[Title 28 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2000 Edition]
[From the U.S. Government Printing Office]



[[Page i]]



                    28


          Parts 0 to 42

                         Revised as of July 1, 2000

Judicial Administration





          Containing a Codification of documents of general 
          applicability and future effect
          As of July 1, 2000
          With Ancillaries
          Published by
          Office of the Federal Register
          National Archives and Records
          Administration

As a Special Edition of the Federal Register

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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2000



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 28:

          Chapter I--Department of Justice....................       3

  Finding Aids:

      Material Approved for Incorporation by Reference........     777

      Table of CFR Titles and Chapters........................     779

      Alphabetical List of Agencies Appearing in the CFR......     797

      List of CFR Sections Affected...........................     807



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                     ----------------------------

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus,  28 CFR 0.1 refers 
                       to title 28, part 0, 
                       section 1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 2000), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
info@fedreg.nara.gov.

SALES

    The Government Printing Office (GPO) processes all sales and 
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ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, The United States 
Government Manual, the Federal Register, Public Laws, Public Papers, 
Weekly Compilation of Presidential Documents and the Privacy Act 
Compilation are available in electronic format at www.access.gpo.gov/
nara (``GPO Access''). For more information, contact Electronic 
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Phone 202-512-1530, or 888-293-6498 (toll-free). E-mail, 
gpoaccess@gpo.gov.
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.nara.gov/fedreg. The NARA 
site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 2000.



[[Page ix]]



                               THIS TITLE

    Title 28--Judicial Administration is composed of two volumes. The 
parts in these volumes are arranged in the following order: parts 0-42 
and part 43 to end. The contents of these volumes represent all current 
regulations codified by the Department of Justice, the Federal Prison 
Industries, Inc., the Bureau of Prisons, Department of Justice, the 
Offices of Independent Counsel, Department of Justice, and the Office of 
Independent Counsel under this title of the CFR as of July 1, 2000.

    For this volume, Melanie L. Marcec was Chief Editor. The Code of 
Federal Regulations is published under the direction of Frances D. 
McDonald, assisted by Alomha S. Morris.

[[Page x]]





[[Page 1]]



                    TITLE 28--JUDICIAL ADMINISTRATION




                             (Parts 0 to 42)

------------------------------------------------------------------------



  Editorial Note: Other regulations issued by the Department of Justice 
appear in title 4; title 8; title 21; title 45; title 48.
                                                                    Part

Chapter I--Department of Justice..............................         0

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                    CHAPTER I--DEPARTMENT OF JUSTICE




------------------------------------------------------------------------
Part                                                                Page
0               Organization of the Department of Justice...           7
1               Executive clemency..........................          96
2               Parole, release, supervision and 
                    recommitment of prisoners, youth 
                    offenders, and juvenile delinquents.....          97
3               Gambling devices............................         170
4               Procedure governing applications for 
                    certificates of exemption under the 
                    Labor-Management Reporting and 
                    Disclosure Act of 1959, and the Employee 
                    Retirement Income Security Act of 1974..         170
5               Administration and enforcement of Foreign 
                    Agents Registration Act of 1938, as 
                    amended.................................         175
6               Traffic in contraband articles in Federal 
                    penal and correctional institutions.....         185
7               Rewards for capture of escaped Federal 
                    prisoners...............................         185
8               FBI forfeiture authority for certain 
                    statutes................................         186
9               Regulations governing the remission or 
                    mitigation of civil and criminal 
                    forfeitures.............................         189
10              Registration of certain organizations 
                    carrying on activities within the United 
                    States..................................         201
11              Debt collection.............................         203
12              Registration of certain persons having 
                    knowledge of foreign espionage, 
                    counterespionage, or sabotage matters 
                    under the Act of August 1, 1956.........         215
13              Atomic weapons and special nuclear materials 
                    rewards regulations.....................         218
14              Administrative claims under Federal Tort 
                    Claims Act..............................         220
15              Defense of certain suits against Federal 
                    employees: certification and defense of 
                    certain suits against program 
                    participants under the National Swine 
                    Flu Immunization Program of 1976, and 
                    certification and decertification of 
                    certain suits based upon acts or 
                    omissions of contractors in carrying out 
                    an atomic weapons testing program under 
                    a contract with the United States.......         227
16              Production or disclosure of material or 
                    information.............................         229

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17              Classified National Security Information and 
                    access to classified information........         330
18              Office of Justice Programs hearing and 
                    appeal procedures.......................         346
19              Use of penalty mail in the location and 
                    recovery of missing children............         351
20              Criminal justice information systems........         354
21              Witness fees................................         367
22              Confidentiality of identifiable research and 
                    statistical information.................         371
23              Criminal intelligence systems operating 
                    policies................................         375
24              Implementation of the Equal Access to 
                    Justice Act in Department of Justice 
                    administrative proceedings..............         379
25              Department of Justice information systems...         384
26              Implementation of death sentences in Federal 
                    cases...................................         393
27              Whistleblower protection for Federal Bureau 
                    of Investigation employees..............         394
29              Motor Vehicle Theft Prevention Act 
                    regulations.............................         398
30              Intergovernmental review of Department of 
                    Justice programs and activities.........         401
31              OJJDP grant programs........................         404
32              Public safety officers' death and disability 
                    benefits................................         425
33              Bureau of Justice Assistance grant programs.         442
34              OJJDP competition and peer review procedures         459
35              Nondiscrimination on the basis of disability 
                    in state and local government services..         464
36              Nondiscrimination on the basis of disability 
                    by public accommodations and in 
                    commercial facilities...................         503
37              Procedures for coordinating the 
                    investigation of complaints or charges 
                    of employment discrimination based on 
                    disability subject to the Americans with 
                    Disabilities Act and section 504 of the 
                    Rehabilitation Act of 1973..............         679
39              Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Department 
                    of Justice..............................         685
40              Standards for inmate grievance procedures...         707
41              Implementation of Executive Order 12250, 
                    nondiscrimination on the basis of 
                    handicap in federally assisted programs.         713
42              Nondiscrimination; equal employment 
                    opportunity; policies and procedures....         720

Cross References: Customs Service, Department of the Treasury: See 
  Customs Duties, 19 CFR chapter I.

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  Internal Revenue Service, Department of the Treasury: See Internal 
Revenue, 26 CFR chapter I.

  Employees' Benefits: See title 20.

  Federal Trade Commission: See Commercial Practices, 16 CFR chapter I.

Supplemental Publications: The official opinions of the Attorneys 
  General of the United States. (Op. A. G.) Irregular, 1789--; 
  Washington, v. 1--, 1852--.

[[Page 7]]



PART 0--ORGANIZATION OF THE DEPARTMENT OF JUSTICE--Table of Contents




    Subpart A--Organizational Structure of the Department of Justice

Sec.
0.1  Organizational units.

                Subpart B--Office of the Attorney General

0.5  Attorney General.
0.10  Attorney General's Advisory Committee of U.S. Attorneys.
0.11  Incentive Awards Board.
0.12  Young American Medals Committee.
0.13  Legal proceedings.

            Subpart C--Office of the Deputy Attorney General

0.15  Deputy Attorney General.
0.17  Office of Investigative Agency Policies.
0.18a  Office of Small and Disadvantaged Business Utilization.

          Subpart C-1--Office of the Associate Attorney General

0.19  Associate Attorney General.

               Subpart D--Office of the Solicitor General

0.20  General functions.
0.21  Authorizing intervention by the Government in certain cases.

            Subpart D-1--Executive Office for U.S. Attorneys

0.22  General functions.

                   Subpart D-2--Office of Legal Policy

0.23  General functions.
0.23a  Office of Information and Privacy.
0.23b  Office of Asylum Policy and Review.

                   Subpart E--Office of Legal Counsel

0.25  General functions.

              Subpart E-1--Office of International Programs

0.26  Organization.

    Subpart E-2--Office of Legislative and Intergovernmental Affairs

0.27  General functions.

                  Subpart E-3--Office of Public Affairs

0.28  General functions.

              Subpart E-4--Office of the Inspector General

0.29  Organization.
0.29a  General functions.
0.29b  Reporting allegations of waste, fraud, or abuse.
0.29c  Reporting allegations of employee misconduct.
0.29d  Whistleblower protection for FBI employees.
0.29e  Relationship to other departmental units.
0.29f  Confidentiality.
0.29g  Reprisals.
0.29h  Specific authorities of the Inspector General.
0.29i  Audit, inspection, and review authority.
0.29j  Law enforcement authority.

                 Subpart F--Community Relations Service

0.30  General functions.
0.31  Designating officials to perform the functions of the Director.
0.32  Applicability of existing departmental regulations.

          Subpart F-1--Office of Intelligence Policy and Review

0.33a  Organization.
0.33b  Functions.
0.33c  Relationship to other departmental units.

       Subpart F-2--INTERPOL-United States National Central Bureau

0.34  General functions.

                Subpart G--Office of the Pardon Attorney

0.35  General functions; delegation of authority.
0.36  Recommendations.

        Subpart G-1--Executive Office for United States Trustees

0.37  Organization.
0.38  Functions.

           Subpart G-2--Office of Professional Responsibility

0.39  Organization.
0.39a  Functions.
0.39b  Confidentiality of information.
0.39d  Relationship to other departmental units.
0.39e  Committee on Professional Responsibility.

                      Subpart H--Antitrust Division

0.40  General functions.

[[Page 8]]

0.41  Special functions.

Appendix to Subpart H--Delegation of Authority Respecting Denials of 
          Freedom of Information and Privacy Act Requests

                        Subpart I--Civil Division

0.45  General functions.
0.46  Certain civil litigation and foreign criminal proceedings.
0.47  Alien property matters.
0.48  International trade litigation.
0.49  International judicial assistance.

                    Subpart J--Civil Rights Division

0.50  General functions.
0.51  Leadership and coordination of nondiscrimination laws.
0.52  Certifications under 18 U.S.C. 3503.
0.53  Office of Special Counsel for Immigration Related Unfair 
          Employment Practices.

Appendix to Subpart J

                      Subpart K--Criminal Division

0.55  General functions.
0.56  Exclusive or concurrent jurisdiction.
0.57  Criminal prosecutions against juveniles.
0.58  Delegation respecting payment of benefits for disability or death 
          of law enforcement officers not employed by the United States.
0.59  Certain certifications under 18 U.S.C. 3331 and 3503.
0.61  Functions relating to internal security.
0.62  Representative capacities.
0.63  Delegation respecting admission and naturalization of certain 
          aliens.
0.64  Certifications under 18 U.S.C. 3503.
0.64-1  Central or Competent Authority under treaties and executive 
          agreements on mutual assistance in criminal matters.
0.64-2  Delegation respecting transfer of offenders to or from foreign 
          countries.
0.64-3  Delegation respecting designation of certain Department of 
          Agriculture employees (Tick Inspectors) to carry and use 
          firearms.
0.64-4  Delegation respecting temporary transfers, in custody of certain 
          prisoner-witnesses from a foreign country to the United States 
          to testify in Federal or State criminal proceedings.
0.64-5  Policy with regard to bringing charges under the Economic 
          Espionage Act of 1996, Pub. L. 104-294, effective October 11, 
          1996.

Appendix to Subpart K

Subpart L [Reserved]

             Subpart M--Land and Natural Resources Division

0.65  General functions.
0.65a  Litigation involving Environmental Protection Agency.
0.66  Delegation respecting title opinions.
0.67  Delegation respecting conveyances for public-airport purposes.
0.68  Delegation respecting mineral leasing.
0.69  Delegation of authority to make determinations and grants.
0.69a  Delegation respecting approval of conveyances.
0.69b  Delegation of authority respecting conveyances for public 
          airports.
0.69c  Litigation involving the Resource Conservation and Recovery Act.

                         Subpart N--Tax Division

0.70  General functions.
0.71  Delegation respecting immunity matters.

                 Subpart O--Justice Management Division

0.75  Policy functions.
0.76  Specific functions.
0.77  Operational functions.
0.78  Implementation of financial disclosure requirements.
0.79  Redelegation of authority.

               Subpart P--Federal Bureau of Investigation

0.85  General functions.
0.85a  Criminal justice policy coordination.
0.86  Seizure of gambling devices.
0.87  Representation on committee for visit-exchange.
0.88  Certificates for expenses of unforeseen emergencies.
0.89  Authority to seize arms and munitions of war.
0.89a  Delegations respecting claims against the FBI.

      Subpart P-1--Office of Justice Programs and Related Agencies

0.90  Office of Justice Programs.
0.91  Office for Victims of Crime.
0.92  National Institute of Justice.
0.93  Bureau of Justice Statistics.
0.94  Office of Juvenile Justice and Delinquency Prevention.
0.94-1  Bureau of Justice Assistance.

                      Subpart Q--Bureau of Prisons

0.95  General functions.
0.96  Delegations.
0.96a  Interstate Agreement on Detainers.
0.96b  Exchange of prisoners.
0.96c  Cost of incarceration.
0.97  Redelegation of authority.

[[Page 9]]

0.98  Functions of Commissioner of Federal Prison Industries.
0.99  Compensation to Federal prisoners.

Appendix to Subpart Q--Confinement of Persons in District of Columbia 
          Correctional Institutions

               Subpart R--Drug Enforcement Administration

0.100  General functions.
0.101  Specific functions.
0.102  Drug enforcement policy coordination.
0.103  Release of information.
0.103a  Delegations respecting claims against the Drug Enforcement 
          Administration.
0.104  Redelegation of authority.

Appendix to Subpart R--Redelegation of Functions

            Subpart S--Immigration and Naturalization Service

0.105  General functions.
0.106  Certificates for expenses of unforeseen emergencies.
0.107  Representation on committee for visit-exchange.
0.108  Redelegation of authority.
0.109  Implementation of the Treaty of Friendship and General Relations 
          Between the United States and Spain.
0.110  Implementation of the Convention Between the United States and 
          Greece.

                Subpart T--United States Marshals Service

0.111  General functions.
0.111a  Temporary prisoner-witness transfers.
0.112  Special deputation.
0.113  Redelegation of authority.

           Subpart U--Executive Office for Immigration Review

0.114  Fees for services.
0.115  General functions.
0.116  Board of Immigration Appeals.
0.117  Office of Chief Immigration Judge.
0.118  Office of Chief Administrative Hearing Officer.

       Subpart U-1--Office of Community Oriented Policing Services

0.119  Organization.
0.120  General functions.
0.121  Applicability of existing departmental regulations.

               Subpart V--United States Parole Commission

0.124  United States Parole Commission.
0.125  Chairman of U.S. Parole Commission.
0.126  Administrative support.
0.127  Indigent prisoners.

            Subpart V-1--Foreign Claims Settlement Commission

0.128  Organization.
0.128a  General functions.
0.128b  Regulations.

   Subpart W--Additional Assignments of Functions and Designation of 
 Officials to Perform the Duties of Certain Offices in Case of Vacancy, 
  or Absence Therein or in Case of Inability or Disqualification to Act

0.130  Functions common to heads of organizational units.
0.131  Designation of Acting United States Attorneys.
0.132  Designating officials to perform the functions and duties of 
          certain offices in case of absence, disability or vacancy.

    Subpart X--Authorizations With Respect to Personnel and Certain 
                         Administrative Matters

0.137  [Reserved]
0.138  Federal Bureau of Investigation, Drug Enforcement Administration, 
          Bureau of Prisons, Federal Prison Industries, Immigration and 
          Naturalization Service, United States Marshals Service, Office 
          of Justice Programs, Executive Office for Immigration Review, 
          Executive Office for United States Attorneys, Executive Office 
          for United States Trustees.
0.139  [Reserved]
0.140  Authority relating to advertisements, and purchase of certain 
          supplies and services.
0.141  Audit and ledger accounts.
0.142  Per diem and travel allowances.
0.143  Incentive Awards Plan.
0.144  Determination of basic workweek.
0.145  Overtime pay.
0.146  Seals.
0.147  Certification of obligations.
0.148  Certifying officers.
0.149  Cash payments.
0.150  Collection of erroneous payments.
0.151  Administering oath of office.
0.152  Approval of funds for attendance at meetings.
0.153  Selection and assignment of employees for training.
0.154  Advance and evacuation payments and special allowances.
0.155  Waiver of claims for erroneous payments of pay and allowances.
0.156  Execution of U.S. Marshals' deeds or transfers of title.
0.157  Federal Bureau of Investigation--Drug Enforcement Administration 
          Senior Executive Service.

[[Page 10]]

0.158  [Reserved]
0.159  Redelegation of authority.

     Subpart Y--Authority to Compromise and Close Civil Claims and 
     Responsibility for Judgments, Fines, Penalties, and Forfeitures

0.160  Offers that may be accepted by Assistant Attorneys General.
0.161  Acceptance of certain offers by the Deputy Attorney General or 
          Associate Attorney General, as appropriate.
0.162  Offers which may be rejected by Assistant Attorneys General.
0.163  Approval by Solicitor General of action on compromise offers in 
          certain cases.
0.164  Civil claims that may be closed by Assistant Attorneys General.
0.165  Recommendations to the Deputy Attorney General or Associate 
          Attorney General, as appropriate, that certain claims be 
          closed.
0.166  Memorandum pertaining to closed claim.
0.167  Submission to Associate Attorney General by Director of Office of 
          Alien Property of certain proposed allowances and 
          disallowances.
0.168  Redelegation by Assistant Attorneys General.
0.169  Definition of ``gross amount of the original claim''.
0.170  Interest on monetary limits.
0.171  Judgments, fines, penalties, and forfeitures.
0.172  Authority: Federal tort claims.

Appendix to Subpart Y--Redelegations of Authority to Compromise and 
          Close Civil Claims

 Subpart Z--Assigning Responsibility Concerning Applications for Orders 
       Compelling Testimony or Production of Evidence by Witnesses

0.175  Judicial and administrative proceedings.
0.176  Congressional proceedings.
0.177  Applications for orders under the Comprehensive Drug Abuse 
          Prevention and Control Act.
0.177a  Antitrust civil investigative demands.
0.178  Redelegation of authority.

Subpart Z-1--Prosecutions for Obstruction of Justice and Related Charges

0.179  Scope.
0.179a  Enforcement responsibilities.

               Subpart AA--Orders of the Attorney General

0.180  Documents designated as orders.
0.181  Requirements for orders.
0.182  Submission of proposed orders to the Office of Legal Counsel.
0.183  Distribution of orders.

                    Subpart BB--Sections and Subunits

0.190  Changes within organizational units.
0.191  Changes which affect the overall structure of the Department.

                Subpart CC--Jurisdictional Disagreements

0.195  Procedure with respect to jurisdictional disagreements.
0.196  Procedures for resolving disagreements concerning mail or case 
          assignments.
0.197  Agreements, in connection with criminal proceedings or 
          investigations, promising non-deportation or other immigration 
          benefits.

    Authority: 5 U.S.C. 301; 28 U.S.C. 509, 510, 515-519.

    Source: Order No. 423-69, 34 FR 20388, Dec. 31, 1969, unless 
otherwise noted.



    Subpart A--Organizational Structure of the Department of Justice



Sec. 0.1  Organizational units.

    The Department of Justice shall consist of the following principal 
organizational units:

                                 Offices

Office of the Attorney General.
Office of the Deputy Attorney General.
Office of the Associate Attorney General.
Office of the Solicitor General.
Office of Legal Counsel.
Office of Legislative Affairs.
Office of Professional Responsibility.
Office of Legal Policy.
Office of Public Affairs.
Office of the Pardon Attorney.
Office of Intelligence Policy and Review.
Office of Special Counsel for Immigration Related Unfair Employment 
Practices.
Community Relations Service.
Executive Office for United States Attorneys.
Executive Office for United States Trustees.
INTERPOL--United States National Central Bureau.
Office of International Programs.
Office of Community Oriented Policing Services.

                                Divisions

Antitrust Division.
Civil Division.
Civil Rights Division.

[[Page 11]]

Criminal Division.
Land and Natural Resources Division.
Tax Division.
Justice Management Division.

                                 Bureaus

Federal Bureau of Investigation.
Bureau of Prisons.
Drug Enforcement Administration.
Immigration and Naturalization Service.
Office of Justice Assistance, Research and Statistics (and related 
agencies).
United States Marshals Service.

                                 Boards

Board of Immigration Appeals.
U.S. Parole Commission.
Foreign Claims Settlement Commission.

[Order No. 900-80, 45 FR 43702, June 30, 1980, as amended by Order No. 
960-81, 46 FR 52340, Oct. 27, 1981; Order No. 1299-88, 53 FR 35811, 
Sept. 15, 1988; Order No. 1497-91, 56 FR 25629, June 5, 1991; Order No. 
1606-92, 57 FR 32438, July 22, 1992; Order No. 1948-95, 60 FR 8933, Feb. 
16, 1995]



                Subpart B--Office of the Attorney General



Sec. 0.5  Attorney General.

    The Attorney General shall:
    (a) Supervise and direct the administration and operation of the 
Department of Justice, including the offices of U.S. Attorneys and U.S. 
Marshals, which are within the Department of Justice.
    (b) Represent the United States in legal matters generally.
    (c) Furnish advice and opinions, formal and informal, on legal 
matters to the President and the Cabinet and to the heads of the 
executive departments and agencies of the Government, as provided by 
law.
    (d) Appear in person to represent the Government in the Supreme 
Court of the United States, or in any other court, in which he may deem 
it appropriate.
    (e) Designate, pursuant to Executive Orders 9788 of October 4, 1946, 
and 10254 of June 15, 1951, officers and agencies of the Department of 
Justice to act as disbursing officers for the Office of Alien Property.
    (f) Perform or supervise the performance of other duties required by 
statute or Executive order.



Sec. 0.10  Attorney General's Advisory Committee of U.S. Attorneys.

    (a) The Attorney General's Advisory Committee of U.S. Attorneys 
shall consist of fifteen U.S. Attorneys, designated by the Attorney 
General. The membership shall be selected to represent the various 
geographic areas of the Nation and both large and small offices. Members 
shall serve at the pleasure of the Attorney General, but such service 
normally shall not exceed three years and shall be subject to adjustment 
by the Attorney General so as to assure the annual rotation of 
approximately one-third of the Committee's membership.
    (b) The Committee shall make recommendations to the Attorney 
General, to the Deputy Attorney General and to the Associate Attorney 
General concerning any matters which the Committee believes to be in the 
best interests of justice, including, but not limited to, the following:
    (1) Establishing and modifying policies and procedures of the 
Department;
    (2) Improving management, particularly with respect to the 
relationships between the Department and the U.S. Attorneys;
    (3) Cooperating with State Attorneys General and other State and 
local officials for the purpose of improving the quality of justice in 
the United States;
    (4) Promoting greater consistency in the application of legal 
standards throughout the Nation and at the various levels of government; 
and
    (5) Aiding the Attorney General, the Deputy Attorney General and the 
Associate Attorney General in formulating new programs for improvement 
of the criminal justice system at all levels, including proposals 
relating to legislation and court rules.
    (c) The Committee shall select from its membership a chairman, a 
vice-chairman and a secretary, and shall establish such subcommittees as 
it deems necessary to carry out its objectives. United States Attorneys 
who are not members of the Committee may be included in the membership 
of subcommittees.
    (d) The Executive Office for U.S. Attorneys shall provide the 
Committee with such staff assistance and funds as

[[Page 12]]

are reasonably necessary to carry out the Committee's responsibilities.

[Order No. 640-76, 41 FR 7748, Feb. 20, 1976, as amended by Order No. 
960-81, 46 FR 52340, Oct. 27, 1981]



Sec. 0.11  Incentive Awards Board.

    The Incentive Awards Board shall consist of the Deputy Attorney 
General or a designee of the Deputy Attorney General, who shall be the 
chairperson, and four members designated by the Attorney General from 
among the Assistant Attorneys General, bureau heads or persons of 
equivalent rank in the Department. The duties of the Board shall be:
    (a) Consider and make recommendations to the Attorney General 
concerning honorary awards and cash awards in excess of $5,000 to be 
granted for suggestions, inventions, superior accomplishment, or other 
personal effort which contributes to the efficiency, economy, or other 
improvement of Government operations or achieves a significant reduction 
in paperwork.
    (b) Consider and make recommendations to the Attorney General for 
transmittal to the Office of Personnel Management and the President for 
Presidential awards under 5 U.S.C. 4504 and 5403.
    (c) Evaluate periodically the effectiveness of the employee 
recognition program and recommend needed improvements to the Attorney 
General.

[Order No. 960-81, 46 FR 52340, Oct. 27, 1981]



Sec. 0.12  Young American Medals Committee.

    There shall be in the Office of the Attorney General a Young 
American Medals Committee, which shall be composed of four members, one 
of whom shall be the Director of Public Affairs who shall be the 
Executive Secretary of the Committee. The Chairman of the Committee 
shall be designated by the Attorney General. The Committee shall issue 
regulations relating to the establishment of the Young American Medal 
for Bravery and Young American Medal for Service provided for by the act 
of August 3, 1950, 64 Stat. 397, and governing the requirements and 
procedures for the award of such medals. The regulations of the 
Committee in effect on the effective date of this part shall continue in 
effect until amended, modified, or revoked by the Committee.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
445-70, 35 FR 19397, Dec. 23, 1970. Redesignated by Order No. 543-73, 38 
FR 29583, Oct. 26, 1973, as amended by Order No. 960-81, 46 FR 52340, 
Oct. 27, 1981]



Sec. 0.13  Legal proceedings.

    (a) Each Assistant Attorney General and Deputy Assistant Attorney 
General is authorized to exercise the authority of the Attorney General 
under 28 U.S.C. 515(a), in cases assigned to, conducted, handled, or 
supervised by such official, to designate Department attorneys to 
conduct any legal proceeding, civil or criminal, including grand jury 
proceedings and proceedings before committing magistrates, which United 
States attorneys are authorized by law to conduct, whether or not the 
designated attorney is a resident of the district in which the 
proceedings is brought.
    (b) Each Assistant Attorney General is authorized to redelegate to 
Section Chiefs the authority delegated by paragraph (a) of this section, 
except that such redelegation shall not apply to the designation of 
attorneys to conduct grand jury proceedings.

[Order No. 725-77, 42 FR 26205, May 23, 1977]



            Subpart C--Office of the Deputy Attorney General



Sec. 0.15  Deputy Attorney General.

    (a) The Deputy Attorney General is authorized to exercise all the 
power and authority of the Attorney General, unless any such power or 
authority is required by law to be exercised by the Attorney General 
personally.
    (b) The Deputy Attorney General shall advise and assist the Attorney 
General in formulating and implementing Department policies and programs 
and in providing overall supervision and direction to all organizational 
units of the Department. Subject to the general supervision of the 
Attorney General, the Deputy Attorney General shall direct the 
activities of organizational units as assigned. In

[[Page 13]]

addition, the Deputy Attorney General shall:
    (1) Except as assigned to the Associate Attorney General by 
Sec. 0.19(a)(1), exercise the power and authority vested in the Attorney 
General to take final action in matters pertaining to:
    (i) The employment, separation, and general administration of 
personnel in the Senior Executive Service and in General Schedule grades 
GS-16 through GS-18, or the equivalent, and of attorneys and law 
students regardless of grade or pay in the Department;
    (ii) The appointment of special attorneys and special assistants to 
the Attorney General (28 U.S.C. 515(b));
    (iii) The appointment of Assistant U.S. Trustees and fixing of their 
compensation; and
    (iv) The approval of the appointment by U.S. Trustees of standing 
trustees and the fixing of their maximum annual compensation and 
percentage fees as provided in 28 U.S.C. 587(e).
    (v) The appointment, employment, separation, and general 
administration of Assistant United States Attorneys and other attorneys 
to assist United States Attorneys when the public interest so requires 
and fixing their salaries.
    (2) Administer the Attorney General's recruitment program for honor 
law graduates and judicial law clerks.
    (3) Coordinate Departmental liaison with White House Staff and the 
Executive Office of the President.
    (4) Coordinate and control the Department's reaction to civil 
disturbances and terrorism.
    (5) Perform such other duties and functions as may be assigned from 
time to time by the Attorney General.
    (c) The Deputy Attorney General may redelegate the authority 
provided in paragraphs (b)(1) (i), (ii), (iii), and (v) of this section 
to take final action in matters pertaining to the employment, 
separation, and general administration of attorneys and law students in 
grades GS-15 and below, to appoint special attorneys and special 
assistants to the Attorney General pursuant to 28 U.S.C. 515(b), to 
appoint Assistant United States Trustees and fix their compensation, and 
to take final action in matters pertaining to the appointment, 
employment, separation, and general administration of Assistant United 
States Attorneys and other attorneys to assist United States Attorneys 
when the public interest so requires and to fix their salaries.
    (d) The Deputy Attorney General may redelegate the authority 
provided in paragraph (b)(1)(iv) of this section to take final action in 
matters pertaining to the approval of the appointment by U.S. Trustees 
of standing trustees and the fixing of their maximum annual compensation 
and percentage fees as provided in 28 U.S.C. 587(e) to the Director of 
the Executive Office for U.S. Trustees.
    (e) The officials to whom the Deputy Attorney General delegates 
authority under paragraph (c) of this section and any of the officials 
who may be otherwise authorized by the Deputy Attorney General to 
perform any other attorney personnel duties may redelegate those 
authorities and duties.
    (f) The Deputy Attorney General is authorized, and may delegate 
authority to the Director of the Asylum Policy and Review Unit within 
the Office of Legal Policy, to:
    (1) Compile and disseminate to Immigration and Naturalization 
Service (INS) officers information concerning the persecution of persons 
in countries on account of race, religion, nationality, membership in a 
particular social group, or political opinion.
    (2) Review cases decided by the Board of Immigration Appeals 
pursuant to 8 CFR 3.1(h)(1)(i);
    (3) Review INS asylum decisions in cases which the Deputy Attorney 
General directs INS to refer to him.
    (4) Assist INS in conducting training concerning asylum and assist 
in resolving questions of policy that may arise.
    (g) The Deputy Attorney General is authorized to exercise the 
authority vested in the Attorney General under section 528(a), Public 
Law 101-509, to accept from federal departments and agencies the 
services of attorneys and non-law enforcement personnel to assist the 
Department of Justice in the investigation and prosecution of fraud or 
other criminal or unlawful activity in or against any federally insured 
financial institution or the Resolution Trust Corporation, and to 
supervise

[[Page 14]]

such personnel in the conduct of such investigations and prosecutions.

[Order No. 960-81, 46 FR 52340, Oct. 27, 1981, as amended by Order No. 
1063-84, 49 FR 32065, Aug. 10, 1984; Order No. 1097-85, 50 FR 25708, 
June 21, 1985; Order No. 1176-87, 52 FR 11044, Apr. 7, 1987; Order No. 
1251-88, 53 FR 5370, Feb. 24, 1988; Order No. 1479-91, 56 FR 10510, Mar. 
13, 1991; Order No. 1949-95, 60 FR 9777, Feb. 22, 1995]



Sec. 0.17  Office of Investigative Agency Policies.

    (a) Organization. The Office of Investigative Agency Policies is 
headed by a Director appointed by the Attorney General. The Director 
shall be responsible to, and report directly to, the Deputy Attorney 
General, and shall serve at the pleasure of the Attorney General. The 
Director shall be chosen from among the heads of the criminal 
investigative agencies of the Department, i.e., the Federal Bureau of 
Investigation, Drug Enforcement Administration, United States Marshals 
Service and Immigration and Naturalization Service. The Director shall 
serve concurrently as the Director of Investigative Agency Policies and 
as head of the agency for which he or she was nominated and confirmed. 
The Director shall be supported by a staff consisting of personnel 
detailed from the criminal investigative agencies of the Department, and 
from the Criminal Division. The staff shall be nominated by these 
various agencies, subject to the approval of the Director.
    (b) Functions. Subject to the general supervision and direction of 
the Attorney General and Deputy Attorney General, the Director shall in 
the areas of overlapping jurisdiction of the criminal investigative 
agencies:
    (1) Take all steps necessary to improve coordination among the 
criminal investigative agencies of the Department, both within the 
United States and abroad;
    (2) Assure, to the extent appropriate, consistent operational 
guidelines for the criminal investigative agencies of the Department;
    (3) Establish procedures, structures and mechanisms for coordinating 
the collection and dissemination of intelligence relating to the 
Department's law enforcement responsibilities;
    (4) Establish procedures and policies relating to procurement for 
the criminal investigative agencies of the Department, including but not 
limited to procurement of communications and computer systems;
    (5) Determine and establish procedures for the coordination of all 
automation systems;
    (6) Determine and establish plans to ensure the effective deployment 
of criminal investigative agency task forces;
    (7) Establish procedures for coordinating the apprehension of 
fugitives;
    (8) Establish programs to coordinate training among the criminal 
investigative agencies of the Department;
    (9) Provide advice to the Attorney General and the Deputy Attorney 
General on all investigative policies, procedures and activities that 
warrant uniform treatment or coordination among the criminal 
investigative agencies of the Department;
    (10) Provide advice to the Attorney General and the Deputy Attorney 
General on the budgetary and resource requests of the criminal 
investigative agencies of the Department;
    (11) Perform such other functions as may be necessary for the 
effective policy-level coordination of criminal investigations by the 
criminal investigative agencies of the Department, particularly with 
respect to drug trafficking, fugitive apprehension, violence, and 
related areas, and for the elimination of waste and duplication in these 
functions.
    (12) Perform such special duties as may be assigned by the Attorney 
General or the Deputy Attorney General from time to time.
    (c) Cooperation. Officials of the Federal Bureau of Investigation, 
the Drug Enforcement Administration, the United States Marshals Service, 
the Immigration and Naturalization Service and all other components of 
the Department that may be requested by the Director of Investigative 
Agency Policies shall provide such information as the Director may 
request.
    (d) Review. Prior to making any decision having a significant impact 
on any criminal investigative agency of the Department, the Director 
shall consult with the head of such agency, or the

[[Page 15]]

designee of the head of such agency. Any head of a criminal 
investigative agency shall have an opportunity to seek review of any 
decision of the Director by the Deputy Attorney General or the Attorney 
General.
    (e) Scope. Nothing in this section shall be interpreted to alter or 
diminish the responsibilities of the Department's criminal investigative 
agencies, or of other components of the Department, including the 
Criminal Division and the United States Attorneys, in the investigation 
and prosecution of violations of federal criminal law.
    (f) Reservation. This policy is set forth solely for the purpose of 
internal Department of Justice guidance. It is not intended to, does 
not, and may not be relied upon to create any rights, substantive or 
procedural, that are enforceable at law by any party in any matter, 
civil or criminal, nor does it place any limitations on otherwise lawful 
investigative or litigative prerogatives of the Department of Justice.

[Order No. 1814-93, 58 FR 62260, Nov. 26, 1993]



Sec. 0.18a  Office of Small and Disadvantaged Business Utilization.

    The Office of Small and Disadvantaged Business Utilization is headed 
by a Director appointed by the Attorney General, who shall be 
responsible to, and report directly to, the Deputy Attorney General. 
Subject to the general supervision and direction of the Deputy Attorney 
General, the Director shall:
    (a) Be responsible for the implementation and execution of the 
functions and duties required by sections 637 and 644 of title 15 U.S. 
Code;
    (b) Establish Department goals for the participation by small 
businesses, including small businesses owned and controlled by socially 
and economically disadvantaged individuals, in Department procurement 
contracts;
    (c) Have supervisory authority over Department personnel to the 
extent that the functions and duties of such personnel relate to the 
functions and duties described in paragraph (a) of this section;
    (d) Provide resource information and technical training and 
assistance regarding utilization of small businesses, including small 
businesses owned and controlled by socially and economically 
disadvantaged individuals, to Department personnel who perform 
procurement functions;
    (e) Assign a small business technical adviser to any Department 
offices to which the Small Business Administration assigns a procurement 
center representative, in accordance with section 644(k)(6) of title 15 
U.S. Code;
    (f) Develop and implement appropriate outreach programs to include 
small minority businesses in procurement contracts;
    (g) Cooperate and consult regularly with the Small Business 
Administration with respect to the functions and duties described in 
paragraph (a) of this section;
    (h) Review, evaluate and report to the Deputy Attorney General on 
the performance of organizational units of the Department in 
accomplishing the goals for utilization of small and disadvantaged 
businesses; and
    (i) Prepare the Department's annual report to the Small Business 
Administration on the extent of participation by small and disadvantaged 
businesses in Department procurement contracts.

[Order No. 906-80, 45 FR 52145, Aug. 6, 1980]



          Subpart C-1--Office of the Associate Attorney General



Sec. 0.19  Associate Attorney General.

    (a) The Associate Attorney General shall advise and assist the 
Attorney General and the Deputy Attorney General in formulating and 
implementing Departmental policies and programs. The Associate Attorney 
General shall also provide overall supervision and direction to 
organizational units as assigned. In addition the Associate Attorney 
General shall:
    (1) Exercise the power and the authority vested in the Attorney 
General to take final action in matters pertaining to the employment, 
separation, and general administration of attorneys and law students in 
pay grades GS-15 and below in organizational units subject to his 
direction.
    (2) Perform such other duties as may be especially assigned from 
time to time by the Attorney General.

[[Page 16]]

    (3) Exercise the power and authority vested in the Attorney General 
to authorize the Director of the U.S. Marshals Service to deputize 
persons to perform the functions of a Deputy U.S. Marshal.
    (b) The Associate Attorney General may redelegate the authority 
provided in paragraph (a)(1) of this section to the official in the 
Office of the Deputy Attorney General responsible for attorney personnel 
management.
    (c) The Associate Attorney General is the Attorney General's 
designee for purposes of determining whether, under part 39 of this 
title, a handicapped person can achieve the purpose of a program without 
fundamental changes in its nature, and whether an action would result in 
a fundamental alteration in the nature of a program or activity or in 
undue financial and administrative burdens. The Associate Attorney 
General may not redelegate this authority.

[Order No. 960-81, 46 FR 52341, Oct. 27, 1981, as amended by Order No. 
1047-84, 49 FR 6485, Feb. 22, 1984; Order No. 1106-85, 50 FR 36055, 
Sept. 5, 1985; Order No. 1251-88, 53 FR 5370, Feb. 24, 1988]



               Subpart D--Office of the Solicitor General



Sec. 0.20  General functions.

    The following-described matters are assigned to, and shall be 
conducted, handled, or supervised by, the Solicitor General, in 
consultation with each agency or official concerned:
    (a) Conducting, or assigning and supervising, all Supreme Court 
cases, including appeals, petitions for and in opposition to certiorari, 
briefs and arguments, and, in accordance with Sec. 0.163, settlement 
thereof.
    (b) Determining whether, and to what extent, appeals will be taken 
by the Government to all appellate courts (including petitions for 
rehearing en banc and petitions to such courts for the issuance of 
extraordinary writs) and, in accordance with Sec. 0.163, advising on the 
approval of settlements of cases in which he had determined that an 
appeal would be taken.
    (c) Determining whether a brief amicus curiae will be filed by the 
Government, or whether the Government will intervene, in any appellate 
court.
    (d) Assisting the Attorney General, the Deputy Attorney General and 
the Associate Attorney General in the development of broad Department 
program policy.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
445-70, 35 FR 19397, Dec. 23, 1970; Order No. 960-81, 46 FR 52341, Oct. 
27, 1981]



Sec. 0.21  Authorizing intervention by the Government in certain cases.

