ 302.602(a)

Answers

§ 302.607

§ 302.604

Additional complaints

§ 302.603(b)

§ 302.602(b)

Contents

§ 302.605

§ 302.603

Format of exhibits and briefs

§ 302.605(b)

§ 302.603(b)

Service

§ 302.605(c)(1)

§ 302.603(c)(1)

Replies

§ 302.609

§ 302.605

Consolidation of proceedings

§ 302.603(c)

§ 302.602(c)

Dismissal

§§ 302.611(c), (d)

§§ 302.606(c), (d)

Final order

§ 302.621

§ 302.610

Timing

§ 302.619

§ 302.609

Instituting order

§ 302.611(b)

§ 302.606(b)

Petitions for discretionary review

§ 302.617

§ 302.608

Answers

§ 302.617(c)

§ 302.608(c)

Request for determination by airport owner/operator

§ 302.603(a)

§ 302.602(a)

Answers

§ 302.607

§ 302.604

Contents

§ 302.605

§ 302.603

Format of exhibits and briefs

§ 302.605(b)

§ 302.603(b)

Service

§ 302.605(d)(1)

§ 302.603(d)(1)

Replies

§ 302.609

§ 302.605

Review procedures

§ 302.611

§ 302.606

Significant dispute determination

§ 302.611(b)

§ 302.606(b)

AMENDMENTS OF DOCUMENTS ( see Documents)

ANSWERS ( see also Replies):

Airport fees

§ 302.607

§ 302.604

Certificate applications:

Initial fitness

§ 302.1730(c)

§ 302.204

International route awards

Conforming applications

§ 302.1720(d)

§ 302.212(d)

Motions to modify scope

§ 302.1720(e)

§ 302.212(d)

New authority

§ 302.1720(d)

§ 302.212(b)

Complaints

Air mail contracts

§ 302.1506

§ 302.722

Airport fees

§ 302.607

§ 302.604

Enforcement matters

§ 302.204(b)

§ 302.405

Suspension of tariffs

§ 302.505

§ 302.506

Consolidation of proceedings

§ 302.12(c)

§ 302.13(c)

Enforcement proceeding, notice instituting

§ 302.207

§ 302.408

Exemption applications

§ 302.406

§ 302.307

Foreign air carrier permit applications

§ 302.1740(c)

§ 302.204

Generally

§ 302.6

§ 302.6

Mail rate proceedings show cause orders

§ 302.305

§ 302.704

Motions, generally

§ 302.18(c)

§ 302.11(c)

Motions to consolidate

§ 302.12(c)

§ 302.13(c)

Motions to dismiss and for summary judgment

§ 302.212

§ 302.411

Motions for modification/dissolution of enforcement proceedings

§ 302.218

§ 302.419

Petitions for discretionary review

§ 302.28(b)

§ 302.32(b)

Petitions for final mail rates

§ 302.303

§ 302.702(e)

Petitions for intervention

§ 302.15(c)(3)

§ 302.20(c)(3)

Petitions for reconsideration

§ 302.37a

§ 302.14

Requests for determination of airport fees

§ 302.607

§ 302.607

APPEALS:

Administrative Law Judge's ruling

§ 302.18(f)

§ 302.11(h)

Enforcement complaints

§ 302.206(b)

§ 302.406(c)

APPEARANCES:

Generally

§ 302.11

§ 302.21

Application for admission to practice unnecessary

§ 302.11(a)

§ 302.21(b)

Copy of transcript

§ 302.11(c)

§ 302.27(b)

Retention of counsel

§ 302.11(b)

§ 302.27(a)

Enforcement proceedings

§ 302.214

§ 302.416

APPLICATIONS:

Admission to practice unnecessary

§ 302.11(a)

§ 302.21(b)

Suspension from practicing before DOT

§ 302.11(a)

§ 302.21(c)

Amendment

§ 302.5

§ 302.5

Certificates for international route awards

§§ 302.1701-1713, 1720

§§ 302.201-206

Conforming applications

§ 302.1720(c)

§ 302.212(c)

Certificates involving initial fitness

§§ 302.1701-1713, 1730

§§ 302.201-206

Consolidation

§ 302.12

§ 302.13

Exemptions

§§ 302.401-405

§§ 302.302-304

Exemptions, emergency

§§ 302.410(b), (c)

§ 302.311

Foreign Air Carrier Permits

§§ 302.1701-1713, 1740

§§ 302.201-206

Licensing cases

§§ 302.1701-1790

§§ 302.201-206

ARGUMENT:

Before Administrative Law Judge

§ 302.25

§ 302.29

Oral ( see Oral Arguments)

ATTENDANCE FEES AND MILEAGE

§ 302.21

§ 302.27(c)

BRIEFS:

Accompanying motions or answers

§ 302.18(d)

§ 302.11(d)

Failure to restate objections

§ 302.31(b)

§ 302.35(b)

Filing time

§ 302.31(a)

§ 302.35(a)

Formal specifications

§ 302.31(c)

§ 302.35(c)

Incorporation by reference

§ 302.31(b)

§ 302.35(c)(2)

