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14 CFR Ch. I (1–1–19 Edition)

Pt. 11, App. 1

PPENDIX

ART

11—O

RAL

OMMU

NICATIONS

ITH THE

UBLIC

URING

ULEMAKING

1. What is an ex parte contact?

‘‘Ex parte’’ is a Latin term that means

‘‘one sided,’’ and indicates that not all par-
ties to an issue were present when it was dis-
cussed. An ex parte contact involving rule-
making is any communication between FAA
and someone outside the government regard-
ing a specific rulemaking proceeding, before
that proceeding closes. A rulemaking pro-
ceeding does not close until we publish the
final rule or withdraw the NPRM. Because
an ex parte contact excludes other interested
persons, including the rest of the public,
from the communication, it may give an un-
fair advantage to one party, or appear to do
so.

2. Are written comments to the docket ex parte

contacts?

Written comments submitted to the docket

are not ex parte contacts because they are
available for inspection by all members of
the public.

3. What is DOT policy on ex parte contacts?

It is DOT policy to provide for open devel-

opment of rules and to encourage full public
participation in rulemaking actions. In addi-
tion to providing opportunity to respond in
writing to an NPRM and to appear and be
heard at a hearing, DOT policy encourages
agencies to contact the public directly when
we need factual information to resolve ques-
tions of substance. It also encourages DOT
agencies to be receptive to appropriate con-
tacts from persons affected by or interested
in a proposed action. But under some cir-
cumstances an ex parte contact could affect
the basic openness and fairness of the rule-
making process. Even the appearance of im-
propriety can affect public confidence in the
process. For this reason, DOT policy sets
careful guidelines for these contacts. The
kind of ex parte contacts permitted and the
procedures we follow depend on when the
contact occurs in the rulemaking process.

4. What kinds of ex parte contacts does DOT

policy permit before we issue an ANPRM,
NPRM, Supplemental NPRM, or immediately
adopted final rule?

The DOT policy authorizes ex parte con-

tacts that we need to obtain technical and
economic information. We need this informa-
tion to decide whether to issue a regulation
and what it should say. Each contact that in-
fluences our development of the regulation is
noted in the preamble. For multiple contacts
that are similar, we may provide only a gen-
eral discussion. For contacts not discussed in
the preamble, we place a report discussing

each contact or group of related contacts in
the rulemaking docket when it is opened.

5. Does DOT policy permit ex parte contacts

during the comment period?

No, during the comment period, the public

docket is available for written comments
from any member of the public. These com-
ments can be examined and responded to by
any interested person. Because this public
forum is available, DOT policy discourages
ex parte contacts during the comment pe-
riod. They are not necessary to collect the
information the agency needs to make its de-
cision.

6. What if the FAA believes it needs to meet with

members of the public to discuss the proposal?

If the FAA determines that it would be

helpful to invite members of the public to
make oral presentations to it regarding the
proposal, we will announce a public meeting
in the F

EDERAL

EGISTER

7. Are any oral contacts concerning the proposal

permitted during the comment period?

If you contact the agency with questions

regarding the proposal during the comment
period, we can only provide you with infor-
mation that has already been made available
to the general public. If you contact the
agency to discuss the proposal, you will be
told that the proper avenue of communica-
tion during the comment period is a written
communication to the docket.

8. If a substantive ex parte contact does occur

during the comment period, what does FAA do?

While FAA tries to ensure that FAA per-

sonnel and the public are aware of DOT pol-
icy, substantive ex parte contacts do occa-
sionally occur, for example, at meetings not
intended for that purpose. In such a case, we
place a summary of the contact and a copy
of any materials provided at the meeting in
the rulemaking docket. We encourage par-
ticipants in such a meeting to file written
comments in the docket.

9. Does DOT policy permit ex parte contacts the

comment period has closed?

DOT policy strongly discourages ex parte

contacts initiated by commenters to discuss
their position on the proposal once the com-
ment period has closed. Such a contact at
this time would be improper, since other in-
terested persons would not have an oppor-
tunity to respond. If we need further infor-
mation regarding a comment in the docket,
we may request this from a commenter. A
record of this contact and the information
provided is placed in the docket. If we need
to make other contacts to update factual in-
formation, such as economic data, we will
disclose this information in the final rule

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