    The Solicitor General may in consultation with each agency or 
official concerned, authorize intervention by the Government in cases 
involving the constitutionality of acts of Congress.



            Subpart D-1--Executive Office for U.S. Attorneys



Sec. 0.22  General functions.

    The Executive Office for United States Attorneys shall be under the 
direction of a Director who shall:
    (a) Provide general executive assistance and supervision to the 
offices of the U.S. Attorneys, including:
    (1) Evaluating the performance of the offices of the U.S. Attorneys, 
making appropriate reports and inspections and taking corrective action 
were indicated.
    (2) Coordinating and directing the relationship of the offices of 
the U.S. Attorneys with other organizational units of the Department of 
Justice.
    (b) Publish and maintain a U.S. Attorneys' Manual and a United 
States Attorneys' Bulletin for the internal guidance of the U.S. 
Attorneys' offices and those other organizational units of the 
Department concerned with litigation.
    (c) Supervise the operation of the Office of Legal Education, the 
Attorney General's Advocacy Institute and the Legal Education Institute, 
which shall develop, conduct and authorize the training of all Federal 
legal personnel.
    (d) Provide the Attorney General's Advisory Committee of United 
States Attorneys with such staff assistance and funds as are reasonably 
necessary to carry out the Committee's responsibilities (28 CFR 
0.10(d)).

[[Page 17]]

    (e) Establish policy and procedures for the satisfaction, 
collection, or recovery of criminal fines, special assessments, 
penalties, interest, bail bond forfeitures, restitution, and court costs 
in criminal cases consistent with Sec. 0.171 of this chapter.

[Order No. 960-81, 46 FR 52341, Oct. 27, 1981, as amended by Order No. 
1413-90, 55 FR 19064, May 8, 1990]



                   Subpart D-2--Office of Legal Policy



Sec. 0.23  General functions.

    The Office of Legal Policy shall be headed by an Assistant Attorney 
General. The principal responsibilities of the Office shall be to plan, 
develop, and coordinate the implementation of major policy initiatives 
of high priority to the Department and to the Administration. In 
addition, the Assistant Attorney General, Office of Legal Policy, shall:
    (a) Examine and study legislation and other policy proposals and 
coordinate Departmental efforts to secure enactment of those of special 
interest to the Department and the Administration.
    (b) Assist the Attorney General and the Deputy Attorney General in 
fulfilling responsibilities of the Federal Legal Council to promote 
coordination and communication among Federal legal offices with the goal 
of achieving effective, consistent, and efficient management of legal 
resources throughout the Federal Government.
    (c) Manage and coordinate the discharge of Departmental 
responsibilities related to the Freedom of Information Act (5 U.S.C. 
552) and the Privacy Act (5 U.S.C. 552a), including coordination and 
implementation of policy development and compliance within executive 
agencies and Departmental units relative to the Freedom on Information 
Act and within Departmental units relative to the Privacy Act; and 
supervise the Office of Information and Privacy which will, except as 
otherwise directed by the Attorney General, act on appeals taken from 
Departmental denials of access to records under the Privacy Act and the 
Freedom of Information Act.
    (d) Advise and assist the Attorney General and the Deputy Attorney 
General regarding the selection and appointment of Federal judges.
    (e) Administer the Federal Justice Research Program.
    (f) Represent the Department on the Administrative Conference of the 
United States and, as appropriate, on regulatory reform matters.
    (g) Participate, as appropriate, in internal budget hearings of the 
Department with regard to policy implications of resource allocations 
and resource implications of major policy initiatives; and advise the 
Assistant Attorney General for Administration with regard to information 
requirements for Departmental policy formulation.
    (h) Advise appropriate Departmental officials, from time to time, on 
investigation, litigation, negotiation, penal, or correctional policies 
to insure the compatibility of those policies with overall Departmental 
goals.
    (i) Perform such other duties and functions as may be specially 
assigned by the Attorney General and the Deputy Attorney General.

In carrying out his responsibilities under this section, the Assistant 
Attorney General, Office of Legal Policy, shall have the right to call 
upon the relevent Departmental units for personnel and other assistance.

[Order No. 960-81, 46 FR 52341, Oct. 27, 1981, as amended by Order No. 
1054-84, 49 FR 10118, Mar. 19, 1984; Order No. 1055-84, 49 FR 12253, 
Mar. 29, 1984]



Sec. 0.23a  Office of Information and Privacy.

    (a) There is established, in the Office of Legal Policy, the Office 
of Information and Privacy, which, under the general supervision and 
direction of the Assistant Attorney General, Office of Legal Policy, 
shall:
    (1) Act on behalf of the Attorney General on Freedom of Information 
Act and Privacy Act appeals under Secs. 16.8, 16.48, 16.50(d) and 16.52, 
respectively, under the supervision of the Assistant Attorney General, 
Office of Legal Policy, except that:

[[Page 18]]

    (i) In the case of a denial of a request by the Assistant Attorney 
General, Office of Legal Policy, the Attorney General or his designee 
shall act on the appeal, and
    (ii) A denial of a request by the Attorney General shall constitute 
the final action of the Department on that request.
    (2) Provide staff support to the Department Review Committee, 
established by Sec. 17.148 of this chapter.
    (3) Advise executive agencies and organizational units of the 
Department on questions relating to interpretation and application of 
the Freedom of Information Act and advise the Department on questions 
relating to interpretation and application of the Privacy Act.
    (4) Coordinate the development and implementation of and compliance 
with Freedom of Information Act policy within the executive agencies and 
all organizational units of the Department.
    (5) Undertake, arrange, or support training and informational 
programs concerning both acts for the executive agencies and the 
Department.
    (6) Undertake such other responsibilities as may be assigned by the 
Assistant Attorney General, Office of Legal Policy.
    (b) All federal agencies which intend to deny Freedom of Information 
Act requests raising novel issues should consult with the Office of 
Information and Privacy to the extent practicable.

[Order No. 973-82, 47 FR 10809, Mar. 12, 1982, as amended by Order No. 
1055-84, 49 FR 12253, Mar. 29, 1984]



Sec. 0.23b  Office of Asylum Policy and Review.

    There is established, in the Office of Legal Policy, the Asylum 
Policy and Review Unit, headed by a Director, under the general 
supervision and direction of the Assistant Attorney General, Office of 
Legal Policy, and exercising such duties as the Deputy Attorney General 
delegates pursuant to 28 CFR 0.15(f) or otherwise assigns to it.

[Order No. 1176-87, 52 FR 11044, Apr. 7, 1987]



                   Subpart E--Office of Legal Counsel



Sec. 0.25  General functions.

    The following-described matters are assigned to, and shall be 
conducted, handled, or supervised by, the Assistant Attorney General, 
Office of Legal Counsel:
    (a) Preparing the formal opinions of the Attorney General; rendering 
informal opinions and legal advice to the various agencies of the 
Government; and assisting the Attorney General in the performance of his 
functions as legal adviser to the President and as a member of, and 
legal adviser to, the Cabinet.
    (b) Preparing and making necessary revisions of proposed Executive 
orders and proclamations, and advising as to their form and legality 
prior to their transmission to the President; and performing like 
functions with respect to regulations and other similar matters which 
require the approval of the President or the Attorney General.
    (c) Rendering opinions to the Attorney General and to the heads of 
the various organizational units of the Department on questions of law 
arising in the administration of the Department.
    (d) Approving proposed orders of the Attorney General, and orders 
which require the approval of the Attorney General, as to form and 
legality and as to consistency and conformity with existing orders and 
memoranda.
    (e) Coordinating the work of the Department of Justice with respect 
to the participation of the United States in the United Nations and 
related international organizations and advising with respect to the 
legal aspects of treaties and other international agreements.
    (f) When requested, advising the Attorney General in connection with 
his review of decisions of the Board of Immigration Appeals and other 
organizational units of the Department.
    (g) Designating within the Office of Legal Counsel:
    (1) A liaison officer, and an alternate, as a representative of the 
Department in all matters concerning the filing of departmental 
documents with the Office of the Federal Register, and

[[Page 19]]

    (2) A certifying officer, and an alternate, to certify copies of 
documents required to be filed with the Office of the Federal Register 
(1 CFR 16.1).
    (h) Approving certain blind trusts, as required by section 
202(f)(4)(B) of the Ethics in Government Act of 1978, 92 Stat. 1843.
    (i) Consulting with the Director of the Office of Government Ethics 
regarding the development of policies, rules, regulations, procedures 
and forms relating to ethics and conflicts of interest, as required by 
section 402 of the Ethics in Government Act of 1978, 92 Stat. 1862.
    (j) Taking actions to ensure implementation of Executive Order 12612 
(entitled ``Federalism''), including determining which Department 
policies have sufficient federalism implications to warrant preparation 
of a Federalism Assessment, reviewing Assessments for adequacy, and 
executing certifications for the Assessments.
    (k) Performing such special duties as may be assigned by the 
Attorney General, the Deputy Attorney General, or the Associate Attorney 
General from time to time.

[Order 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order 445-70, 
35 FR 19397, Dec. 23, 1970; Order 623-75, 40 FR 42746, Sept. 16, 1975; 
Order 960-81, 46 FR 52342, Oct. 27, 1981; Order 1054-84, 49 FR 10118, 
Mar. 19, 1984; Order 1260-88, 53 FR 9435, Mar. 23, 1988]



              Subpart E-1--Office of International Programs



Sec. 0.26  Organization.

    There shall be within the Office of the Deputy Attorney General an 
Office of International Programs.
    (a) Director. The Office of International Programs shall be headed 
by a Director appointed by the Attorney General.
    (b) Functions. The Director of the Office of International Programs 
shall discharge the following duties:
    (1) Coordinate all proposals for the Department of Justice, or 
Department of Justice personnel, to provide foreign countries with 
training or technical assistance in the fields of law enforcement, 
administration of justice, legislation, and economic reform and 
democratic institution-building initiatives.
    (2) Assist the Deputy Attorney General in coordinating the 
activities of the International Criminal Investigative Training 
Assistance Program and in coordinating responses to requests for 
international training and technical assistance submitted to the 
INTERPOL-U.S. National Central Bureau and other Department of Justice 
units.
    (3) Serve as the focal point, on behalf of the Deputy Attorney 
General, for administrative matters involving international activities, 
including overseas staffing, of all Department of Justice units.
    (4) Coordinate arrangements and preparations for contacts by the 
Attorney General and Deputy Attorney General with officials of foreign 
governments, foreign non-governmental organizations, and international 
organizations.
    (5) As required, advise the Deputy Attorney General on matters 
relating to non-operational foreign travel by Department of Justice 
personnel.
    (6) Serve as a primary liaison with the Department of State, with 
other appropriate federal, state and local agencies, and with 
appropriate non-governmental institutions, regarding training and 
technical assistance to foreign countries in the fields of law 
enforcement, administration of justice, legislation, and economic reform 
and democratic institution-building initiatives.
    (7) Review and coordinate all planned and ongoing training and 
technical assistance activities in the fields of law enforcement, 
administration of justice, legislation, and economic reform and 
democratic institution-building initiatives by Department of Justice 
personnel in foreign countries.
    (8) As needed, facilitate logistical arrangements for Department of 
Justice personnel to engage in approved training and technical 
assistance activities in the fields of law enforcement, administration 
of justice, legislation, and economic reform and democratic institution-
building initiatives in foreign countries.
    (9) Coordinate Department of Justice views on proposals for entities 
outside the Department, including international organizations, to 
conduct

[[Page 20]]

training and technical assistance activities in the fields of law 
enforcement, administration of justice, legislation, and economic reform 
and democratic institution-building initiatives in or for foreign 
countries.
    (10) Serve as a focal point, on behalf of the Deputy Attorney 
General, for resolution, within the Department of Justice, of issues 
regarding international policy.
    (11) Coordinate, on behalf of the Deputy Attorney General, 
legislation relevant to Department of Justice training and technical 
assistance activities in or for foreign countries.
    (12) Perform such other duties and functions as may be specially 
assigned by the Deputy Attorney General.
    (c) Relationship with other Departmental units. The Office of 
International Programs shall:
    (1) Maintain continual liaison with interested components of the 
Department on international matters.
    (2) Develop and administer effective mechanisms to ensure thorough 
consideration, by interested components of the Department, of all 
proposals for international training and technical assistance by 
Department personnel.
    (d) Redelegation of authority. The Director is authorized to 
redelegate to any subordinate member of the Office of International 
Programs any of the authority, functions or duties vested in the 
Director by this subpart.

[Order No. 1606-92, 57 FR 32438, July 22, 1992]



    Subpart E-2--Office of Legislative and Intergovernmental Affairs



Sec. 0.27  General functions.

    The following-described matters are assigned to, and shall be 
conducted, handled, or supervised by, the Assistant Attorney General, 
Office of Legislative and Intergovernmental Affairs:
    (a) Maintaining liaison between the Department and the Congress.
    (b) Reviewing, coordinating and submitting departmental legislative 
reports.
    (c) Coordinating the preparation and submission of proposed 
departmental legislation.
    (d) Maintaining liaison between the Department and State and local 
governments and their representative organizations.
    (e) Consulting with State and local officials and their 
representative organizations to inform them of Department policy and law 
enforcement initiatives that may affect State and local governments.
    (f) Performing such other duties respecting legislative matters as 
may be assigned by the Attorney General, the Deputy Attorney General, or 
the Associate Attorney General.

[Order No. 504-73, 38 FR 6893, Mar. 14, 1973, as amended by Order No. 
623-75, 40 FR 42746, Sept. 16, 1975; Order No. 960-81, 46 FR 52343, Oct. 
27, 1981; Order No. 1054-84, 49 FR 10118, Mar. 19, 1984. Redesignated by 
Order No. 1497-91, 56 FR 25629, June 5, 1991]



                  Subpart E-3--Office of Public Affairs



Sec. 0.28  General functions.

    The Office of Public Affairs is headed by a Director of Public 
Affairs who shall:
    (a) Handle matters pertaining to relations with the public 
generally.
    (b) Disseminate information to the press, the radio and television 
services, the public, members of Congress, officials of Government, 
schools, colleges, and civic organizations.
    (c) Coordinate the relations of the Department of Justice with the 
news media.
    (d) Serve as a central agency for information relating to the work 
and activities of all agencies of the Department.
    (e) Prepare public statements and news releases.
    (f) Coordinate Department publications.
    (g) Assist the Attorney General and other officials of the 
Department in preparing for news conferences, interviews and other 
contacts with the news media.

[Order No. 960-81, 46 FR 52343, Oct. 27, 1981. Redesignated by Order No. 
1497-91, 56 FR 25629, June 5, 1991]

[[Page 21]]



              Subpart E-4--Office of the Inspector General

    Source: Order No. 2167-98, 63 FR 36847, July 8, 1998, unless 
otherwise noted.



Sec. 0.29  Organization.

    (a) The Office of the Inspector General (OIG) is composed of the 
Inspector General; the Deputy Inspector General; the Audit, Inspections, 
Investigations, and Management and Planning Divisions; the Special 
Investigations and Review Unit; and the Office of General Counsel.
    (b) The OIG is headquartered in Washington, DC. Investigations Field 
Offices and Audit Regional Offices are located in Washington, DC and 
throughout the United States. For a listing of specific office 
locations, see the OIG Internet Website at http://www.usdoj.gov/oig.



Sec. 0.29a  General functions.

    (a) The OIG is a statutorily created independent entity within the 
Department of Justice subject to the general supervision of the Attorney 
General that conducts and supervises audits, inspections, and 
investigations relating to the programs and operations of the 
Department; recommends policies to promote economy, efficiency, and 
effectiveness and to prevent and detect fraud and abuse in Departmental 
programs and operations; and keeps the Attorney General and Congress 
informed about the problems and deficiencies relating to the 
administration of the Department and the necessity for and progress of 
corrective action.
    (b) In order to carry out its responsibilities the OIG:
    (1) Audits and inspects Department programs and operations as well 
as non-Department entities contracting with or receiving benefits from 
the Department;
    (2) Investigates allegations of criminal wrongdoing and 
administrative misconduct on the part of Department employees, as 
provided in Sec. 0.29c of this subpart;
    (3) Investigates allegations that individuals and entities outside 
of the Department have engaged in activity that adversely affects the 
Department's programs and operations;
    (4) Undertakes sensitive investigations of Department operations 
and/or personnel, often at the request of senior Department officials or 
Congress.



Sec. 0.29b  Reporting allegations of waste, fraud, or abuse.

    Employees shall report evidence and non-frivolous allegations of 
waste, fraud, or abuse relating to the programs and operations of the 
Department to the OIG or to a supervisor for referral to the OIG.



Sec. 0.29c  Reporting allegations of employee misconduct.

    (a) Reporting to the OIG. Evidence and non-frivolous allegations of 
serious misconduct by Department employees shall be reported to the OIG 
except as provided in Sec. 0.29c(b) through (d) of this section.
    (b) Reporting to the Department's Office of Professional 
Responsibility (DOJ-OPR). Employees shall report to DOJ-OPR evidence and 
non-frivolous allegations of serious misconduct by Department attorneys 
that relate to the exercise of their authority to investigate, litigate, 
or provide legal advice. Employees shall also report to DOJ-OPR evidence 
and non-frivolous allegations of serious misconduct by Department law 
enforcement personnel that are related to allegations of misconduct by a 
Department attorney that relate to the exercise of the attorney's 
authority to investigate, litigate, or provide legal advice.
    (c) Reporting to the Drug Enforcement Administration Office of 
Professional Responsibility (DEA-OPR). Evidence and non-frivolous 
allegations of serious misconduct by employees of the Drug Enforcement 
Administration (DEA) shall be reported to the Drug Enforcement 
Administration Office of Professional Responsibility (DEA-OPR) or to the 
Deputy Attorney General.
    (d) Reporting to the Federal Bureau of Investigation Office of 
Professional Responsibility (FBI-OPR). Evidence and non-frivolous 
allegations of serious misconduct by employees of the Federal Bureau of 
Investigation (FBI) shall be reported to the FBI-OPR except as provided 
in Sec. 0.29d of this subpart, or to the Deputy Attorney General.

[[Page 22]]



Sec. 0.29d  Whistleblower protection for FBI employees.

    (a) Protected disclosures by FBI employees. Disclosures of 
information by an FBI employee that the employee reasonably believes 
evidences a violation of any law, rule, or regulation, or mismanagement, 
gross waste of funds, an abuse of authority, or a substantial and 
specific danger to public health or safety are protected disclosures and 
may be reported to the OIG, DOJ-OPR, or FBI-OPR. The OIG and DOJ-OPR 
shall refer such allegations to FBI-OPR for investigation unless the 
Deputy Attorney General determines that such referral shall not be made.
    (b) Allegations of retaliation against FBI employees. Allegations of 
retaliation against an employee of the FBI who makes a protected 
disclosure shall be reported to the OIG, DOJ-OPR, or the Deputy Attorney 
General.



Sec. 0.29e  Relationship to other departmental units.

    (a) The OIG works cooperatively with other Department components to 
assure that allegations of employee misconduct are investigated by the 
appropriate entity:
    (1) The OIG refers to DOJ-OPR, FBI-OPR, or DEA-OPR allegations of 
misconduct within their respective jurisdiction and may refer to another 
component the investigation of an allegation of administrative 
misconduct on the part of an employee of that component;
    (2) DOJ-OPR refers to the OIG, FBI-OPR, or DEA-OPR allegations 
involving misconduct by Department attorneys or investigators that do 
not relate to the exercise of an attorney's authority to investigate, 
litigate, or provide legal advice;
    (3) The FBI and DEA provide contemporaneous notice to the OIG of all 
allegations of serious criminal conduct and serious administrative 
misconduct regarding their respective senior employees (grade 15 and 
above) and all work-related serious criminal conduct (except travel 
voucher fraud or false statements) regarding their other employees;
    (4) The OIG and the FBI notify each other of the existence of 
criminal investigations that fall within their joint jurisdiction to 
investigate crimes involving the operations of the Department, except 
where such notification could compromise the integrity of an 
investigation;
    (5) Other Department components report to the OIG all allegations of 
serious misconduct involving any of their employees except allegations 
involving Department attorneys and investigators that relate to an 
attorney's authority to litigate, investigate, or provide legal advice;
    (6) At the request of the Inspector General, the Deputy Attorney 
General may assign to the OIG a matter within the investigative 
jurisdiction of another internal investigative component. In such 
instances, the OIG shall either:
    (i) Notify the component of its request to the Deputy Attorney 
General or
    (ii) Request that the Deputy Attorney General determine that such 
notification would undermine the integrity of the investigation nor 
jeopardize the interests of the complainant.
    (7) While an issue of investigative jurisdiction or assignment is 
pending before the Deputy Attorney General, neither the OIG nor the 
other investigative component shall undertake any investigative activity 
without authorization from the Deputy Attorney General.
    (b) OIG investigations that result in findings of potential criminal 
misconduct or civil liability are referred to the appropriate 
prosecutorial or litigative office.
    (c) The OIG advises DOJ-OPR of the existence and results of any 
investigation that reflects upon the ethics, competence, or integrity of 
a Department attorney for appropriate action by DOJ-OPR.
    (d) OIG investigations that result in findings of administrative 
misconduct are reported to management for appropriate disposition.

[Order No. 2167-98, 63 FR 36847, July 8, 1998; 63 FR 40788, July 30, 
1998]



Sec. 0.29f  Confidentiality.

    The Inspector General shall not, during the pendency of an 
investigation, disclose the identity of an employee who submits a 
complaint to the OIG

[[Page 23]]

without the employee's consent, unless the Inspector General determines 
that such disclosure is unavoidable in the course of the investigation.



Sec. 0.29g  Reprisals.

    Any employee who has authority to take, direct others to take, 
recommend, or approve any personnel action shall not, with respect to 
such authority, take or threaten to take any action against any employee 
as a reprisal for the employee making a complaint or disclosing 
information to the OIG unless the complaint was made or the information 
was disclosed with knowledge that it was false or with willful disregard 
for its truth or falsity.



Sec. 0.29h  Specific authorities of the Inspector General.

    The Inspector General is authorized to:
    (a) Conduct investigations and issue reports relating to the 
administration of the programs and operations of the Department as are, 
in the judgment of the Inspector General, necessary or desirable;
    (b) Receive and investigate complaints or information from an 
employee of the Department concerning the possible existence of an 
activity constituting a violation of law, rules, or regulations, or 
mismanagement, gross waste of funds, an abuse of authority, or a 
substantial and specific danger to the public health and safety;
    (c) Have direct and prompt access to the Attorney General when 
necessary for any purpose pertaining to the performance of the functions 
and responsibilities of the OIG;
    (d) Have access to all records, reports, audits, reviews, documents, 
papers, recommendations, or other material available to the Department 
and its components that relate to programs and operations with respect 
to which the OIG has responsibilities unless the Attorney General 
notifies the Inspector General, in writing, that such access shall not 
be available because it is necessary to prevent the disclosure of
    (1) Sensitive information concerning ongoing civil or criminal 
investigations or proceedings;
    (2) Undercover operations;
    (3) The identity of confidential sources, including protected 
witnesses;
    (4) Intelligence or counterintelligence matters; or
    (5) Other matters the disclosure of which would constitute a serious 
threat to national security or significantly impair the national 
interests of the United States;
    (e) Request such information or assistance as may be necessary for 
carrying out the duties and responsibilities of the OIG from any office, 
board, division, or component of the Department, and any Federal, State, 
or local governmental agency or unit thereof;
    (f) Issue subpoenas to individuals, and entities, other than Federal 
government agencies, for the production of information, records, data, 
and other documentary evidence necessary to carry out the functions of 
the OIG;
    (g) Obtain information from Federal government agencies by means 
other than subpoena and advise the head of such agency whenever 
information is unreasonably refused or not provided;
    (h) Select, appoint, and employ such officers and employees as may 
be necessary for carrying out the functions, powers, and duties of the 
OIG;
    (i) Employ on a temporary basis such experts and consultants as may 
be necessary to carry out the duties of the OIG;
    (j) Enter into contracts and other arrangements for audits, studies, 
analyses, and other services with public agencies and with private 
persons, and to make such payments as may be necessary to carry out the 
duties of the OIG;
    (k) Take from any person an oath, affirmation, or affidavit whenever 
necessary in the performance of the functions of the OIG.



Sec. 0.29i  Audit, inspection, and review authority.

    The OIG is authorized to perform audits, inspections, and reviews of 
the programs and operations of the Department of Justice and of entities 
contracting with or obtaining benefits from the Department.



Sec. 0.29j  Law enforcement authority.

    Special Agents of the OIG are deputized on an annual basis as Deputy

[[Page 24]]

United States Marshals at the direction of the Deputy Attorney General 
and are authorized to:
    (a) Detect and assist in the prosecution of crimes in violation of 
the laws of the United States and to conduct such other investigations 
regarding matters that are within the jurisdiction of the Inspector 
General;
    (b) Carry firearms;
    (c) Seek and execute search and arrest warrants;
    (d) Arrest without warrant any person committing any offense in the 
presence of an OIG Special Agent or whom the Agent has reasonable 
grounds to believe has committed or is committing a felony;
    (e) Serve legal writs, summons, complaints, and subpoenas issued by 
the Inspector General or by a Federal grand jury;
    (f) Receive, transport, and provide safekeeping of arrestees and 
other persons in the custody of the Attorney General, or detained 
aliens.



                 Subpart F--Community Relations Service



Sec. 0.30  General functions.

    The following-described matters are assigned to, and shall be 
conducted, handled, or supervised by, the Director of the Community 
Relations Service:
    (a) Exercise of the powers and performance of the functions vested 
in the Attorney General by sections 204(d), 205, 1002, and 1003(a) of 
the Civil Rights Act of 1964 (78 Stat. 267) and section 2 of 
Reorganization Plan No. 1 of 1966.
    (b) Preparation and submission of the annual report to the Congress 
required by section 1004 of that Act.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
445-70, 35 FR 19397, Dec. 23, 1970; Order No. 699-77, 42 FR 15315, Mar. 
21, 1977; Order No. 960-81, 46 FR 52343, Oct. 27, 1981]



Sec. 0.31  Designating officials to perform the functions of the Director.

    (a) In case of a vacancy in the Office of the Director of the 
Community Relations Service, the Deputy Director of the Service shall 
perform the functions and duties of the Director.
    (b) The Director is authorized, in case of absence from his office 
or in case of his inability or disqualification to act, to designate the 
Deputy Director to act in his stead. In unusual circumstances, or in the 
absence of the Deputy Director, a person other than the Deputy Director 
may be so designated by the Director.



Sec. 0.32  Applicability of existing departmental regulations.

    Departmental regulations which are generally applicable to units or 
personnel of the Department of Justice shall be applicable with respect 
to the Community Relations Service and to the Director and personnel 
thereof, except to the extent, if any, that such regulations may be 
inconsistent with the intent and purposes of section 1003(b) of the 
Civil Rights Act of 1964.



          Subpart F-1--Office of Intelligence Policy and Review



Sec. 0.33a  Organization.

    The Office of Intelligence Policy and Review shall be headed by a 
Counsel for Intelligence Policy, appointed by the Attorney General.

[Order No. 960-81, 46 FR 52343, Oct. 27, 1981]



Sec. 0.33b  Functions.

    The Counsel for Intelligence Policy shall:
    (a) Advise and assist the Attorney General in carrying out his 
responsibilities under Executive Order 12036, ``United States 
Intelligence Activities;''
    (b) Serve as the Department representative on interdepartmental 
boards, committees and other groups dealing with intelligence and 
counterintelligence matters;
    (c) Oversee the development, coordination and implementation of 
Department policy with regard to intelligence, counterintelligence and 
national security matters;
    (d) Participate in the development, implementation and review of 
United States intelligence policies, including procedures for the 
conduct of intelligence and counterintelligence activities;
    (e) Evaluate Departmental activities and existing and proposed 
domestic and

[[Page 25]]

foreign intelligence and counterintelligence activities to determine 
their consistency with United States intelligence policies and law;
    (f) Formulate policy alternatives and recommend action by the 
Department and other executive agencies in achieving lawful United 
States intelligence and counterintelligence objectives;
    (g) Analyze and interpret current statutes, Executive orders, 
guidelines, and other directives pertaining to domestic security, 
foreign intelligence and counterintelligence activities; and
    (h) Review and comment upon proposed statutes, guidelines, and other 
directives with regard to intelligence activities; and, in conjunction 
with the Office of Legal Counsel, review and comment upon the form and 
legality of proposed Executive Orders that touch upon matters related to 
the function of this Office;
    (i) Supervise the preparation of certifications and applications for 
orders under the Foreign Intelligence Surveillance Act and the 
representation of the United States before the United States Foreign 
Intelligence Surveillance Court;
    (j) Recommend action by the Department of Justice with regard to 
applications for foreign intelligence and counterintelligence electronic 
surveillances, as well as for other investigative activities by 
executive branch agencies;
    (k) Monitor intelligence and counterintelligence activities by 
executive branch agencies to insure conformity with Department 
objectives;
    (l) Prepare periodic and special intelligence reports describing and 
evaluating domestic and foreign intelligence and counterintelligence 
activities and assessing trends or changes in these activities;
    (m) Provide a quality control review for all outgoing intelligence 
and counterintelligence reports;
    (n) Supervise the preparation of the Office's submission for the 
annual budget; and
    (o) Perform other duties pertaining to intelligence activities as 
may be assigned by the Attorney General.

[Order No. 875-80, 45 FR 13729, Mar. 3, 1980, as amended by Order No. 
960-81, 46 FR 52343, Oct. 27, 1981]



Sec. 0.33c  Relationship to other departmental units.

    (a) Internal security functions at Sec. 0.61 shall continue to be 
the responsibility of the Assistant Attorney General in charge of the 
Criminal Division.
    (b) The Assistant Attorney General for Administration shall be 
responsible for providing advice relating to basic Department policy for 
security and shall direct all Department security programs assigned at 
Sec. 0.75(p).
    (c) Responsibility for conducting criminal investigations shall 
continue to rest with the head of the Departmental investigative or 
prosecutive unit having jurisdiction over the subject matter.
    (d) Responsibility for conducting intelligence activities shall 
continue to rest with the head of the Departmental unit having 
jurisdiction over the subject matter.
    (e) In rendering legal opinions, the Counsel for Intelligence Policy 
shall consult with the Office of Legal Counsel whenever the Counsel 
determines:
    (1) That a question raises significant implications for activities 
of the government other than intelligence activities, or
    (2) That other facts or circumstances make such consultation 
appropriate.

[Order No. 875-80, 45 FR 13729, Mar. 3, 1980]



       Subpart F-2--INTERPOL-United States National Central Bureau



Sec. 0.34  General functions.

    The following functions are assigned to, and shall be conducted, 
handled, or supervised by, the Chief of the United States National 
Central Bureau, International Criminal Police Organization (INTERPOL--
U.S. National Central Bureau), as authorized by statute and within 
guidelines prescribed by the Department of Justice, in conjunction with 
the Department of Treasury:
    (a) Facilitate international law enforcement cooperation as the 
United States representative with the International Criminal Police 
Organization (INTERPOL), on behalf of the Attorney General, pursuant to 
22 U.S.C. 263a.

[[Page 26]]

    (b) Represent the U.S. National Central Bureau at criminal law 
enforcement and international law enforcement conferences and symposia.
    (c) Serve as a member of the Executive Committee of INTERPOL-United 
States National Central Bureau (INTERPOL-USNCB).
    (d) Transmit information of a criminal justice, humanitarian, or 
other law enforcement related nature between National Central Bureaus of 
INTERPOL member countries, and law enforcement agencies within the 
United States and abroad; and respond to requests by law enforcement 
agencies, and other legitimate requests by appropriate organizations, 
institutions and individuals, when in agreement with the INTERPOL 
constitution.
    (e) Coordinate and integrate information for investigations of an 
international nature and identify those involving patterns and trends of 
criminal activities.
    (f) Conduct analyses of patterns of international criminal 
activities, when specific patterns are observed.
    (g) Establish and collect user fees to process name checks and 
background records for licensing, humanitarian and other non-law 
enforcement purposes.

[Order No. 960-81, 46 FR 52343, Oct. 27, 1981, as amended by Order No. 
1295-88, 53 FR 30990, Aug. 17, 1988; Order No. 1441-90, 55 FR 32403, 
Aug. 9, 1990; Order No. 1491-91, 56 FR 21600, May 10, 1991]



                Subpart G--Office of the Pardon Attorney

    Cross Reference: For regulations pertaining to the Office of Pardon 
Attorney, see part 1 of this chapter.



Sec. 0.35  General functions; delegation of authority.

    Under the general supervision of the Attorney General and the 
direction of the Associate Attorney General, the following-described 
matters are assigned to, and shall be conducted, handled or supervised 
by, the Pardon Attorney but subject to the limitation contained in 
Sec. 0.36 of this chapter.
    (a) Exercise of the powers and performance of the functions vested 
in the Attorney General by Secs. 1.1 through 1.8 inclusive of this 
chapter.
    (b) Performance of such other duties as may be assigned by the 
Attorney General or the Associate Attorney General.

[Order No. 1012-83, 48 FR 22290, May 18, 1983]



Sec. 0.36  Recommendations.

    The Pardon Attorney shall submit all recommendations in clemency 
cases through the Associate Attorney General and the Associate Attorney 
General shall exercise such discretion and authority as is appropriate 
and necessary for the handling and transmittal of such recommendations 
to the President.

[Order No. 1012-83, 48 FR 22290, May 18, 1983]



        Subpart G-1--Executive Office for United States Trustees



Sec. 0.37  Organization.

    The Executive Office for United States Trustees shall be headed by a 
Director appointed by the Attorney General.

[Order No. 960-81, 46 FR 52344, Oct. 27, 1981]



Sec. 0.38  Functions.

    The Director shall have responsibility for assisting the Attorney 
General and the Deputy Attorney General in supervising and providing 
general coordination and assistance to United States Trustees. The 
Director shall perform such duties relating to such functions and others 
under the Bankruptcy Reform Act of 1978 as may be assigned by the 
Attorney General or the Deputy Attorney General.

[Order No. 960-81, 46 FR 52344, Oct. 27, 1981]



           Subpart G-2--Office of Professional Responsibility

    Source: Order No. 833-79, 45 FR 27754, Apr. 24, 1980.



Sec. 0.39  Organization.

    The Office of Professional Responsibility shall be headed by a 
Counsel, appointed by the Attorney General. The Counsel shall be subject 
to the general

[[Page 27]]

supervision and direction of the Attorney General or, whenever 
appropriate, of the Deputy Attorney General or the Associate Attorney 
General or the Solicitor General.



Sec. 0.39a  Functions.

    The Counsel on Professional Responsibility shall:
    (a) Receive and review any information or allegation concerning 
conduct by a Department employee that may be in violation of law, 
regulations or orders, or of applicable standards of conduct or may 
constitute mismanagement, gross waste of funds, abuse of authority, or a 
substantial and specific danger to public health or safety. However, 
this provision does not preempt the primary responsibility of internal 
inspection units of the Department to receive such information or 
allegations and to conduct investigations.
    (b) Receive and review any allegation of reprisal against an 
employee or applicant who discloses information pursuant to paragraph 
(a) of this section. Any disclosure by an employee or applicant to the 
appropriate internal inspection unit of the Department under this 
subsection shall constitute disclosure to the Attorney General or the 
Counsel.
    (c) Make such preliminary inquiry as may be necessary to determine 
whether the matter should be referred to another official within the 
Department.
    (d) Refer any matter that appears to warrant examination in the 
following manner:
    (1) If the matter appears to involve a violation of law, to the head 
of the investigative agency having jurisdiction to investigate such 
violations;
    (2) If the matter appears not to involve a violation of law, to the 
head of the office, division, bureau or board to which the employee is 
assigned, or to the head of its internal inspection unit;
    (3) If referral to the official indicated in paragraph (d)(1) or (2) 
of this section would be inappropriate, to the Attorney General and the 
Deputy Attorney General or, if referral to both the Attorney General and 
the Deputy Attorney General would also be inappropriate, to whichever of 
them would be proper or to the Associate Attorney General or the 
Solicitor General.
    (e) Receive. (1) Reports containing the findings of any 
investigation undertaken upon matters referred under paragraph (d)(2) of 
this section and the administrative sanction to be imposed, if any 
sanction is warranted; and
    (2) Monthly reports from the internal inspection units setting forth 
any information or allegations received pursuant to paragraph (a) or (b) 
of this section and the status of any pending investigations.
    (f) Notify within a reasonable period of time any person who has 
submitted information or made allegations pursuant to paragraph (a) or 
(b) of this section of the final result of any investigation undertaken: 
Provided, That such notification is permitted by and accords with 
applicable statutes and regulations.
    (g) Recommend to the Attorney General, the Deputy Attorney General, 
the Associate Attorney General, or the Solicitor General what further 
action should be undertaken with regard to any matter referred to such 
official under paragraph (d)(3) of this section, including the 
assignment of any task force or individual to undertake the action 
recommended and any special arrangements that appear warranted.
    (h) Undertake any investigation of a matter referred under paragraph 
(d)(3) of this section that may be assigned by the Attorney General, the 
Deputy Attorney General, the Associate Attorney General, or the 
Solicitor General, or cooperate with any other organization, task force, 
or individual that may be assigned by such official to undertake the 
investigation.
    (i) Submit to the Attorney General and the Deputy Attorney General 
or, if submission to both would be inappropriate, to whichever of them 
would be proper or to the Associate Attorney General or the Solicitor 
General:
    (1) An immediate report concerning any matter referred under 
paragraph (d)(1) or (d)(2) of this section that should be brought to the 
attention of a higher official;
    (2) An immediate report concerning the adequacy of any investigation 
of a matter referred under paragraph (d) of this section, if the Counsel 
believes that a significant question exists as to the adequacy of such 
investigation; and

[[Page 28]]

    (3) An annual report, or a semi-annual report if the Counsel 
determines this to be necessary, reviewing and evaluating the activities 
of internal inspection units, or where there are no such units, the 
discharge of comparable duties within the Department.
    (j) Submit recommendations to the Attorney General and the Deputy 
Attoney General on the need for changes in policies or procedures that 
become evident during the course of the Counsel's inquiries.
    (k) Undertake any other responsibilities assigned by the Attorney 
General including duties relating to the improvement of the performance 
of the Department.



Sec. 0.39b  Confidentiality of information.

    Whenever any employee of or applicant to the Department provides 
information pursuant to Sec. 0.39a(a) or (b), the Counsel and the 
internal inspection unit shall maintain the confidentiality of the 
employee or applicant unless the employee or applicant consents to the 
release of his or her identity or the Counsel determines that the 
disclosure of the identity is necessary to resolve the allegation.