Licensing cases

§§ 302.302.1752, 1755

§§ 302.215, 218

To Administrative Law Judge

§ 302.26

§ 302.30

Licensing cases

§ 302.1752

§ 302.215

To DOT decisionmaker

§ 302.31

§ 302.35

Licensing cases

§ 302.1755

§ 302.218

CERTIFICATE CASES FOR U.S. AIR CARRIERS:

Application:

Answers to

§§ 302.1720(d) 1730(d)

§ 302.204(a)

Contents of

§ 302.1704

§ 302.202

Incomplete

§ 302.1713

§ 302.209

Replies to answers

§ 302.204(b)

Service of

§ 302.1705

§ 302.203

Supporting evidence

§ 302.1710

§§ 302.202(a), 205

Verification

§ 302.1707

§ 302.206

Continuing Fitness

§ 302.1730

§ 302.211

Non-hearing procedures

§ 302.1712(a)

§ 302.207

Generally

§§ 302.1701-1790

§§ 302.201-220

Initial Fitness

§ 302.1730

§ 302.211

International Route Awards

§ 302.1720

§ 302.212

Oral evidentiary hearing proceedings

§§ 302.1751-1757

§§ 302.214-220

Petition for

§ 302.1712(b)

§ 302.208

CERTIFICATION:

Documents

§ 302.4(b)

§ 302.4(b)

Record

§§ 302.22(d), 27, 29

§ 302.31(b)

CHARGES ( see Rates, Fairs, and Charges; Airport Fees)

CITATION OF RULES

§ 302.2

§ 302.1(c)

CIVIL PENALTIES

§ 302.206(a)

§§ 302.407(d), (e)

COMPLAINANTS, JOINDER

§ 302.13

§ 302.404(d)

COMPLAINTS:

Airport fees

§§ 302.603-605

§§ 302.602-603

Contracts for transportation of mail

§§ 302.1505-1507

§ 302.721

Enforcement proceedings

§§ 302.200-204

§§ 302.403-404

Joinder

§ 302.13

§ 302.404(d)

Rates, fares, and charges

§§ 302.501-508

§§ 302.501-507

Suspension of tariffs

§§ 302.505-508

§ 302.506

COMPUTATION OF TIME ( see also Time)

§ 302.16

§ 302.8

CONSOLIDATION OF PROCEEDINGS

§ 302.12

§ 302.13

Airport fees

§ 302.603(c)

§ 302.602(c)

Answer to motion for

§ 302.12(c)

§ 302.13(c)

Enforcement proceedings

§ 302.210(a)

§ 302.410

Filing time

§ 302.12(b)

§ 302.13(b)

Initiation of

§ 302.12(a)

§ 302.13(a)

CONTINUING FITNESS CERTIFICATE CASES

§ 302.1701-1713

§ 302.212

CONTRACTS ( see Mail Contracts)

DECISIONS:

Final

§ 302.36

§§ 302.38, 220

Initial ( see Administrative Law Judges)

Recommended ( see Administrative Law Judges)

Tentative

§ 302.29

§ 302.33

Exceptions to

§ 302.30

§ 302.34

DEFINITIONS

NA

§§ 302.2, 402

DELEGATION OF AUTHORITY

§ 302.27

§§ 302.17(a), 18(a)

DEPOSITIONS:

Application by party for

§ 302.20(b)

§ 302.26(b)

Criteria for order to issue

§ 302.20(a)

§ 302.26(a)

Evidential status

§§ 302.20(h)

§ 302.26(h)

Objections to questions or evidence

§ 302.2(d)

§ 302.26(d)

Specifications

§ 302.20(g)

§ 302.26(g)

Subscription by witness

§ 302.20(e)

§ 302.26(e)

Written interrogatories

§ 302.20(f)

§ 302.26(f)

DISCRETIONARY REVIEW:

Initial and Recommended decisions

§ 302.28

§ 302.32

Answers in opposition or support

§ 302.28(b)

§ 302.32(b)

Formal requirements

§ 302.28(a)(3)

§§ 302.32(a)(3), (4)

Grounds for

§ 302.28(a)(2)

§ 302.32(a)(2)

Orders declining review

§ 302.28(c)

§ 302.32(c)

Oral arguments

§ 302.28(a)(5)

§ 302.32(a)(5)

Petitions for

§ 302.28(a)(1)

§ 302.32(a)(1)

Review proceedings

§ 302.28(d)

§ 302.32(d)

DISSOLUTION OF ENFORCEMENT ACTION

§ 302.218

§ 302.419

DOCUMENTS:

Amendments

§ 302.5

§ 302.5

Leave of Department

§ 302.5

§ 302.5(a)

Timing of

§ 302.5

§ 302.5(b)

Answers ( see Answers)

Briefs ( see Briefs)

Dismissal

§ 302.5

§ 302.3(d)

Electronic filing

NA

§ 302.3(c)

Exhibits

§§ 302.24(g)

§ 302.24(c)

Filing

§ 302.3

§ 302.3

Address

§ 302.3(a)

§ 302.3(a)

Date

§ 302.3(a)

§ 302.3(a)

Improper filing

§ 302.4e

§ 302.3(d)

Formal specifications

§ 302.3(b)

§ 302.3(b)

General requirements

§ 302.4

§ 302.4

Contents

§ 302.4(a)