Sec. 0.39d  Relationship to other departmental units.

    (a) Primary responsibility for assuring the maintenance of the 
highest standards of professional responsibility by Department employees 
shall continue to rest with the heads of the offices, divisions, bureaus 
and boards of the Department.
    (b) Primary responsibility for investigating an allegation of 
unprofessional conduct that is lodged against an employee of the 
Department normally shall continue to rest with the head of the office, 
division, bureau, or board to which the employee is assigned, or with 
the head of its internal inspection unit, or, if the conduct appears to 
constitute a violation of law, with the head of the agency having 
jurisdiction over the subject matter involved.
    (c) The heads of the offices, divisions, bureaus, and boards shall 
provide information and assistance requested by the Counsel in 
connection with reviews or investigations conducted by the Counsel or by 
any other person assigned to conduct reviews or investigations and shall 
keep the Counsel informed of major investigations that they are 
conducting.
    (d) Employees of the Department may be assigned to the Office of 
Professional Responsibility on a case-by-case basis to conduct such 
inquiries as may be warranted. However, no investigative personnel shall 
be assigned except under the specific direction of the Attorney General 
or the Deputy Attorney General and, in normal course, with the agreement 
of the head of the unit to which the investigative personnel are 
regularly assigned. Personnel assigned to the Office shall work under 
the direction of the Counsel.



Sec. 0.39e  Committee on Professional Responsibility.

    The Committee on Professional Responsibility shall consist of 
Department officials designated by the Attorney General and shall serve 
as an advisory body to the counsel.



                      Subpart H--Antitrust Division



Sec. 0.40  General functions.

    The following functions are assigned to and shall be conducted, 
handled, or supervised by, the Assistant Attorney General, Antitrust 
Division:
    (a) General enforcement, by criminal and civil proceedings, of the 
Federal antitrust laws and other laws relating to the protection of 
competition and the prohibition of restraints of trade and 
monopolization, including conduct of surveys of possible violations of 
antitrust laws, conduct of grand jury proceedings, issuance and 
enforcement of civil investigative demands, civil actions to obtain 
orders and injunctions, civil actions to recover forfeitures or damages 
for injuries sustained by the United States as a result of antitrust law 
violations, proceedings to enforce compliance with final judgments in 
antitrust suits and negotiation of consent judgments in civil actions, 
civil actions to recover penalties, criminal actions to impose penalties 
including actions for the imposition of penalties for conspiring to 
defraud the Federal Government by violation of the antitrust laws, 
participation as amicus curiae in private antitrust litigation; and

[[Page 29]]

prosecution or defense of appeals in antitrust proceedings.
    (b) Intervention or participation before administrative agencies 
functioning wholly or partly under regulatory statutes in administrative 
proceedings which require consideration of the antitrust laws or 
competitive policies, including such agencies as the Civil Aeronautics 
Board, Interstate Commerce Commission, Federal Communications 
Commission, Federal Maritime Commission, Federal Energy Regulatory 
Commission, Federal Reserve Board, Federal Trade Commission, Nuclear 
Regulatory Commission, and Securities and Exchange Commission, except 
proceedings referred to any agency by a federal court as an incident to 
litigation being conducted under the supervision of another Division in 
this Department.
    (c) Developing procedures to implement, receiving information, 
maintaining records, and preparing reports by the Attorney General to 
the President as required by Executive Order 10936 of April 25, 1961 
relating to identical bids submitted to Federal and State departments 
and agencies.
    (d) As the delegate of the Attorney General furnishing reports and 
summaries thereof respecting the competitive factors involved in 
proposed mergers or consolidations of insured banks required by the 
Federal Deposit Insurance Act, as amended (12 U.S.C. 1828(c)), 
furnishing reports respecting the competitive factors involved in 
proposed acquisitions under the Savings and Loan Holding Company 
Amendments of 1967 (12 U.S.C. 1730a(e)), furnishing advice regarding the 
proposed disposition of surplus Government property required by the 
Federal Property and Administrative Services Act of 1949, as amended (40 
U.S.C. 488), furnishing reports regarding deepwater port licenses under 
the Deepwater Port Act of 1974 (33 U.S.C. 1506), furnishing advice and 
reports regarding federal coal leases under the Federal Coal Leasing 
Amendments Act of 1976 (30 U.S.C. 184(1)), furnishing advice on oil and 
gas leasing under the Outer Continental Shelf Lands Act Amendments of 
1978 (43 U.S.C. 1334(a) 1334(f)(3). 1337), furnishing reports and 
recommendations regarding the issuance of licenses for exploration or 
permits for commercial recovery of deep seabed hard minerals pursuant to 
the Deep Seabed Hard Minerals Resources Act (30 U.S.C. 1413(d)), 
furnishing advice or reports regarding contracts or operating agreements 
concerning exploration, development or production of petroleum reserves 
under the Naval Petroleum Reserves Production Act of 1976 (10 U.S.C. 
7430(g)(1)), and furnishing advice regarding nuclear licenses under the 
Atomic Energy Act of 1954 (42 U.S.C. 2135).
    (e) Preparing the approval or disapproval of the Attorney General 
whenever such action is required by statute from the standpoint of the 
antitrust laws as a prerequisite to the development of Defense 
Production Act voluntary programs or agreements and small business 
production or raw material pools, the national defense program and 
atomic energy matters.
    (f) Assembling information and preparing reports required or 
requested by the Congress or the Attorney General as to the effect upon 
the maintenance and preservation of competition under the free 
enterprise system of various Federal laws or programs, including the 
Defense Production Act of 1950, the Small Business Act, the Federal Coal 
Leasing Amendments Act of 1976 (30 U.S.C. 208-2), the Naval Petroleum 
Reserves Production Act of 1976 (10 U.S.C. 7431(b)(2)), and the joint 
resolution of July 28, 1955, giving consent to the Interstate Compact to 
Conserve Oil and Gas.
    (g) Preparing for transmittal to the President, Congress, or other 
departments or agencies views or advice as to the propriety or effect of 
any action, program or practice upon the maintenance and preservation or 
competition under the free enterprise system.
    (h) Representing the Attorney General on interdepartmental or 
interagency committees concerned with the maintenance and preservation 
of competition generally and in various sections of the economy and the 
operation of the free enterprise system and when authorized 
participating in conferences

[[Page 30]]

and committees with foreign governments and treaty organizations 
concerned with competition and restrictive business practices in 
international trade.
    (i) Collecting fines, penalties, judgments, and forfeitures arising 
in antitrust cases.
    (j) [Reserved]
    (k) As the delegate of the Attorney General, performance of all 
functions which the Attorney General is required or authorized to 
perform by title III of Public Law 97-290 (15 U.S.C. 4011-4021) with 
respect to export trade certificates of review.

[Order No. 617-75, 40 FR 36118, Aug. 19, 1975, as amended by Order No. 
699-77, 42 FR 15315, Mar. 21, 1977; Order No. 960-81, 46 FR 52344, Oct. 
27, 1981; Order Nos. 1002-83, 1003-83, 48 FR 9522, 9523, Mar. 7, 1983]



Sec. 0.41  Special functions.

    The following functions are assigned to, and shall be conducted, 
handled, or supervised by, the Assistant Attorney General, Antitrust 
Division:
    (a) Institution of proceedings to impose penalties for violations of 
section 202(a) of the Communications Act of 1934 (48 Stat. 1070), as 
amended (47 U.S.C. 202(a)), which prohibits common carriers by wire or 
radio from unjustly or unreasonably discriminating among persons, 
classes of persons, or localities.
    (b) Representing the United States in suits pending as of February 
28, 1975, before three-judge district courts under sections 2321-2325 of 
title 28 of the U.S. Code, to enforce, suspend, enjoin, annul, or set 
aside, in whole or in part, any order of the Interstate Commerce 
Commission. (Pub. L. 93-584, Sec. 10, 88 Stat. 1917)
    (c) Representing the United States in proceedings before courts of 
appeals to review orders of the Interstate Commerce Commission, the 
Federal Communications Commission, the Federal Maritime Commission and 
the Nuclear Regulatory Commission (28 U.S.C. 2341-2350).
    (d) Representing the Civil Aeronautics Board, and the Secretary of 
the Treasury or his delegates under the Federal Alcohol Administration 
Act, in courts of appeals reviewing their respective administrative 
orders.
    (e) Defending the Secretary of the Treasury or his delegates under 
the Federal Alcohol Administration Act, and the agencies named in 
paragraphs (c), (d) and (e) of this section or their officers against 
the injunctive actions brought in Federal courts when the matter which 
is the subject of the actions will ultimately be the subject of review 
under paragraph (c), (d), (e) or (g) of this section, or of an 
enforcement action under paragraph (b) of this section.
    (f) Seeking review of or defending judgments rendered in proceedings 
under paragraphs (a) through (e) of this section.
    (g) Acting on behalf of the Attorney General with respect to 
sections 252 and 254 of the Energy Policy and Conservation Act, 42 
U.S.C. 6272, 6274, including acting on behalf of the Attorney General 
with respect to voluntary agreements or plans of action established 
pursuant to section 252 of that Act.
    (h) [Reserved]
    (i) Acting on behalf of the Attorney General with respect to 
sections 4(b), 4(c) and 4(d) of the National Cooperative Production 
Amendments of 1993, Pub. L. No. 103-42, 107 Stat. 117 (15 U.S.C. 4305 
note).
    (j) Defending the Secretary of Commerce and the Attorney General, or 
their delegates, in actions to set aside a determination with respect to 
export trade certificates of review under section 305(a) of Public Law 
97-290 (15 U.S.C. 4015(a)).
    (k) Acting on behalf of the Attorney General with respect to section 
6 of the National Cooperative Research and Production Act of 1984, Pub. 
L. 98-462, 98 Stat. 1815, as amended by the National Cooperative 
Production Amendments of 1993, Pub. L. No. 103-42, 107 Stat. 117 (15 
U.S.C. 4305).

[Order No. 615-75, 40 FR 36118, Aug. 19, 1975, as amended by Order No. 
699-77, 42 FR 15315, Mar. 21, 1977; Order No. 769-78, 43 FR 8256, Mar. 
1, 1978; Order No. 960-81, 46 FR 52344, Oct. 27, 1981; Order Nos. 1002-
83, 1003-83, 48 FR 9522, 9523, Mar. 7, 1983; Order No. 1077-85, 49 FR 
46372, Nov. 26, 1984; Order No. 1857-94, 59 FR 14101, Mar. 25, 1994]

[[Page 31]]

  Appendix to Subpart H--Delegation of Authority Respecting Denials of 
             Freedom of Information and Privacy Act Requests

                             [Memo No. 79-1]

    1. The Deputy Assistant Attorney General for Litigation, Antitrust 
Division, will assume the duties and responsibilities previously 
assigned to the Assistant Attorney General by 28 CFR 16.5 (b) and (c) 
and 16.45(a), as amended July 1, 1977, and defined in those sections, 
for denying requests and obtaining statutory extensions of time under 
the Freedom of Information Act, 5 U.S.C. 552, et seq., and the Privacy 
Act, 5 U.S.C. 552a, et seq.
    2. The Deputy Assistant Attorney General for Litigation, Antitrust 
Division, who signs a denial or partial denial of a request for records 
made under the Freedom of Information Act or the Privacy Act shall be 
the ``person responsible for the denial'' within the meaning of 5 U.S.C. 
552(a) and 5 U.S.C. 552a (j) and (k).

[44 FR 54045, Sept. 18, 1979]



                        Subpart I--Civil Division

    Cross Reference: For regulations pertaining to the Civil Division, 
see part 15 of this chapter.



Sec. 0.45  General functions.

    The following-described matters are assigned to, and shall be 
conducted, handled, or supervised by, the Assistant Attorney General, 
Civil Division:
    (a) Admiralty and shipping cases--civil and admiralty litigation in 
any court by or against the United States, its officers and agents, 
which involves ships or shipping (except suits to enjoin final orders of 
the Federal Maritime Commission under the Shipping Act of 1916 and under 
the Intercoastal Shipping Act assigned to the Antitrust Division by 
subpart H of this part), defense of regulatory orders of the Maritime 
Administration affecting navigable waters or shipping thereon (except as 
assigned to the Land and Natural Resources Division by Sec. 0.65(a)), 
workmen's compensation, and litigation and waiver of claims under 
reciprocal-aid maritime agreements with foreign governments.
    (b) Court of claims cases--litigation by and against the United 
States in the Court of Claims, except cases assigned to the Land and 
Natural Resources Division and the Tax Division by subparts M and N of 
this part, respectively.
    (c) International trade--all litigation before the Court of 
International Trade, including suits instituted pursuant to 28 U.S.C. 
1581(i) and suits by the United States to recover customs duties, to 
recover upon a bond relating to the importation of merchandise required 
by the laws of the United States or by the Secretary of the Treasury and 
to recover a civil penalty under sections 592, 704(i)(2), or 734(i)(2) 
of the Tariff Act of 1930, and the presentation of appeals in the Court 
of International Trade.
    (d) Fraud cases--civil claims arising from fraud on the Government 
(other than antitrust, land and tax frauds), including alleged claims 
under the False Claims Act, the Program Fraud Civil Remedies Act of 
1986, the Surplus Property Act of 1944, the Anti-Kickback Act, the 
Contract Settlement Act of 1944, the Contract Disputes Act of 1978, 19 
U.S.C. 1592 and common law fraud.
    (e) Gifts and bequests--handling matters arising out of devises and 
bequests and inter vivos gifts to the United States, except 
determinations as to the validity of title to any lands involved and 
litigation pertaining to such determinations.
    (f) Patent and allied cases and other patent matters--patent, 
copyright, and trademark litigation before the U.S. courts and the 
Patent Office, including patent and copyright infringement suits in the 
Court of Claims (28 U.S.C. 1498), suits for compensation under the 
Patent Secrecy Act where the invention was ordered to be kept secret in 
the interest of national defense (35 U.S.C. 183), suits for compensation 
for unauthorized practice of a patented invention in the furnishing of 
assistance under the Foreign Assistance Act (22 U.S.C. 2356), suits for 
compensation for the unauthorized communication of restricted data by 
the Atomic Energy Commission to other nations (42 U.S.C. 2223), 
interference proceedings (35 U.S.C. 135, 141, 142, 146), defense of the 
Register of Copyrights in his administrative acts, suits for specific 
performance to acquire title to patents, and civil patent-fraud cases.

[[Page 32]]

    (g) Tort cases--defense of tort suits against the United States 
arising under the Federal Tort Claims Act and special acts of Congress; 
similar litigation against cost-plus Government contractors and Federal 
employees whose official conduct is involved (except actions against 
Government contractors and Federal employees which are assigned to the 
Land and Natural Resources Division by Sec. 0.65(a); prosecution of tort 
claims for damage to Government property, and actions for the recovery 
of medical expenses under Public Law 87-693 and part 43 of this title.
    (h) General civil matters--litigation by and against the United 
States, its agencies, and officers in all courts and administrative 
tribunals to enforce Government rights, functions, and monetary claims 
(except defense of injunctive proceedings assigned to the Antitrust 
Division by subpart H of this part, civil proceedings seeking 
exclusively equitable relief assigned to the Criminal Division by 
Secs. 0.55(i) and 0.61(d), and proceedings involving judgments, fines, 
penalties, and forfeitures assigned to other divisions by Sec. 0.171), 
and to defend challenged actions of Government agencies and officers, 
not otherwise assigned, including, but not limited to, civil penalties 
and forfeitures, actions in the Court of Claims under the Renegotiation 
Act, claims against private persons or organizations for which the 
Government is, or may ultimately be, liable, except as provided in 
Sec. 0.70(c)(2), defense of actions arising under section 2410 of title 
28 of the U.S. Code whenever the United States is named as a party as 
the result of the existence of a Federal lien against property, defense 
of actions for the recovery of U.S. Government Life Insurance and 
National Service Life Insurance (38 U.S.C. 784), enforcement of 
reemployment rights in private industry pursuant to the Military 
Selective Service Act of 1967 (50 U.S.C., App. 459); reparations suits 
brought by the United States as a shipper under the Interstate Commerce 
Act; civil actions by the United States for penalties for violations of 
car service orders (49 U.S.C. 1(17a)); actions restraining violations of 
part II of the Interstate Commerce Act (49 U.S.C. 322(b) and 322(h); 
civil actions under part I of the Interstate Commerce Act (49 U.S.C. 
6(10) and 16(9)); injunctions against violations of Interstate Commerce 
Commission orders (49 U.S.C. 16(12)); mandamus to compel the furnishing 
of information to the Interstate Commerce Commission (49 U.S.C. 19a(1) 
and 20(9)); recovery of rebates under the Elkins Act (49 U.S.C. 41(3)); 
compelling the appearance of witnesses before the Interstate Commerce 
Commission and enforcement of subpenas and punishment for contempt (49 
U.S.C. 12(3)); suits to enforce final orders of the Secretary of 
Agriculture under the Perishable Agricultural Commodities Act (7 U.S.C. 
499g), and the Packers and Stockyards Act (7 U.S.C. 216); suits to set 
aside orders of State regulatory agencies (49 U.S.C. 13(4)); and civil 
matters, except those required to be handled by the Board of Parole, 
under section 504(a) of the Labor-Management Reporting and Disclosure 
Act of 1959 (29 U.S.C. 504(a)).
    (i) Appeals under section 8(b)(1)(B) of the Contract Disputes Act of 
1978--the grant and/or legal denial of prior approval of the Attorney 
General as described in section 8(g)(1)(B) of the Contract Disputes Act 
of 1978. The Assistant Attorney General is authorized to redelegate, to 
the extent and subject to such limitations as may be deemed advisable, 
to subordinate division officials the responsibilities covered by this 
subsection and delineated in section 8(g)(1)(B) of the Contract Disputes 
Act of 1978.
    (j) Consumer litigation--All civil and criminal litigation and grand 
jury proceedings arising under the Federal Food, Drug and Cosmetic Act 
(21 U.S.C. 301 et seq.), the Federal Hazardous Substances Act (15 U.S.C. 
1261 et seq.), the Fair Packaging and Labeling Act (15 U.S.C. 1451 et 
seq.), the Automobile Information Disclosure Act (15 U.S.C. 1231 et 
seq.), the odometer requirements section and the fuel economy labeling 
section of the Motor Vehicle Information and Cost Savings Act (15 U.S.C. 
1981 et seq.), the Federal Cigarette Labeling and Advertising Act (15 
U.S.C. 1331 et seq.), the Poison Prevention Packaging Act of 1970 (15 
U.S.C. 1471 et seq.), the Federal Caustic Poison Act (15 U.S.C. 401 
note), the Consumer Credit Protection Act (15 U.S.C. 1611,

[[Page 33]]

1681q and 1681r), the Wool Products Labeling Act of 1939 (15 U.S.C. 68), 
the Fur Products Labeling Act (15 U.S.C. 69), the Textile Fiber Products 
Identification Act (15 U.S.C. 70 et seq.), the Consumer Product Safety 
Act (15 U.S.C. 2051 et seq.), the Flammable Fabrics Act (15 U.S.C. 1191 
et seq.), the Refrigerator Safety Device Act (15 U.S.C. 1211 et seq.), 
title I of the Magnuson-Moss Warranty--Federal Trade Commission 
Improvement Act (15 U.S.C. 2301 et seq.), the Federal Trade Commission 
Act (15 U.S.C. 41 et seq.), and section 11(1) of the Clayton Act (15 
U.S.C. 21(1)) relating to violations of orders issued by the Federal 
Trade Commission. Upon appropriate certification by the Federal Trade 
Commission, the institution of criminal proceedings, under the Federal 
Trade Commission Act (15 U.S.C. 56(b)), the determination whether the 
Attorney General will commence, defend or intervene in civil proceedings 
under the Federal Trade Commission Act (15 U.S.C. 56(a)), and the 
determination under the Consumer Product Safety Act (15 U.S.C. 
2076(b)(7)), whether the Attorney General will initiate, prosecute, 
defend or appeal an action relating to the Consumer Product Safety 
Commission.
    (k) All civil litigation arising under the passport, visa and 
immigration and nationality laws and related investigations and other 
appropriate inquiries pursuant to all the power and authority of the 
Attorney General to enforce the Immigration and Nationality Act and all 
other laws relating to the immigration and naturalization of aliens 
except all civil litigation, investigations, and advice with respect to 
forfeitures, return of property actions, Nazi war criminals identified 
in 8 U.S.C. 1182(a)(33), 1251(a)(19) and civil actions seeking 
exclusively equitable relief which relate to national security within 
the jurisdiction of the Criminal Division under Sec. 0.55 (d), (f), (i) 
and Sec. 0.61(d).
    (l) Civil penalties for drug possession--the authority and 
responsibilities of the Attorney General under section 6486 of the Anti-
Drug Abuse Act of 1988 (21 U.S.C. 844a) and the regulations implementing 
that Act (28 CFR part 76). Such authority and responsibilities may be 
redelegated by the Assistant Attorney General to subordinate division 
officials to the extent and subject to limitations deemed advisable.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order 445-
70, 35 FR 19397, Dec. 23, 1970; Order 673-76, 41 FR 54176, Dec. 13, 
1976; Order 699-77, 42 FR 15315, Mar. 21, 1977; Order 838-79, 44 FR 
40498, July 11, 1979; Order 960-81, 46 FR 52345, Oct. 27, 1981; Order 
1002-83, 1003-83, 48 FR 9522, 9523, Mar. 7, 1983; Order 1268-88, 53 FR 
11646, Apr. 8, 1988; Order No. 1544-91, 56 FR 56578, Nov. 6, 1991]



Sec. 0.46  Certain civil litigation and foreign criminal proceedings.

    The Assistant Attorney General in charge of the Civil Division 
shall, in addition to litigation coming within the scope of Sec. 0.45, 
direct all other civil litigation including claims by or against the 
United States, its agencies or officers, in domestic or foreign courts, 
special proceedings, and similar civil matters not otherwise assigned, 
and shall employ foreign counsel to represent before foreign criminal 
courts, commissions or administrative agencies officials of the 
Department of Justice and all other law enforcement officers of the 
United States who are charged with violations of foreign law as a result 
of acts which they performed in the course and scope of their Government 
service.

[Order No. 441-70, 35 FR 16318, Oct. 17, 1970]



Sec. 0.47  Alien property matters.

    The Office of Alien Property shall be a part of the Civil Division:
    (a) The following described matters are assigned to, and shall be 
conducted, handled, or supervised by the Assistant Attorney General in 
charge of the Civil Division, who shall also be the Director of the 
Office of Alien Property:
    (1) Exercising or performing all the authority, rights, privileges, 
powers, duties, and functions delegated to or vested in the Attorney 
General under the Trading with the Enemy Act, as amended, title II of 
the International Claims Settlement Act of 1949, as amended, the act of 
September 28, 1950, 64 Stat. 1079 (50 U.S.C. App. 40), the Philippine 
Property Act of 1946, as amended, and the Executive orders relating to 
such acts, including, but not limited to, vesting, supervising, 
controlling, administering, liquidating,

[[Page 34]]

selling, paying debt claims out of, returning, and settling of 
intercustodial disputes relating to, property subject to one or more of 
such acts.
    (2) Conducting and directing all civil litigation with respect to 
the Trading with the Enemy Act, title II of the International Claims 
Settlement Act, the Foreign Funds Control Program and the Foreign Assets 
Control Program.
    (3) Designating within the Office of Alien Property a certifying 
officer, and an alternate, to certify copies of documents issued by the 
Director, or his designee, which are required to be filed with the 
Office of the Federal Register.
    (b) The Director of the Office of Alien Property shall act for and 
on behalf of the Attorney General.
    (c) All the authority, rights, privileges, powers, duties, and 
functions of the Director of the Office of Alien Property may be 
exercised or performed by any agencies, instrumentalities, agents, 
delegates, or other personnel designated by him.
    (d) Existing delegations by the Assistant Attorney General, 
Director, Office of Alien Property, or the Director, Office of Alien 
Property, shall continue in force and effect until modified or revoked.
    (e) The Assistant Attorney General in charge of the Civil Division 
is authorized to administer and give effect to the provisions of the 
agreement entitled ``Agreement Between the United States of America and 
the Republic of Austria Regarding the Return of Austrian Property, 
Rights and Interests,'' which was concluded on January 30, 1959, and was 
ratified by the Senate of the United States on February 25, 1964.



Sec. 0.48  International trade litigation.

    The Attorney-in-Charge, International Trade Field Office, at 26 
Federal Plaza, New York, New York 10007, in the Office of the Assistant 
Attorney General, Civil Division, is designated to accept service of 
notices of appeals to the Court of Customs and Patent Appeals and all 
other papers filed in the Court of International Trade, when the United 
States is an adverse party. (28 U.S.C. 2633(c); 28 U.S.C. 2601(b)).

[Order No. 960-81, 46 FR 52345, Oct. 27, 1981]



Sec. 0.49  International judicial assistance.

    The Assistant Attorney General in charge of the Civil Division shall 
direct and supervise the following functions:
    (a) The functions of the ``Central Authority'' under the Convention 
between the United States and other Governments on the Taking of 
Evidence Abroad in Civil and Commercial Matters, TIAS 7444, which 
entered into force on October 7, 1972.
    (b) The functions of the ``Central Authority'' under the Convention 
between the United States and other Governments on the Service Abroad of 
Judicial and Extrajudicial Documents, TIAS 6638, which entered into 
force on February 10, 1969.
    (c) To receive letters of requests issued by foreign and 
international judicial authorities which are referred to the Department 
of Justice through diplomatic or other governmental channels, and to 
transmit them to the appropriate courts or officers in the United States 
for execution.
    (d) To receive and transmit through proper channels letters of 
request addressed by courts in the United States to foreign tribunals in 
connection with litigation to which the United States is a party.

[Order No. 555-73, 38 FR 32805, Nov. 28, 1973]



                    Subpart J--Civil Rights Division



Sec. 0.50  General functions.

    The following functions are assigned to, and shall be conducted, 
handled, or supervised by, the Assistant Attorney General, Civil Rights 
Division:
    (a) Enforcement of all Federal statutes affecting civil rights, 
including those pertaining to elections and voting, public 
accommodations, public facilities, school desegregation, employment 
(including 42 U.S.C. 2000e-(6)), housing, abortion, sterilization, 
credit, and constitutional and civil rights of Indians arising under 25 
U.S.C. 1301 et seq., and of institutionalized persons, and authorization 
of litigation in such enforcement, including criminal prosecutions and 
civil actions and proceedings on behalf of the Government and appellate 
proceedings in all such cases. Notwithstanding the provisions

[[Page 35]]

of the foregoing sentence, the responsibility for the enforcement of the 
following described provisions of the U.S. Code is assigned to the 
Assistant Attorney General, Criminal Division:
    (1) Sections 591 through 593 and sections 595 through 612 of title 
18, U.S. Code, relating to elections and political activities;
    (2) Sections 241, 242, and 594 of title 18, and sections 1973i and 
1973j of title 42, U.S. Code, insofar as they relate to voting and 
election matters not involving discrimination or intimidation on grounds 
of race or color, and section 245(b)(1) of title 18, U.S. Code, insofar 
as it relates to matters not involving discrimination or intimidation on 
grounds of race, color, religion, or national origin;
    (3) Section 245(b)(3) of title 18, U.S. Code, pertaining to forcible 
interference with persons engaged in business during a riot or civil 
disorder; and
    (4) Sections 241 through 256 of title 2, U.S. Code (Federal Corrupt 
Practices Act).
    (b) Requesting and reviewing investigations arising from reports or 
complaints of public officials or private citizens with respect to 
matters affecting civil rights.
    (c) Conferring with individuals and groups who call upon the 
Department in connection with civil rights matters, advising such 
individuals and groups thereon, and initiating action appropriate 
thereto.
    (d) Coordination within the Department of Justice of all matters 
affecting civil rights.
    (e) Consultation with and assistance to other Federal departments 
and agencies and State and local agencies on matters affecting civil 
rights.
    (f) Research on civil rights matters, and the making of 
recommendations to the Attorney General as to proposed policies and 
legislation relating thereto.
    (g) Representation of Federal officials in private litigation 
arising under 42 U.S.C. 2000d or under other statutes pertaining to 
civil rights.
    (h) Administration of section 5 of the Voting Rights Act of 1965, as 
amended (42 U.S.C. 1973c).
    (i) Upon request, assisting, as appropriate, the Commission on Civil 
Rights or other similar Federal bodies in carrying out research and 
formulating recommendations.
    (j) Administration of section 105 of the Civil Liberties Act of 1988 
(50 U.S.C. App. 1989b).
    (k) Upon request, certifications under 18 U.S.C. 245.
    (l) Enforcement and administration of the Americans with 
Disabilities Act of 1990, Public Law 101-336.
    (m) Community education, enforcement, and investigatory activities 
under section 102 of the Immigration Reform and Control Act of 1986, as 
amended.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969]

    Editorial Note: For Federal Register citations affecting Sec. 0.50, 
see the List of Sections Affected in the Finding Aids section of this 
volume.



Sec. 0.51  Leadership and coordination of nondiscrimination laws.

    (a) The Assistant Attorney General in charge of the Civil Rights 
Division shall, except as reserved herein, exercise the authority vested 
in and perform the functions assigned to the Attorney General by 
Executive Order 12250 (``Leadership and Coordination of 
Nondiscrimination Laws''). This delegation does not include the 
function, vested in the Attorney General by sections 1-101 and 1-102 of 
the Executive order, of approving agency rules, regulations, and orders 
of general applicability issued under the Civil Rights Act of 1964 and 
section 902 of the Education Amendments of 1972. Likewise, this 
delegation does not include the authority to issue those regulations 
under section 1-303 of the Executive Order which are required, by 
Sec. 0.180 of this part, to be issued by the Attorney General.
    (b) Under paragraph (a) of this section, the Assistant Attorney 
General in charge of the Civil Rights Division shall be responsible for 
coordinating the implementation and enforcement by Executive agencies of 
the nondiscrimination provisions of the following laws:
    (1) Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et 
seq.).
    (2) Title IX of the Education Amendments of 1972 (20 U.S.C. 1681 et 
seq.).

[[Page 36]]

    (3) Section 504 of the Rehabilitation Act of 1973, as amended (29 
U.S.C. 794).
    (4) Any other provision of Federal statutory law which provides, in 
whole or in part, that no person in the United States shall, on the 
ground of race, color, national origin, handicap, religion, or sex, be 
excluded from participation in, be denied the benefits of, or be subject 
to discrimination under any program or activity receiving Federal 
financial assistance.

[Order No. 944-81, 46 FR 29704, June 3, 1981]



Sec. 0.52  Certifications under 18 U.S.C. 3503.

    The Assistant Attorney General in charge of the Civil Rights 
Division and his Deputy Assistant Attorney Generals are each authorized 
to exercise or perform the functions or duties conferred upon the 
Attorney General by section 3503 of title 18, U.S. Code, to certify that 
the legal proceeding, in which a motion to take testimony by deposition 
is made, is against a person who is believed to have participated in an 
organized criminal activity, where the subject matter of the case or 
proceeding in which the motion is sought is within the cognizance of the 
Civil Rights Division pursuant to Sec. 0.50.

[Order No. 452-71, 36 FR 2601, Feb. 9, 1971]



Sec. 0.53  Office of Special Counsel for Immigration Related Unfair Employment Practices.

    (a) The Office of Special Counsel for Immigration Related Unfair 
Employment Practices shall be headed by a Special Counsel for 
Immigration Related Unfair Employment Practices (``Special Counsel''). 
The Special Counsel shall be appointed by the President for a term of 
four years, by and with the advice and consent of the Senate, pursuant 
to section 102 of the Immigration Reform and Control Act of 1986, as 
amended. The Office of Special Counsel shall be part of the Civil Rights 
Division of the Department of Justice, and the Special Counsel shall 
report directly to the Assistant Attorney General, Civil Rights 
Division.
    (b) In carrying out his or her responsibilities under the 
Immigration Reform and Control Act of 1986, as amended, the Special 
Counsel is authorized to:
    (1) Investigate charges of immigration-related unfair employment 
practices filed with the Office of Special Counsel and, when 
appropriate, file complaints with respect to those practices before 
specially designated administrative law judges within the Office of the 
Chief Administrative Hearing Officer, U.S. Department of Justice;
    (2) Intervene in proceedings involving complaints of immigration-
related unfair employment practices that are brought directly before 
such administrative law judges by parties other than the Special 
Counsel;
    (3) Conduct, on his or her own initiative, investigations of 
immigration-related unfair employment practices and, where appropriate, 
file complaints with respect to those practices before such 
administrative law judges;
    (4) Conduct, handle, and supervise litigation in U.S. District 
Courts for judicial enforcement of orders of administrative law judges 
regarding immigration-related unfair employment practices;
    (5) Initiate, conduct, and oversee activities relating to the 
dissemination of information to employers, employees, and the general 
public concerning immigration-related unfair employment practices;
    (6) Establish such regional offices as may be necessary;
    (7) Perform such other functions as the Assistant Attorney General, 
Civil Rights Division shall direct; and
    (8) Delegate to any of his or her subordinates any of the authority, 
functions, or duties vested in him or her.

[Order No. 2078-97, 62 FR 23658, May 1, 1997]

                          Appendix to Subpart J

                          Civil Rights Division

                               [Memo 75-2]

    Note: Civil Rights Division Memo 75-2, was superseded by Civil 
Rights Division, Memo 78-1 appearing at 48 FR 3367, Jan. 25, 1983.

                               [Memo 78-1]

    Note: Civil Rights Division Memo 78-1 was superseded by Civil Rights 
Division Memo 92-3 appearing at 57 FR 19377, May 6, 1992.

[[Page 37]]

                               [Memo 79-1]

 Delegation of Authority for Administration of Section 5 of the Voting 
                               Rights Act

    1. The authority of the Attorney General regarding administration of 
section 5 of the Voting Rights Act of 1965, as amended, (42 U.S.C. 
1973c) has been delegated to the Assistant Attorney General in charge of 
the Civil Rights Division.
    2. That authority is delegated to the Chief of the Voting Section, 
provided that any determination to object to a change affecting voting 
(see 28 CFR part 51) or to withdraw such an objection shall be made by 
the Assistant Attorney General.
    3. The Chief of the Voting Section may authorize the Deputy Chief or 
the Director of the section 5 unit to act on his or her behalf.

[44 FR 53080, Sept. 12, 1979]

                              [Memo 92-93]

 Delegation of Authority to Deny Freedom of Information Act and Privacy 
                              Act Requests

    1. The Chief of the Freedom of Information/Privacy Acts Branch will 
assume the duties and responsibilities previously assigned to the 
Assistant Attorney General by 28 CFR 16.4 (b) and (c) and 28 CFR 
16.42(b), as amended July 1, 1991, and defined in those sections, for 
denying requests and obtaining extensions of time under the Freedom of 
Information Act, 5 U.S.C. 552 et seq., and the Privacy Act, 5 U.S.C. 
552a et seq.
    2. The Chief of the Freedom of Information/Privacy Acts Branch who 
signs a denial or partial denial of a request for records made under the 
Freedom of Information Act or the Privacy Act shall be the ``person 
responsible for the denial'' within the meaning of 5 U.S.C. 552(a)(6)(C) 
and shall be responsible for denials made in accordance with 5 U.S.C. 
552a (j) and (k).
    3. This authority is limited to those records which are in the 
systems of records under the custody and control of the Civil Rights 
Division of the United States Department of Justice. The authority 
delegated herein may be redelegated by the Assistant Attorney General by 
internal memorandum.

[57 FR 19377, May 6, 1992]



                      Subpart K--Criminal Division



Sec. 0.55  General functions.

    The following functions are assigned to and shall be conducted, 
handled, or supervised by, the Assistant Attorney General, Criminal 
Division:
    (a) Prosecutions for Federal crimes not otherwise specifically 
assigned.
    (b) Cases involving criminal frauds against the United States except 
cases assigned to the Antitrust Division by Sec. 0.40(a) involving 
conspiracy to defraud the Federal Government by violation of the 
antitrust laws, and tax fraud cases assigned to the Tax Division by 
subpart N of this part.
    (c) All criminal and civil litigation under the Controlled 
Substances Act, 84 Stat. 1242, and the Controlled Substances Import and 
Export Act, 84 Stat. 1285 (titles II and III of the Comprehensive Drug 
Abuse Prevention and Control Act of 1970).
    (d) Civil or criminal forfeiture or civil penalty actions (including 
petitions for remission or mitigation of forfeitures and civil 
penalties, offers in compromise, and related proceedings) under the 
Federal Aviation Act of 1958, the Contraband Transportation Act, the 
Copyrights Act, the customs laws (except those assigned to the Civil 
Division which involve sections 592, 704(i)(2) or 734(i)(2) of the 
Tariff Act of 1930), the Export Control Act of 1949, the Federal Alcohol 
Administration Act, the Federal Seed Act, the Gold Reserve Act of 1934, 
the Hours of Service Act, the Animal Welfare Act, the Immigration and 
Nationality Act (except civil penalty actions and petitions and offers 
related thereto), the neutrality laws, laws relating to cigarettes, 
liquor, narcotics and dangerous drugs, other controlled substances, 
gambling, war materials, pre-Colombian artifacts, coinage, and firearms, 
locomotive inspection (45 U.S.C. 22, 23, 28-34), the Organized Crime 
Control Act of 1970, prison-made goods (18 U.S.C. 1761-1762), the Safety 
Appliance Act, standard barrels (15 U.S.C. 231-242), the Sugar Act of 
1948, and the Twenty-Eight Hour Law.
    (e) Subject to the provisions of subpart Y of this part, 
consideration, acceptance, or rejection of offers in compromise of 
criminal and tax liability under the laws relating to liquor, narcotics 
and dangerous drugs, gambling, and firearms, in cases in which the 
criminal liability remains unresolved.
    (f) All criminal litigation and related investigations and inquiries 
pursuant to all the power and authority of the Attorney General to 
enforce the Immigration and Nationality Act and all

[[Page 38]]

other laws relating to the immigration and naturalization of aliens; all 
advice to the Attorney General with respect to the exercise of his 
parole authority under 8 U.S.C. 1182(d)(5) concerning aliens who are 
excludable under 8 U.S.C. 1182(a)(23), (28), (29), or (33); and all 
civil litigation with respect to the individuals identified in 8 U.S.C. 
1182(a)(33), 1251(a)(19).
    (g) Coordination of enforcement activities directed against 
organized crime and racketeering.
    (h) Enforcement of the Act of January 2, 1951, 64 Stat. 1134, as 
amended by the Gambling Devices Act of 1962, 76 Stat. 1075, 15 U.S.C. 
1171 et seq., including registration thereunder. (See also 28 CFR 3.2)
    (i) All civil proceedings seeking exclusively equitable relief 
against Criminal Division activities including criminal investigations, 
prosecutions and other criminal justice activities (including without 
limitation, applications for writs of habeas corpus not challenging 
exclusion, deportation or detention under the immigration laws and coram 
nobis), except that any proceeding may be conducted, handled, or 
supervised by another division by agreement between the head of such 
division and the Assistant Attorney General in charge of the Criminal 
Division.
    (j) International extradition proceedings.
    (k) Relation of military to civil authority with respect to criminal 
matters affecting both.
    (l) All criminal matters arising under the Labor-Management 
Reporting and Disclosure Act of 1959 (73 Stat. 519).
    (m) Enforcement of the following-described provisions of the United 
States Code--
    (1) Sections 591 through 593 and sections 595 through 612 of title 
18, U.S. Code, relating to elections and political activities;
    (2) Sections 241, 242, and 594 of title 18, and sections 1973i and 
1973j of title 42, U.S. Code, insofar as they relate to voting and 
election matters not involving discrimination or intimidation on grounds 
of race or color, and section 245(b)(1) of title 18 U.S. Code, insofar 
as it relates to matters not involving discrimination or intimidation on 
grounds of race, color, religion, or national origin;
    (3) Section 245(b)(3) of title 18, U.S. Code, pertaining to forcible 
interference with persons engaged in business during a riot or civil 
disorder; and
    (4) Sections 241 through 256 of title 2, U.S. Code (Federal Corrupt 
Practices Act). (See Sec. 0.50(a).)
    (n) Civil actions arising under 39 U.S.C. 3010, 3011 (Postal 
Reorganization Act).
    (o) Resolving questions that arise as to Federal prisoners held in 
custody by Federal officers or in Federal prisons, commitments of 
mentally defective defendants and juvenile delinquents, validity and 
construction of sentences, probation, and parole.
    (p) Supervision of matters arising under the Escape and Rescue Act 
(18 U.S.C. 751, 752), the Fugitive Felon Act (18 U.S.C. 1072, 1073), and 
the Obstruction of Justice Statute (18 U.S.C. 1503).
    (q) Supervision of matters arising under the Bail Reform Act of 1966 
(28 U.S.C. 3041-3143, 3146-3152, 3568).
    (r) Supervision of matters arising under the Narcotic Addict 
Rehabilitation Act of 1966 (18 U.S.C. 4251-4255; 28 U.S.C. 2901-2906; 42 
U.S.C. 3411-3426, 3441, 3442).
    (s) Civil proceedings in which the United States is the plaintiff 
filed under the Organized Crime Control Act of 1970, 18 U.S.C. 1963-
1968.
    (t) Upon request, certifications under 18 U.S.C. 245.
    (u) Exercise of the authority vested in the Attorney General under 
10 U.S.C. 374(b)(2)(E) to approve the use of military equipment by 
Department of Defense personnel to provide transportation and base of 
operations support in connection with a civilian law enforcement 
operation.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969]

    Editorial Note: For Federal Register citations affecting Sec. 0.55, 
see the List of Sections Affected in the Finding Aids section of this 
volume.



Sec. 0.56  Exclusive or concurrent jurisdiction.

    The Assistant Attorney General in charge of the Criminal Division is 
authorized to determine administratively whether the Federal Government 
has exclusive or concurrent jurisdiction

[[Page 39]]

over offenses committed upon lands acquired by the United States, and to 
consider problems arising therefrom.



Sec. 0.57  Criminal prosecutions against juveniles.

    The Assistant Attorney General in charge of the Criminal Division 
and his Deputy Assistant Attorneys General are each authorized to 
exercise the power and authority vested in the Attorney General by 
sections 5032 and 5036 of title 18, United States Code, relating to 
criminal proceedings against juveniles. The Assistant Attorney General 
in charge of the Criminal Division is authorized to redelegate any 
function delegated to him under this section to United States Attorneys 
and to the Chief of the Section within the Criminal Division which 
supervises the implementation of the Juvenile Justice and Delinquency 
Prevention Act (18 U.S.C. 5031 et seq.).

[Order No. 579-74, 39 FR 37771, Oct. 24, 1974, as amended by Order No. 
894-80, 45 FR 34269, May 22, 1980]



Sec. 0.58  Delegation respecting payment of benefits for disability or death of law enforcement officers not employed by the United States.

    The Assistant Attorney General in charge of the Criminal Division 
and his Deputy Assistant Attorneys General are each authorized to 
exercise or perform any of the functions or duties conferred upon the 
Attorney General by the Act to Compensate Law Enforcement Officers not 
Employed by the United States Killed or Injured While Apprehending 
Persons Suspected of Committing Federal Crimes (5 U.S.C. 8191, 8192, 
8193). The Assistant Attorney General in charge of the Criminal Division 
is authorized to redelegate any function delegated to him under this 
section to the Chief of the Section within the Criminal Division which 
supervises the implementation of the aforementioned Compensation Act.

[Order No. 1010-83, 48 FR 19023, Apr. 27, 1983]



Sec. 0.59  Certain certifications under 18 U.S.C. 3331 and 3503.

    (a) The Assistant Attorney General in charge of the Criminal 
Division is authorized to exercise or perform the functions or duties 
conferred upon the Attorney General by section 3331 of title 18, United 
States Code, to certify that in his judgment a special grand jury is 
necessary in any judicial district of the United States because of 
criminal activity within such district.
    (b) The Assistant Attorney General in charge of the Criminal 
Division and his Deputy Assistant Attorney Generals are each authorized 
to exercise or perform the functions or duties conferred upon the 
Attorney General by section 3503 of title 18, United States Code, to 
certify that the legal proceeding, in which a motion to take testimony 
by deposition is made, is against a person who is believed to have 
participated in an organized criminal activity, where the subject matter 
of the case or proceeding in which the motion is sought is within the 
cognizance of the Criminal Division pursuant to Sec. 0.55, or is not 
within the cognizance of the Civil Rights Division.

[Order No. 452-71, 36 FR 2601, Feb. 9, 1971, as amended by Order No. 
511-73, 38 FR 8152, March 29, 1973]



Sec. 0.61  Functions relating to internal security.

    The following functions are assigned to and shall be conducted, 
handled, or supervised by, the Assistant Attorney General, Criminal 
Division:
    (a) Enforcement of all criminal laws relating to subversive 
activities and kindred offenses directed against the internal security 
of the United States, including the laws relating to treason, sabotage, 
espionage, and sedition; enforcement of the Foreign Assets Control 
Regulations issued under the Trading With the Enemy Act (31 CFR 500.101 
et seq.); criminal prosecutions under the Atomic Energy Act of 1954, the 
Smith Act, the neutrality laws, the Arms Export Control Act, the Federal 
Aviation Act of 1958 (49 U.S.C. 1523) relating to offenses involving the 
security control of air traffic, and 18 U.S.C. 799; and criminal 
prosecutions for offenses, such as perjury and false statements, arising 
out of offenses relating to national security.
    (b) Administration and enforcement of the Foreign Agents 
Registration Act of 1938, as amended; the act of August

[[Page 40]]

1, 1956, 70 Stat. 899 (50 U.S.C. 851-857), including the determination 
in writing that the registration of any person coming within the purview 
of the act would not be in the interest of national security; and the 
Voorhis Act.
    (c) Administration and enforcement of the Internal Security Act of 
1950, as amended.
    (d) Civil proceedings seeking exclusively equitable relief against 
laws, investigations or administrative actions designed to protect the 
national security (including without limitation personnel security 
programs and the foreign assets control program).
    (e) Interpretation of Executive Order 10450 of April 27, 1953, as 
amended, and advising other departments and agencies in connection with 
the administration of the Federal employees security program, including 
the designation of organizations as required by the order; the 
interpretation of Executive Order 10501 of November 5, 1953, as amended, 
and of regulations issued thereunder in accordance with section 11 of 
that order; and the interpretation of Executive Order 10865 of February 
20, 1960.
    (f) Libels and civil penalty actions (including petitions for 
remission or mitigation of civil penalties and forfeitures, offers in 
compromise and related proceedings) arising out of violations of the 
Trading with the Enemy Act, the neutrality statutes and the Arms Export 
Control Act.
    (g) Enforcement and administration of the provisions of 2 U.S.C. 
441e relating to contributions by foreign nationals.
    (h) Enforcement and administration of the provisions of 18 U.S.C. 
219, relating to officers and employees of the United States acting as 
agents of foreign principals.
    (i) Criminal matters arising under the Military Selective Service 
Act of 1967.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
451-71, 36 FR 1251, Jan. 27, 1971; Order No. 511-73, 38 FR 8152, Mar. 
29, 1973; Order No. 673-76, 41 FR 54176, Dec. 13, 1976; Order No. 960-
81, 46 FR 52345, Oct. 27, 1981]



Sec. 0.62  Representative capacities.

    The Assistant Attorney General in charge of the Criminal Division 
shall:
    (a) Be a member and serve as Chairman of the committee which 
represents the Department of Justice in the development and 
implementation of plans for exchanging visits between the Iron Curtain 
countries and the United States and have authority to designate an 
alternate to serve on such committee.
    (b) Provide Department of Justice representation on the 
Interdepartmental Committee on Internal Security.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
511-73, 38 FR 8152, Mar. 29, 1973]



Sec. 0.63  Delegation respecting admission and naturalization of certain aliens.

    (a) The Assistant Attorney General in charge of the Criminal 
Division and the Deputy Assistant Attorney General, Criminal Division, 
are each authorized to exercise the power and authority vested in the 
Attorney General by section 7 of the Central Intelligence Agency Act of 
1949, as amended, 50 U.S.C. 403h, with respect to entry of certain 
aliens into the United States for permanent residence.
    (b) The Assistant Attorney General in charge of the Criminal 
Division and the Deputy Assistant Attorneys General, Criminal Division, 
are each authorized to exercise the power and authority vested in the 
Attorney General by section 316(f) of the Immigration and Nationality 
Act, 8 U.S.C. 1427(f), with respect to the naturalization of certain 
foreign intelligence sources.

[Order No. 1556-92, 57 FR 1643, Jan. 15, 1992]



Sec. 0.64  Certifications under 18 U.S.C. 3503.

    The Assistant Attorney General in charge of the Criminal Division 
and his Deputy Assistant Attorney Generals are each authorized to 
exercise or perform the functions or duties conferred upon the Attorney 
General by section 3503 of title 18, United States Code, to certify that 
the legal proceeding, in which a motion to take testimony by deposition 
is made, is against a person who is believed to have participated in an 
organized criminal activity, where the subject matter of the case or 
proceeding in which the motion is sought

[[Page 41]]

is within the cognizance of the Criminal Division pursuant to Sec. 0.61.

[Order No. 452-71, 36 FR 2601, Feb. 9, 1971, as amended by Order No. 
511-73, 38 FR 8152, Mar. 29, 1973]



Sec. 0.64-1  Central or Competent Authority under treaties and executive agreements on mutual assistance in criminal matters.

    The Assistant Attorney General in charge of the Criminal Division 
shall have the authority and perform the functions of the ``Central 
Authority'' or ``Competent Authority'' (or like designation) under 
treaties and executive agreements between the United States of America 
and other countries on mutual assistance in criminal matters which 
designate the Attorney General or the Department of Justice as such 
authority. The Assistant Attorney General, Criminal Division, is 
authorized to redelegate this authority to the Deputy Assistant 
Attorneys General, Criminal Division, and to the Director and Deputy 
Directors of the Office of International Affairs, Criminal Division.

[Order 918-80, 45 FR 79758, Dec. 2, 1980, as amended by Order 1274-88, 
53 FR 21997, June 13, 1988; Order 1906-94, 59 FR 41242, Aug. 11, 1994]



Sec. 0.64-2  Delegation respecting transfer of offenders to or from foreign countries.

    The Assistant Attorney General in charge of the Criminal Division is 
authorized to exercise all of the power and authority vested in the 
Attorney General under section 4102 of title 18, U.S. Code, which has 
not been delegated to the Director of the Bureau of Prisons under 28 CFR 
0.96b, including specifically the authority to find the transfer of 
offenders to or from a foreign country under a treaty as referred to in 
Public Law 95-144 appropriate or inappropriate. The Assistant Attorney 
General in charge of the Criminal Division is authorized to redelegate 
this authority to his Deputy Assistant Attorneys General, the Director 
of the Office of Enforcement Operations, and the Senior Associate 
Director and Associate Directors of the Office of Enforcement 
Operations.

[Order No. 872-80, 45 FR 6541, Jan. 29, 1980, as amended by Order 1265-
88, 53 FR 10871, Apr. 4, 1988; Order No. 2147-98, 63 FR 20534, Apr. 27, 
1998]



Sec. 0.64-3  Delegation respecting designation of certain Department of Agriculture employees (Tick Inspectors) to carry and use firearms.

    The Assistant Attorney General in charge of the Criminal Division is 
authorized to exercise all the power and authority vested in the 
Attorney General under section 2274 of title 7, U.S. Code, concerning 
the designation of certain Department of Agriculture employees (Tick 
Inspectors) to carry and use firearms. This delegation includes the 
power and authority to issue, with the Department of Agriculture, joint 
rules and regulations pertaining to the carrying and use of such 
firearms, which would, when promulgated, supersede the existing 
regulations pertaining to the carrying and use of firearms by Tick 
Inspectors, promulgated by the Attorney General and contained in 
Attorney General's Order No. 1059-84. The Assistant Attorney General in 
charge of the Criminal Division is authorized to redelegate all of this 
authority under section 2274 to his Deputy Assistant Attorneys General 
and appropriate Office Directors and Section Chiefs.

[Order No. 1064-84, 49 FR 35934, Sept. 13, 1984]



Sec. 0.64-4  Delegation respecting temporary transfers, in custody of certain prisoner-witnesses from a foreign country to the United States to testify in 
          Federal or State criminal proceedings.

    The Assistant Attorney General in charge of the Criminal Division is 
authorized to exercise all of the power and authority vested in the 
Attorney General under 18 U.S.C. 3508 which has not been delegated to 
the Director of the United States Marshals Service under 28 CFR 0.111a, 
including specifically the authority to determine whether and under what 
circumstances temporary transfer of a prisoner-witness to the United 
States is appropriate or inappropriate; to determine the point at which 
the witness should

[[Page 42]]

be returned to the transferring country; and to enter into appropriate 
agreements with the transferring country regarding the terms and 
conditions of the transfer. The Assistant Attorney General in charge of 
the Criminal Division is authorized to redelegate this authority to the 
Deputy Assistant Attorneys General, Criminal Division, and to the 
Director and Deputy Directors of the Office of International Affairs, 
Criminal Division.

[Order 1913-94, 59 FR 46551, Sept. 9, 1994]



Sec. 0.64-5  Policy with regard to bringing charges under the Economic Espionage Act of 1996, Pub. L. 104-294, effective October 11, 1996.

    The United States may not file a charge under the Economic Espionage 
Act of 1996 (EEA), Pub. L. 104-294, 110 Stat. 3488, 18 U.S.C. 1831 et 
seq., effective October 11, 1996, or use a violation of the EEA as a 
predicate offense under any other law, without the personal approval of 
the Attorney General, the Deputy Attorney General, or the Assistant 
Attorney General of the Criminal Division (or the Acting official in 
each of these positions if a position is filled by an Acting Official). 
Violations of this regulation are appropriately sanctionable and will be 
reported by the Attorney General to the Senate and House Judiciary 
Committees. Responsibility for reviewing proposed charges under the EEA 
rests with the Computer Crime and Intellectual Property Section, 
Criminal Division, which will consult with the Internal Security 
Section, Criminal Division, in cases involving charges under 18 U.S.C. 
1831. This regulation shall remain in effect until October 11, 2001.

[Order No. 2130-97, 62 FR 63453, Dec. 1, 1997]

                          Appendix to Subpart K

                            Criminal Division

                            [Directive 8-75]

    Editorial Note: Criminal Division Directive 8-75, was superseded by 
Criminal Division Directive 58, appearing at 44 FR 18661, Mar. 29, 1979.

                             [Directive 58]

          Delegation Respecting Denial of Information Requests

    The Assistant Attorney General in charge of the Criminal Division, 
hereby, delegates pursuant to 28 CFR 16.5(b) (as amended March 1, 1975) 
and 28 CFR 16.45(a), his authority under those sections to deny a 
request for information under 5 U.S.C. 552(a) or 5 U.S.C. 552a to the 
Director and Associate Director of the Office of Legal Support Services 
of the Criminal Division and to the Deputy Assistant Attorney General of 
the Criminal Division who supervises that Office. The Director, 
Associate Director, or Deputy Assistant Attorney General making the 
denial shall be the ``person responsible for the denial,'' within the 
meaning of 5 U.S.C. 552(a).

                           [Directive No. 73]

  Redelegation of Authority to Deputy Assistant Attorneys General and 
 Director of the Office of International Affairs Respecting Transfer of 
                 Offenders to and From Foreign Countries

    By virtue of the authority vested in me by Sec. 0.64 -2 of title 28 
of the Code of Federal Regulations, the authority delegated to me by 
that section to exercise all of the power and authority vested in the 
Attorney General under Section 4102 of title 18, U.S. Code, which has 
not been delegated to the Director of the Bureau of Prisons, including 
specifically the authority to find the transfer of offenders to or from 
a foreign country under a treaty as referred to in Public Law 95-44 
appropriate or inappropriate, is hereby redelegated to each of the 
Deputy Assistant Attorneys General and the Director of the Office of 
International Affairs of the Criminal Division.

                           [Directive No. 81A]

  Redelegation of Authority to Deputy Assistant Attorneys General and 
  Director and Deputy Directors of the Office of International Affairs 
 Regarding Authority To Act as Central Authority or Competent Authority 
Under Treaties and Executive Agreements on Mutual Assistance in Criminal 
                                 Matters

    By virtue of the authority vested in me by Sec. 0.64-1 of title 28 
of the Code of Federal Regulations, the Authority delegated to me by 
that section to exercise all of the power and authority vested in the 
Attorney General under treaties and executive agreements on mutual 
assistance in criminal matters is hereby redelegated to each of the 
Deputy Assistant Attorneys General, to the Director of the Office of 
International Affairs and to

[[Page 43]]

each of the Deputy Directors of the Office of International Affairs, 
Criminal Division.

                           [Directive No. 81B]

  Redelegation of Authority to Deputy Assistant Attorneys General and 
  Director and Deputy Directors of the Office of International Affairs 
    Respecting Temporary Transfers, in Custody, of Certain Prisoner-
         Witnesses from a Foreign Country to the United States .

    By virtue of the authority vested in me by 28 CFR 0.64-4, the 
authority delegated to me by that section to exercise all of the power 
and authority vested in the Attorney General under section 3508 of title 
18, United States Code, which has not been delegated to the Director, 
United States Marshals Service under 28 CFR 0.111a, is hereby 
redelegated to each of the Deputy Assistant Attorneys General, and to 
the Director and each of the Deputy Directors of the Office 
International Affairs, Criminal Division.

[44 FR 18661, Mar. 29, 1979, as amended at 45 FR 6541, Jan. 29, 1980; 48 
FR 54595, Dec. 6, 1983; 59 FR 42161, Aug. 17, 1994; 59 FR 46550, Sept. 
9, 1994]

Subpart L [Reserved]



             Subpart M--Land and Natural Resources Division



Sec. 0.65  General functions.

    The following functions are assigned to and shall be conducted, 
handled, or supervised by the Assistant Attorney General in charge of 
the Land and Natural Resources Division:
    (a) Civil suits and matters in Federal and State courts (and 
administrative tribunals), by or against the United States, its 
agencies, officers, or contractors, or in which the United States has an 
interest, whether for specific or monetary relief, and also 
nonlitigation matters, relating to:
    (1) The public domain lands and the outer continental shelf of the 
United States.
    (2) Other lands and interests in real property owned, leased, or 
otherwise claimed or controlled, or allegedly impaired or taken, by the 
United States, its agencies, officers, or contractors, including the 
acquisition of such lands by condemnation proceedings or otherwise,
    (3) The water and air resources controlled or used by the United 
States, its agencies, officers, or contractors, without regard to 
whether the same are in or related to the lands enumerated in paragraphs 
(a) (1) and (2) of this section, and
    (4) The other natural resources in or related to such lands, water, 
and air,

except that the following matters which would otherwise be included in 
such assignment are excluded therefrom:
    (i) Suits and matters relating to the use or obstruction of 
navigable waters or the navigable capacity of such waters by ships or 
shipping thereon, the same being specifically assigned to the Civil 
Division;
    (ii) Suits and matters involving tort claims against the United 
States under the Federal Tort Claims Act and special acts of Congress, 
the same being specifically assigned to the Civil Division;
    (iii) Suits and matters involving the foreclosure of mortgages and 
other liens held by the United States, the same being specifically 
assigned to the Civil and Tax Divisions according to the nature of the 
lien involved;
    (iv) Suits arising under 28 U.S.C. 2410 to quiet title or to 
foreclose a mortgage or other lien, the same being specifically assigned 
to the Civil and Tax Divisions according to the nature of the lien held 
by the United States, and all other actions arising under 28 U.S.C. 2410 
involving federal tax liens held by the United States, which are 
specifically assigned to the Tax Division;
    (v) Matters involving the immunity of the Federal Government from 
State and local taxation specifically delegated to the Tax Division by 
Sec. 0.71.
    (b) Representation of the interests of the United States in all 
civil litigation in Federal and State courts, and before the Indian 
Claims Commission, pertaining to Indians, Indian tribes, and Indian 
affairs, and matters relating to restricted Indian property, real or 
personal, and the treaty rights of restricted Indians (except matters 
involving the constitutional and civil rights of Indians assigned to the 
Civil Rights Division by subpart J of this part).
    (c) Rendering opinions as to the validity of title to all lands 
acquired by

[[Page 44]]

the United States, except as otherwise specified by statute.
    (d) Civil and criminal suits and matters involving air, water, 
noise, and other types of pollution, the regulation of solid wastes, 
toxic substances, pesticides under the Federal Insecticide, Fungicide, 
and Rodenticide Act, and the control of the environmental impacts of 
surface coal mining.
    (e) Civil and criminal suits and matters involving obstructions to 
navigation, and dredging or filling (33 U.S.C. 403).
    (f) Civil and criminal suits and matters arising under the Atomic 
Energy Act of 1954 (42 U.S.C. 2011, et seq.) insofar as it relates to 
the prosecution of violations committed by a company in matters 
involving the licensing and operations of nuclear power plants.
    (g) Civil and criminal suits and matters relating to the natural and 
biological resources of the coastal and marine environments, the outer 
continental shelf, the fishery conservation zone and, where permitted by 
law, the high seas.
    (h) Performance of the Department's functions under Sec. 706.5 of 
the regulations for the prevention of conflict of interests promulgated 
by the Secretary of the Interior under the authority of the Surface 
Mining Control and Reclamation Act of 1977, section 201(f), 91 Stat. 
450, and contained in 30 CFR part 706.
    (i) Conducting the studies of processing sites required by section 
115(b) of the Uranium Mill Tailings Radiation Control Act of 1978, 
publishing the results of the studies and furnishing the results thereof 
to the Congress.
    (j) Criminal suits and civil penalty and forfeiture actions relating 
to wildlife law enforcement under the Endangered Species Act of 1973 (16 
U.S.C. 1531-1543); the Lacey Act and related provisions (18 U.S.C. 41-
44, 47); the Black Bass Act (16 U.S.C. 851-856); the Airborne Hunting 
Act (16 U.S.C. 742j-1); the Migratory Bird Act (16 U.S.C. 701, et seq.); 
the Wild Horses and Wild Burros Act (16 U.S.C. 1331-1340); the Bald and 
Golden Eagle Protection Act (16 U.S.C. 668-668d); and the Fish and 
Wildlife Coordination Act (16 U.S.C. 661 et seq.).

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
540-73, 38 FR 26910, Sept. 27, 1973; Order No. 699-77, 42 FR 15315, Mar. 
21, 1977; Order No. 764-78, 43 FR 3115, Jan. 23, 1978; Order No. 809-78, 
43 FR 55394, Nov. 28, 1978; Order No. 960-81, 46 FR 52346, Oct. 27, 
1981; Order No. 1083-85, 50 FR 8607, Mar. 4, 1985]



Sec. 0.65a  Litigation involving Environmental Protection Agency.

    With respect to any matter assigned to the Land and natural 
Resources Division in which the Environmental Protection Agency is a 
party, the Assistant Attorney General in charge of the Land and Natural 
Resources Division, and such members of his staff as he may specifically 
designate in writing, are authorized to exercise the functions and 
responsibilities undertaken by the Attorney General in the Memorandum of 
Understanding between the Department of Justice and the Environmental 
Protection Agency (42 FR 48942), except that subpart Y of this part 
shall continue to govern as authority to compromise and close civil 
claims in such matters.

[Order No. 764-78, 43 FR 3115, Jan. 23, 1978]



Sec. 0.66  Delegation respecting title opinions.

    (a) The Assistant Attorney General in charge of the Land and Natural 
Resources Division or such members of his staff as he may specifically 
designate in writing, are authorized to sign the name of the Attorney 
General to opinions on the validity of titles to property acquired by or 
on behalf of the United States, except those which, in the opinion of 
the Assistant Attorney General involve questions of policy or for any 
other reason require the personal attention of the Attorney General.
    (b) Pursuant to the provisions of section 1 of Public Law 91-393, 
approved September 1, 1970, 84 Stat. 835, the Assistant Attorney General 
in charge of the Land and Natural Resources Division is authorized:

[[Page 45]]

    (1) To exercise the Attorney General's power of delegating to other 
departments and agencies his (the Attorney General's) responsibility for 
approving the title to lands acquired by them,
    (2) With respect to delegations so made to other departments and 
agencies, to exercise the Attorney General's function of general 
supervision regarding the carrying out by such departments and agencies 
of the responsibility so entrusted to them, and
    (3) To promulgate regulations and any appropriate amendments thereto 
governing the approval of land titles by such departments and agencies.

[Order No. 440-70, 35 FR 16084, Oct. 14, 1970]



Sec. 0.67  Delegation respecting conveyances for public-airport purposes.

    The Assistant Attorney General in charge of the Land and Natural 
Resources Division, and such members of his staff as he may specifically 
designate in writing, are authorized to exercise the power and authority 
vested in the Attorney General by section 23(b) of the Airport and 
Airway Development Act of 1970 (84 Stat. 219; 49 U.S.C. 1723) with 
respect to approving the performance of acts and execution of 
instruments necessary to make the conveyances requested in carrying out 
the purposes of that section, except those acts and instruments which, 
in the opinion of the Assistant Attorney General, involve questions of 
policy or for any other reason require the personal attention of the 
Attorney General.

[Order No. 468-71, 36 FR 20428, Oct. 22, 1971]



Sec. 0.68  Delegation respecting mineral leasing.

    The Assistant Attorney General in charge of the Land and Natural 
Resources Division, and such members of his staff as he may specifically 
designate in writing, are authorized to execute the power and authority 
of the Attorney General under the provisions of section 3 of the act of 
August 7, 1947, 61 Stat. 914, 30 U.S.C. 352, respecting the leasing of 
minerals on lands under the jurisdiction of the Department of Justice.

[Order No. 542-73, 38 FR 28289, Oct. 12, 1973]



Sec. 0.69  Delegation of authority to make determinations and grants.

    The Assistant Attorney General in charge of the Land and Natural 
Resources Division, or such members of his staff as he may specifically 
designate in writing, are authorized to exercise the power and authority 
vested in the Attorney General by Public Law 87-852, approved October 
23, 1962 (40 U.S.C. 319), with respect to making the determinations and 
grants necessary in carrying out the purposes of that Act, except those 
acts and instruments which in the opinion of the Assistant Attorney 
General involve questions of policy or for any other reason require the 
personal attention of the Attorney General.

[Order No. 736-77, 42 FR 38177, July 27, 1977]



Sec. 0.69a  Delegation respecting approval of conveyances.

    The Assistant Attorney General in charge of the Land and Natural 
Resources Division, and such members of his staff as he may specifically 
designate in writing, are authorized to exercise the power and authority 
vested in the Attorney General by the Act of June 4, 1934, 48 Stat. 836, 
with respect to approving the making or acceptance of conveyances by the 
Secretary of the Interior on behalf of the United States.

[Order No. 947-81, 46 FR 29931, June 4, 1981]



Sec. 0.69b  Delegation of authority respecting conveyances for public airports.

    The Assistant Attorney General in charge of the Land and Natural 
Resources Division, and such members of his staff as he may specifically 
designate in writing, are authorized to exercise the power and authority 
vested in the Attorney General of section 516(b) of The Airport and 
Airway Improvement Act of 1982 (96 Stat. 671, 692) with respect to 
approving the performance of acts and execution of instruments necessary 
to make the conveyance requested in carrying out the purposes of that 
section, except those acts and instruments which in the opinion of the 
Assistant Attorney General, involve questions of policy or for any

[[Page 46]]

other reason require the personal attention of the Attorney General.

[Order No. 1069-84, 49 FR 39843, Oct. 11, 1984]



Sec. 0.69c  Litigation involving the Resource Conservation and Recovery Act.

    (a) The authority to receive complaints served upon the Attorney 
General pursuant to section 401 of the Hazardous Waste Amendments of 
1984 (Pub. L. 616, 98th Cong.; 42 U.S.C. 6872(b)(2)(F)) is hereby 
delegated to the Assistant Attorney General, Land and Natural Resources 
Division. Every plantiff required to serve upon the Attorney General a 
copy of their complaint, should do so by sending a copy of the 
complaint, together with all attachments thereto required by the Federal 
Rules of Civil Procedure and the Local Rules for the Federal District 
Court in which the complaint if filed, via first class mail, to the 
Assistnt Attorney General, Land and Natural Resources Division, U.S. 
Department of Justice, NW., Washington, DC 20530.
    (b) Services pursuant to section 401 shall be deemed effective upon 
the date the complaint is received by the Assistant Attorney General.

[Order No. 1099-85, 50 FR 26198, June 25, 1985]



                         Subpart N--Tax Division



Sec. 0.70  General functions.

    The following functions are assigned to and shall be conducted, 
handled, or supervised by, the Assistant Attorney General, Tax Division:
    (a) Prosecution and defense in all courts, other than the Tax Court, 
of civil suits, and the handling of other matters, arising under the 
internal revenue laws, and litigation resulting from the taxing 
provisions of other Federal statutes (except civil forfeiture and civil 
penalty matters arising under laws relating to liquor, narcotics, 
gambling, and firearms assigned to the Criminal Division by 
Sec. 0.55(d)).
    (b) Criminal proceedings arising under the internal revenue laws, 
except the following: Proceedings pertaining to misconduct of Internal 
Revenue Service personnel, to taxes on liquor, narcotics, firearms, 
coin-operated gambling and amusement machines, and to wagering, forcible 
rescue of seized property (26 U.S.C. 7212(b)), corrupt or forcible 
interference with an officer or employee acting under the Internal 
Revenue laws (26 U.S.C. 7212(a)), unauthorized disclosure of information 
(26 U.S.C. 7213), and counterfeiting, mutilation, removal, or reuse of 
stamps (26 U.S.C. 7208).
    (c)(1) Enforcement of tax liens, and mandamus, injunctions, and 
other special actions or general matters arising in connection with 
internal revenue matters.
    (2) Defense of actions arising under section 2410 of title 28 of the 
U.S. Code whenever the United States is named as a party to an action as 
the result of the existence of a Federal tax lien, including the defense 
of other actions arising under section 2410, if any, involving the same 
property whenever a tax-lien action is pending under that section.
    (d) Appellate proceedings in connection with civil and criminal 
cases enumerated in paragraphs (a) through (c) of this section and in 
Sec. 0.71, including petitions to review decisions of the Tax Court of 
the United States.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
445-70, 35 FR 19397, Dec. 23, 1970; Order No. 699-77, 42 FR 15315, Mar. 
21, 1977; Order No. 960-81, 46 FR 52346, Oct. 27, 1981]



Sec. 0.71  Delegation respecting immunity matters.

    The Assistant Attorney General in charge of the Tax Division is 
authorized to handle matters involving the immunity of the Federal 
Government from State or local taxation (except actions to set aside ad 
valorem taxes, assessments, special assessments, and tax sales of 
Federal real property, and matters involving payments in lieu of taxes), 
as well as State or local taxation involving contractors performing 
contracts for or on behalf of the United States.



                 Subpart O--Justice Management Division



Sec. 0.75  Policy functions.

    The Assistant Attorney General for Administration shall head the 
Justice Management Division and shall provide

[[Page 47]]

advice relating to basic Department policy for budget and financial 
management, program evaluation, auditing, personnel management and 
training, procurement, information processing and telecommunications, 
security and for all matters pertaining to organization, management, and 
administration. The following matters are assigned to, and shall be 
conducted, handled, or supervised by, the Assistant Attorney General for 
Administration:
    (a) Conduct, direct, review, and evaluate management studies and 
surveys of the Department's organizational structure, functions, and 
programs, operating procedures and supporting systems, and management 
practices throughout the Department; and make recommendations to reduce 
costs and increase productivity.
    (b) Supervise, direct, and review the preparation, justification and 
execution of the Department of Justice budget, including the 
coordination and control of the programming and reprogramming of funds.
    (c) Review, analyze, and coordinate the Department's programs and 
activities to ensure that the Department's use of resources and 
estimates of future requirements are consistent with the policies, 
plans, and mission priorities of the Attorney General.
    (d) Plan, direct, and coordinate Department-wide personnel 
management programs, and develop and issue Department-wide policy in all 
personnel program areas, including training, position classification and 
pay administration, staffing, employee performance evaluation, employee 
development, employee relations and services, employee recognition and 
incentives, equal employment opportunity programs, including the equal 
opportunity recruitment program (5 U.S.C. 7201), personnel program 
evaluation, labor management relations, adverse action hearings and 
appeals, employee grievances, and employee health programs.
    (e) Develop and direct Department-wide financial management 
policies, programs, procedures, and systems including financial 
accounting, planning, analysis, and reporting.
    (f) Supervise and direct the operation of the Department's central 
payroll system, automated information services, publication services, 
library services and any other Department-wide central services which 
are established by or assigned to the Justice Management Division.
    (g) Formulate and administer the General Administration 
Appropriation of the Department's budget.
    (h) Formulate Department-wide audit policies, standards and 
procedures; develop, direct and supervise independent and comprehensive 
internal audits, including examinations authorized by 28 U.S.C. 526, of 
all organizations, programs, and functions of the Department, and audits 
of expenditures made under the Department's contracts and grants to 
ensure compliance with laws, regulations and generally accepted 
accounting principles; economy and efficiency in operation; and that 
desired results are being achieved.
    (i) Develop and direct a Department-wide directives management 
program and administer the directives management system.
    (j) Plan, direct, administer, and monitor compliance with 
Department-wide policies, procedures, and regulations concerning 
records, reports, procurement, printing, graphics, audiovisual 
activities (including the approval or disapproval of production and 
equipment requests), forms management, supply management, motor 
vehicles, real and personal property, space assignment and utilization, 
and all other administrative services functions.
    (k) Formulate Department policies, standards, and procedures for 
information systems and the management and use of automatic data 
processing equipment; review the use and performance of information 
systems with respect to Department objectives, plans, policies, and 
procedures; provide technical leadership and support to new Department-
wide information systems; review and approve all contracts for 
information processing let by the Department, and provide the final 
review and approval of systems and procedures and standards for use of 
data elements and codes.
    (l) Formulate policies, standards, and procedures for Department 
telecommunications systems and equipment and review their 
implementation.

[[Page 48]]

    (m) Provide computer and digital telecommunications services on an 
equitable resource-sharing basis to all organizational units within the 
Department.
    (n) Formulate Department policies for the use of consultants and 
non-personal service contracts, review, and approve all nonpersonal 
service contracts, and review the implementation of Department policies.
    (o) Serve as liaison with state and local governments on management 
affairs, and coordinate the Department's participation in Federal 
regional interagency bodies.
    (p) Direct all Department security programs including personnel, 
physical, document, information processing and telecommunications, 
special intelligence, and employee health and safety programs and 
formulate and implement Department defense mobilization and contingency 
planning.
    (q) Review legislation for potential impact on the Department's 
resources.
    (r) Develop and implement a legal information coordination system 
for the use of the Department of Justice and, as appropriate, the 
Federal Government as a whole.

[Order No. 543-73, 38 FR 29585, Oct. 26, 1973, as amended by Order No. 
565-74, 39 FR 15875, May 6, 1974; Order No. 699-77, 42 FR 15315, Mar. 
21, 1977; Order No. 722-77, 42 FR 25499, May 18, 1977; Order No. 960-81, 
46 FR 52346, Oct. 27, 1981]



Sec. 0.76  Specific functions.

    The functions delegated to the Assistant Attorney General for 
Administration by this subpart O shall also include the following 
specific policy functions:
    (a) Directing the Department's financial management operations, 
including control of the accounting for appropriations and expenditures, 
employment limitations, voucher examination and audit, overtime pay, 
establishing per diem rates, promulgation of policies for travel, 
transportation, and relocation expenses, and issuance of necessary 
regulations pertaining thereto.
    (b) Submission of requests to the Office of Management and Budget 
for apportionment or reapportionment of appropriations, including the 
determination, whenever required, that such apportionment or 
reapportionment indicates the necessity for the submission of a request 
for a deficiency or supplemental estimate, and to make allotments to 
organizational units of the Department of funds made available to the 
Department within the limits of such apportionments or reapportionments 
(31 U.S.C. 665).
    (c) Approving per diem allowances for travel by airplane, train or 
boat outside the continental United States in accordance with paragraph 
1-7.2 of the Federal Travel Regulations (FPMR 101-7).
    (d) Exercising the claims settlement authority under the Federal 
Claims Collection Act of 1966 (31 U.S.C. 952).
    (e) Authorizing payment of actual expense of subsistence (5 U.S.C. 
5702(c)).
    (f) Prescribing regulations providing for premium pay pursuant to 5 
U.S.C. 5541-5550a.
    (g) Settling and authorizing payment of employee claims under the 
Military and Civilian Employees' Claims Act of 1964, as amended (31 
U.S.C. 240-243).
    (h) Submitting requests to the Comptroller General for decisions (31 
U.S.C. 74, 82d) and deciding questions involving the payment of $25 or 
less (Comp. Gen. B-161457, July 14, 1976).
    (i) Making determinations with respect to employment and wages under 
section 3122 of the Federal Insurance Contributions Act (26 U.S.C. 
3122).
    (j) Excluding the Office of Justice Assistance, Research and 
Statistics, supervising and directing the Department's procurement and 
contracting functions and assuring that equal employment opportunity is 
practiced by the Department's contractors and subcontractors and in 
federally assisted programs under the Department's control.
    (k) Designating Contracts Compliance Officers pursuant to Executive 
Order 11246, as amended.
    (l) Making the certificate required with respect to the necessity 
for including illustrations in printing (44 U.S.C. 1104).
    (m) Making the certificates with respect to the necessity of long 
distance telephone calls (31 U.S.C. 680a).
    (n) Making certificates of need for space (68 Stat. 518, 519).