§ 302.4(a)(2)

Designation of person to receive service

§ 302.4(c)

§ 302.4(a)

Subscription

§ 302.4(b)

§ 302.4(b)

Memoranda of opposition or support

§ 302.6(c)

§ 302.706(b)(2)

Number of copies

§ 302.3(c)

§ 302.3(c)

Objections to public disclosure

§ 302.39(b)

§ 302.12

Official Notice of facts

§ 302.24(n)

§ 302.24(g)

Partial relevance of

§ 302.24(I)

§ 302.24(e)

Presented at oral argument

§ 302.32(b)

§ 302.36(b)

Receipt after hearing

§ 302.24(k)

§ 302.24(h)

Responsive

§ 302.6

§ 302.6

Retention

§ 302.7

§ 302.3(f)

Service ( see Service)

Table of contents/Index

§ 302.3(d)

§ 302.4(a)(3)

Unauthorized

§ 302.4(f)

§ 302.6(c)

DOT DECISIONMAKER:

Briefs to

§ 302.31

§ 302.35

Licensing cases

§ 302.1755

§ 302.218

Certification of record to

§ 302.22(d)

§ 302.31(b)

Definition

§ 302.22a

§§ 302.2, 18

Final decision

§ 302.36

§ 302.38

Licensing cases

§ 302.1757

§ 302.220

Oral argument

§ 302.32

§ 302.36

Licensing cases

§ 302.1756

§ 302.219

Petitions for reconsideration

§ 302.37

§ 302.14

Review of Administrative Law Judge decision

§ 302.38

§ 302.32

Tentative decision

§ 302.29

§ 302.33

Exceptions

§ 302.30

§ 302.34

ENFORCEMENT PROCEEDINGS:

Admissions as to facts and documents

§ 302.212

§ 302.412

Complaints:

Formal

§ 302.201

§ 302.404

Informal

§ 302.200

§ 302.403

Insufficiency of

§ 302.203

§ 302.404(c)

Consolidation of proceedings

§ 302.210a

§ 302.410

Evidence of previous violations

§ 302.216

§ 302.413

Generally

§§ 302.200-217

§§ 302.401-420

Hearings

§ 302.213

§ 302.415

Modification or dissolution of enforcement action

§ 302.218

§ 302.419

Motions to dismiss

§ 302.212

§ 302.411

Motions for summary judgment

§ 302.212

§ 302.402

Settlement proceedings

§ 302.215

§ 302.417

EVIDENCE:

Exhibits

§§ 302.24(g), (h)

§§ 302.24(c), (d)

Generally

§ 302.24(c)

§ 302.24(a)

Objections to

§ 302.24(d)

§ 302.24(b)

Offers of proof

§ 302.24(f)

§ 302.24(j)

Official notice of facts in certain documents

§ 302.24(n)

§ 302.24(g)

Partial relevance of

§ 302.24(I)

§ 302.24(e)

Previous violations

§ 302.216

§ 302.413

Records in other proceedings

§ 302.24(j)

§ 302.24(f)

EXAMINERS ( see Administrative Law Judges)

EXCEPTIONS:

Administrative Law Judge's rulings

§ 302.24(e)

§ 302.24(i)

Initial decisions

§ 302.30

§ 302.31(c)

Licensing cases

§ 302.1754

§ 302.217

Recommended decisions

§ 302.30

§ 302.31(c)

Request for oral argument

§ 302.32

§ 302.36

Tentative decisions

§ 302.30

§ 302.34

Waiver

§ 302.33

§ 302.37

EXEMPTION PROCEEDINGS:

Application:

Answers to

§ 302.406

§ 302.307

Contents of

§ 302.402

§ 302.303

Filing of

§ 302.401

§ 302.302

Incomplete

§ 302.405

§ 302.306

Posting of

§ 302.404

§ 302.305

Service of

§ 302.403

§ 302.304

Reply to answer

§ 302.407

§ 302.308

Supporting evidence

§ 302.402(c)

§ 302.302(c)

DOT's initiative

§ 302.409

§ 302.310

Emergencies

§ 302.410

§ 302.311

Cabotage

§ 302.402(d)

§ 302.303(d)

Hearing request

§ 302.408

§ 302.309

EXHIBITS ( see also Evidence):

Generally

§ 302.24(g)

§§ 302.24(c), (d)

FARES ( see Rates, Fares, and Charges)

FEE ( see Airport Fees)

FINAL MAIL RATE PROCEEDINGS ( see Mail Rate Proceedings)

FINAL ORDERS ( see Orders)

FITNESS CASES ( see Certificate Cases)

FOREIGN AIR CARRIER PERMIT CASES:

Application:

Answers to

§ 302.1740(c)

§ 302.204(a)

Contents of

§ 302.1704

§ 302.202

Incomplete

§ 302.1713

§ 302.209

Replies to answers

§ 302.204(b)

Service of

§ 302.1705

§ 302.203

Supporting evidence

§ 302.1710

§§ 302.202(a), 205

Verification

§ 302.1707

§ 302.206

Non-hearing procedures

§ 302.1712(a)