[[Page 49]]

    (o) Exercising, except for the authority conferred in 
Secs. 0.15(b)(1), 0.19(a)(1), 0.137, and 0.138 of this part, the power 
and authority vested in the Attorney General to take final action on 
matters pertaining to the employment, separation, and general 
administration of personnel in General Schedule grade GS-1 through GS-
15, and in wage board positions; classify positions in the Department 
under the General Schedule and wage board systems regardless of grade; 
postaudit and correct any personnel action within the Department; and 
inspect at any time any personnel operations of the various 
organizational units of the Department.
    (p) Selecting and assigning employees for training by, in, or 
through non-Government facilities, paying the expenses of such training 
or reimbursing employees therefor, and preparing and submitting the 
required annual report to the Office of Personnel Management (5 U.S.C. 
4103-4118).
    (q) Exercising authority for the temporary employment of experts or 
consultants of organizations thereof, including stenographic reporting 
services (5 U.S.C. 3109(b)).
    (r) Providing assistance in furnishing information to the public 
under the Public Information Section of the Administrative Procedure Act 
(5 U.S.C. 552).
    (s) Representing the Department in its contacts on matters relating 
to administration and management with the Congressional Appropriations 
Committees, Office of Management and Budget, the General Accounting 
Office, the Office of Personnel Management, the General Services 
Administration, the Joint Committee on Printing, the Government Printing 
Office and all other Federal departments and agencies.
    (t) Taking final action, including making all required 
determinations and findings, in connection with the acquisition of real 
property for use by the Department of Justice.
    (u) Perform functions with respect to the operation, maintenance, 
repair, preservation, alteration, furnishing, equipment and custody of 
buildings occupied by the Department of Justice as delegated by the 
Administrator of the General Services Administration.
    (v) Implementing Office of Management and Budget Circular No. A-76, 
``Performance of Commercial Activities''.

[Order No. 543-73, 38 FR 29585, Oct. 26, 1973]

    Editorial Note: For amendments to Sec. 0.76, see the List of CFR 
Sections Affected in the Finding Aids section of this volume.



Sec. 0.77  Operational functions.

    The Assistant Attorney General for Administration shall provide all 
direct administrative support services to the Offices, Boards and 
Divisions of the Department and to the U.S. Marshals Service, except 
where independent administrative authority has been conferred. These 
services shall include the following:
    (a) Planning, directing and coordinating the personnel management 
program; providing personnel services including employment and staffing, 
employee relations, and classification, and including the employment, 
separation and general administration of employees, except attorneys, in 
General Schedule grades GS-15 and below, or equivalent pay levels.
    (b) Formulating policies and plans for efficient administrative 
management and organization and developing and coordinating all 
management studies and reports on the operations of the Offices, 
Divisions and Boards.
    (c) Planning, justifying, and compiling the annual and supplemental 
budget estimates of the Offices, Divisions and Boards.
    (d) Planning, directing and executing accounting operations for the 
Offices, Divisions and Boards.
    (e) Providing information systems analysis, design, computer 
programming, and systems implementation services consistent with 
Departmental information systems plans, policies and procedures.
    (f) Implementing and administering management programs for the 
creation, organization, maintenance, use, and disposition of Federal 
records, and providing mail and messenger service.
    (g) Implementing and administering programs for procurement, 
personal property, supply, motor vehicle, space management, and 
operations and management of buildings as delegated by

[[Page 50]]

the Administrator of the General Services Administration.
    (h) Operating and maintaining the Department Library.
    (i) Routing and controlling correspondence, maintaining indices of 
legal cases and matters, replying to correspondence not assignable to a 
division, safeguarding confidential information, attesting to the 
correctness of records, and related matters.
    (j) Accepting service of summonses, complaints, or other papers, 
including, without limitation, subpoenas, directed to the Attorney 
General in his official capacity, as a representative of the Attorney 
General, under the Federal Rules of Civil and Criminal Procedure or in 
any suit within the purview of subsection (a) of section 208 of the 
Department of Justice Appropriation Act, 1953 (66 Stat. 560 (43 U.S.C. 
666(a))).
    (k) Making the certificates required in connection with the payment 
of expenses of collecting evidence: Provided, That each such certificate 
shall be approved by the Attorney General.
    (l) Taking final action, including making all required 
determinations and findings, in connection with negotiated purchases and 
contracts as provided in 41 U.S.C. 252(c) (1) through (11), (14), (15) 
except that the authority provided in 41 U.S.C. 252(c)(11) shall be 
limited not to exceed an expenditure of $25,000 per contract and shall 
not be further delegated.
    (m) Serving as Contracting Officer for the Offices, Boards and 
Divisions, with authority of redelegation to the Deputy Assistant 
Attorney General, Office of Personnel and Administration, Justice 
Management Division. The authority so delegated includes the authority 
of redelegation to subordinates and to officials within the Offices, 
Boards and Divisions.
    (n) Authorizing payment of extraordinary expenses incurred by 
ministerial officers of the United States in executing acts of Congress 
(28 U.S.C. 1929).
    (o) Representing the Attorney General with the Secretary of State in 
arranging for reimbursement by foreign governments of expenses incurred 
in extradition cases, and certifying to the Secretary the amounts to be 
paid to the United States as reimbursement (18 U.S.C. 3195).

[Order No. 565-74, 39 FR 15876, May 6, 1974, as amended by Order No. 
699-77, 42 FR 15315, Mar. 21, 1977; Order No. 722-77, 42 FR 25499, May 
18, 1977; Order No. 960-81, 46 FR 52347, Oct. 27, 1981; Order No. 996-
83, 48 FR 7171, Feb. 18, 1983; Order No. 1001-83, 48 FR 9524, Mar. 7, 
1983; Order No. 1977-95, 60 FR 36711, July 18, 1995]



Sec. 0.78  Implementation of financial disclosure requirements.

    The Assistant Attorney General for Administration shall serve as the 
designated agency ethics official under title II of the Ethics in 
Government Act of 1978, 92 Stat. 1836, for purposes of administering the 
public and confidential financial disclosure programs applicable to 
officers and employees of the Department of Justice. His duties shall 
include the following:
    (a) Providing necessary report forms and other information to 
officers and employees of the Department;
    (b) Developing and maintaining a list of positions covered by the 
public and confidential financial reporting requirements;
    (c) Monitoring compliance by department officers and employees with 
applicable requirements for filing and review of financial disclosure 
reports;
    (d) Providing for retention of reports and transmittal, where 
necessary, of copies of reports to the Director of the Office of 
Government Ethics;
    (e) Establishing procedures for public access to reports filed under 
title II of the Ethics in Government Act of 1978;
    (f) Performing such other functions as may be necessary for the 
effective implementation of title II of the Ethics in Government Act.

[Order No. 832-79, 44 FR 29891, May 23, 1979, as amended by Order No. 
960-81, 46 FR 52347, Oct. 27, 1981]



Sec. 0.79  Redelegation of authority.

    The Assistant Attorney General for Administration is authorized to 
redelegate to any Department official any of the power or authority 
vested in him by this subpart O. Existing redelegations by the Assistant 
Attorney General for Administration shall continue

[[Page 51]]

in force and effect until modified or revoked.

[Order No. 543-73, 38 FR 29585, Oct. 26, 1973. Redesignated by Order No. 
565-74, 39 FR 15876, May 6, 1974, and further redesignated by Order No. 
832-79, 44 FR 29891, May 23, 1979]



               Subpart P--Federal Bureau of Investigation

    Cross Reference: For regulations pertaining to the Federal Bureau of 
Investigation, see part 3 of this chapter.



Sec. 0.85  General functions.

    The Director of the Federal Bureau of Investigation shall:
    (a) Investigate violations of the laws, including the criminal drug 
laws, of the United States and collect evidence in cases in which the 
United States is or may be a party in interest, except in cases in which 
such responsibility is by statute or otherwise specifically assigned to 
another investigative agency. The Director's authority to investigate 
violations of and collect evidence in cases involving the criminal drug 
laws of the United States is concurrent with such authority of the 
Administrator of the Drug Enforcement Administration under Sec. 0.100 of 
this part. In investigating violations of such laws and in collecting 
evidence in such cases, the Director may exercise so much of the 
authority vested in the Attorney General by sections 1 and 2 of 
Reorganization Plan No. 1 of 1968, section 1 of Reorganization Plan No. 
2 of 1973 and the Comprehensive Drug Abuse Prevention and Control Act of 
1970, as amended, as he determines is necessary. He may also release FBI 
information on the same terms and for the same purposes that the 
Administrator of the Drug Enforcement Administration may disclose DEA 
information under Sec. 0.103 of this part. The Director and his 
authorized delegates may seize, forfeit and remit or mitigate the 
forfeiture of property in accordance with 21 U.S.C. 881, 21 CFR 1316.71 
through 1316.81, and 28 CFR 9.1 through 9.7.
    (b) Conduct the acquisition, collection, exchange, classification 
and preservation of fingerprints and identification records from 
criminal justice and other governmental agencies, including fingerprints 
voluntarily submitted by individuals for personal identification 
purposes; provide expert testimony in Federal, State and local courts as 
to fingerprint examinations; and provide fingerprint training and 
provide identification assistance in disasters and for other 
humanitarian purposes.
    (c) Conduct personnel investigations requisite to the work of the 
Department of Justice and whenever required by statute or otherwise.
    (d) Carry out the Presidential directive of September 6, 1939, as 
reaffirmed by Presidential directives of January 8, 1943, July 24, 1950, 
and December 15, 1953, designating the Federal Bureau of Investigation 
to take charge of investigative work in matters relating to espionage, 
sabotage, subversive activities, and related matters.
    (e) Establish and conduct law enforcement training programs to 
provide training for State and local law enforcement personnel; operate 
the Federal Bureau of Investigation National Academy; develop new 
approaches, techniques, systems, equipment, and devices to improve and 
strengthen law enforcement and assist in conducting State and local 
training programs, pursuant to section 404 of the Omnibus Crime Control 
and Safe Streets Act of 1968, 82 Stat. 204.
    (f) Operate a central clearinghouse for police statistics under the 
Uniform Crime Reporting Program, and a computerized nationwide index of 
law enforcement information under the National Crime Information Center.
    (g) Operate the Federal Bureau of Investigation Laboratory to serve 
not only the Federal Bureau of Investigation, but also to provide, 
without cost, technical and scientific assistance, including expert 
testimony in Federal or local courts, for all duly constituted law 
enforcement agencies, other organizational units of the Department of 
Justice, and other Federal agencies, which may desire to avail 
themselves of the service. As provided for in procedures agreed upon 
between the Secretary of State and the Attorney General, the services of 
the Federal Bureau of Investigation Laboratory may also be made 
available to foreign law enforcement agencies and courts.

[[Page 52]]

    (h) Make recommendations to the Office of Personnel Management in 
connection with applications for retirement under 5 U.S.C. 8336(c).
    (i) Investigate alleged fraudulent conduct in connection with 
operations of the Department of Housing and Urban Development and other 
alleged violations of the criminal provisions of the National Housing 
Act, including 18 U.S.C. 1010.
    (j) Exercise the power and authority vested in the Attorney General 
to approve and conduct the exchanges of identification records 
enumerated at Sec. 50.12(a) of this chapter.
    (k) Payment of awards (including those over $10,000) under 28 U.S.C. 
524(c)(2), and purchase of evidence (including the authority to pay more 
than $100,000) under 28 U.S.C. 524(c)(1)(F).
    (l) Exercise Lead Agency responsibility in investigating all crimes 
for which it has primary or concurrent jurisdiction and which involve 
terrorist activities or acts in preparation of terrorist activities 
within the statutory jurisdiction of the United States. Within the 
United States, this would include the collection, coordination, 
analysis, management and dissemination of intelligence and criminal 
information as appropriate. If another Federal agency identifies an 
individual who is engaged in terrorist activities or in acts in 
preparation of terrorist activities, that agency is requested to 
promptly notify the FBI. Terrorism includes the unlawful use of force 
and violence against persons or property to intimidate or coerce a 
government, the civilian population, or any segment thereof, in 
furtherance of political or social objectives.
    (m) Carry out the Department's responsibilities under the Hate Crime 
Statistics Act.
    (n) Exercise the authority vested in the Attorney General under 
section 528(a), Public Law 101-509, to accept from federal departments 
and agencies the services of law enforcement personnel to assist the 
Department of Justice in the investigation and prosecution of fraud or 
other criminal or unlawful activity in or against any federally insured 
financial institution or the Resolution Trust Corporation, and to 
coordinate the activities of such law enforcement personnel in the 
conduct of such investigations and prosecutions.
    (o) Carry out the responsibilities conferred upon the Attorney 
General under the Communications Assistance for Law Enforcement Act, 
Title I of Pub. L. 103-414 (108 Stat. 4279), subject to the general 
supervision and direction of the Attorney General.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969]

    Editorial Note: For Federal Register citations affecting Sec. 0.85, 
see the List of Sections Affected in the Finding Aids section of this 
volume.



Sec. 0.85a  Criminal justice policy coordination.

    The Federal Bureau of Investigation shall report to the Attorney 
General on all its activities.

[Order No. 960-81, 46 FR 52347, Oct. 27, 1981]



Sec. 0.86  Seizure of gambling devices.

    The Director, Associate Director, Assistants to the Director, 
Executive Assistant Directors, Assistant Directors, inspectors and 
agents of the Federal Bureau of Investigation are authorized to exercise 
the power and authority vested in the Attorney General to make seizures 
of gambling devices (18 U.S.C. 1955(d), 15 U.S.C. 1171 et seq.) and wire 
or oral communication intercepting devices (18 U.S.C. 2513).

[Order No. 960-81, 46 FR 52347, Oct. 27, 1981]



Sec. 0.87  Representation on committee for visit-exchange.

    The Director of the Federal Bureau of Investigation shall be a 
member of the committee which represents the Department of Justice in 
the development and implementation of plans for exchanging visits 
between the Iron Curtain countries and the United States and shall have 
authority to designate an alternate to serve on such committee.



Sec. 0.88  Certificates for expenses of unforeseen emergencies.

    The Director of the Federal Bureau of Investigation is authorized to 
exercise the power and authority vested in the Attorney General by 28 
U.S.C. 537, to make certificates with respect to expenses of unforeseen 
emergencies of a

[[Page 53]]

confidential character: Provided, That each such certificate made by the 
Director of the Federal Bureau of Investigation shall be approved by the 
Attorney General.



Sec. 0.89  Authority to seize arms and munitions of war.

    The Director of the Federal Bureau of Investigation is authorized to 
exercise the authority conferred upon the Attorney General by section 1 
of E.O. 10863 of February 18, 1960 (25 FR 1507), relating to the seizure 
of arms and munitions of war, and other articles, pursuant to section 1 
of title VI of the act of June 15, 1917, 40 Stat. 223, as amended by 
section 1 of the Act of August 13, 1953, 67 Stat. 577 (22 U.S.C. 401).



Sec. 0.89a  Delegations respecting claims against the FBI.

    (a) The Director of the Federal Bureau of Investigation is 
authorized to exercise the power and authority vested in the Attorney 
General under 28 U.S.C. 2672 to consider, ascertain, adjust, determine, 
and settle any claim thereunder not exceeding $10,000 in any one case 
caused by the negligent or wrongful act or omission of any employee of 
the Federal Bureau of Investigation.
    (b) The Director of the Federal Bureau of Investigation is further 
authorized to exercise the power and authority vested in the Attorney 
General under the Act of December 7, 1989, Public Law 101-203, 103 Stat. 
1805 (31 U.S.C. 3724) with regard to claims thereunder not exceeding 
$50,000 in any one case.
    (c) The Director of the Federal Bureau of Investigation is 
authorized to redelegate to the General Counsel of the FBI or his 
designee within the Office of the General Counsel or to the primary 
legal advisors of the FBI field offices, any of the authority, 
functions, or duties vested in him by paragraphs (a) and (b) of this 
section. This authority shall not be further redelegated.

[Order No. 884-80, 45 FR 22023, Apr. 3, 1980, as amended by Order No. 
1417-90, 55 FR 27808, July 6, 1990; Order No. 1551-91, 56 FR 64192, Dec. 
9, 1991; Order No. 1904-94, 59 FR 41242, Aug. 11, 1994]



      Subpart P-1--Office of Justice Programs and Related Agencies

    Source: Order No. 1111-85, 50 FR 43385, Oct. 25, 1985, unless 
otherwise noted.



Sec. 0.90  Office of Justice Programs.

    The Office of Justice Programs is headed by an Assistant Attorney 
General appointed by the President. Under the general authority of the 
Attorney General, the Assistant Attorney General maintains liaison with 
the provides information to Federal, State, local, and private agencies 
and organizations on criminal justice matters, and provides staff 
support to and coordinates the activities of the National Institute of 
Justice, the Bureau of Justice Statistics, the Office of Juvenile 
Justice and Delinquency Prevention, and the Bureau of Justice 
Assistance. The Office includes the Office for Victims of Crime.



Sec. 0.91  Office for Victims of Crime.

    The Office for Victims of Crime is headed by a Director appointed by 
the Assistant Attorney General, Office of Justice Programs. Under a 
delegation by the Attorney General (DOJ Order No. 1079-84, Dec. 14, 
1984), the Assistant Attorney General and the Director are responsible 
for providing national leadership to encourage improved treatment of 
victims by implementing the recommendations of the President's Task 
Force on Victims of Crime and the Attorney General's Task Force on 
Family Violence, and by administering the Crime Victims Fund and the 
Federal Crime Victim Assistance Program, established under the Victims 
of Crime Act of 1984, title II, chapter XIV, of Public Law 98-473, 42 
U.S.C. 10601 et seq., 98 Stat. 2170 (Oct. 12, 1984).



Sec. 0.92  National Institute of Justice.

    The National Institute of Justice is headed by a Director appointed 
by the President. Under the general authority of the Attorney General 
and reporting through the Assistant Attorney General, Office of Justice 
Programs, the Director performs functions and administers programs, 
including provision of financial assistance, under 42

[[Page 54]]

U.S.C. 3721-3723 to support basic and applied research into justice 
issues.



Sec. 0.93  Bureau of Justice Statistics.

    The Bureau of Justice Statistics is headed by a Director appointed 
by the President. Under the general authority of the Attorney General 
and reporting through the Assistant Attorney General, Office of Justice 
Programs, the Director performs functions and administers programs, 
including provision of financial assistance, under 42 U.S.C. 3731-3734, 
to provide a variety of statistical services for the criminal justice 
community.



Sec. 0.94  Office of Juvenile Justice and Delinquency Prevention.

    The Office of Juvenile Justice and Delinquency Prevention is headed 
by an Administrator appointed by the President. Under the general 
authority of the Attorney General and reporting through the Assistant 
Attorney General, Office of Justice Programs, the Administrator performs 
functions and administers programs, including provision of financial 
assistance, under 42 U.S.C. 5601 et seq., relating to juvenile 
delinquency, the improvement of juvenile justice systems and missing 
children.



Sec. 0.94-1  Bureau of Justice Assistance.

    (a) The Bureau of Justice Assistance is headed by a Director 
appointed by the Attorney General. Under the general authority of the 
Attorney General and reporting through the Assistant Attorney General, 
Office of Justice Programs, the Director performs functions and 
administers programs, including provision of financial assistance, under 
42 U.S.C. 3741-3748; 3761-3764; and 3769, relating to the administration 
of State and local criminal justice systems. The Director also 
administers the Public Safety Officers' Death Benefits Program under 42 
U.S.C. 3796, et seq.
    (b) Subject to the authority and direction of the Attorney General, 
the Director of the Bureau of Justice Assistance is authorized to 
exercise the power and authority vested in the Attorney General by 
Executive Order No. 11755 of December 29, 1973, 39 FR 779, with respect 
to certification and revoking certification of work-release laws or 
regulations.

[Order No. 1111-85, 50 FR 43385, Oct. 25, 1985; Order No. 1145-86, 51 FR 
29464, Aug. 18, 1986]



                      Subpart Q--Bureau of Prisons

    Cross Reference: For regulations pertaining to the Bureau of 
Prisons, see parts 6 and 7 of this chapter.



Sec. 0.95  General functions.

    The Director of the Bureau of Prisons shall direct all activities of 
the Bureau of Prisons including:
    (a) Management and regulation of all Federal penal and correctional 
institutions (except military or naval institutions), and prison 
commissaries.
    (b) Provision of suitable quarters for, and safekeeping, care, and 
subsistence of, all persons charged with or convicted of offenses 
against the United States or held as witnesses or otherwise.
    (c) Provision for the protection, instruction, and discipline of all 
persons charged with or convicted of offenses against the United States.
    (d) Classification, commitment, control, or treatment of persons 
committed to the custody of the Attorney General.
    (e) Payment of rewards with respect to escaped Federal prisoners (18 
U.S.C. 3059).
    (f) Certification with respect to the insanity or mental 
incompetence of a prisoner whose sentence is about to expire pursuant to 
section 4247 of title 18 of the U.S. Code.
    (g) Entering into contracts with State or territorial officials for 
the custody, care, subsistence, education, treatment, and training of 
State or territorial prisoners, upon certification with respect to the 
availability of proper and adequate treatment facilities and personnel, 
pursuant to section 5003 of title 18 of the U.S. Code.
    (h) Conduct of studies and the preparation and submission of reports 
and recommendations to committing courts respecting disposition of cases 
in which defendants have been committed for such purposes pursuant to 18 
U.S.C. 4205(c).
    (i) Conduct and prepare, or cause to be conducted and prepared, 
studies and

[[Page 55]]

submit reports to the court and the attorneys with respect to 
disposition of cases in which juveniles have been committed, pursuant to 
18 U.S.C. 5037, and to contract with public or private agencies or 
individuals or community-based facilities for the observation and study 
and the custody and care of juveniles, pursuant to 18 U.S.C. 5040.
    (j) Observation, conduct of studies, and preparation of reports in 
cases in which youth offenders have been committed by the courts for 
such purposes pursuant to section 5010(e) of title 18 of the United 
States Code.
    (k) Conduct of examinations to determine whether an offender is an 
addict and is likely to be rehabilitated through treatment, as well as 
the preparation and submission of reports to committing courts, pursuant 
to section 4252 of title 18 of the United States Code.
    (l) Transmittal of reports of boards of examiners and certificates 
to clerks of the district courts pursuant to section 4245 of title 18 of 
the U.S. Code.
    (m) Providing technical assistance to State and local governments in 
the improvement of their correctional systems (18 U.S.C. 4042).

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
445-70, 35 FR 19397, Dec. 23, 1970; Order No. 579-74, 39 FR 37771, Oct. 
24, 1974; Order No. 960-81, 46 FR 52348, Oct. 27, 1981]



Sec. 0.96  Delegations.

    The Director of the Bureau of Prisons is authorized to exercise or 
perform any of the authority, functions, or duties conferred or imposed 
upon the Attorney General by any law relating to the commitment, 
control, or treatment of persons (including insane prisoners and 
juvenile delinquents) charged with or convicted of offenses against the 
United States, including the taking of final action in the following-
described matters:
    (a) Requesting the detail of Public Health Service officers for the 
purpose of furnishing services to Federal penal and correctional 
institutions (18 U.S.C. 4005).
    (b) Consideration, determination, adjustment, and payment of claims 
in accordance with 31 U.S.C. 3722.
    (c) Designating places of imprisonment or confinement where the 
sentences of prisoners shall be served and ordering transfers from one 
institution to another, whether maintained by the Federal Government or 
otherwise, pursuant to 18 U.S.C. 4082 as it existed before the enactment 
of Pub. L. 98-473 (applicable to offenses committed prior to November 1, 
1987).
    (d) Extending the limits of the place of confinement of prisoners 
for the purposes specified, and within the limits established, by 18 
U.S.C. 4082(c) as it existed before the enactment of Public Law 98-473, 
and otherwise performing the functions of the Attorney General under 
that section (applicable to offenses committed prior to November 1, 
1987).
    (e) Designation of agents for the transportation of prisoners (18 
U.S.C. 4008).
    (f) Prescribing regulations for the use of surplus funds in 
``Commissary Funds, Federal Prisons'' to provide advances not in excess 
of $150 to prisoners at the time of their release pursuant to 18 U.S.C. 
4284 as it existed before the enactment of Public Law 98-473 (applicable 
to offenses committed prior to November 1, 1987).
    (g) Allowance, forfeiture, and restoration of all good time pursuant 
to 18 U.S.C. 4161, 4162, 4165, and 4166 as those sections existed before 
the enactment of Public Law 98-473 (applicable to offenses committed 
prior to November 1, 1987).
    (h) Release of prisoners held solely for nonpayment of fine as 
provided in 18 U.S.C. 3569 as it existed before the enactment of Public 
Law 98-473 (applicable to offenses committed prior to November 1, 1987).
    (i) Furnishing transportation, clothing, and payments to released 
prisoners pursuant to 18 U.S.C. 4281 as it existed before the enactment 
of Public Law 98-473 (applicable to offenses committed prior to November 
1, 1987).
    (j) Performing the functions of the Attorney General under the 
provisions of 18 U.S.C. chapter 313, Offenders with Mental Disease or 
Defect (18 U.S.C. 4241-4247).
    (k) Settlement of claims arising under the Federal Tort Claims Act 
as provided in 28 CFR 0.172.

[[Page 56]]

    (l) Entering into reciprocal agreements with fire organizations for 
mutual aid and rendering emergency assistance in connection with 
extinguishing fires within the vicinity of a Federal correctional 
facility, as authorized by sections 2 and 3 of the Act of May 27, 1955 
(42 U.S.C. 1856a, 1856b).
    (m) Deciding upon requests by states for temporary transfers of 
custody of inmates for prosecution under Article IV of the Interstate 
Agreement on Detainers (84 Stat. 1399) and pursuant to other available 
procedures; and receiving and reviewing requests by the executive 
authority of states or the District of Columbia for, and authorizing the 
transfer of, inmates pursuant to 18 U.S.C. 4085 as it existed before the 
enactment of Public Law 98-473 (applicable to offenses committed prior 
to November 1, 1987).
    (n) Prescribing rules and regulations applicable to the carrying of 
firearms by Bureau of Prisons officers and employees (18 U.S.C. 3050).
    (o) Promulgating rules governing the control and management of 
Federal penal and correctional institutions and providing for the 
classification, government, discipline, treatment, care, rehabilitation, 
and reformation of inmates confined therein (18 U.S.C. 4001, 4041, and 
4042).
    (p) Establishing and designating Bureau of Prisons Institutions (18 
U.S.C. 4001, 4042).
    (q) Granting permits to states or public agencies for rights-of-way 
upon lands administered by the Director in accordance with the 
provisions of 43 U.S.C. 931c and 43 U.S.C. 961 (18 U.S.C. 4001, 4041, 
4042, 43 U.S.C. 931c, 961).
    (r) Authority under the provisions of 18 U.S.C. 4082(b) to provide 
law enforcement representatives with information on Federal prisoners 
who have been convicted of felony offenses and who are confined at a 
residential community treatment center located in the geographical area 
in which the requesting agency has jurisdiction (18 U.S.C. 4082).
    (s) Approving inmate disciplinary and good time regulations (18 
U.S.C. 3624).
    (t) Contracting, for a period not exceeding three years, with the 
proper authorities of any State, Territory, or political subdivision 
thereof, for the imprisonment, subsistence, care, and proper employment 
of persons convicted of offenses against the United States (18 U.S.C. 
4002).

[Order No. 1617-92, 57 FR 38772, Aug. 27, 1992, as amended by Order No. 
1884-94, 59 FR 29717, June 9, 1994; Order No. 2204-99, 64 FR 4295, Jan. 
28, 1999]



Sec. 0.96a  Interstate Agreement on Detainers.

    The Director of the Bureau of Prisons is designated as the U.S. 
Officer under Article VII of the Interstate Agreement on Detainers (84 
Stat. 1402).

[Order No. 462-71, 36 FR 12212, June 29, 1971]



Sec. 0.96b  Exchange of prisoners.

    The Director of the Bureau of Prisons and officers of the Bureau of 
Prisons designated by him are authorized to receive custody of offenders 
and to transfer offenders to and from the United States of America under 
a treaty as referred to in Public Law 95-144; to make arrangements with 
the States and to receive offenders from the States for transfer to a 
foreign country; to act as an agent of the United States to receive the 
delivery from a foreign government of any person being transferred to 
the United States under such a treaty; to render to foreign countries 
and to receive from them certifications and reports required under a 
treaty; and to receive custody and carry out the sentence of 
imprisonment of such a transferred offender as required by that statute 
and any such treaty.

[Order No. 758-77, 42 FR 63139, Dec. 15, 1977]



Sec. 0.96c  Cost of incarceration.

    (a) The Attorney General is required to establish and collect a fee 
to cover the cost of one year of incarceration. These provisions apply 
to any person who is convicted in a United States District Court and 
committed to the custody of the Attorney General, and who begins service 
of sentence on or after December 27, 1994. For the purposes of this 
subpart, revocation of parole or supervised release shall be treated as 
a separate period of incarceration for which a fee may be imposed.

[[Page 57]]

    (b) The fee to cover the costs of incarceration shall be calculated 
by dividing the number representing the obligation encountered in Bureau 
of Prisons facilities (excluding activation costs) by the number of 
inmate-days incurred for the year, and by then multiplying the quotient 
by 365. The resulting figure represents the average cost to the Bureau 
for confining an inmate for one year.
    (c) The Director of the Bureau of Prisons is delegated the authority 
to collect the fee to cover the cost of incarceration from inmates 
committed to the custody of the Attorney General and to promulgate all 
regulations concerning the collection of the fee.
    (d) The Director shall review and determine the amount of the fee 
not less than annually in accordance with the formula set forth in 
paragraph (b) of this section. The Director shall publish each year's 
fee as a Notice in the Federal Register.

[Order No. 1932-94, 59 FR 60558, Nov. 25, 1994]



Sec. 0.97  Redelegation of authority.

    The Director of the Bureau of Prisons is authorized to redelegate to 
any of his subordinates any of the authority, functions or duties vested 
in him by this subpart Q. The Director may make similar delegations to 
any other employee of any Bureau, Board, Office, or Division of the 
Department of Justice with the consent of the head of that Bureau, 
Board, Office, or Division, and after written notification to the 
Attorney General or designee. A redelegation of authority is limited to 
employees of the Department of Justice. Existing redelegations by the 
Director of the Bureau of Prisons shall continue in force and effect 
until modified or revoked.

[Order No. 1150-86, 51 FR 31939, Sept. 8, 1986]



Sec. 0.98  Functions of Commissioner of Federal Prison Industries.

    The Director of the Bureau of Prisons is authorized as ex officio 
Commissioner of Federal Prison Industries and in accordance with the 
policy fixed by its Board of Directors to:
    (a) Exercise jurisdiction over all industrial enterprises in all 
Federal penal and correctional institutions.
    (b) Sponsor vocational training programs in Federal penal and 
correctional institutions.
    (c) Contract for the transfer of property or equipment from the 
District of Columbia for industrial employment and training of prisoners 
confined in a penal or correctional institution of the District of 
Columbia, pursuant to 18 U.S.C. 4122.



Sec. 0.99  Compensation to Federal prisoners.

    The Board of Directors of Federal Prison Industries, or such officer 
of the corporation as the Board may designate, may exercise the 
authority vested in the Attorney General by section 4126 of title 18 of 
the U.S. Code, as amended, to prescribe rules and regulations governing 
the payment of compensation to inmates of Federal penal and correctional 
institutions employed in any industry, or performing outstanding 
services in institutional operations, and to inmates or their dependents 
for injuries suffered in any industry or in any work activity in 
connection with the maintenance of operation of the institution where 
confined.

 Appendix to Subpart Q--Confinement of Persons in District of Columbia 
                        Correctional Institutions

    By virtue of the authority vested in me by the Act of September 1, 
1916, 39 Stat. 711 (D.C. Code section 24-402), by section 11 of the Act 
of July 15, 1932, as added by the Act of June 6, 1940, 54 Stat. 244 
(D.C. Code section 24-425), and by the Act of September 10, 1965 (18 
U.S.C. 4082).
    (a) The Mayor of the District of Columbia or his authorized 
representative is hereby authorized to transfer such prisoners as may be 
in his custody and supervision, by virtue of having been placed in a 
correctional institution of the District of Columbia pursuant to the 
authority of the Attorney General, from such institution to any 
available, suitable, or appropriate institution or facility (including a 
residential community treatment center) within the District of Columbia, 
and the Mayor or his authorized representative is further authorized to 
extend the limits of the place of confinement of such prisoners for the 
purposes specified, and within the limits established, by the Act of 
September 10, 1965 (18 U.S.C. 4082).
    (b) The authority conferred by subsection (a) shall not include any 
extension of the limits of confinement for any prisoner serving a 
sentence for a crime of violence and

[[Page 58]]

not participating in a furlough program as of December 22, 1976, unless 
such prisoner has served at least twelve months, has not been denied 
parole, without recommendation for furlough, at his most recent parole 
hearing (whether such hearing was held before or after extension of the 
limits of his confinement was granted), and
    (1) Is within twelve months of the expiration of his maximum 
sentence, without reduction, or
    (2) Is within twelve months of a date on which he will be eligible 
for parole from confinement, or
    (3) Has served at least ninety percent of his minimum sentence, 
without reduction.

By October 15 of each year, there shall be submitted to the Associate 
Attorney General a report concerning each prisoner serving a sentence 
for a crime of violence whose limits of confinement have been extended 
during the twelve-month period ending the preceding September 30, 
indicating the offense and term for which, and the court by which, the 
prisoner was sentenced with respect to his present confinement; all 
other criminal offenses of which the prisoner has been convicted; the 
date, duration and purpose of each extension of the limits of his 
confinement; all parole board actions with respect to the prisoner; and 
all infractions of the terms of extension, violations of prison rules, 
or criminal offenses with which the prisoner has been officially charged 
since the beginning of his confinement.
    (c) With respect to all other prisoners, the authority conferred by 
subsection (a) may be exercised by an authorized representative 
designated by the Mayor.
    (d) As used in this Order crime of violence means murder, 
manslaughter, rape, kidnapping, robbery, burglary, assault with intent 
to kill, assault with intent to rape, assault with intent to rob or 
extortion involving the threat or use of violence to person.

[Order No. 636-76, 41 FR 3289, Jan. 26, 1976, as amended by Order No. 
676-76, 41 FR 56802, Dec. 30, 1976; Order No. 960-81, 46 FR 52348, Oct. 
27, 1981]



               Subpart R--Drug Enforcement Administration



Sec. 0.100  General functions.

    The following-described matters are assigned to, and shall be 
conducted, handled, or supervised by, the Administrator of the Drug 
Enforcement Administration:
    (a) Functions vested in the Attorney General by sections 1 and 2 of 
Reorganization Plan No. 1 of 1968.
    (b) Except where the Attorney General has delegated authority to 
another Department of Justice official to exercise such functions, 
functions vested in the Attorney General by the Comprehensive Drug Abuse 
Prevention and Control Act of 1970, as amended. This will include 
functions which may be vested in the Attorney General in subsequent 
amendments to the Comprehensive Drug Abuse Prevention and Control Act of 
1970, and not otherwise specifically assigned or reserved by him.
    (c) Functions vested in the Attorney General by section 1 of 
Reorganization Plan No. 2 of 1973 and not otherwise specifically 
assigned.

[Order No. 520-73, 38 FR 18380, July 10, 1973, as amended by Order No. 
960-81, 46 FR 52348, Oct. 27, 1981; Order No. 1203-87, 52 FR 24447, July 
1, 1987; Order No. 2204-99, 64 FR 4295, Jan. 28, 1999]



Sec. 0.101  Specific functions.

    The Administrator of the Drug Enforcement Administration shall be 
responsible for:
    (a) The development and implementation of a concentrated program 
throughout the Federal Government for the enforcement of Federal drug 
laws and for cooperation with State and local governments in the 
enforcement of their drug abuse laws.
    (b) The development and maintenance of a National Narcotics 
Intelligence System in cooperation with Federal, State, and local 
officials, and the provision of narcotics intelligence to any Federal, 
State, or local official that the Administrator determines has a 
legitimate official need to have access to such intelligence.
    (c) The development and implementation of a procedure to release 
property seized under section 511 of the Controlled Substances Act (21 
U.S.C. 881) to any innocent party having an immediate right to 
possession of the property, when the Administrator, in his discretion, 
determines it is not in the interests of justice to initiate forfeiture 
proceedings against the property.
    (d) Payment of awards (including those over $10,000) under 28 U.S.C.

[[Page 59]]

524(c)(2) and purchase of evidence (including the authority to pay more 
than $100,000) under 28 U.S.C. 524(c)(1)(F).

[Order No. 520-73, 38 FR 18380, July 10, 1973, as amended by Order No. 
565-74, 39 FR 15876, May 6, 1974; Order No. 898-80, 45 FR 44267, July 1, 
1980; Order No. 960-81, 46 FR 52348, Oct. 27, 1981; Order No. 1126-86, 
51 FR 7443, Mar. 4, 1986]



Sec. 0.102  Drug enforcement policy coordination.

    The Administrator of the Drug Enforcement Administration shall 
report to the Attorney General, through the Deputy Attorney General or 
the Associate Attorney General, as directed by the Attorney General.

[Order No. 1429-90, 55 FR 28909, July 16, 1990]



Sec. 0.103  Release of information.

    (a) The Administrator of DEA is authorized--
    (1) To release information obtained by DEA and DEA investigative 
reports to Federal, State, and local officials engaged in the 
enforcement of laws related to controlled substances.
    (2) To release information obtained by DEA and DEA investigative 
reports to Federal, State, and local prosecutors, and State licensing 
boards, engaged in the institution and prosecution of cases before 
courts and licensing boards related to controlled substances.
    (3) To authorize the testimony of DEA officials in response to 
subpoenas issued by the prosecution in Federal, State, or local criminal 
cases involving controlled substances.
    (b) Except as provided in paragraph (a) of this section, all other 
production of information or testimony of DEA officials in response to 
subpoenas or demands of courts or other authorities is governed by 
subpart B of part 16 of this chapter. However, it should be recognized 
that subpart B is not intended to restrict the release of 
noninvestigative information and reports as deemed appropriate by the 
Administrator of DEA. For example, it does not inhibit the exchange of 
information between governmental officials concerning the use and abuse 
of controlled substances as provided for by section 503(a)(1) of the 
Controlled Substances Act (21 U.S.C. 873(a)(1)).

[Order No. 520-73, 38 FR 18380, July 10, 1973]



Sec. 0.103a  Delegations respecting claims against the Drug Enforcement Administration.

    (a) The Administrator of DEA is authorized to exercise the power and 
authority vested in the Attorney General under the Act of December 7, 
1989, Public Law 101-203, 103 Stat. 1805 (31 U.S.C. 3724) with regard to 
claims thereunder arising out of the lawful activities of DEA personnel 
in an amount not to exceed $50,000.00 in any one case.
    (b) Notwithstanding the provisions of 28 CFR 0.104, the 
Administrator of DEA is authorized to redelegate the power and authority 
vested in him in paragraph (a) of this section to the Chief Counsel of 
DEA and the Chief Counsel's designee within the Office of Chief Counsel. 
This authority shall not be further redelegated below the Associate 
Chief Counsel level.

[Order No. 1751-93, 58 FR 35371, July 1, 1993]



Sec. 0.104  Redelegation of authority.

    The Administrator of the Drug Enforcement Administration is 
authorized to redelegate to any of his subordinates or any of the 
officers or employees of the Immigration and Naturalization Service any 
of the powers and functions vested in him by this subpart R.

[Order 1146-86, 51 FR 30485, Aug. 27, 1986]

            Appendix to Subpart R--Redelegation of Functions

    Section 1. Scope of authority. The authority delegated by this order 
is applicable to all officers and employees of the Drug Enforcement 
Administration (DEA) and Federal Bureau of Investigation (FBI).
    Sec. 2. Supervisors. All Special Agents-in-Charge of the DEA, and 
the FBI are authorized to conduct enforcement hearings under 21 U.S.C. 
883, and to take custody of seized property under 21 U.S.C. 881. All 
Special Agents-in-Charge of the DEA and the FBI are authorized to 
release information pursuant to 28 CFR 0.103(a) (1) and (2) which is 
obtained by the DEA and the FBI, and to authorize the testimony of DEA 
and FBI officials in response to prosecution subpoenas under 28 CFR 
0.103(a)(3). All DEA Laboratory Directors are authorized to release 
information pursuant to 28 CFR 0.103(a) (1) and (2)

[[Page 60]]

which is obtained by a DEA laboratory, and to authorize the testimony of 
DEA laboratory personnel in response to prosecution subpoenas under 28 
CFR 0.103(a)(3). All DEA Special Agents-in-Charge are authorized to take 
custody of, and make disposition of, controlled substances seized 
pursuant to 21 U.S.C. 824(g).
    Sec. 3. Enforcement officers. (a) All DEA criminal investigators 
(series 1811 under Office of Personnel Management regulations) and 
special agents of the FBI are authorized to exercise all of the powers 
of enforcement personnel granted by 21 U.S.C. 876, 878, and 879; to 
serve subpoenas, administer oaths, examine witnesses, and receive 
evidence under 21 U.S.C. 875; to execute administrative inspection 
warrants under 21 U.S.C. 880; and to seize property under 21 U.S.C. 881 
and 21 CFR 1316.71 et seq.
    (b) All DEA Diversion Investigators (series 1801 under Office of 
Personnel Management regulations) are authorized to administer oaths and 
serve subpoenas under 21 U.S.C. 875 and 876; to conduct administrative 
inspections and execute administrative inspection warrants under 21 
U.S.C. 878(2) and 880; to seize property incident to compliance and 
registration inspections and investigations under 21 U.S.C. 881; and to 
seize or place controlled substances under seal pursuant to 21 U.S.C. 
824.
    Sec. 4. Issuance of subpoenas. (a) The Chief Inspector of the DEA; 
the Deputy Chief Inspector and Associate Deputy Chief Inspector of the 
Office of Professional Responsibility of the DEA; all Special Agents-in-
Charge of the DEA and the FBI; DEA Inspectors assigned to the Inspection 
Division; DEA Associate Special Agents-in-Charge; DEA and FBI Assistant 
Special Agents-in-Charge; DEA Resident Agents-in-Charge; DEA Diversion 
Program Managers; and FBI Supervisory Senior Resident Agents are 
authorized to sign and issue subpoenas with respect to controlled 
substances, listed chemicals, tableting machines and/or encapsulating 
machines under 21 U.S.C. 875 and 876 in regard to matters within their 
respective jurisdictions.
    (b) The Administrative Law Judge of DEA is authorized to sign and 
issue subpoenas to compel the attendance of witnesses and the production 
of documents and materials to the extent necessary to conduct 
administrative hearings pending before him.
    Sec. 5. Legal functions. The Chief Counsel of the DEA is authorized 
to execute any certification required to authenticate any document 
pursuant to Sec. 0.146 of title 28, Code of Federal Regulations; to 
adjust, determine, compromise, and settle any claims involving the Drug 
Enforcement Administration under 28 U.S.C. 2672, relating to tort claims 
where the amount of the proposed adjustment, compromise, settlement or 
award does not exceed $2,500; to formulate and coordinate the 
proceedings relating to the conduct of hearings under 21 U.S.C. 875, 
including the signing and issuance of subpoenas, examining of witnesses 
and receiving evidence; to adjust, determine, compromise, and settle any 
tort claims when such claims arise in foreign countries in connection 
with Drug Enforcement Administration operations abroad, and to conduct 
enforcement hearings under 21 U.S.C. 883. The Forfeiture Counsel of the 
DEA is authorized to exercise all necessary functions with respect to 
decisions on petitions under 19 U.S.C. 1618 for remission or mitigation 
of forfeitures incurred under 21 U.S.C. 881.
    Sec. 6. Import and export permits. The Deputy Assistant 
Administrator of the DEA Office of Diversion Control, the Deputy 
Director of the DEA Office of Diversion Control, the Chief of the Drug 
Operations Section of the DEA Office of Diversion Control, and the Chief 
of the International Drug Unit of the Drug Operations Section of the DEA 
Office of Diversion Control are authorized to perform all and any 
functions with respect to the issuance of importation and exportation 
permits for controlled substances under 21 U.S.C. 952 and 953, and all 
functions in regard to transshipments and intransit shipments of 
controlled substances under 21 U.S.C. 954.
    Sec. 7. Promulgation of regulations. The Deputy Assistant 
Administrator of the DEA Office of Diversion Control is authorized to 
exercise all necessary functions with respect to the promulgation and 
implementation of the following regulations published in chapter II, 
title 21, Code of Federal Regulations:
    (a) Part 1301, incident to the registration of manufacturers, 
distributors, and dispensers of controlled substances, except that final 
orders in connection with suspension, denial or revocation of 
registration shall be made by the Deputy Administrator of DEA.
    (b) Part 1302 relating to labelling and packaging requirements for 
controlled substances.
    (c) Part 1304 relating to records and reports of registrants.
    (d) Part 1305 relating to order forms.
    (e) Part 1306 relating to prescriptions, except provisions relating 
to dispensing of narcotic drugs for maintenance purposes.
    (f) Part 1307, title 21, Code of Federal Regulations, relating to 
miscellaneous provisions, except Sec. 1307.31 concerning special exempt 
persons.
    (g) The following sections of part 1308: Secs. 1308.21 and 1308.22 
relating to excluded nonnarcotic substances; Secs. 1308.23 and 1308.24 
relating to exempt chemical preparations; Secs. 1308.25 and 1308.26 
relating to excluded veterinary anabolic steroid implant products; 
Secs. 1308.31 and 1308.32 relating to exempted prescription products; 
and Secs. 1308.33 and 1308.34 relating to exempt anabolic steroid 
products, except that any final order following a contested proposed 
rulemaking

[[Page 61]]

shall be issued by the Deputy Administrator of DEA.
    (h) Part 1309, incident to the registration of manufacturers, 
distributors, importers and exporters of List I chemicals, except that 
final orders in connection with suspension, denial or revocation of 
registration shall be made by the Deputy Administrator of DEA.
    (i) Part 1310, relating to records, reports and identification of 
parties to transactions in listed chemicals and certain machinery, but 
not including the authority to add and delete listed chemicals pursuant 
to 21 CFR 1310.02.
    (j) Part 1311 relating to registration of importers and exporters of 
controlled substances, except that final orders in connection with 
suspension, denial or revocation of registration shall be made by the 
Deputy Administrator of DEA.
    (k) Part 1312 relating to importation and exportation of controlled 
substances, except that all final orders following a contested proposed 
rulemaking regarding the denial of an application for an import, export 
or transshipment permit shall be made by the Deputy Administrator of 
DEA.
    (l) Part 1313, relating to the importation and exportation of 
precursors and essential chemicals, but not including the authority to 
suspend shipments under 21 CFR 1313.41.
    Sec. 8. Financial functions. The Controller of the DEA is authorized 
to settle any employee claims filed under the Military Personnel and 
Civilian Employees' Claims Act in an amount not to exceed $25,000.
    Sec. 9. Chemical Diversion Act functions. The Chief of Operations of 
the DEA, Operations Division, is authorized to furnish, or cause to be 
furnished, descriptions of persons with whom regulated transactions may 
not be completed without prior approval of the DEA; to approve such 
transactions pursuant to 21 U.S.C. 830(b) and 21 CFR 1310.05(b); and to 
approve or disapprove regular customer or regular importer status under 
21 U.S.C. 971 and 21 CFR 1313.15 and 1313.24.
    Sec. 10. Deputization of State and Local Law Enforcement Officers. 
The Chief, State and Local Section, Office of Domestic Operations, 
Operations Division is authorized to exercise all necessary functions 
with respect to the deputization of state and local law enforcement 
officers as Task Force Officers of DEA pursuant to 21 U.S.C. 878(a).
    Sec. 11. Cross-Designation of Federal Law Enforcement Officers. The 
Chief, Domestic Liaison Section, Office of Domestic Operations, 
Operations Division is authorized to exercise all necessary functions 
with respect to the cross-designation of Federal law enforcement 
officers to undertake title 21 drug investigations under the supervision 
of DEA pursuant to 21 U.S.C. 873(a).
    Sec. 12. All other functions. The Deputy Administrator is authorized 
to exercise all necessary functions under 21 CFR parts 1300 through 
1316, except those functions otherwise delegated within this subpart. 
This will include functions which may be vested in the Administrator in 
subsequent amendments to 21 CFR parts 1300 through 1316 and not 
otherwise specifically assigned or reserved by him.

[47 FR 43370, Oct. 1, 1982, as amended at 49 FR 41247, Oct. 22, 1984; 50 
FR 8607, Mar. 4, 1985; 50 FR 28769, July 16, 1985; 54 FR 50739, Dec. 11, 
1989; 55 FR 1583, Jan. 17, 1990; 55 FR 20456, May 17, 1990; 57 FR 7877, 
Mar. 5, 1992; 59 FR 23637, May 6, 1994; 59 FR 38121, July 27, 1994; 60 
FR 46019, Sept. 5, 1995; 61 FR 46720, Sept. 5, 1996; 62 FR 32032, June 
12, 1997; 62 FR 38029, July 16, 1997; 62 FR 52492, 52493, Oct. 8, 1997]



            Subpart S--Immigration and Naturalization Service



Sec. 0.105  General functions.

    The Commissioner of the Immigration and Naturalization Service 
shall:
    (a) Subject to limitations contained in section 103 of the 
Immigration and Nationality Act (8 U.S.C. 1103) and excepting the 
authority delegated to the Executive Office for Immigration Review, the 
Board of Immigration Appeals, the Office of the Chief Immigration Judge, 
Immigration Judges, and the Office of the Chief Administrative Hearing 
Officer, administer and enforce the Immigration and Nationality Act and 
all other laws relating to immigration (including but not limited to 
admission, exclusion, and deportation), naturalization, and nationality. 
Nothing in this paragraph shall be construed to authorize the 
Commissioner of Immigration and Naturalization to supervise the 
litigation of or to approve the filing of records on review, appeals, or 
petitions for writs of certiorari or to intervene or have independent 
representation in cases under the immigration and nationality laws 
except as provided in paragraph (e) of this section.
    (b) For the purposes of paragraph (a) of this section, and as 
limited therein, exercise or perform any of the authority, functions, or 
duties conferred or imposed upon the Attorney General by the laws 
mentioned in that paragraph, including the authority to issue 
regulations.
    (c) Investigate alleged violations of the immigration and 
nationality laws,

[[Page 62]]

and make recommendations for prosecutions when deemed advisable.
    (d) Patrol the borders of the United States to prevent the entry of 
aliens into the United States in violation of law.
    (e) Supervise naturalization work in the specific courts designated 
by section 310 of the Immigration and Nationality Act (8 U.S.C. 1421) to 
have jurisdiction in such matters, including the requiring of 
accountings from the clerks of such courts for naturalization fees 
collected, investigation through field officers of the qualifications of 
citizenship applicants, and representation of the Government at all 
court hearings.
    (f) Cooperate with the public schools in providing citizenship 
textbooks and other services for the preparation of candidates for 
naturalization.
    (g) Register and fingerprint aliens in the United States, as 
required by section 262 of the Immigration and Nationality Act (8 U.S.C. 
1304).
    (h) Prepare reports on private bills pertaining to immigration 
matters.
    (i) Designate within the Immigration and Naturalization Service a 
certifying officer, and an alternate, to certify copies of documents 
issued by the Commissioner, or his designee, which are required to be 
filed with the Office of the Federal Register.
    (j) Direct officers and employees of the Immigration and 
Naturalization Service, assigned to accompany commercial aircraft, to 
perform the functions of a U.S.C. deputy marshal as a peace officer, in 
particular those set forth in 28 U.S.C. 570 and 18 U.S.C. 3053: (1) 
While aboard any aircraft to which they have been assigned, or (2) while 
within the general vicinity of such aircraft so long as it is within the 
jurisdiction of the United States. Such functions shall be in addition 
to those vested in such officers and employees pursuant to law.
    (k) Insure that a copy of any asylum application filed with INS 
shall be sent simultaneously to the Asylum Policy and Review Unit and to 
the Bureau of Human Rights and Humanitarian Affairs at the Department of 
State.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order 445-
70, 35 FR 19397, Dec. 23, 1970; Order 699-77, 42 FR 15315, Mar. 21, 
1977; Order 960-81, 46 FR 52348, Oct. 27, 1981; Order 998-83, 48 FR 
8056, Feb. 25, 1983; Order 1176-87, 52 FR 11044, Apr. 7, 1987; Order 
1237-87, 52 FR 44971, Nov. 24, 1987; Order 1245-87, 52 FR 48998, Dec. 
29, 1987]



Sec. 0.106  Certificates for expenses of unforeseen emergencies.

    The Commissioner of Immigration and Naturalization is authorized to 
exercise the power and authority vested in the Attorney General by 
section 6 of the act of July 28, 1950, 64 Stat. 380 (8 U.S.C. 1555), to 
make certificates with respect to expenses of unforeseen emergencies of 
a confidential character: Provided, That each such certificate made by 
the Commissioner of Immigration and Naturalization shall be approved by 
the Attorney General.



Sec. 0.107  Representation on committee for visit-exchange.

    The Commissioner of Immigration and Naturalization shall be a member 
of the committee which represents the Department of Justice in the 
development and implementation of plans for exchanging visits between 
the Iron Curtain countries and the United States and shall have 
authority to designate an alternate to serve on such committee.



Sec. 0.108  Redelegation of authority.

    The Commissioner of the Immigration and Naturalization Services may 
redelegate to any employee of the Service or the Department of Justice 
any of the powers, privileges, or duties conferred or imposed on the 
Commissioner by Sec. 0.105. The Commissioner is authorized to confer or 
impose upon any employee of the United States, with the consent of the 
head of the Department or other independent establishment under whose 
jurisdiction the employee is serving, any of the powers, privileges, or 
duties conferred or imposed on the Commissioner by Sec. 0.105.

[[Page 63]]

Existing redelegations by the Commissioner shall continue in force and 
effect until modified or revoked.

[Order No. 1150-86, 51 FR 31939, Sept. 8, 1986]



Sec. 0.109  Implementation of the Treaty of Friendship and General Relations Between the United States and Spain.

    The Commissioner of Immigration and Naturalization and immigration 
officers (as defined in 8 CFR 103.1(i)) are hereby designated as 
``competent national authorities'' on the part of the United States 
within the meaning of Article XXIV of the Treaty of Friendship and 
General Relations Between the United States and Spain (33 Stat. 2105, 
2117), and shall fulfill the obligations assumed by the United States 
pursuant to that Article in the manner and form prescribed.



Sec. 0.110  Implementation of the Convention Between the United States and Greece.

    The Commissioner of Immigration and Naturalization and immigration 
officers (as defined in 8 CFR 103.1(i)) are hereby designated as ``local 
authorities'' and ``competent officers'' on the part of the United 
States within the meaning of Article XIII of the Convention Between the 
United States and Greece (33 Stat. 2122, 2131), and shall fulfill the 
obligations assumed by the United States pursuant to that Article in the 
manner and form prescribed.



                Subpart T--United States Marshals Service



Sec. 0.111  General functions.

    The Director of the United States Marshals Service shall direct and 
supervise all activities of the U.S. Marshals Service including:
    (a) Execution of Federal arrest warrants pursuant to rule 4 of the 
Federal Rules of Criminal Procedure, Federal parole violator warrants 
pursuant to section 4206 of title 18 U.S. Code, and Federal custodial 
and extradition warrants as directed.
    (b) The service of all civil and criminal process emanating from the 
Federal judicial system including the execution of lawful writs and 
court orders pursuant to section 569(b), title 28, U.S. Code.
    (c) Provisions for the health, safety, and welfare of Government 
witnesses and their families, including the psychological well-being and 
social adjustment of such persons, pursuant to 18 U.S.C. 3521, et seq., 
and issuance of necessary regulations for this purpose on behalf of the 
Attorney General.
    (d) Administration and implementation of courtroom security 
requirements for the Federal judiciary.
    (e) Protection of Federal jurists, court officers, and other 
threatened persons in the interests of justice where criminal 
intimidation impedes the functioning of the Federal judicial process.
    (f) Provision of assistance in the protection of Federal property 
and buildings.
    (g) Direction and supervision of a training school for United States 
Marshals Service personnel.
    (h) Disbursement of appropriated funds to satisfy Government 
obligations incurred in the administration of justice pursuant to 28 
U.S.C. 571.
    (i) Maintenance of custody, management control, and disposal of 
property and money seized or forfeited pursuant to any law enforced or 
administered by the Department of Justice, when the property is seized 
by the U.S. Marshals Service or delivered to the U.S. Marshals Service 
in accordance with regulations; and administer the Department of Justice 
Asset Forfeiture Fund.
    (j) Receipt, processing and transportation of prisoners held in the 
custody of a marshal or transported by the U.S. Marshals Service under 
cooperative or intergovernmental agreements.
    (k) Sustention of custody of Federal prisoners from the time of 
their arrest by a marshal or their remand to a marshal by the court, 
until the prisoner is committed by order of the court to the custody of 
the Attorney General for the service of sentence, otherwise released 
from custody by the court, or returned to the custody of the U.S. Parole 
Commission or the Bureau of Prisons.
    (l) Coordination and direction of the relationship of the offices of 
U.S. Marshals with the other organizational units of the Department of 
Justice.

[[Page 64]]

    (m) Approval of staffing requirements of the offices of U.S. 
Marshals.
    (n) Investigation of alleged improper conduct on the part of U.S. 
Marshals Service personnel.
    (o) Acquisition of adequate and suitable detention space, health 
care and other services and materials required to support prisoners 
under the custody of the U.S. Marshal who are not housed in Federal 
facilities.
    (p) Approval of ``other necessary expenditures in the line of duty'' 
of U.S. Marshals and Deputy U.S. Marshals under 28 U.S.C. 567(3).
    (q) Exercising the power and authority vested in the Attorney 
General under 28 U.S.C. 510 to conduct and investigate fugitive matters, 
domestic and foreign, involving escaped federal prisoners, probation, 
parole, mandatory release, and bond default violators.

[Order No. 516-73, 38 FR 12917, May 17, 1973, as amended by Order No. 
905-80, 45 FR 52145, Aug. 6, 1980; Order No. 960-81, 46 FR 52348, Oct. 
27, 1981; Order No. 1108-85, 50 FR 40197, Oct. 2, 1985; Order No. 1131-
86, 51 FR 15612, Apr. 25, 1986; Order No. 1376-89, 54 FR 47353, Nov. 14, 
1989]



Sec. 0.111a  Temporary prisoner-witness transfers.

    The Director of the United States Marshals Service and officers of 
the United States Marshals Service designated by him are authorized to 
exercise the power and authority vested in the Attorney General under 18 
U.S.C. 3508 to receive custody from foreign authorities of prisoner-
witnesses whose temporary transfer to the United States has been 
requested; to transport such persons in custody from the cooperating 
foreign country to the place in the United States at which the criminal 
proceedings in which they are to testify are pending; to maintain such 
persons in custody while they are in the United States, subject to any 
agreement entered into by the Assistant Attorney General for the 
Criminal Division or his or her delegee with the transferring country 
regarding the terms or conditions of the transfer; and to return such 
persons, in custody, to the foreign country when and in the manner 
designated by the Assistant Attorney General for the Criminal Division 
or his or her delegee. The Director of the United States Marshals 
Service and officers of the United States Marshals Service designated by 
him shall also be authorized to transport, surrender, receive and 
maintain custody of prisoner-witnesses temporarily transferred from or 
to the United States pursuant to a treaty, executive agreement, or other 
legal authority, and accept reimbursement from foreign authorities when 
appropriate.

[Order No. 1913-94, 59 FR 46551, Sept. 9, 1994]



Sec. 0.112  Special deputation.

    The Director, United States Marshals Service, is authorized to 
deputize the following persons to perform the functions of a Deputy U.S. 
Marshal in any district designated by the Director:
    (a) Selected officers or employees of the Department of Justice;
    (b) Selected federal, state, or local law enforcement officers 
whenever the law enforcement needs of the U.S. Marshals Service so 
require;
    (c) Selected employees of private security companies in providing 
courtroom security for the Federal judiciary;
    (d) Other persons designated by the Associate Attorney General 
pursuant to 28 CFR 0.19(a)(3).

All such deputations shall expire on a date certain which shall be 
stated on the face of the deputation.

[Order No. 1047-84, 49 FR 6485, Feb. 22, 1984, as amended at 61 FR 
33657, June 28, 1996]



Sec. 0.113  Redelegation of authority.

    The Director, U.S. Marshals Service, is authorized to redelegate to 
any of his subordinates any of the powers and functions vested in him by 
this subpart, except that the authority to approve ``other necessary 
expenditures in the line of duty'' of U.S. Marshals and Deputy U.S. 
Marshals may not be delegated below the Assistant Director level.

[Order No. 905-80, 45 FR 52145, Aug. 6, 1980]



           Subpart U--Executive Office for Immigration Review

    Source: Order 1237-87, 52 FR 44971, Nov. 24, 1987, unless otherwise 
noted.

[[Page 65]]



Sec. 0.114  Fees for services.

    (a) The United States Marshals Service shall routinely collect fees 
according to the following schedule:
    (1) For process forwarded for service for one U.S. Marshals Service 
Office or suboffice to another--$3.00 per item forwarded;
    (2) For process served by mail--$3.00 per item mailed;
    (3) For process served or executed personally--$40.00 per item 
minimum if served by one U.S. Marshals Service employee, agent, or 
contractor in two regular office hours (duty hours) or less, or $50.00 
per item minimum if served by one U.S. Marshals Service employee, agent, 
or contractor in two overtime hours (non-duty hours) or less, plus 
travel costs and any other out-of-pocket expenses. For each additional 
hour, or portion thereof, and/or each additional U.S. Marshals Service 
employee, agent, or contractor--$20.00 per duty hour ($25.00 per non-
duty hours) for each item served, plus travel costs and any other out-
of-pocket expenses. Travel costs, including mileage, shall be calculated 
according to 5 U.S.C. chapter 57.
    (4) For copies at the request of any party--$.10 per page.
    (5) For keeping and advertisement of property attached--actual 
expenses incurred.
    (b) The United States Marshals Service shall collect the fees 
enumerated in paragraph (a) of this section, where applicable, even when 
process in returned to the court or the party unexecuted, as long as 
service is endeavored.
    (c) Pursuant to 28 U.S.C. 565, the Director of the United States 
Marshals Service is authorized to use funds appropriated for the Service 
to make payments for expenses incurred pursuant to personal services 
contracts and cooperative agreements for the service of summonses on 
complaints, subpoenas, and notices, and for security guards.
    (d) The United States Marshals Service shall collect a commission of 
3 percent of the first $1,000 collected and 1.5 percent on the excess of 
any sum over $1,000, for seizing or levying on property (including 
seizures in admiralty), disposing of such property by sale, setoff, or 
otherwise, and receiving and paying over money, except that the amount 
of commission shall not be less than $100.00 and shall not exceed 
$50,000. The U.S. Marshal's commission shall apply to all judicially 
ordered sales and/or execution sales, including but not limited to all 
private mortgage foreclosure sales. if the property is not disposed of 
by Marshal's sale, the commission shall be set by the court within the 
range established above.

[56 FR 2437, Jan 23, 1991



Sec. 0.115  General functions.

    (a) The Executive Office for Immigration Review shall be headed by a 
Director who shall be assisted by a Deputy Director. The Director shall 
be responsible for the general supervision of the Board of Immigration 
Appeals, the Office of the Chief Immigration Judge, and the Office of 
the Chief Administrative Hearing Officer in the execution of their 
duties.
    (b) The Director may redelegate the authority delegated to him by 
the Attorney General to the Deputy Director, the Chairman of the Board 
of Immigration Appeals, the Chief Immigration Judge, or the Chief 
Administrative Hearing Officer.

[Order No. 2180-98, 63 FR 51519, Sept. 28, 1998]



Sec. 0.116  Board of Immigration Appeals.

    The Board of Immigration Appeals shall consist of a Chairman, two 
Vice Chairmen, and eighteen other members. The Chairman shall be 
responsible for providing supervision and establishing internal 
operating procedures of the Board in the exercise of its authorities and 
responsibilities as delineated in 8 CFR 3.1 through 3.8.

[Order 1237-87, 52 FR 44971, Nov. 24, 1987, as amended by Order 1992-95, 
60 FR 53268, Oct. 13, 1995; Order No. 2062-96, 61 FR 59305, Nov. 22, 
1996; Order No. 2180-98, 63 FR 51519, Sept. 28, 1998; Order No. 2297-
2000, 65 FR 20069, Apr. 14, 2000]



Sec. 0.117  Office of Chief Immigration Judge.

    The Chief Immigration Judge shall provide general supervision to the 
Immigration Judges in performance of their duties in accordance with the 
Immigration and Nationality Act, 8 U.S.C. 1226 and 1252 and 8 CFR 3.9.

[[Page 66]]



Sec. 0.118  Office of Chief Administrative Hearing Officer.

    The Chief Administrative Hearing Officer shall provide general 
supervision to the Administrative Law Judges in performance of their 
duties in accordance with 8 U.S.C. 1324 A and B.



       Subpart U-1--Office of Community Oriented Policing Services

    Source: Order No. 1948-95, 60 FR 8933, Feb. 16, 1995, unless 
otherwise noted.



Sec. 0.119  Organization.

    The Office of Community Oriented Policing Services shall be headed 
by a Director appointed by the Attorney General. The Director shall 
report to the Attorney General through the Associate Attorney General.



Sec. 0.120  General functions.

    The Director, Office of Community Oriented Policing Services shall:
    (a) Exercise the powers and perform the functions vested in the 
Attorney General by title I and subtitle H of title III of the Violent 
Crime Control and Law Enforcement Act of 1994 (Pub. L. 103-322); and
    (b) Perform such other duties and functions relating to policing and 
law enforcement as may be specially assigned by the Attorney General or 
the Associate Attorney General.



Sec. 0.121  Applicability of existing departmental regulations.

    Unless superseded by regulations promulgated by the Office of 
Community Oriented Policing Services, Departmental regulations set forth 
in part 18 of this title, applicable to grant programs administered 
through the Office of Justice Programs, shall apply with equal force and 
effect to grant programs administered by the Office of Community 
Oriented Policing Services, with references to the Office of Justice 
Programs and its components in such regulations deemed to refer to the 
Office of Community Oriented Policing Services, as appropriate.



               Subpart V--United States Parole Commission

    Cross Reference: For regulations pertaining to the United States 
Parole Commission, see parts 2 and 4 of this chapter.

    Source: Order No. 663-76, 41 FR 35184, Aug. 20, 1976, unless 
otherwise noted.



Sec. 0.124  United States Parole Commission.

    The U.S. Parole Commission is composed of nine Commissioners of whom 
one is designated Chairman. The Commission:
    (a) Has authority, under 18 U.S.C. 4201 et seq., to grant, modify, 
or revoke paroles of eligible U.S. prisoners serving sentences of more 
than 1 year, and is responsible for the supervision of parolees and 
prisoners mandatorily released prior to the expiration of their 
sentences, and for the determination of supervisory conditions and 
terms;
    (b) Has responsibility in cases in which the committing court 
specifies that the Parole Commission shall determine the date of parole 
eligibility of the prisoner;
    (c) Has responsibility for determining, in accordance with the 
Labor-Management Reporting and Disclosure Act of 1959 (29 U.S.C. 504), 
whether the service as officials in the field of organized labor or in 
labor oriented management positions of persons convicted of certain 
crimes is contrary to the purposes of that act; and
    (d) Has responsibility under the Employee Retirement Income Security 
Act of 1974 (29 U.S.C. 1111), for determining whether persons convicted 
of certain crimes may provide services to, or be employed by, employment 
benefit plans.

[Order No. 960-81, 46 FR 52349, Oct. 27, 1981]



Sec. 0.125  Chairman of U.S. Parole Commission.

    The Chairman of the United States Parole Commission shall make any 
temporary assignment of a Commissioner to act as Vice Chairman, National 
Appeals Board member, or Regional Commissioner in the case of an absence 
or vacancy in the position,

[[Page 67]]

without the concurrence of the Attorney General.



Sec. 0.126  Administrative support.

    The Department of Justice shall furnish administrative support to 
the Commission.



Sec. 0.127  Indigent prisoners.

    The U.S. Parole Commission is authorized to exercise the authority 
vested in the Attorney General by section 3569 of title 18, U.S. Code, 
to make a finding that a parolee is unable to pay a fine in whole or in 
part and to direct release of such parolee based on such finding.



            Subpart V-1--Foreign Claims Settlement Commission

    Source: Order No. 960-81, 46 FR 52349, Oct. 27, 1981, unless 
otherwise noted.



Sec. 0.128  Organization.

    The Foreign Claims Settlement Commission of the United States is a 
separate agency within the Department of Justice. It is composed of a 
full-time Chairman, and two part-time Commissioners. All functions, 
powers, and duties of the Commission not directly related to 
adjudicating claims are vested in the Chairman of the Commission, 
including the functions set forth in section 3 of Reorganization Plan 
No. 1 of 1954 and the authority to issue rules and regulations. The 
Attorney General provides necessary administrative support and services 
to the Commission.



Sec. 0.128a  General functions.

    The Foreign Claims Settlement Commission has been authorized to 
determine claims of United States nationals for loss of property in 
specific foreign countries as a result of nationalization or other 
taking by the government of those countries by the International Claims 
Settlement Act of 1949, as amended, (22 U.S.C. 1621-1645o); and to 
determine claims of U.S. nationals and organizations in territories of 
the United States for damage and loss of property as a result of 
military operations during World War II and claims of U.S. military 
personnel and civilian American citizens for having been held in a 
captured status in specified areas during World War II, the Korean 
conflict and the Vietnam conflict by the War Claims Act of 1948, as 
amended (50 U.S.C. app. 2001-2017p).



Sec. 0.128b  Regulations.

    All rules of practice and regulations applicable to the management 
of the affairs of and the adjudication of claims by the Foreign Claims 
Settlement Commission of the United States are published in 45 CFR 
chapter V.



   Subpart W--Additional Assignments of Functions and Designation of 
 Officials to Perform the Duties of Certain Offices in Case of Vacancy, 
  or Absence Therein or in Case of Inability or Disqualification to Act



Sec. 0.130  Functions common to heads of organizational units.

    Subject to the general supervision and direction of the Attorney 
General, the head of each organizational unit within the Department 
shall:
    (a) Direct and supervise the personnel, administration, and 
operation of the office, division, bureau, or board of which he is in 
charge.
    (b) Under regulations prescribed by the Attorney General with the 
approval of the Director of the Office of Management and Budget, have 
authority to reallot funds allotted by the Assistant Attorney General 
for Administration and to redelegate to persons within his 
organizational unit authority and responsibility for the reallotment of 
such funds and control of obligations and expenditures within 
reallotments.
    (c) Perform such special assignments as may from time to time be 
made to him by the Attorney General.
    (d) Except as otherwise provided in this chapter, receive submittals 
and requests relative to the functions of his organizational unit.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
445-70, 35 FR 19397, Dec. 23, 1970; Order No. 960-81, 46 FR 52349, Oct. 
27, 1981]

[[Page 68]]



Sec. 0.131  Designation of Acting United States Attorneys.

    Each U.S. Attorney is authorized to designate any Assistant U.S. 
Attorney in his office to perform the functions and duties of the U.S. 
Attorney during his absence from office, or with respect to any matter 
from which he has recused himself, and to sign all necessary documents 
and papers, including indictments, as Acting U.S. Attorney while 
performing such functions and duties.

[Order No. 840-79, 44 FR 43468, July 25, 1979]



Sec. 0.132  Designating officials to perform the functions and duties of certain offices in case of absence, disability or vacancy.

    (a) In case of vacancy in the office of Attorney General, or of his 
absence or disability, the Deputy Attorney General shall, pursuant to 28 
U.S.C. 508(a) perform the functions and duties of and act as Attorney 
General. When by reason of absence, disability, or vacancy in office, 
neither the Attorney General nor the Deputy Attorney General is 
available to exercise the duties of the office of Attorney General, the 
Associate Attorney General shall, pursuant to 28 U.S.C. 508(b), perform 
the functions and duties of and act as Attorney General. In the event of 
vacancy, absence, or disability in each of these offices, the Solicitor 
General shall perform the functions and duties of and act as Attorney 
General.
    (b) Every office within the Department to which appointment is 
required to be made by the President with the advice and consent of the 
Senate (``PAS office'') shall have a First Assistant within the meaning 
of the Federal Vacancies Reform Act of 1998. Where there is a position 
of Principal Deputy to the PAS office, the Principal Deputy shall be the 
First Assistant. Where there is no position of Principal Deputy to the 
PAS office, the First Assistant shall be the person whom the Attorney 
General designates in writing.
    (c) In the event of a vacancy in the office of the head of an 
organizational unit that is not covered by paragraphs (a) or (b) of this 
section, the ranking deputy (or an equivalent official) in such unit who 
is available shall perform the functions and duties of and act as such 
head, unless the Attorney General directs otherwise. Except as otherwise 
provided by law, if there is no ranking deputy available, the Attorney 
General shall designate another official of the Department to perform 
the functions and duties of and act as such head.
    (d) The head of an organizational unit of the Department not covered 
by paragraphs (a) or (b) of this section is authorized, in the case of 
absence from office or disability, to designate the ranking deputy (or 
an equivalent official) in the unit who is available to act as head. If 
there is no deputy available to act, any other official in such unit may 
be designated. Alternatively, in his discretion, the Attorney General 
may designate any official in the Department to act as head when a head 
who is not covered by paragraphs (a) or (b) of this section is absent or 
disabled.

[Order No. 755-77, 42 FR 59384, Nov. 17, 1977, as amended by Order No. 
1043-84, 49 FR 4469, Feb. 7, 1984; Order No. 1097-85, 50 FR 25708, June 
21, 1985; Order No. 1858-94, 59 FR 13883, Mar. 24, 1994; Order No. 2205-
99, 64 FR 6526, Feb. 10, 1999]



    Subpart X--Authorizations With Respect to Personnel and Certain 
                         Administrative Matters



Sec. 0.137  [Reserved]



Sec. 0.138  Federal Bureau of Investigation, Drug Enforcement Administration, Bureau of Prisons, Federal Prison Industries, Immigration and Naturalization 

          Service, United States Marshals Service, Office of Justice 
          Programs, Executive Office for Immigration Review, Executive 
          Office for United States Attorneys, Executive Office for 
          United States Trustees.

    (a) The Director of the Federal Bureau of Investigation, the 
Administrator of the Drug Enforcement Administration, the Director of 
the Bureau of Prisons, the Commissioner of Federal Prison Industries, 
the Commissioner of Immigration and Naturalization Service, the Director 
of the United States Marshals Service, the Assistant Attorney General 
for the Office of Justice Programs, the Director of the Executive Office 
for Immigration Review, the

[[Page 69]]

Director of the Executive Office for United States Attorneys, and the 
Director of the Executive Office for United States Trustees are, as to 
their respective jurisdictions, authorized to exercise the power and 
authority vested in the Attorney General by law to take final action in 
matters pertaining to the employment, direction, and general 
administration (including appointment, assignment, training, promotion, 
demotion, compensation, leave, awards, classification, and separation) 
of personnel in General Schedule grades GS-1 through GS-15 and in wage 
board positions, but excluding therefrom all attorney and U.S. Marshal 
positions. Such officials are, as to their respective jurisdictions, 
authorized to exercise the power and authority vested in the Attorney 
General by law to employ on a temporary basis experts or consultants or 
organizations thereof, including stenographic reporting services (5 
U.S.C. 3109(b)).
    (b) All personnel actions taken under this section shall be subject 
to post-audit and correction by the Assistant Attorney General for 
Administration.

[Order No. 2250-99, 64 FR 46846, Aug. 27, 1999]



Sec. 0.139  [Reserved]



Sec. 0.140  Authority relating to advertisements, and purchase of certain supplies and services.

    The Director of the Federal Bureau of Investigation, the Director of 
the Bureau of Prisons, the Commissioner of Federal Prison Industries, 
the Commissioner of Immigration and Naturalization, the Administrator of 
the Drug Enforcement Administration, the Director of the Office of 
Justice Research and Statistics and the Director of the United States 
Marshals Service as to their respective jurisdictions, and the Assistant 
Attorney General for Administration, as to all other organizational 
units of the Department (including U.S. Attorneys), are authorized to 
exercise the power and authority vested in the Attorney General by law 
to take final action in the following-described matters:
    (a) Authorizing the publication of advertisements, notices, or 
proposals under (44 U.S.C. 3702).
    (b) Making determinations as to the acquisition of articles, 
materials, or supplies in accordance with sections 2 and 3 of the Buy 
American Act (47 Stat. 1520; 41 U.S.C. 10a, 10b).
    (c) Placing orders with other agencies of the Government for 
materials or services, and accepting orders therefor, in accordance with 
section 686 of title 31 of the U.S. Code.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
516-73, 38 FR 12918, May 17, 1973; Order No. 520-73, 38 FR 18380, July 
10, 1973; Order No. 960-81, 46 FR 52350, Oct. 27, 1981]



Sec. 0.141  Audit and ledger accounts.

    The Director of the Federal Bureau of Investigation, the Director of 
the Bureau of Prisons, the Commissioner of Immigration and 
Naturalization, the Administrator of the Drug Enforcement 
Administration, and the Director of the Office of Justice Assistance, 
Research and Statistics are, as to their respective jurisdictions, 
authorized to audit vouchers and to maintain general ledger accounts 
with respect to appropriations allotted to them.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
520-73, 38 FR 18380, July 10, 1973; Order No. 960-81, 46 FR 52350, Oct. 
27, 1981]



Sec. 0.142  Per diem and travel allowances.