§ 302.207

Generally

§§ 302.1701-1713, 1740-1790

§§ 302.201-220

Oral evidentiary hearing proceedings

§ 302.1751-1757

§§ 302.214-220

Petition for

§ 302.1712(b)

§ 302.208

HEARINGS:

Airport fee dispute proceedings

§ 302.611(b)

§ 302.606(b)

Argument before Administrative Law Judge

§ 302.25

§ 302.29

Change in rates, fares, or charges

§ 302.506

§ 302.706

Consolidated ( see Consolidation of Proceedings)

Documents of partial relevance

§ 302.24(i)

§ 302.24(e)

Enforcement proceedings

§ 302.213

§ 302.415

Evidence ( see Evidence)

Expedition of

§ 302.14(a)

§ 302.11(e)

Generally

§ 302.24

§ 302.23

Intervention

§ 302.15

§ 302.20

Licensing cases

§ 302.1751

§ 302.214

Notice

§ 302.24(b)

§ 302.23

Offers of proof

§ 302.24(f)

§ 302.24(j)

Official notice of facts in certain documents

§ 302.24(n)

§ 302.24(g)

Participation by non parties

§ 302.14(b)

§ 302.19

Receipt of documents after hearing

§ 302.24(k)

§ 302.24(h)

Records in other proceedings

§ 302.24(j)

§ 302.24(f)

Request for, on application for exemption

§ 302.408

§ 302.309

Shortened procedure

§ 302.35

§ 302.15

Transcripts

§§ 302.24(l), (m)

§ 302.28

INITIAL DECISION:

Answer in support or opposition

§ 302.28(b)

§ 302.32(b)

Contents

§ 302.27(b)

§ 302.31(c)

Effect of

§ 302.27(c)

§ 302.31(d)

Licensing cases

§ 302.1753

§ 302.216

Exceptions to

§ 302.1754

§ 302.217

Oral arguments

§ 302.28(a)(5)

§ 302.32(a)(5)

Orders declining review

§ 302.28(c)

§ 302.32(c)

Petitions for discretionary review

§ 302.28

§ 302.32

Service

§ 302.27(b)

§ 302.31(c)

Scope

§ 302.27(a)

§ 302.31(a)(1)

INITIAL FITNESS CERTIFICATE CASES ( see Certificate Cases)

INSTITUTING ORDERS ( see Orders)

INTERROGATORIES ( see Depositions)

INTERVENTION:

Generally

§ 302.15

§ 302.20

JOINDER OF COMPLAINTS OR COMPLAINANTS

§ 302.13

§ 302.404(d)

JOINT PLEADINGS:

Enforcement cases

§ 302.13

§ 302.404(d)

Licensing cases

§ 302.1708

§ 302.204(c)

LAW JUDGE ( see Administrative Law Judges)

LICENSING CASES ( see Certificate Cases; Foreign Air Carrier Permit Cases

MAIL CONTRACTS:

Complaint against contract

§§ 302.1505-1507

§§ 302.721-723

Data supporting contract

§ 302.1503

§ 302.719

Explanation of contract

§ 302.1503

§ 302.719

Filing of contract

§ 302.1502

§ 302.718

Petition for reconsideration

§ 302.1508

§ 302.724

Service of contract

§ 302.1504

§ 302.720

MAIL RATE CONFERENCES:

Availability of data to Postal Service

§ 302.317

§ 302.714

Conditions upon participation

§ 302.314

§ 302.711

Compliance report

§ 302.314(d)

§ 302.711(d)

Non-disclosure of information

§ 302.314(a)

§ 302.711(a)

Signed statement required

§ 302.314(b)

§ 302.711(b)

DOT analysis of data for submission of answers

§ 302.316

§ 302.713

Effect of conference agreements

§ 302.319

§ 302.716

Information to be requested from carrier

§ 302.315

§ 302.712

Participants in conferences

§ 302.313

§ 302.710

Post conference procedure

§ 302.318

§ 302.715

Scope of conferences

§ 302.312

§ 302.709

Time of commencing and terminating conference

§ 302.321

§ 302.708(b)

Waiver of participant conditions

§ 302.320

§ 302.717

MAIL RATE PROCEEDINGS:

Evidence

§ 302.308

§ 302.706(c)

Further procedures

§ 302.306, 307

§ 302.705

Hearing

§ 302.309

§ 302.706

Institution of proceedings

§ 302.302

§ 302.702

Objections and answers to show cause order

§ 302.305

§ 302.704

Order to show cause

§ 302.303

§ 302.703

Parties and persons other than parties

§ 302.301, 302

§ 302.706(b)

MILEAGE FEES

§ 302.21

§ 302.27(c)

MODIFICATION OF ENFORCEMENT ACTION

§ 302.218

§ 302.419

MOTIONS ( see also Petitions):

Answers to

§ 302.18(c)

§ 302.11(c)

Appeals from rulings of Administrative Law Judges

§ 302.18(f)

§ 302.11(h)

Briefs

§ 302.18(d)

§ 302.11(d)

Consolidation of proceedings

§ 302.12

§ 302.13

Enforcement cases

§ 302.210a

§ 302.410

Continuances and extension of time

§ 302.17

§ 302.9

Disposition of

§ 302.18(e)

§ 302.11(g)