    The Director of the Federal Bureau of Investigation, Director of the 
Bureau of Prisons, Commissioner of Fedeal Prison Industries, Inc., 
Commissioner of Immigration and Naturalization Service, Administrator of 
the Drug Enforcement Administration, Director of the United States 
Marshals Service, and Assistant Attorney General, Office of Justice 
Programs, as to their respective jurisdictions, and the Assistant 
Attorney General for Administration as to all other organizational units 
of the Department (including U.S. Attorneys), except as provided in 
paragraphs (f) and (g) of this section, are authorized to exercise the 
authority of the Attorney General to take final action in the following 
matters:
    (a) Authorizing travel, subsistence, and mileage allowances under 
sections 5702-5707 of title 5 of the U.S. Code in accordance with 
regulations prescribed

[[Page 70]]

by the Administrator of General Services and the Assistant Attorney 
General for Administration.
    (b) Fixing rates in accordance with sections 5702-5704 and 5707 of 
title 5, U.S. Code, and regulations prescribed by the Administrator of 
General Services and the Assistant Attorney General for Administration.
    (c) Authorizing travel advances pursuant to 5 U.S.C. 5705 in 
accordance with the regulations prescribed by the Administrator of 
General Services and the Assistant Attorney General for Administration.
    (d) Authorizing travel and transportation expenses, and, when 
applicable, relocation expenses for transferred employees, new 
appointees and student trainees, in accordance with 5 U.S.C. 5721-5733 
and regulations prescribed by the Administrator of General Services and 
the Assistant Attorney General for Administration.
    (e) Authorizing or approving, for purposes of security, the use of 
compartments or other transportation accommodations superior to lowest 
first-class accommodations under applicable travel regulations subject 
to 5 U.S.C. 5731.
    (f) The heads of Offices, Boards and Divisions, in addition to the 
Bureaus, have the authority to approve the use of cash in excess of $100 
in lieu of Government Transportation Requests in emergency 
circumstances, in accordance with regulations prescribed by the 
Administrator of the General Services Administration.
    (g) The Director of the Federal Bureau of Investigation and the 
Aministrator of the Drug Enforcement Administration are authorized to 
approve travel expenses of newly appointed special agents and the 
transportation expenses of their families and household goods and 
personal effects from place of residence at time of selection to the 
first duty station, in accordance with 28 U.S.C. 530 and regulations 
prescribed by the Assistant Attorney General for Administration.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
520-73, 38 FR 18380, July 10, 1973; Order No. 565-74, 39 FR 15877, May 
6, 1974; Order No. 787-78, 43 FR 22969, May 30, 1978; Order No. 800-78, 
43 FR 43297, Sept. 25, 1978; Order No. 864-79, 44 FR 69927, Dec. 5, 
1979; Order No. 960-81, 46 FR 52350, Oct. 27, 1981; Order No. 1093-85, 
50 FR 20908, May 21, 1985]



Sec. 0.143  Incentive Awards Plan.

    The Director of the Federal Bureau of Investigation, the Director of 
the Bureau of Prisons, the Commissioner of Federal Prison Industries, 
the Commissioner of Immigration and Naturalization, the Administrator of 
the Drug Enforcement Administration, the Director of the Office of 
Justice Assistance, Research and Statistics, the Director of the 
Executive Office for U.S. Attorneys, and the Director of the U.S. 
Marshals Service, as to their respective jurisdictions, and the 
Assistant Attorney General for Administration, as to all other 
organizational units of the Department are authorized to exercise the 
power and authority vested in the Attorney General by law with respect 
to the administration of the Incentive Awards Plan and to approve 
honorary awards and cash awards under such plan not in excess of $5,000.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
516-73, 38 FR 12918, May 17, 1973; Order No. 520-73, 38 FR 18380, July 
10, 1973; Order No. 772-78, 43 FR 14009, Apr. 4, 1978; Order No. 960-81, 
46 FR 52350, Oct. 27, 1981]



Sec. 0.144  Determination of basic workweek.

    The Director of the Federal Bureau of Investigation, Director of the 
Bureau of Prisons, Commissioner of Federal Prison Industries, Inc., 
Commissioner of the Immigration and Naturalization Service, 
Administrator of the Drug Enforcement Administration, Director of the 
Office of Justice Assistance, Research and Statistics, Director of the 
Executive Office for United

[[Page 71]]

States Attorneys and Director of the United States Marshals Service, as 
to their respective jurisdictions, and the Assistant Attorney General 
for Administration, as to all other organizational units of the 
Department, are authorized to exercise the authority vested in the 
Attorney General by 5 U.S.C. 6101(a), to determine that the 
organizational unit concerned would be seriously handicapped in carrying 
out its functions or that costs would be substantially increased except 
upon modification of the basic workweek, and when such determination is 
made to fix the basic workweek of officers and employees of the unit 
concerned.

[Order No. 960-81, 46 FR 52350, Oct. 27, 1981]



Sec. 0.145  Overtime pay.

    The Director of the Federal Bureau of Investigation, the Director of 
the Bureau of Prisons, the Commissioner of Federal Prison Industries, 
the Commissioner of Immigration and Naturalization, the Administrator of 
the Drug Enforcement Administration, the Director of the Office of 
Justice Assistance, Research and Statistics and the Director of the U.S. 
Marshals Service as to their respective jurisdictions, and the Assistant 
Attorney General for Administration, as to all other organizational 
units of the Department (including U.S. Attorneys), may, subject to any 
regulations which the Attorney General may prescribe, authorize overtime 
pay (including additional compensation in lieu of overtime of not less 
than 10 percent nor more than 25 percent pursuant to section 5545(c)(2) 
of title 5, U.S. Code) for such positions as may be designated by them.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
516-73, 38 FR 12918, May 17, 1973; Order No. 520-73, 38 FR 18380, July 
10, 1973; Order No. 960-81, 46 FR 52350, Oct. 27, 1981]



Sec. 0.146  Seals.

    The Director of the Federal Bureau of Investigation, the Director of 
the Bureau of Prisons, the Commissioner of Federal Prison Industries, 
the Commissioner of Immigration and Naturalization, the Chairman of the 
Board of Parole, the Administrator of the Drug Enforcement 
Administration, the Director of the Office of Justice Assistance, 
Research and Statistics, and the Director of the U.S. Marshals Service 
shall each have custody of the seal pertaining to his respective 
jurisdiction and he, or such person or persons as he may designate, may 
execute under seal any certification required to authenticate any books, 
records, papers, or other documents as true copies of official records 
of their respective jurisdictions. The Assistant Attorney General for 
Administration shall have custody of the seal of the Department of 
Justice, and he, or such person or persons as he may designate, may 
execute under seal any certification required to authenticate any books, 
records, papers, or other documents as true copies of official records 
of the Department of Justice. He may also prescribe regulations 
governing the use of the seal of the Department and various 
organizational units.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
516-73, 38 FR 12918, May 17, 1973; Order No. 520-73, 38 FR 18380, July 
10, 1973; Order No. 960-81, 46 FR 52350, Oct. 27, 1981]



Sec. 0.147  Certification of obligations.

    The following designated officials are authorized to make the 
certifications required by 31 U.S.C. 200(c): For the Federal Bureau of 
Investigation, the Assistant Director, Administrative Services Division; 
for the Bureau of Prisons, the Assistant Director for Planning and 
Development; for Federal Prison Industries, Inc., the Secretary; for the 
Immigration and Naturalization Service, the Comptroller; for the Drug 
Enforcement Administration, the Director of the Office of Administration 
and Management; for the Office of Justice Assistance, Research and 
Statistics, the Comptroller; and for all other organizational units of 
the Department (including U.S. Attorneys and U.S. Marshals), the Deputy 
Assistant Attorney General, Office of the Controller, Justice Management 
Division.

[Order No. 972-82, 47 FR 9823, Mar. 8, 1982]



Sec. 0.148  Certifying officers.

    The Director of the Federal Bureau of Investigation, the Director of 
the Bureau of Prisons, the Commissioner of the Federal Prison 
Industries, Inc., the

[[Page 72]]

Commissioner of the Immigration and Naturalization Service, the 
Administrator of the Drug Enforcement Administration, Assistant Attorney 
General for the Office of Justice Programs, the Director of the United 
States Marshals Service, and the Director of the Executive Office for 
United States Attorneys, as to their respective jurisdictions, and the 
Assistant Attorney General for Administration, as to all other 
organizational units of the Department are authorized to designate 
employees to certify vouchers.

[Order No. 1142-86, 51 FR 25049, July 10, 1986]



Sec. 0.149  Cash payments.

    The Director of the Federal Bureau of Investigation, the Director of 
the Bureau of Prisons, the Commissioner of the Federal Prison 
Industries, Inc., the Commissioner of the Immigration and Naturalization 
Service, the Administrator of the Drug Enforcement Administration, the 
Assistant Attorney General for the Office of Justice Programs, the 
Director of the United States Marshals Service, and the Director of the 
Executive Office for United States Attorneys, as to their respective 
jurisdictions, and the Assistant Attorney General for Administration, as 
to all other organizational units of the Department, are authorized to:
    (a) Request Department of the Treasury designation of disbursing 
employees (including cashiers),
    (b) Approve waivers of the Department of the Treasury maximum 
limitation on routine payments of cash from imprest funds, and
    (c) Approve requests to place imprest funds in depositary cash 
demand withdrawal accounts and establish the maximum amount of each 
account.

Guidelines are to be promulgated by each component for the establishment 
and maintenance of such accounts in accordance with the provisions set 
forth in the Treasury Financial Manual, Volume I, Part 4, Chapter 3000. 
Existing authorizations to request designations of disbursing employees 
shall remain in effect until terminated by the official who by this 
section would be authorized to request such designations.

[Order No. 1142-86, 51 FR 25049, July 10, 1986]



Sec. 0.150  Collection of erroneous payments.

    The Director of the Federal Bureau of Investigation for the FBI and 
the Assistant Attorney General for Administration for all other 
organizational units of the Department are authorized, in accordance 
with the regulations prescribed by the Attorney General under section 
5514(b) of title 5, U.S. Code, to collect indebtedness resulting from 
erroneous payments to employees.

[Order No. 634-75, 40 FR 58644, Dec. 18, 1975]



Sec. 0.151  Administering oath of office.

    The Director of the Federal Bureau of Investigation, the Director of 
the Bureau of Prisons, the Commissioner of Federal Prison Industries, 
the Commissioner of Immigration and Naturalization, the Administrator of 
the Drug Enforcement Administration, the Director of the Office of 
Justice Assistance, Research and Statistics, the Director of the 
Executive Office for U.S. Attorneys, and the Director of the U.S. 
Marshals Service, as to their respective jurisdictions, and the 
Assistant Attorney General for Administration, as to all other 
organizational units of the Department are authorized to designate, in 
writing, pursuant to the provisions of sections 2903(b) and 2904 of 
title 5, U.S. Code, officers or employees to administer the oath of 
office required by section 3331 of title 5, U.S. Code, and to administer 
any other oath required by law in connection with employment in the 
executive branch of the Federal Government.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
516-73, 38 FR 12918, May 17, 1973; Order No. 520-73, 38 FR 18380, July 
10, 1973; Order No. 772-78, 43 FR 14009, Apr. 4, 1978; Order No. 960-81, 
46 FR 52351, Oct. 27, 1981]



Sec. 0.152  Approval of funds for attendance at meetings.

    The Director of the Federal Bureau of Investigation, the Director of 
the Bureau of Prisons, the Commissioner of Immigration and 
Naturalization, the Administrator of the Drug Enforcement Administration 
and the Director

[[Page 73]]

of the Office of Justice Assistance, Research and Statistics, as to 
their respective jurisdictions, and the Assistant Attorney General for 
Administration, as to all other organizational units of the Department 
(including U.S. Attorneys and Marshals), are authorized to exercise the 
power and authority vested in the Attorney General by law to prescribe 
regulations for the expenditure of appropriated funds available for 
expenses of attendance at meetings of organizations.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
520-73, 38 FR 18380, July 10, 1973; Order No. 960-81, 46 FR 52351, Oct. 
27, 1981]



Sec. 0.153  Selection and assignment of employees for training.

    The Director of the Federal Bureau of Investigation, the Director of 
the Bureau of Prisons, the Commissioner of Federal Prison Industries, 
Inc., the Commissioner of the Immigration and Naturalization Service, 
the Administrator of the Drug Enforcement Administration, the Director 
of the Office of Justice Assistance, Research and Statistics, the 
Director of the Executive Office for United States Attorneys and the 
Director of the United States Marshals Service, as to their respective 
jurisdictions, and the Assistant Attorney General for Administration, as 
to all other organizational units of the Department, are hereby 
authorized to exercise the authority vested in the Attorney General by 5 
U.S.C. 4109, with respect to the selection and assignment of employees 
for training by, in, or through Government facilities and the payment or 
reimbursement of expenses for such training.

[Order No. 960-81, 46 FR 52351, Oct. 27, 1981]



Sec. 0.154  Advance and evacuation payments and special allowances.

    The Director of the Federal Bureau of Investigation, the Director of 
the Bureau of Prisons, the Commissioner of Federal Prison Industries, 
the Commissioner of Immigration and Naturalization, the Administrator of 
the Drug Enforcement Administration, the Director of the United States 
Marshals Service, and the Director of the Office of Justice Assistance, 
Research and Statistics, as to their respective jurisdictions, and the 
Assistant Attorney General for Administration, as to all other 
organizational units of the Department (including U.S. Attorneys), are 
hereby authorized to exercise the authority vested in the Attorney 
General by sections 5522-5527 of title 5, U.S. Code, and Executive Order 
10982 of December 25, 1961, and to administer the regulations adopted by 
the Attorney General in Order No. 269-62 with respect to advance and 
evacuation payments and special allowances.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
520-73, 38 FR 18380, July 10, 1973; Order No. 565-74, 39 FR 15877, May 
6, 1974; Order No. 960-81, 46 FR 52351, Oct. 27, 1981]



Sec. 0.155  Waiver of claims for erroneous payments of pay and allowances.

    The Director of the Federal Bureau of Investigation, the Director of 
the Bureau of Prisons, the Commissioner of Federal Prison Industries, 
the Commissioner of Immigration and Naturalization, the Administrator of 
the Drug Enforcement Administration, and the Director of the Office of 
Justice Assistance, Research and Statistics, as to their respective 
jurisdictions, and the Assistant Attorney General for Administration as 
to all other organizational units of the Department (including U.S. 
Attorneys and Marshals) are authorized to exercise the authority under 5 
U.S.C. 5584, as amended by Public Law 92-453, for the waiver of claims 
of the United States for erroneous payments of pay and allowances to 
employees of the Department of Justice in accordance with the standards 
prescribed by the Comptroller General in 4 CFR parts 91 through 93.

[Order No. 514-73, 38 FR 12110, May 17, 1973, as amended by Order No. 
520-73, 38 FR 18380, July 10, 1973; Order No. 960-81, 46 FR 52351, Oct. 
27, 1981]



Sec. 0.156  Execution of U.S. Marshals' deeds or transfers of title.

    A chief deputy or deputy U.S. Marshal who sells property--real, 
personal, or mixed--on behalf of a U.S. Marshal, may execute a deed or 
transfer of title to the purchaser on behalf of and in the name of the 
U.S. Marshal.

[[Page 74]]



Sec. 0.157  Federal Bureau of Investigation--Drug Enforcement Administration Senior Executive Service.

    (a) Pursuant to 5 U.S.C. 3151, there is established a personnel 
system for senior personnel within the Federal Bureau of Investigation 
(FBI) and the Drug Enforcement Administration (DEA) to be known as the 
FBI-DEA Senior Executive Service (FBI-DEA SES).
    (b) Pursuant to 5 U.S.C. 3151(b)(2)(B), a career employee in the 
civil service is one who occupies, or who within the last 5 years 
occupied, a permanent position in the competitive service, a career-type 
permanent position in the excepted service, or a permanent position in 
the SES while serving under a career appointment. A career-type 
permanent position in the excepted service does not include:
    (1) A Schedule C position authorized under 5 CFR 213.3301;
    (2) A position that meets the same criteria as a Schedule C 
position; and
    (3) A position where the incumbent is traditionally removed upon a 
change in Presidential Administration.
    (c) Except as to the position of Deputy Director of the FBI (which 
remains subject to the exclusive authority of the Attorney General), the 
FBI-DEA SES is subject to the overall supervision and direction of the 
Deputy Attorney General, who shall ensure that the FBI-DEA SES is 
designed and administered in compliance with all statutory and 
regulatory requirements.
    (d) The Attorney General retains the authority to recommend members 
of the FBI-DEA SES for Presidential Rank Awards.

[Order No. 1600-92, 57 FR 31314, July 15, 1992, as amended by Order No. 
1975-95, 60 FR 35335, July 7, 1995; Order No. 2250-99, 64 FR 46846, Aug. 
27, 1999]



Sec. 0.158  [Reserved]



Sec. 0.159  Redelegation of authority.

    Except as to the authority delegated by Sec. 0.147, the authority 
conferred by this subpart X upon heads of organizational units may be 
redelegated by them, respectively, to any of their subordinates. 
Existing delegations of authority to officers and employees and to U.S. 
Attorneys, not inconsistent with this subpart X, made by any officer 
named in this section or by the Assistant Attorney General for 
Administration, shall continue in force and effect until modified or 
revoked.

[Order No. 543-73, 38 FR 29587, Oct. 26, 1973]



     Subpart Y--Authority to Compromise and Close Civil Claims and 
     Responsibility for Judgments, Fines, Penalties, and Forfeitures



Sec. 0.160  Offers that may be accepted by Assistant Attorneys General.

    (a) Subject to the limitations set forth in paragraph (c) of this 
section, Assistant Attorneys General are authorized, with respect to 
matters assigned to their respective divisions, to:
    (1) Accept offers in compromise of claims asserted by the United 
States in all cases in which the difference between the gross amount of 
the original claim and the proposed settlement does not exceed 
$2,000,000 or 15 percent of the original claim, whichever is greater;
    (2) Accept offers in compromise of, or settle administratively, 
claims against the United States in all cases in which the principal 
amount of the proposed settlement does not exceed $2,000,000; and
    (3) Accept offers in compromise in all nonmonetary cases.
    (b) Subject to the limitations set forth in paragraph (c) of this 
section, the Assistant Attorney General, Tax Division, is further 
authorized to accept offers in compromise of, or settle 
administratively, claims against the United States, regardless of the 
amount of the proposed settlement, in all cases in which the Joint 
Committee on Taxation has indicated that it has no adverse criticism of 
the proposed settlement.
    (c) Any proposed settlement, regardless of amount or circumstances, 
must be referred to the Deputy Attorney General or the Associate 
Attorney General, as appropriate:
    (1) When, for any reason, the compromise of a particular claim 
would, as a practical matter, control or adversely influence the 
disposition of other claims and the compromise of all

[[Page 75]]

the claims taken together would exceed the authority delegated by 
paragraph (a) of this section; or
    (2) When the Assistant Attorney General concerned is of the opinion 
that because of a question of law or policy presented, or because of 
opposition to the proposed settlement by a department or agency 
involved, or for any other reason, the proposed settlement should 
receive the personal attention of the Deputy Attorney General or the 
Associate Attorney General, as appropriate;
    (3) When the proposed settlement converts into a mandatory duty the 
otherwise discretionary authority of a department or agency to 
promulgate, revise, or rescind regulations;
    (4) When the proposed settlement commits a department or agency to 
expend funds that Congress has not appropriated and that have not been 
budgeted for the action in question, or commits a department or agency 
to seek particular appropriation or budget authorization; or
    (5) When the proposed settlement otherwise limits the discretion of 
a department or agency to make policy or managerial decisions committed 
to the department or agency by Congress or by the Constitution.

[Order No. 1958-95, 60 FR 15674, Mar. 27, 1995]



Sec. 0.161  Acceptance of certain offers by the Deputy Attorney General or Associate Attorney General, as appropriate.

    (a) In all cases in which the acceptance of a proposed offer in 
compromise would exceed the authority delegated by Sec. 0.160, the 
Assistant Attorney General concerned shall, when he is of the opinion 
that the proposed offer should be accepted, transmit his recommendation 
to that effect to the Deputy Attorney General or the Associate Attorney 
General, as appropriate.
    (b) The Deputy Attorney General or the Associate Attorney General, 
as appropriate, is authorized to exercise the settlement authority of 
the Attorney General as to all claims asserted by or against the United 
States.

[Order No. 1958-95, 60 FR 15675, Mar. 27, 1995]



Sec. 0.162  Offers which may be rejected by Assistant Attorneys General.

    Each Assistant Attorney General is authorized, with respect to 
matters assigned to his division or office, to reject offers in 
compromise of any claims in behalf of the United States, or, in 
compromises or administrative actions to settle, against the United 
States, except in those cases which come under Sec. 0.160(c)(2).

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
445-70, 35 FR 19397, Dec. 23, 1970; Order No. 960-81, 46 FR 52352, Oct. 
27, 1981]



Sec. 0.163  Approval by Solicitor General of action on compromise offers in certain cases.

    In any Supreme Court case the acceptance, recommendation of 
acceptance, or rejection, under Sec. 0.160, Sec. 0.161, or Sec. 0.162, 
of a compromise offer by the Assistant Attorney General concerned, shall 
have the approval of the Solicitor General. In any case in which the 
Solicitor General has authorized an appeal to any other court, a 
compromise offer, or any other action, which would terminate the appeal, 
shall be accepted or acted upon by the Assistant Attorney General 
concerned only upon advice from the Solicitor General that the 
principles of law involved do not require appellate review in that case.



Sec. 0.164  Civil claims that may be closed by Assistant Attorneys General.

    Assistant Attorneys General are authorized, with respect to matters 
assigned to their respective divisions, to close (other than by 
compromise or by entry of judgment) claims asserted by the United States 
in all cases in which they would have authority to accept offers in 
compromise of such claims under Sec. 0.160(a), except:
    (a) When for any reason, the closing of a particular claim would, as 
a practical matter, control or adversely influence the disposition of 
other claims and the closing of all the claims taken together would 
exceed the authority delegated by this section; or
    (b) When the Assistant Attorney General concerned is of the opinion 
that because of a question of law or

[[Page 76]]

policy presented, or because of opposition to the proposed closing by 
the department or agency involved, or for any other reason, the proposed 
closing should receive the personal attention of the Attorney General, 
the Deputy Attorney General or the Associate Attorney General, as 
appropriate.

[Order No. 1958-95, 60 FR 15675, Mar. 27, 1995]



Sec. 0.165  Recommendations to the Deputy Attorney General or Associate Attorney General, as appropriate, that certain claims be closed.

    In all cases in which the closing of a claim asserted by the United 
States would exceed the authority delegated by Secs. 0.160(a) and 0.164, 
the Assistant Attorney General concerned shall, when he is of the 
opinion that the claim should be closed, transmit his recommendation to 
that effect, together with a report on the matter, to the Deputy 
Attorney General or the Associate Attorney General, as appropriate, for 
review and final action. Such report shall be in such form as the Deputy 
Attorney General or the Associate Attorney General may require.

[Order No. 1958-95, 60 FR 15675, Mar. 27, 1995]



Sec. 0.166  Memorandum pertaining to closed claim.

    In each case in which a claim is closed under Sec. 0.164 the 
Assistant Attorney General concerned shall execute and place in the file 
pertaining to the claim a memorandum which shall contain a description 
of the claim and a full statement of the reasons for closing it.



Sec. 0.167  Submission to Associate Attorney General by Director of Office of Alien Property of certain proposed allowances and disallowances.

    In addition to the matters which he is required to submit to the 
Associate Attorney General under preceding sections of this subpart Y, 
the Director of the Office of Alien Property, shall submit to the 
Associate Attorney General for such review as he may desire to make the 
following:
    (a) Any proposed allowance by the Director, without hearing, of a 
title or debt claim.
    (b) Any final determination of a title of debt claim, whether by 
allowance or disallowance.
    (c) Any proposed allowance or disallowance by the Director, without 
hearing, of a title claim under section 9(a) of the Trading with the 
Enemy Act, as amended, filed less than 2 years after the date of vesting 
in or transfer to the Alien Property Custodian or the Attorney General 
of the property or interest in respect of which the claim is made:

Provided, That any such title or debt claim is within one of the 
following-described categories.
    (1) Any title claim which involves the return of assets having a 
value of $50,000 or more, or any debt claim in the amount of $50,000 or 
more.
    (2) Any title claim which will, as a practical matter, control the 
disposition of related title claims involving, with the principal claim, 
assets having a value of $50,000 or more; or any debt claim which will, 
as a practical matter, control the disposition of related debt claims in 
the aggregate amount, including the principal claim, of $50,000 or more.
    (3) Any title claim or debt claim presenting a novel question of law 
or a question of policy which, in the opinion of the Director, should 
receive the personal attention of the Associate Attorney General or the 
Attorney General.
    (d) Any sale or other disposition of vested property involving 
assets of $50,000 or more.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
445-70, 35 FR 19397, Dec. 23, 1970; Order No. 543-73, 38 FR 29587, Oct. 
26, 1973; Order No. 568-74, 39 FR 18646, May 29, 1974; Order No. 699-77, 
42 FR 15315, Mar. 21, 1977; Order No. 960-81, 46 FR 52352, Oct. 27, 
1981]



Sec. 0.168  Redelegation by Assistant Attorneys General.

    (a) Assistant Attorneys General are authorized, with respect to 
matters assigned to their respective divisions, to redelegate to 
subordinate division officials and United States Attorneys any of the 
authority delegated by Secs. 0.160 (a) and (b), 0.162, 0.164, and 
0.172(b), except that any disagreement between a United States Attorney 
or other Department attorney and a client agency

[[Page 77]]

over a proposed settlement that cannot be resolved below the Assistant 
Attorney General level must be presented to the Assistant Attorney 
General for resolution.
    (b) Redelegations of authority under this section shall be in 
writing and shall be approved by the Deputy Attorney General or the 
Associate Attorney General, as appropriate, before taking effect.
    (c) Existing delegations and redelegations of authority to 
subordinate division officials and United States Attorneys to compromise 
or close civil claims shall continue in effect until modified or revoked 
by the respective Assistant Attorneys General.
    (d) Subject to the limitations set forth in Sec. 0.160(c) and 
paragraph (a) of this section, redelegations by the Assistant Attorneys 
General to United States Attorneys may include the authority to:
    (1) Accept offers in compromise of claims asserted by the United 
States in all cases in which the gross amount of the original claim does 
not exceed $5,000,000 and in which the difference between the original 
claim and the proposed settlement does not exceed $1,000,000; and
    (2) Accept offers in compromise of, or settle administratively, 
claims against the United States in all cases in which the principal 
amount of the proposed settlement does not exceed $1,000,000.

[Order No. 1958-95, 60 FR 15675, Mar. 27, 1995]



Sec. 0.169  Definition of ``gross amount of the original claim''.

    The phrase gross amount of the original claim, as used in this 
subpart Y and as applied to any civil claim brought under section 592 of 
the Tariff Act of 1930, as amended (see Sec. 0.45(c)), shall mean the 
actual amount of lost customs duties involved. In nonrevenue loss cases 
brought under section 592 of the Tariff Act of 1930, as amended, the 
phrase ``gross amount of the original claim'' shall mean the amount 
demanded in the Customs Service's mitigation decision issued pursuant to 
19 U.S.C. 1618, or, if no mitigation decision has been issued, the 
``gross amount of the original claim'' shall mean twenty percent of the 
dutiable value of the merchandise.

[Order No. 1149-86, 51 FR 31940, Sept. 8, 1986]



Sec. 0.170  Interest on monetary limits.

    In computing the gross amount of the original claim and the amount 
of the proposed settlement pursuant to this subpart Y, accrued interest 
shall be excluded.



Sec. 0.171  Judgments, fines, penalties, and forfeitures.

    (a) Each United States Attorney shall be responsible for conducting, 
handling, or supervising such litigation or other actions as may be 
appropriate to accomplish the satisfaction, collection, or recovery of 
judgments, fines, penalties, and forfeitures (including bail bond 
forfeitures) imposed in his district, unless the Assistant Attorney 
General, or his delegate, of the litigating division which has 
jurisdiction of the case in which such judgment, fine, penalty or 
forfeiture is imposed notifies the United States Attorney in writing 
that the division will assume such enforcement responsibilities.
    (b) Each U.S. Attorney shall designate an Assistant U.S. Attorney, 
and such other employees as may be necessary, or shall establish an 
appropriate unit within his office, to be responsible for activities 
related to the satisfaction, collection, or recovery, as the case may 
be, of judgments, fines, penalties, and forfeitures (including bail-bond 
forfeitures).
    (c) The Director of the Executive Office for United States Attorneys 
shall be responsible for the establishment of policy and procedures and 
other appropriate action to accomplish the satisfaction, collection, or 
recovery of fines, special assessments, penalties, interest, bail bond 
forfeitures, restitution, and court costs arising from the prosecution 
of criminal cases by the Department of Justice and the United States 
Attorneys. He shall also prepare regulations required by 18 U.S.C. 
3613(c), pertaining to the application of tax lien provisions to 
criminal fines, for issuance by the Attorney General.
    (d) The United States Attorney for the judicial district in which a 
criminal monetary penalty has been imposed

[[Page 78]]

is authorized to receive all notifications of payment, certified copies 
of judgments or orders, and notifications of change of address 
pertaining to an unpaid fine, which are otherwise required to be 
delivered to the Attorney General pursuant to 18 U.S.C. 3612. If an 
Assistant Attorney General of a litigating division has notified the 
United States Attorney, pursuant to paragraph (a) of this section that 
such division will assume responsibility for enforcement of a criminal 
monetary penalty, the United States Attorney shall promptly transmit 
such notifications and certified copies of judgments or orders to such 
division.
    (e) With respect to cases assigned to his office, each United States 
Attorney--
    (1) Shall be responsible for collection of any unpaid fine with 
respect to which a certification has been issued as provided in 18 
U.S.C. 3612(b);
    (2) Shall provide notification of delinquency or default of any fine 
as provided in 18 U.S.C. 3612 (d) and (e);
    (3) May waive all or any part of any interest or penalty relating to 
a fine imposed under any prior law if, as determined by such United 
States Attorney, reasonable efforts to collect the interest or penalty 
are not likely to be effective; and
    (4) Is authorized to accept delivery of the amount or property due 
as restitution for transfer to the victim or person eligible under 18 
U.S.C. 3663 (or under 18 U.S.C. 3579 (f)(4) with respect to offenses 
committed prior to November 1, 1987).
    (f) With respect to offenses committed after December 31, 1984, and 
prior to November 1, 1987, each United States Attorney is authorized 
with respect to cases assigned to his office--
    (1) At his discretion, to declare the entire unpaid balance of a 
fine or penalty payable immediately in accordance with 18 U.S.C. 
3565(b)(3);
    (2) If a fine or penalty exceeds $500, to receive a certified copy 
of the judgment, otherwise required to be delivered by the clerk of the 
court to the Attorney General;
    (3) When a fine or penalty is satisfied as provided by law,
    (i) To file with the court a notice of satisfaction of judgment if 
the defendant makes a written request to the United States Attorney for 
such filing; or,
    (ii) If the amount of the fine or penalty exceeds $500 to enter into 
a written agereement with the defendant to extend the twenty-year period 
of obligation to pay fine.
    (g) With respect to offenses committed prior to November 1, 1987, 
each United States Attorney is hereby authorized, with respect to the 
discharge of indigent prisoners under 18 U.S.C. 3569, to make a finding 
as to whether the retention by a convict of property, in excess of that 
which is by law exempt from being taken on civil process for debt, is 
reasonably necessary for the convict's support or that of his family.
    (h) The Director of the Bureau of Prisons shall take such steps as 
may be necessary to assure that the appropriate U.S. Attorney is 
notified whenever a prisoner is released prior to the payment of his 
fine.
    (i) The Pardon Attorney shall notify the appropriate U.S. Attorney 
whenever the President issues a pardon and whenever the President remits 
or commutes a fine.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
445-70, 35 FR 19397, Dec. 23, 1970; Order No. 699-77, 42 FR 15315, Mar. 
21, 1977; Order No. 960-81, 46 FR 52352, Oct. 27, 1981; Order No. 1034-
83, 48 FR 50714, Nov. 3, 1983; Order No. 1413-90, 55 FR 19064, May 8, 
1990]



Sec. 0.172  Authority: Federal tort claims.

    (a) The Director of the Bureau of Prisons, the Commissioner of 
Federal Prison Industries, the Commissioner of Immigration and 
Naturalization, the Director of the United States Marshals Service and 
the Administrator of the Drug Enforcement Administration shall have 
authority to adjust, determine, compromise, and settle a claim involving 
the Bureau of Prisons, Federal Prison Industries, the Immigration and 
Naturalization Service, the U.S. Marshals Service and the Drug 
Enforcement Administration, respectively, under section 2672 of title 
28, U.S. Code, relating to the administrative settlement of Federal tort 
claims, if the amount of a proposed adjustment, compromise, settlement 
or

[[Page 79]]

award does not exceed $10,000. When in the opinion of one of the said 
Directors or one of the said Commissioners such a claim pending before 
him presents a novel question of law or a question of policy, he shall 
obtain the advice of the Assistant Attorney General in charge of the 
Civil Division.
    (b) Subject to the provisions of Sec. 0.160, the assistant Attorney 
General in charge of the Civil Division shall have authority to adjust, 
determine, compromise, and settle any other claim involving the 
Department under section 2672, of title 28, U.S. Code, relating to the 
administrative settlement of Federal tort claims.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969, as amended by Order No. 
520-73, 38 FR 18381, July 10, 1973; Order No. 565-74, 39 FR 15877, May 
6, 1974; Order No. 1149-86, 51 FR 31940, Sept. 8, 1986; Order No. 1528-
91, 56 FR 48734, Sept. 26, 1991]

  Appendix to Subpart Y--Redelegations of Authority To Compromise and 
                           Close Civil Claims

                             Civil Division

                             [Memo No. 374]

    Editorial Note: Civil Division, Memorandum No. 374 was superseded by 
Civil Division, Directive No. 110-78, appearing at 43 FR 38820, Aug. 31, 
1978.

                          [Directive No. 18-71]

    Editorial Note: Civil Division, Directive No. 18-71 was superseded 
by Civil Division, Directive No. 110-78, appearing at 43 FR 38820, Aug. 
31, 1978.

                          [Directive No. 31-72]

    Editorial Note: Civil Division, Directive No. 31-72 was superseded 
by Civil Division, Directive No. 110-78, appearing at 43 FR 38820, Aug. 
31, 1978.

                         [Directive No. 110-78]

    Editorial Note: Civil Division, Directive No. 110-78 was superseded 
by Civil Division, Directive No. 145-81, appearing at 46 FR 52353, Oct. 
27, 1981.

                         [Directive No. 145-81]

    Editorial Note: Civil Division, Directive No. 145-81 was removed by 
Civil Division, Directive No. 163-86, appearing at 53 FR 4010, Feb. 11, 
1988.

  Redelegation of Authority, to Branch Directors, Heads of Offices and 
             United States Attorneys in Civil Division Cases

                          [Directive No. 14-95]

    By virtue of the authority vested in me by part 0 of title 28 of the 
Code of Federal Regulations, particularly Secs. 0.45, 0.160, 0.164, and 
0.168, it is hereby ordered as follows:

Section 1. Authority To Compromise or Close Cases and to File Suits and 
                                 Claims

    (a) Delegation to Deputy Assistant Attorneys General. The Deputy 
Assistant Attorneys General are authorized to act for, and to exercise 
the authority of, the Assistant Attorney General in charge of the Civil 
Division with respect to the institution of suits, the acceptance or 
rejection of compromise offers, and the closing of claims or cases, 
unless any such authority is required by law to be exercised by the 
Assistant Attorney General personally or has been specifically delegated 
to another Department official.
    (b) Delegation to United States Attorneys, Branch, Office and Staff 
Directors and Attorneys-in-Charge of Field Offices. Subject to the 
limitations imposed by 28 CFR 0.160(c), and 0.164(a) and section 4(c) of 
this directive, and the authority of the Solicitor General set forth in 
28 CFR 0.163,
    (1) Branch, Office, and Staff Directors, and Attorneys-in-Charge of 
Field Offices with respect to matters assigned or delegated to their 
respective components are hereby delegated the authority to:
    (a) Accept offers in compromise of claims on behalf of the United 
States;
    (i) In all cases in which the gross amount of the original claim did 
not exceed $500,000; and,
    (ii) In all cases in which the gross amount of the original claim 
was between $500,000 and $5,000,000, so long as the difference between 
the gross amount of the original claim and the proposed settlement does 
not exceed $500,000 or 15 percent of the original claim, whichever is 
greater;
    (b) Accept offers in compromise of, or settle administratively, 
claims against the United States in all cases where the principal amount 
of the proposed settlement does not exceed $500,000; and,
    (c) Reject any offers.
    (2) United States Attorneys with respect to matters assigned or 
delegated to their respective components are hereby delegated the 
authority to:
    (a) Accept offers in compromise of claims on behalf of the United 
States;
    (i) In all cases in which the gross amount of the original claim did 
not exceed $1,000,000 and,
    (ii) In all cases in which the gross amount of the original claim 
does not exceed

[[Page 80]]

$5,000,000, and in which the difference between the gross amount of the 
original claim and the proposed settlement does not exceed $1,000,000;
    (b) Accept offers in compromise of, or settle administratively, 
claims against the United States in all cases where the principal amount 
of the proposed settlement does not exceed $1,000,000 and,
    (c) Reject any offers.
    (3) With respect to claims asserted in bankruptcy proceedings, the 
term gross amount of the original claim in (1) (a) and (b), and (2) (a) 
and (b) above means liquidation value. Liquidation value is the forced 
sale value of the collateral, if any, securing the claim(s) plus the 
dividend likely to be paid for the unsecured portion of the claim(s) in 
an actual or hypothetical liquidation of the bankruptcy estate.
    (c) Subject to the limitations imposed by sections 1(e) and 4(c) of 
this directive, United States Attorneys, Directors, and Attorneys-in-
Charge are authorized to file suits, counterclaims, and cross-claims, to 
close, or to take any other action necessary to protect the interests of 
the United States in all routine nonmonetary cases, in all routine loan 
collection and foreclosure cases, and in other monetary claims or cases 
where the gross amount of the original claim does not exceed $500,000, 
or in the case of United States Attorneys, $1,000,000. Such actions in 
nonmonetary cases which are other than routine will be submitted for the 
approval of the Assistant Attorney General, Civil Division.
    (d) United States Attorneys may redelegate in writing the above-
conferred compromise and suit authority to Assistant United States 
Attorneys who supervise other Assistant United States Attorneys who 
handle civil litigation.
    (e) Limitations on delegations. The authority to compromise cases, 
file suits, counter-claims, and cross-claims, to close cases, or take 
any other action necessary to protect the interests of the United 
States, delegated by paragraphs (a) and (b) of this section, may not be 
exercised, and the matter shall be submitted for resolution to the 
Assistant Attorney General, Civil Division, when:
    (1) For any reason, the proposed action, as a practical matter, will 
control or adversely influence the disposition of other claims totaling 
more than the respective amounts designated in the above paragraphs.
    (2) Because a novel question of law or a question of policy is 
presented, or for any other reason, the proposed action should, in the 
opinion of the officer or employee concerned, receive the personal 
attention of the Assistant Attorney General, Civil Division.
    (3) The agency or agencies involved are opposed to the proposed 
action. The views of an agency must be solicited with respect to any 
significant proposed action if it is a party, if it has asked to be 
consulted with respect to any such proposed action, or if such proposed 
action in a case would adversely affect any of its policies.
    (4) The U.S. Attorney involved is opposed to the proposed action and 
requests that the matter be submitted to the Assistant Attorney General 
for decision.
    (5) The case is on appeal, except as determined by the Director of 
the Appellate Staff.