Effect of pendency

§ 302.18(g)

§ 302.11(f)

Expedition of case

§ 302.14(a)

§ 302.11(e)

For suspension of operating authority pendente lite

§ 302.217

§ 302.418

For modification or dissolution of orders

§ 302.218

§ 302.419

Form and contents

§ 302.18(b)

§ 302.11(b)

Generally

§ 302.18

§ 302.11(a)

Oral arguments

§ 302.18(d)

§ 302.11(d)

Substitution of parties

§ 302.10

§ 302.10(b)

To correct transcripts

§ 302.24(m)

§ 302.28(f)

To dismiss and for summary judgment

§ 302.212

§ 302.411

To dismiss formal complaint

§ 302.204

§ 302.405(c)

To file unauthorized documents

§ 302.4(f)

§ 302.6(c)

To modify scope in Licensing cases

§ 302.1720(c)

§ 302.212(b)

To quash or modify subpoena

§ 302.19(f)

§ 302.25(f)

To whom motions addressed

§ 302.18(a)

§ 302.11(a)

To withhold information from public disclosure

§§ 302.39(b), (e), (f)

§§ 302.12(d), (e)

NON-HEARING PROCEDURES

§ 302.35

§ 302.15

Licensing cases

§ 302.1712(a)

§ 302.207

OBJECTIONS ( see also Answers):

To Public Disclosure of Information

§ 302.39

§ 302.12

OFFERS OF PROOF

§ 302.24(f)

§ 302.24(j)

OFFICIAL NOTICE

§ 302.24(n)

§ 302.24(g)

ORAL ARGUMENTS:

Before DOT decisionmakers

§ 302.32

§ 302.36

Request for leave

§ 302.32(a)

§ 302.36(a)

Rules on documentary evidence

§ 302.32(b)

§ 302.36(b)

Before Administrative Law Judges

§ 302.25

§ 302.29

Discretionary review

§ 302.28(a)(5)

§ 302.32(a)(5)

Licensing cases

§ 302.1756

§ 302.219

Waivers

§ 302.33

§ 302.37

ORAL EVIDENTIARY HEARINGS ( see Hearings)

ORDERS:

Declining review of initial decisions

§ 302.28(c)

§ 302.32(c)

Dismissal:

Airport fee dispute proceedings

§§ 302.611(c), (d)

§§ 302.606(c), (d)

Enforcement complaints

§ 302.205

§ 302.406

Licensing cases

§ 302.1750(a)(2)

§ 302.210(a)(3)

Establishing further procedures (Licensing cases)

§ 302.1750

§ 302.210

Final

§ 302.36

§ 302.38

Airport fee dispute proceedings

§ 302.621

§ 302.610

Licensing cases

§ 302.1750

§ 302.210

Mail contracts

§ 302.1507(a)

§ 302.723(a)

Mail rate proceedings

§ 302.306

§ 302.705

Instituting oral evidentiary hearing:

Airport fee dispute proceedings

§ 302.611(b)

§ 302.606(b)

Licensing cases

§ 302.1750(a)(1)

§ 302.210(a)(4)

Mail rate proceedings

§§ 302.307, 309

§§ 302.703, 705(b)

Instituting investigation of rates, fares, and charges

§ 302.504

§ 302.505

Show cause:

Licensing cases

§ 302.1730(d)

§ 302.210(a)(1)

Mail rate proceedings

§ 302.304

§ 302.703

PARTIES:

Appearances of

§ 302.11

§ 302.21(a)

Defined

§ 302.9

§ 302.2, 10(a)

Enforcement proceedings

§ 302.210

§ 302.402

Licensing cases

§ 302.1709

§ 302.210(a)(4)

Mail rate proceedings

§ 302.301

§ 302.706(b)

Participation by Air Carrier Associations

§ 302.10(a)

§ 302.10(c)

Persons other than parties

§ 302.14

§ 302.19

Substitution of

§ 302.10

§ 302.10(b)

PETITIONS:

Determination of rates, fares, or charges

§ 302.502(a)

§ 302.502-503

Discretionary review ( see Discretionary Review)

Filing Time

§ 302.37(a)

§ 302.14(a)

Institution of mail rate proceedings

§ 302.303

§ 302.302

Intervention

§ 302.15(c)

§ 302.20

Orders subject to reconsideration

§ 302.37(a)

§ 302.14(a)

Repetitive

§ 302.37(c)

§ 302.14(c)

Reconsideration

§ 302.37

§ 302.14

Rulemaking

§ 302.38

§ 302.16

PREHEARING CONFERENCE

§ 302.23

§ 302.22

Actions during

§ 302.23(a)

§ 302.22(b)

Enforcement proceeding

§ 302.211

§ 302.414

Purposed § 302.23(a)

§ 302.23(a)

§ 302.22(a)

Report of

§ 302.23(b)

§ 302.22(c)

Scope

§ 302.23(a)

§ 302.22(a)

PROCEEEDINGS:

Airport fee dispute proceedings

§§ 302.601-621

§§ 302.601-610

Consolidation of ( see Consolidation)

Contemporaneous consideration ( see Consolidation)

Enforcement

§§ 302.200-217

§ 302.401-420

Exemption

§§ 302.400-410

§ 302.301-311

Licensing cases

§§ 302.1701-1790

§ 302.201-220

Mail rate

§§ 302.300-321

§ 302.701-717

Rates, fares, and charges

§§ 302.500-508

§ 302.501-507

PUBLIC DISCLOSURE OF INFORMATION:

Documents

§ 302.39(b)

§ 302.12(b)

Generally

§ 302.39(a)

§ 302.12(a)

Objection to by government

§ 302.39(d)

§ 302.12(f)

Oral testimony

§ 302.39(c)

§ 302.12(c)

RATES, FARES, AND CHARGES—PROCEEDINGS ( see also Mail Rate Proceedings; Airport Fees):

Institution of

§ 302.501

§ 302.502

Order of investigation

§ 302.504

§ 302.505

Petition

§ 302.501

§ 302.503

Contents

§ 302.502(a)

§ 302.503(a)

Dismissed

§§ 302.503

§ 302.504

Service

§ 302.502(b)

§ 302.503(b)

Suspension of tariffs

§ 302.505

§ 302.506

Answers

§ 302.505

§ 302.506(e)

Complaints

§ 302.505

§ 302.506

Time for filing complaint

§ 302.508

§ 302.507

RECOMMENDED DECISIONS ( see Decisions)

Answer in support or opposition

§ 302.28(b)

§ 302.32(b)

Contents

§ 302.27(b)

§ 302.31(c)

Effect of

§ 302.27(c)

§ 302.31(d)

Licensing cases

§ 302.1753

§ 302.216

Exceptions to

§ 302.1754

§ 302.217

Oral arguments

§ 302.28(a)(5)

§ 302.32(a)(5)

Orders declining review

§ 302.28(c)

§ 302.32(c)

Petitions for discretionary review

§ 302.28

§ 302.32

Service

§ 302.27(b)

§ 302.31(c)

Scope

§ 302.27(a)

§ 302.31(a)(2)

RECONSIDERATION, REHEARING, REARGUMENT ( see Petitions for Reconsideration):

RECORD, CERTIFICATION

§§ 302.22(d), 27(a), 29(a)

§ 302.31(b)

REPLIES:

Airport fee dispute proceedings

§ 302.609

§ 302.605

Exemption cases

§ 302.407

§ 302.308

Generally

§ 302.6(b)

§ 302.6(b)

Licensing cases

§ 302.204(b)

Motions

§ 302.18(c)

§ 302.11(c)

Enforcement proceedings

§ 302.209

§ 302.408

RESPONSIVE DOCUMENTS ( see Answers; Replies):

REVIEW ( see Discretionary Review):

ROUTE PROCEEDINGS ( see also Certificate Cases):

International route awards

§§ 302.1701-1790

§ 302.201-220

RULEMAKING PETITIONS

§ 302.38

§ 302.16

SERVICE:

Airport fee dispute proceedings

§§ 302.605(c)(1), (d)(1)

§§ 302.603(c)(1), (d)(1)

By the Department

§ 302.8(a)(1)

§ 302.7(a)(1)

Date of

§ 302.8(f)

§ 302.7(f)

Enforcement complaints

§ 302.204(a)

§ 302.404(e)

Exemption cases

§ 302.403

§ 302.304

Generally

§ 302.8

§ 302.7

Licensing cases

§ 302.1705

§ 302.203

Mail rate petitions

§ 302.303(c)

§ 302.702(d)

Persons eligible for service

§ 302.8(c)

§ 302.7(c), (g), (h)

Procedures

§ 302.8(b)

§ 302.7(b)

Proof of

§ 302.8(e)

§ 302.7(e)

Rates, fares, and charges complaints

§ 302.502(b)

§ 302.503(b)

Where to be made

§ 302.8(d)

§ 302.7(d)

SETTLEMENT OFFERS:

Enforcement proceedings

§ 302.215

§ 302.417

Public disclosure

§ 302.215(d)

§ 302.417(d)

SHORTENED PROCEDURE

§ 302.35

§ 302.15

SHOW CAUSE ORDERS ( see Orders):

SUBPOENAS

§ 302.19

§ 302.25

SUSPENSION OF PRACTICE BEFORE DOT

§ 302.11(a)

§ 302.25(f)

TARIFFS:

Complaints requesting suspension

§ 302.505

§ 302.506

TEMPORARY RATE PROCEEDINGS

§ 302.310

§ 302.707

TENTATIVE DECISIONS ( see Decisions):

TESTIMONY ( see Witnesses):

TIME:

Computation of

§ 302.16

§ 302.8

Continuances of

§ 302.17

§ 302.9

Extensions of

§ 302.17

§ 302.9

Licensing cases

§§ 302.1706, 1711

§ 302.209

TRANSCRIPTS OF HEARINGS

§ 302.24(l)

§ 302.28

U.S. AIR CARRIER CERTIFICATION ( see Certificate Cases):

VERIFICATION:

Licensing cases

§ 302.1707

§ 302.206

WAIVERS OF PROCEDURAL STEPS

§ 302.33

§ 302.37

WITNESSES:

Attendance fees and mileage

§ 302.21

§ 302.27(c)

Cross-examination by nonparties

§ 302.14(b)

§ 302.19

Depositions

§ 302.20

§ 302.26

Objections to public disclosure of testimony

§ 302.39(c)

§ 302.12(c)

Represented by counsel

§ 302.11(a)

§ 302.27(a)

Subpoenas

§ 302.19

§ 302.25

VIOLATIONS—EVIDENTIAL STATUS IN ENFORCEMENT PROCEEDINGS

§ 302.216

§ 302.413

§ 302.201 Applicability.

(a) This subpart sets forth the specific rules applicable to proceedings on:

(1) U.S. air carrier certificates of public convenience and necessity and U.S. all-cargo air service certificates under Chapter 411 of 49 U.S.C. Subtitle VII, including renewals, amendments, modifications, suspensions and transfers of such certificates.

(2) Foreign air carrier permits under Chapter 413 of 49 U.S.C. Subtitle VII , including renewals, amendments, modifications, suspensions, and transfers of such permits.

(b) Except as modified by this subpart, the provisions of subpart A of this part apply.

§ 302.202 Contents of applications.

(a) Certificate applications filed under this subpart shall contain the information required by part 201 of this chapter and, where applicable, part 204 of this chapter, and foreign air carrier permit applications shall contain the information required by part 211 of this chapter, along with any other information that the applicant desires the Department to notice officially.

(b) Applications shall include a notice on the cover page stating that any person may support or oppose the application by filing an answer and serving a copy of the answer on all persons served with the application. The notice shall also state the due date for answers. Amendments to applications will be considered new applications for the purpose of calculating the time limitations of this subsection.

(c) Applications shall include a list of the names and addresses of all persons who have been served in accordance with § 302.203.

(d) Where required, each application shall be accompanied by an Energy Statement in conformity with part 313 of this chapter.

§ 302.203 Service of documents.

(a) General requirements. (1) Applicants shall serve on the persons listed in paragraph (b) of this section a notice that an application has been filed, and upon request shall promptly provide those persons with copies of the application and supporting documents. The notice must clearly state the authority sought and the due date for other pleadings.

(2) Applicants shall serve a complete copy of the application on the Manager of the FAA Flight Standards District Office responsible for processing the application for any FAA authority needed to conduct the proposed operations.

(3) After an order under § 302.210 has been issued, parties need only serve documents on those persons listed in the service list accompanying the order.

(4) In the case of an application sought to be consolidated, the applicant shall serve the notice required in paragraph (a)(1) of this section on all persons served by the original applicant.

(b) Persons to be served —(1) U.S. air carriers. (i) In certificate proceedings, except for those proceedings that involve charter-only authority under section 41102(a)(3) of 49 U.S.C. Subtitle VII:

(A) Applicants for certificates to engage in interstate air transportation and other persons who file a pleading in the docket shall serve:

( 1 ) The airport authority of each airport that the applicant initially proposes to serve, and

( 2 ) Any other person who has filed a pleading in the docket.

(B) Applicants for certificates to engage in foreign air transportation and other persons who file a pleading in the docket shall serve:

( 1 ) All U.S. air carriers (including commuter air carriers) that publish schedules in the Official Airline Guide or in the Air Cargo Guide for the country-pair market(s) specified in the application,

( 2 ) The airport authority of each U.S. airport that the applicant initially proposes to serve, and

( 3 ) Any other person who has filed a pleading in the docket.

(ii) In certificate proceedings involving charter-only authority under 41102(a)(3) of 49 U.S.C. Subtitle VII, applicants and other persons who file a pleading in the docket shall serve any other person who has filed a pleading in the docket.

(2) Foreign air carriers. (i) In permit proceedings, except for those proceedings involving charter-only authority, applicants and other persons who have filed a pleading in the docket shall serve:

(A) All U.S. air carriers (including commuter air carriers) that publish schedules in the Official Airline Guide or the Air Cargo Guide for the country-pair market(s) specified in the application,

(B) The U.S. Department of State,

(C) The airport authority of each U.S. airport that the applicant initially proposes to serve, and

(D) Any other person who has filed a pleading in the docket.

(ii) In foreign air carrier permit proceedings for charter-only authority, applicants and other persons who file a pleading in the docket shall serve the U.S. Department of State and any other person who has filed a pleading in the docket.

(c) Additional service. The Department may, at its discretion, order additional service upon such persons as the facts of the situation warrant. Where only notices are required, parties are encouraged to serve copies of their actual pleadings where feasible. In any proceeding directly involving air transportation to the Federated States of Micronesia, the Marshall Islands or Palau, the Department and any party or participant in the proceeding shall serve all documents on the President and the designated authorities of the government(s) involved.

§ 302.204 Responsive documents.

(a) Any person may file an answer in support of or in opposition to any application. Answers shall set forth the basis for the position taken, including any economic data or other facts relied on. Except as otherwise provided in § 302.212(d), answers shall be filed within twenty one (21) days of the original or amended application and shall be served in accordance with § 302.203.

(b) Replies to answers shall be filed within fourteen (14) days after the filing of the answer.

(c) Persons having common interests shall, to the extent practicable, arrange for the joint preparation of pleadings.

§ 302.205 Economic data and other facts.

Whenever economic data and other facts are provided in any pleading, such information shall include enough detail so that final results can be obtained without further clarification. Sources, bases, and methodology used in constructing exhibits, including any estimates or judgments, shall be provided.

§ 302.206 Verification.

Any pleading filed under this subpart shall include a certification as provided in § 302.4(b).

§ 302.207 Cases to be decided on written submissions.

(a) Applications under this subpart will be decided on the basis of written submissions unless the DOT decisionmaker, on petition as provided in § 302.208 or on his or her own initiative, determines that an oral presentation or an administrative law judge's decision is required because:

(1) Use of written procedures will prejudice a party;

(2) Material issues of decisional fact cannot adequately be resolved without oral evidentiary hearing procedures; or

(3) Assignment of an application for oral evidentiary hearing procedures or an initial or recommended decision by an administrative law judge is otherwise required by the public interest.

(b) The standards employed in deciding cases under § 302.210(a)(1) or (5) shall be the same as the standards applied in cases decided under § 302.210(a)(4). These are the standards set forth in the Statute as interpreted and expanded upon under that Statute.

§ 302.208 Petitions for oral presentation or judge's decision.

(a) Any person may file a petition for oral evidentiary hearing, oral argument, an initial or recommended decision, or any combination of these. Petitions shall demonstrate that one or more of the criteria set forth in § 302.207 are applicable to the issues for which an oral presentation or judge's decision is requested. Such petitions shall be supported by a detailed explanation of the following:

(1) Why the evidence or argument to be presented cannot be submitted in the form of written evidence or briefs;

(2) Which issues should be examined by an administrative law judge and why such issues should not be presented directly to the DOT decisionmaker for decision;

(3) An estimate of the time required for the oral presentation and the number of witnesses whom the petitioner would present; and

(4) If cross-examination of any witness is desired, the name of the witness, if known, the subject matter of the desired cross-examination or the title or number of the exhibit to be cross-examined, what the petitioner expects to establish by the cross-examination, and an estimate of the time needed for it.

(b) Petitions for an oral hearing, oral argument, or an administrative law judge's decision shall be filed no later than the due date for answers in proceedings governed by §§ 302.211, 302.212 and 302.213, and be accompanied with the information specified in paragraphs (a)(1) and (a)(2) of this section. Filing of the information required in paragraphs (a)(3) and (a)(4) of this section may be deferred until the DOT decisionmaker has decided to hold a formal proceeding.

(c) Where a stipulation of disputed facts would eliminate the need for an oral presentation or an administrative law judge's decision, parties shall include in their petitions an offer to withdraw the request should the stipulation be made.

§ 302.209 Procedures for deferral of applications.

Within twenty-eight (28) days after the filing of an application under this subpart, the DOT decisionmaker may defer further processing of the application until all of the information necessary to process that application is submitted. The time periods contained in this subpart with respect to the disposition of the application shall not begin to run until the application is complete. In addition, the DOT decisionmaker may defer action on a foreign air carrier permit application for foreign policy reasons.

§ 302.210 Disposition of applications; orders establishing further procedures.

(a) General requirements. The DOT decisionmaker will take one of the following actions with respect to all or any portion of each application:

(1) Issue an Order to Show Cause why the application should not be granted, denied or dismissed, in whole or in part.

(2) Issue a Final Order granting the application if the DOT decisionmaker determines that there are no material issues of fact that warrant further procedures for their resolution.

(3) Issue a Final Order dismissing or rejecting the application for lack of prosecution or if the application does not comply with this subpart or is otherwise materially deficient.

(4) Issue an order setting the application for oral evidentiary hearing. The order will establish the scope of the issues to be considered and the procedures to be employed, and will indicate whether one or more attorneys from the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings will participate as a party. All of the procedures set forth in §§ 302.214 through 302.218 will apply unless the DOT decisionmaker decides otherwise.

(5) Begin to make a determination with respect to the application under simplified procedures without oral evidentiary hearing. In this event, the DOT decisionmaker may indicate which, if any, of the procedural steps set forth in §§ 302.215 through 302.219 will be employed. The DOT decisionmaker may also indicate that other non-oral evidentiary hearing procedures will be employed.

(b) Additional evidence. An order establishing further procedures under paragraph (a)(1), (4) or (5) of this section may provide for the filing of additional evidence.

(c) Petitions for reconsideration. Petitions for reconsideration of an order issued under this section will not be entertained except to the extent that the order dismissed or rejected all or part of an application. If a petition for reconsideration results in the reinstatement of all or part of an application, the deadline for final Department decision established in § 302.220 will be calculated from the date of the order reinstating the application.

§ 302.211 Procedures in certificate cases involving initial or continuing fitness.

(a) Applicability. This section applies to cases involving certificate authority under sections 41102 and 41103 of 49 U.S.C. Subtitle VII , including applications for new authority, renewals, amendments, modifications, suspensions, and transfers of such certificates, where the issues involve a determination of the applicant's fitness to operate. Where such applications propose the operation of scheduled service in limited entry international markets, the provisions of § 302.212 also apply.

(b) Order establishing further procedures. Within 90 days after a complete application is filed, the DOT decisionmaker will take action as provided in § 302.210.