                       Section 2. Action Memoranda

    (a) Whenever an official of the Civil Division or a United States 
Attorney accepts a compromise, closes a claim or files a suit or claim 
pursuant to the authority delegated by this Directive, a memorandum 
fully explaining the basis for the action taken shall be executed and 
placed in the file. In the case of matters compromised, closed, or filed 
by United States Attorneys, a copy of the memorandum must be sent to the 
appropriate Branch or Office of the Civil Division.
    (b) The compromising of cases or closing of claims or the filing of 
suits for claims, which a United States Attorney is not authorized to 
approve, shall be referred to the appropriate Branch or Office within 
the Civil Division, for decision by the Assistant Attorney General or 
the appropriate authorized person within the Civil Division. The 
referral memorandum should contain a detailed description of the matter, 
the United States Attorney's recommendation, the agency's recommendation 
where applicable, and a full statement of the reasons therefor.

          Section 3. Return of Civil Judgment Cases to Agencies

    Claims arising out of judgments in favor of the United States which 
cannot be permanently closed as uncollectible may be returned to the 
referring Federal agency for servicing and surveillance whenever all 
conditions set forth in USAM 4-2.230 have been met.

   Section 4. Authority for Direct Reference and Delegation of Civil 
                Division Cases to United States Attorneys

    (a) Direct reference to United States Attorneys by agencies. The 
following civil actions under the jurisdiction of the Assistant Attorney 
General, Civil Division, may be referred by the agency concerned 
directly to the appropriate United States Attorney for handling in trial 
courts, subject to the limitations imposed by paragraph (c) of this 
section. United States Attorneys are hereby delegated the authority to 
take all necessary steps to protect the interests of the United States, 
without prior approval of the Assistant Attorney General, Civil 
Division, or his representations, subject to the limitations set forth 
in section 1(e) of this directive. Agencies may, however, if special 
handling is

[[Page 81]]

desired, refer these cases to the Civil Division. Also, when 
constitutional questions or other significant issues arise in the course 
of such litigation, or when an appeal is taken by any party, the Civil 
Division should be consulted.
    (1) Money claims by the United States, except claims involving 
penalties and forfeitures, where the gross amount of the original claim 
does not exceed $1,000,000.
    (2) Single family dwelling house foreclosures arising out of loans 
made or insured by the Department of Housing and Urban Development, the 
Veterans Administration and the Farmers Home Administration.
    (3) Suits to enjoin violations of, and to collect penalties under, 
the Agricultural Adjustment Act of 1938, 7 U.S.C. 1376, the Packers and 
Stockyards Act, 7 U.S.C. 203, 207(g), 213, 215, 216, 222, and 228a, the 
Perishable Agricultural Commodities Act, 1930, 7 U.S.C. 499c(a) and 
499h(d), the Egg Products Inspection Act, 21 U.S.C. 1031 et seq., the 
Potato Research and Promotion Act, 7 U.S.C. 2611 et seq., the Cotton 
Research and Promotion Act of 1966, 7 U.S.C. 2101 et seq., the Federal 
Meat Inspection Act, 21 U.S.C. 601 et seq., and the Agricultural 
Marketing Agreement Act of 1937, as amended, 7 U.S.C. 601 et seq.
    (4) Suits by social security beneficiaries under the Social Security 
Act, 42 U.S.C. 402 et seq.
    (5) Social Security disability suits under 42 U.S.C. 423 et seq.
    (6) Black lung beneficiary suits under the Federal Coal Mine Health 
and Safety Act of 1969, 30 U.S.C. 921 et seq.
    (7) Suits by Medicare beneficiaries under 42 U.S.C. 1395ff.
    (8) Garnishment actions authorized by 42 U.S.C. 659 for child 
support or alimony payments and actions for general debt, 5 U.S.C. 
5520a.
    (9) Judicial review of actions of the Secretary of Agriculture under 
the food stamp program, pursuant to the provisions of 7 U.S.C. 2022 
involving retail food stores.
    (10) Cases referred by the Department of Labor for the collection of 
penalties or for injunctive action under the Fair Labor Standards Act of 
1938 and the Occupational Safety and Health Act of 1970.
    (11) Cases referred by the Department of Labor solely for the 
collection of civil penalties under the Farm Labor Contractor 
Registration Act of 1963, 7 U.S.C. 2048(b).
    (12) Cases referred by the Interstate Commerce Commission to enforce 
orders of the Interstate Commerce Commission or to enjoin or suspend 
such orders pursuant to 28 U.S.C. 1336.
    (13) Cases referred by the United States Postal Service for 
injunctive relief under the nonmailable matter laws, 39 U.S.C. 3001 et 
seq.
    (b) Delegation to United States Attorneys. Upon the recommendation 
of the appropriate Director, the Assistant Attorney General, Civil 
Division may delegate to United States Attorneys suit authority 
involving any claims or suits where the gross amount of the original 
claim does not exceed $5,000,000 where the circumstances warrant such 
delegations. United States Attorneys may compromise any case redelegated 
under this subsection in which the gross amount of the original claim 
does not exceed $5,000,000, so long as the difference between the gross 
amount of the original claim and the proposed settlement does not exceed 
$1,000,000. United States Attorneys may close cases redelegated to them 
under this subsection only upon the authorization of the appropriate 
authorized person within the Department of Justice. All delegations 
pursuant to this subsection shall be in writing and no United States 
Attorney shall have authority to compromise or close any such delegated 
case or claim except as is specified in the required written delegation 
or in section 1(c) of this directive. The limitations of section 1(e) of 
this directive also remain applicable in any case or claim delegated 
hereunder.
    (c) Cases not covered. Regardless of the amount in controversy, the 
following matters normally will not be delegated to United States 
Attorneys for handling but will be personally or jointly handled or 
monitored by the appropriate Branch or Office within the Civil Division:
    (1) Civil actions in the Court of Federal Claims.
    (2) Cases within the jurisdiction of the Commercial Litigation 
Branch involving patents, trademarks, copyrights, etc.
    (3) Cases before the United States Court of International Trade.
    (4) Any case involving bribery, conflict of interest, breach of 
fiduciary duty, breach of employment contract, or exploitation of public 
office.
    (5) Any fraud or False Claims Act case where the amount of single 
damages, plus civil penalties, if any, exceeds $1,000,000.
    (6) Any case involving vessel-caused pollution in navigable waters.
    (7) Cases on appeal, except as determined by the Director of the 
Appellate Staff.
    (8) Any case involving litigation in a foreign court.
    (9) Criminal proceedings arising under statutes enforced by the Food 
and Drug Administration, the Consumer Product Safety Commission, the 
Federal Trade Commission, and the National Highway Traffic Safety 
Administration (relating to odometer tampering), except as determined by 
the Director of the Office of Consumer Litigation.
    (10) Nonmonetary civil cases, including injunction suits, 
declaratory judgment actions, and applications for inspection warrants, 
and cases seeking civil penalties including but not limited to those 
arising under statutes enforced by the Food and

[[Page 82]]

Drug Administration, the Consumer Product Safety Commission, the Federal 
Trade Commission, and the National Highway Traffic Safety Administration 
(relating to odometer tampering), except as determined by the Director 
of the Office of Consumer Litigation.
    (11) Administrative claims arising under the Federal Tort Claims 
Act.

                      Section 5. Adverse Decisions

    All final judicial decisions adverse to the Government involving any 
direct reference or delegated case must be reported promptly to the 
Assistant Attorney General, Civil Division, attention Director, 
Appellate Staff. Consult title 2 of the United States Attorney's Manual 
for procedures and time limitations. An appeal cannot be taken without 
approval of the Solicitor General. Until the Solicitor General has made 
a decision whether an appeal will be taken, the Government attorney 
handling the case must take all necessary procedural actions to preserve 
the Government's right to take an appeal, including filing a protective 
notice of appeal when the time to file a notice of appeal is about to 
expire and the Solicitor General has not yet made a decision. Nothing in 
the foregoing directive affects this obligation.

                         Section 6. Supersession

    This directive supersedes Civil Division Directive No. 176-91 
regarding redelegation of the Assistant Attorney General's authority in 
Civil Division cases to Branch Directors, heads of offices and United 
States Attorneys.

                        Section 7. Applicability

    This directive applies to all cases pending as of the date of this 
directive and is effective immediately.

[60 FR 17457, Apr. 6, 1995]

                            Criminal Division

                             [Memo No. 375]

Standards And Procedures With Respect To Criminal Prosecutions Involving 
           Certain Agricultural Marketing Quota Penalty Cases

    By virtue of the authority vested in me by part 0 of title 28 of the 
Code of Federal Regulations, particularly Secs. 0.55, 0.160, 0.162, 
0.164, 0.166, and 0.168, it is hereby ordered as follows:
    Section 1. Purpose. The purpose of this Memorandum is to prescribe 
standards and procedures for U.S. Attorneys with respect to the handling 
of the criminal aspects of agricultural marketing quota penalty cases 
which are submitted to the U.S. Attorneys by direct referral from the 
attorney in charge of the local office of the General Counsel of the 
Department of Agriculture (hereinafter in this Memorandum referred to as 
the General Counsel). Supplement No. 1 of October 26, 1955, to 
Memorandum No. 119 is hereby superseded. Attention is invited to the 
fact that Memorandum No. 374, of June 3, 1964, which superseded 
Memorandum No. 119 of December 8, 1954, deals with the civil aspects of 
agricultural marketing quota penalty cases.
    Sec. 2. Scope of authority. (a) The authority conferred by this 
Memorandum is applicable to alleged criminal violations involving the 
provisions of the Agricultural Adjustment Act of 1938, as amended (7 
U.S.C. 1311-1376), in cases in which the gross amount involved does not 
exceed $5,000.
    (b) Matters involving alleged criminal violations of the 
Agricultural Adjustment Act of 1938, as amended, shall be referred 
directly to the U.S. Attorney concerned by the attorney in charge of the 
local office of the General Counsel which has jurisdiction over any such 
matter requiring action. U.S. Attorneys may initiate criminal 
prosecution or decline to do so as they, in their judgment, may deem 
appropriate. U.S. Attorneys are, of course, urged to obtain the advice 
and assistance of this Department whenever they feel that such advice 
and assistance might be helpful.
    Sec. 3. Correspondence--(a) With the Department of Justice. 
Inquiries to the Department concerning any matters covered by this 
Memorandum should be directed to the attention of the Assistant Attorney 
General in charge of the Criminal Division (hereinafter in this 
Memorandum referred to as the Assistant Attorney General). Any such 
inquiry should be accompanied by copies of all pertinent correspondence 
and other documents, including the indictment if one shall have been 
returned, since files concerning these matters will not be maintained in 
Washington.
    (b) With the Department of Agriculture. Correspondence calling for 
additional factual details, and requests for investigations, documents, 
witnesses, and similar matters, should be directed to the General 
Counsel's attorney in charge who originated the matter. However, only 
the U.S. Attorney and his duly appointed assistants are authorized to 
exercise any control whatsoever over the handling of any such matter 
referred to the U.S. Attorney for action. The U.S. Attorney is charged 
with the entire responsibility for the manner in which such matters are 
handled.
    Sec. 4. Closing of the Prosecution. (a) U.S. Attorneys may decline 
to prosecute any case involving a matter covered by this Memorandum 
without prior consultation or approval of the Assistant Attorney 
General. If, however, prosecution has been initiated by way of 
indictment or information, the indictment or information shall not be 
dismissed until authority to do so has been obtained from the Assistant 
Attorney General

[[Page 83]]

or his representative unless the reason for the dismissal is one which 
does not necessitate the prior approval of the Criminal Division. (See 
U.S. Attorneys' Manual, title 2: Criminal Division, pages 18-20.)
    (b) In each instance in which a case is closed by a U.S. Attorney 
and in which prior approval of the Assistant Attorney General or his 
representative has not been obtained, a memorandum shall be prepared and 
placed in the file describing the action taken and the reasons therefor.
    Sec. 5. Appeals. The instructions existing with reference to 
criminal appeals shall govern appeals in cases covered by this 
Memorandum.

[29 FR 7423, June 9, 1964]

                            [Directive No. 1]

    Editorial Note: Criminal Division, Directive No. 1, was superseded 
by Criminal Division, Directive No. 2, appearing at 43 FR 50677, Oct. 
31, 1978.

                            [Directive No. 2]

    Editorial Note: Criminal Division, Directive No. 2, was superseded 
by Criminal Division, Directive No. 116, appearing at 48 FR 50713, Nov. 
3, 1983.

                  [Attorney General Order No. 1598-92]

Redelegations of Authority to United States Attorneys, Deputy Assistant 
   Attorneys General, Section Chiefs, and Director, Asset Forfeiture 
                    Office, in the Criminal Division

    By virtue of the authority vested in me by part 0 of title 28 of the 
Code of Federal Regulations, as amended, particularly Secs. 0.160, 
0.162, 0.164, 0.168 and 0.171, it is hereby ordered as follows:
    (a)(1) Each U.S. Attorney is authorized in cases delegated to the 
Assistant Attorney General of the Criminal Division--
    (A) To accept or reject offers in compromise of--
    (i) Claims in behalf of the United States in all cases (other than 
forfeiture cases) in which the original claim did not exceed $500,000, 
and in all cases in which the original claim was between $500,000 and 
$5,000,000, so long as the difference between the gross amount of the 
original claim and the proposed settlement does not exceed 15 percent of 
the original claim; and in all civil or criminal forfeiture cases, 
except that the U.S. Attorney shall consult with the Asset Forfeiture 
Office of the Criminal Division before accepting offers in compromise or 
plea offers in forfeiture cases in which the orignial claim was 
$5,000,000 or more, and in forfeiture cases in which the original claim 
was between $500,000 and $5,000,000, when the difference between the 
gross amount of the original forfeiture sought and the proposed 
settlement exceeds 15 percent of the original claim; and
    (ii) Claims against the United States in all cases, or in 
administrative actions to settle, in which the amount of the proposed 
settlement does not exceed $500,000; and
    (B) To close (other than by compromise or entry of judgment) claims 
asserted by the United States in all cases (other than forfeiture cases) 
in which the gross amount of the original claim does not exceed 
$500,000, and in all civil or criminal forfeiture cases, except that the 
U.S. Attorney shall consult with the Asset Forfeiture Office of the 
Criminal Division before closing a forfeiture case in which the gross 
amount of the original forfeiture sought is $500,000 or more.
    (2) This subsection does not apply--
    (A) When, for any reason, the compromise or closing of a particular 
claim (other than a forfeiture case) will, as a practical matter, 
control or adversely influence the disposition of other claims, which, 
when added to the claim in question, total more than the respective 
amounts designated above;
    (B) When the U.S. Attorney is of the opinion that because of a 
question of law or policy presented, or for any other reason, the matter 
should receive the personal attention of the Assistant Attorney General;
    (C) When a settlement converts into a mandatory duty the otherwise 
discretionary authority of an agency or department to revise, amend, or 
promulgate regulations;
    (D) When a settlement commits a department or agency to expend funds 
that Congress has not appropriated and that have not been budgeted for 
the action in question, or commits a department or agency to seek a 
particular appropriation or budget authorization; or
    (E) When a settlement limits the discretion of a Secretary or agency 
administrator to make policy or managerial decisions committed to the 
Secretary or agency administrator by Congress or by the Constitution.
    (b) Notwithstanding the provisions of this Order, the Assistant 
Attorney General of the Criminal Division may delegate to U.S. Attorneys 
authority to compromise or close other cases, including those involving 
amounts greater than as set forth in paragraph (a) above, and up to the 
maximum limit of his authority, where the circumstances warrant such 
delegation.
    (c) All other authority delegated to me by Secs. 0.160, 0.162, 0.164 
and 0.171 of title 28 of the Code of Federal Regulations not falling 
within the limitations of paragraph (a) of this Order is hereby 
redelegated to Section Chiefs in the Criminal Division, except that--
    (1) The authority delegated to me by Secs. 0.160, 0.162, 0.164 and 
0.171 of that title relating to conducting, handling, or supervising 
civil and criminal forfeiture litigation (other than bail bond 
forfeiture), including

[[Page 84]]

acceptance or denial of petitions for remission or mitigation of 
forfeiture, is hereby redelegated to the Director of the Asset 
Forfeiture Office; and
    (2) When a Section Chief or the Director of the Asset Forfeiture 
Office is of the opinion that because of a question of law or policy 
presented, or for any other reason, a matter described in paragraph (c) 
should receive the personal attention of a Deputy Assistant Attorney 
General or Assistant Attorney General, he shall refer the matter to the 
appropriate Deputy Assistant Attorney General or to the Assistant 
Attorney General.
    (d) Notwithstanding any of the above redelegations, when the agency 
or agencies involved have objected in writing to the proposed closing or 
dismissal of a case, or to the acceptance or rejection of an offer in 
compromise, any such unresolved objection shall be referred to the 
Assistant Attorney General for resolution.

[Order No. 1598-92, 57 FR 30396, July 9, 1992]

                   Land and Natural Resources Division

                             [Memo. No. 388]

    Editorial Note: Land and Natural Resources Division, Memo No. 388, 
was superseded by Land and Natural Resources Division, Directive No. 7-
76, appearing at 41 FR 53660, Dec. 8, 1976.

                          [Directive No. 4-72]

    Editorial Note: Land and Natural Resources Division, Directive No. 
4-72, was superseded by Land and Natural Resources Division, Directive 
No. 7-76, appearing at 41 FR 53660, Dec. 8, 1976.

                          [Directive No. 5-72]

    Editorial Note: Land and Natural Resources Division, Directive No. 
5-72, was superseded by Land and Natural Resources Division, Directive 
No. 7-76, appearing at 41 FR 53660, Dec. 8, 1976.

                          [Directive No. 7-76]

Redelegation Of Authority To Initiate And To Compromise Land And Natural 
                        Resources Division Cases

    This directive supersedes Land and Natural Resources Memorandum No. 
388 (appendix to subpart Y) and Directives Nos. 4-72 and 5-72. By virtue 
of the authority vested in me by part 0 of title 28 of the Code of 
Federal Regulations, and particularly Secs. 0.65, 0.160, 0.162, 0.164, 
0.166, and 0.168 thereof, I hereby redelegate to the Deputy Assistant 
Attorney General, certain Section Chiefs, and to the United States 
Attorneys, the following authority to act in connection with, and to 
compromise, Land and Natural Resources Division cases:

                 Section I--Authority To Initiate Cases

    A. Delegation to United States Attorneys--1. Land Cases. United 
States Attorneys are hereby authorized to act in matters concerning real 
property of the United States, including tribal and restricted 
individual Indian land, not involving new or unusual questions or 
questions of title or water rights, on behalf of any other department or 
agency in response to a direct request in writing from an authorized 
field officer of the department or agency concerned, without prior 
authorization from the Land and Natural Resources Division, in the 
following-described cases:
    (a) Actions to recover possession of property from tenants, 
squatters, trespassers, or others, and actions to enjoin trespasses on 
Federal property;
    (b) Actions to recover damages resulting from trespasses when the 
amount of the claim for actual damage based upon an innocent trespass 
does not exceed $200,000 (The United States Attorneys may seek recovery 
of amounts exceeding $200,000 (i) if the actual damages are $200,000 or 
less and State statutes permit the recovery of multiple damages, e.g., 
double or treble, for either a willful or an innocent trespass; or (ii) 
if the actual damages are $200,000 or less, but the action is for 
conversion to obtain recovery of the enhanced value of property severed 
and removed in the trespass);
    (c) Actions to collect delinquent rentals or damages for use and 
occupancy of not more than $200,000;
    (d) Actions to collect costs of forest fire suppression and other 
damages resulting from such fires if the total claim does not exceed 
$200,000;
    (e) Actions to collect delinquent operation and maintenance charges 
accruing on Indian irrigation projects and federal reclamation projects 
of not more than $200,000; and
    (f) Actions to collect loans of money or livestock made by the 
United States to individual Indians without limitation on amount, 
including loans made by Indian tribal organizations to individual 
Indians if the loan agreements, notes and securities have been assigned 
by the tribal organizations to the United States.
    2. Environmental cases. Pursuant to paragraph 10 of the memorandum 
of understanding between the Department of Justice and the Environmental 
Protection Agency (42 FR 48942) with respect to the handling of 
litigation to which the Environmental Protection Agency is a party, all 
requests of the Environmental Protection Agency for litigation must be 
submitted by the Agency through its General Counsel or its Assistant

[[Page 85]]

Administrator for Enforcement to the Assistant Attorney General, except 
that matters requiring an immediate temporary restraining order may be 
submitted by regional Administrators of the Environmental Protection 
Agency simultaneously to a U.S. Attorney and the Assistant Attorney 
General. Consequently, except for matters requiring an immedate 
temporary restraining order, U.S. Attorneys are not authorized to accept 
on a direct reference basis any matters or cases originating in any 
office of the Environmental Protection Agency.
    U.S. Attorneys are authorized to act, without prior authorization 
from the Land and Natural Resources Division, on behalf of Federal 
departments or agencies other than the Environmental Protection Agency, 
in response to a direct request in writing from an authorized field 
officer of the department or agency concerned, in the following 
environmental cases:
    (a) Civil or criminal actions involving the filling or the deposit 
of dredged or fill material upon, or the alteration of the channels of, 
the waters of the United States, in violation of section 10 of the River 
and Harbor Act of March 3, 1899 (33 U.S.C. 403), or of section 404 of 
the Federal Water Pollution Control Act Amendments of 1972 (33 U.S.C. 
1344), or of both statutes;
    (b) Civil or criminal actions involving the discharge of refuse into 
the navigable waters of the United States, and, in certain cases, their 
tributaries, in violation of section 13 of the Act of March 3, 1899 (33 
U.S.C. 407), except for
    (i) In rem actions against vessels, which actions shall continue to 
be handled in the manner set forth in departmental memorandums 374 and 
376, dated June 3, 1964, and shall continue to be under the jurisdiction 
of the Civil Division; and
    (ii) Criminal actions involving the discharge either of oil or of 
hazardous substances, for which discharge a government agency either has 
imposed a civil penalty pursuant to section 311(b)(6) of the Federal 
Water Pollution Control Act Amendments of 1972 (33 U.S.C. 1321(b)(6)), 
or has under consideration the imposition of such a penalty.
    3. Notification to Division of Direct Referral. In each case 
referred to the United States Attorneys pursuant to the authority set 
forth in Subparagraphs 1 and 2 above, the United States Attorney shall, 
prior to taking action, assure that a copy of the authorized field 
officer's written request has been forwarded to the Assistant Attorney 
General, Land and Natural Resources Division, Department of Justice, 
Washington, DC, 20530.

      Section II--Authority To Compromise, Dismiss, or Close Cases

    A. Delegation to Deputy Assistant Attorney General. Subject to the 
limitations imposed by Paragraph D of this Section, the Deputy Assistant 
Attorney General in the Land and Natural Resources Division is hereby 
authorized, with respect to matters assigned to the Land and Natural 
Resources Division, to accept or reject offers in compromise of claims 
against the United States in which the amount of the proposed settlement 
does not exceed $500,000, and of claims in behalf of the United States 
in which the gross amount of the original claim does not exceed 
$500,000.
    B. Delegation to Section Chiefs. Subject to the limitations imposed 
by Paragraph D of this Section, the Chiefs of the Land Acquisition, 
Indian Claims, Pollution Control, Indian Resources, and General 
Litigation Sections of the Land and Natural Resources Division are 
hereby authorized, with respect to matters assigned to their respective 
sections, to accept or reject offers in compromise of claims against the 
United States in which the amount of the proposed settlement does not 
exceed $300,000, and of claims in behalf of the United States in which 
the gross amount of the original claim does not exceed $300,000.
    C. Delegations to United States Attorneys--1. Compromise of land 
cases. Subject to the limitations imposed by paragraph D of this 
section, U.S. Attorneys are authorized, without the prior approval of 
the Land and Natural Resources Division, to accept or reject offers in 
compromise in the direct referral land cases listed in subparagraph A-1 
of section I, and in claims against the United States in which the 
amount of the proposed settlement does not exceed $200,000, if the 
authorized field officer of the interested agency concurs in writing, 
except that where the United States is a plaintiff, a U.S. Attorney may 
accept an offer without the concurrence of the field officer if the 
acceptance is based solely upon the financial circumstances of the 
debtor.
    2. Compromise of environmental cases. Prior delegations of authority 
to the U.S. Attorneys to settle any type of case in which the Department 
of Justice represents the Environmental Protection Agency, or the 
Administrator or any other official of that Agency, are hereby revoked; 
all offers in compromise of such cases shall be submitted to the 
Assistant Attorney General of the Land and Natural Resources Division, 
for appropriate action.
    3. Compromise of Condemnation Cases. (a) Subject to the limitations 
imposed in Paragraph D of this section, United States Attorneys are 
hereby authorized, without the prior approval of the Land and Natural 
Resources Division, to accept or reject offers in compromise of claims 
against the United States for just compensation in condemnation 
proceedings in any case in which
    (i) The gross amount of the proposed settlement does not exceed 
$100,000; and
    (ii) The settlement is approved in writing (the written approval to 
be retained in the

[[Page 86]]

file of the United States Attorney concerned) by the authorized field 
representative of the acquiring agency if the amount of the settlement 
exceeds the amount deposited with the declaration of taking as to the 
particular tract of land involved; and
    (iii) The amount of the settlement is compatible with the sound 
appraisal, or appraisals, upon which the United States would rely as 
evidence in the event of trial, due regard being had for probable 
minimum trial costs and risks; and
    (iv) The case does not involve the revestment of any land or 
improvements or any interest, or interests, in land under the Act of 
October 21, 1942, 56 Stat. 797 (40 U.S.C. 258f). 3(b). When a United 
States Attorney has settled a condemnation proceeding under the 
authority conferred upon him by the foregoing subparagraph, he shall 
promptly secure the entry of judgment and distribution of the award, and 
shall take all other steps necessary to dispose of the matter 
completely. The United States Attorney concerned shall also immediately 
forward to the Department a report, in the form of a letter or 
memorandum, bearing his signature or showing his personal approval, 
stating the action taken and containing an adequate statement of the 
reasons therefor. In routine cases, a form, containing the minimum 
elements of the required report, may be used in lieu of a letter or 
memorandum. In any case, special care shall be taken to see that the 
report contains a statement as to what the valuation testimony of the 
United States would have been if the case had been tried.
    4. Closing or Dismissal of Matters and Cases. Subject to the 
limitations imposed in Paragraph D of this section, a direct referral 
matter described in Section I may be closed without action by the United 
States Attorney or, if filed in court, may be dismissed by him, if the 
field officer of the interested agency concurs in writing that it is 
without merit legally or factually. Except for claims on behalf of 
Indians or Indian tribes, the United States Attorney may close a claim 
without consulting the field officer of the interested agency if the 
claim is for money only and if he concludes (a) that the cost of 
collection under the circumstances would exceed the amount of the claim, 
or (b) that the claim is uncollectable. With respect to claims asserted 
by the United States on behalf of individual Indians or Indian tribes, 
the United States Attorney may close a claim without consulting the 
field officer of the interested agency if the claim is for money only 
and if he concludes that the claim is uncollectable; claims on behalf of 
Indian individuals and tribes may not be closed merely because the cost 
of collection might exceed the amount of the claim.
    D. Limitations on delegations. The authority to compromise, close or 
dismiss cases delegated by Paragraphs A, B and C of this section may not 
be exercised when,
    (a) For any reason, the compromise of a particular claim, as a 
practical matter, will control or adversely influence the disposition of 
other claims totaling more than the respective amounts designated above;
    (b) Because a novel question of law or a question of policy is 
presented, or for any other reason, the offer should, in the opinion of 
the officer or employee concerned, receive the personal attention of the 
Assistant Attorney General in charge of the Land and Natural Resources 
Division; and
    (c) The agency or agencies involved are opposed to the proposed 
closing or dismissal of a case, or acceptance or rejection of the offer 
in compromise.
    If any of the conditions listed above exist, the matter shall be 
submitted for resolution to the Assistant Attorney General in charge of 
the Land and Natural Resources Division.
    Effective date of this directive. This Directive shall be effective 
on December 8, 1976.

[41 FR 53660, Dec. 8, 1976, as amended at 43 FR 36069, Aug. 15, 1978; 51 
FR 12848, Apr. 16, 1986]

                          [Directive No. 90-50]

Redelegation of Authority To Initiate and To Compromise Environment and 
                    Natural Resources Division Cases

    Pursuant to the authority vested in me by title 28 of the Code of 
Federal Regulations, and particularly Secs. 0.65, 0.65(a), 0.160, 0.162, 
0.164, 0.166, 0.168 and 50.7 thereof, I hereby redelegate to the Section 
Chief of the Environmental Enforcement Section, the following authority 
to initiate and to compromise Environment and Natural Resources Division 
cases and to approve Federal Register Notices describing settlements of 
actions to enjoin discharges of pollutants into the environment.

                       Authority To Initiate Cases

    The Section Chief of the Environmental Enforcement Section is hereby 
authorized to initiate civil actions on behalf of any other department 
or agency in response to a written request from an authorized official 
of the department or agency concerned, under the following environmental 
statutes:
    1. Cases under section 14 of the Federal Insecticide, Fungicide, and 
Rodenticide Act, 7 U.S.C. 136l(a), section 16 of the Toxic Substances 
Control Act, 15 U.S.C. 2615(a) and section 309(g)(9) of the Clean Water 
Act, 33 U.S.C. 309(g)(9), for collection of civil penalties previously 
assessed by the Environmental Protection Agency in a formal 
administrative proceeding.

[[Page 87]]

    2. Cases under sections 112 and 113 of the Clean Air Act, 42 U.S.C. 
7412 and 7413 for violations of the national emission standards for 
asbestos hazardous air pollutants.
    3. Cases under section 311 of the Clean Water Act, 33 U.S.C. 1321, 
for recovery of costs expended by the United States' to remove oil or 
hazardous substances discharged into or upon the navigable waters of the 
United States, adjoining shorelines, or into or upon the waters of the 
contiguous zone where such costs do not exceed $1 million, exclusive of 
interest.
    4. Cases under section 104(e) of the Comprehensive Environmental 
Response, Compensation and Liability Act, 42 U.S.C. 9604(e) to enforce 
requests for access to information, entry and/or inspection and samples.
    5. Cases under section 107 of the Comprehensive Environmental 
Response, Compensation and Liability Act, 42 U.S.C. 9607, for recovery 
of costs of removal or remedial action incurred by the United States 
where such costs do not exceed $1 million, exclusive of interest.
    Any case initiation under paragraphs 1-5 above, should be referred 
to the Assistant Attorney General, Environment and Natural Resources 
Division, for approval, whenever the Section Chief of the Environmental 
Enforcement Section is of the opinion that because of a question of law 
or policy presented, or for any other reason, the matter should receive 
the attention of the Assistant Attorney General, Environment and Natural 
Resources Division.

                      Authority To Compromise Cases

    The Section Chief of the Environmental Enforcement Section is hereby 
authorized to compromise civil claims on behalf of the United States 
under the following environmental statutes:
    1. Cases under section 14 of the Federal Insecticide, Fungicide, and 
Rodenticide Act, 7 U.S.C. 1361(a), section 16 of the Toxic Substances 
Control Act, 15 U.S.C. 2615(a) and section 309(g)(9) of the Clean Water 
Act, 33 U.S.C. 309(g)(9), for collection of civil penalties previously 
assessed by the Environmental Protection Agency in a formal 
administrative proceeding.
    2. Cases under sections 112 and 113 of the Clean Air Act, 42 U.S.C. 
7412 and 7413 for violations of the national emission standards for 
asbestos hazardous air pollutants.
    3. Cases under the Safe Drinking Water Act, 42 U.S.C. 300(f) et 
seq., the Resource Conservation and Recovery Act, 42 U.S.C. 6901 et 
seq., the Clean Air Act, 42 U.S.C. 7401 et seq., the Clean Water Act, 33 
U.S.C. 1251 et seq., the Federal Insecticide, Fungicide and Rodenticide 
Act, 7 U.S.C. 136 et seq., and the Toxic Substances Control Act, 15 
U.S.C. 2601 et seq., where the amount of the civil penalty to be paid to 
the United States does not exceed $100,000.
    4. Cases under section 311 of the Clean Water Act, 33 U.S.C. 1321, 
for recovery of costs expended by the United States to remove oil or 
hazardous substances discharged into or upon the navigable waters of the 
United States, adjoining shorelines, or into or upon the waters of the 
contiguous zone, where such costs do not exceed $1 million, exclusive of 
interest, and the difference between the United States' claim and the 
proposed settlement does not exceed $500,000.
    5. Cases under section 104(e) of the Comprehensive Environmental 
Response, Compensation and Liability Act, 42 U.S.C. 9604(e), to enforce 
requests for access to information, entry and/or inspection and samples.
    6. Cases under section 107 of the Comprehensive Environmental 
Response, Compensation and Liability Act, 42 U.S.C. 9607, for recovery 
of costs of removal or remedial action incurred by the United States, 
where such costs do not exceed $1 million, exclusive of interest, and 
the difference between the United States' claim and the proposed 
settlement does not exceed $500,000.
    Any settlement under paragraphs 4 and 6 above, regardless of the 
amount or circumstances, should be referred to the Assistant Attorney 
General, Environment and Natural Resources Division, when for any 
reason, the compromise of a particular claim, as a practical matter, 
will control or adversely influence the disposition of other claims 
totalling more than $500,000. In addition, any settlement under 
paragraphs 1-6 above should be referred to the Assistant Attorney 
General, Environment and Natural Resources Division, whenever the 
Section Chief of the Environmental Enforcement Section is of the opinion 
that because of a question of law or policy presented, or because of 
opposition to the proposed settlement by the agency or agencies 
involved, or for any other reason, the offer should receive the personal 
attention of the Assistant Attorney General, Environment and Natural 
Resources Division.

              Authority To Approve Federal Register Notices

    The Section Chief of the Environmental Enforcement Section is hereby 
authorized to approve all Federal Register Notices under 28 CFR 50.7 and 
to transmit those notices to the Assistant Attorney General, Office of 
Legal Counsel, for publication.

   Authority of Persons Acting in the Capacity of the Section Chief, 
                    Environmental Enforcement Section

    In the event that another person is acting in the capacity of the 
Section Chief, Environmental Enforcement Section, that person will have 
the authority to initiate and to compromise cases under these 
delegations only if specifically authorized in writing by

[[Page 88]]

the Assistant Attorney General, Environment and Natural Resources 
Division.

                           Date of Delegations

    This Directive shall be effective December 24, 1990, and the United 
States Attorneys' Manual will be revised accordingly.

[Order No. 50-90, 55 52839, Dec. 24, 1990]

                            [Directive 1-86]

    Pursuant to the authority vested in me under 28 CFR Sec. 16.4(b) and 
Sec. 16.42(b), I delegate to the Deputy Assistant Attorney General who 
supervises the Policy, Legislation and Special Litigation Section, or to 
whoever is acting in that capacity, the authority to grant to deny any 
request for a record of the Land and Natural Resources Division made 
pursuant to the Freedom of Information Act, 5 U.S.C. 552, or the Privacy 
Act of 1974, 5 U.S.C. 552a.
    Effective Date: January 9, 1986.

[51 FR 12849, Apr. 16, 1986]

                            [Directive 6-85]

Delegation of Authority to Chief, Land Acquisition Section, to Stipulate 
  or Agree in Behalf of the United States to Exclude Property Taken on 
    Behalf of the United States by Declaration of Taking or Otherwise

    Section 258f of the Declaration of Taking Act, 40 U.S.C. 258a, et 
seq., contains the following provision:
    In any condemnation proceeding instituted by or on behalf of the 
United States, the Attorney General is authorized to stipulate or agree 
in behalf of the United States to exclude any property or any part 
thereof, or any interest therein, that may have been, or may be, taken 
by or on behalf of the United States by declaration of taking or 
otherwise.
    The foregoing authority has been delegated to the Assistant Attorney 
General, Land and Natural Resources Division, by the Attorney General, 
chapter I, part O, subpart M, Secs. 0.65 and 0.160(a)(2), title 28, Code 
of Federal Regulations.
    In view of the frequency of agency requests that this office 
stipulate or agree to exclude property or parts of property taken by 
declaration of taking or otherwise, and in the interest of efficient 
administration of the duties and responsibilities of this office, I 
hereby make the following limited delegation of authority to stipulate 
or agree to such exclusions (revestments).
    The Chief, Land Acquisition Section, is authorized to stipulate or 
agree in behalf of the United States to exclude (revest) any property or 
any part thereof, or any interest therein, that may have been, or may be 
taken by or on behalf of the United States by declaration of taking or 
otherwise, when:
    1. The exclusion (revestment) has been requested or approved in 
writing by a duly authorized officer of the agency for which the 
property was taken; and
    2. In the case of a partial exclusion (revestment) in connection 
with an overall settlement of the case, the combined amount of the 
monetary payment of compensation and the government's appraised value of 
the land to be excluded (revested) does not exceed the monetary 
limitation on the Section Chief's settlement authority; or
    3. In the case of an exclusion (revestment) that is not part of an 
overall settlement of the case, the government's appraised value of the 
land to be excluded (revested) together with any payment of compensation 
for possession and/or litigation expenses do not exceed the monetary 
limitations of the Section Chief's settlement authority.
    Provided that the delegation of settlement authority shall not 
extend to any revestment which raises precedential questions or policy 
issues. In such instances, the decision on whether to stipulate or agree 
to exclusions of property shall remain with the Assistant Attorney 
General of the Land and Natural Resources Division.
    Effective Date: February 4, 1985.

[51 FR 12849, Apr. 16, 1986]

                            [Directive 6-83]

    By virtue of the authority vested in me by part 0 of title 28, Code 
of Federal Regulations Sec. 0.65, the Section Chief of the Wildlife and 
Marine Resources Section is now authorized to rule upon petitions for 
remission or mitigation of civil or criminal forfeitures filed with the 
Attorney General pursuant to the Endangered Species Act of 1973 (16 
U.S.C. 1531-1543); the Lacey Act and related provisions (18 U.S.C. 41-
44, 47); the Airborne Hunting Act (16 U.S.C. 742j-1); the Migratory Bird 
Act (16 U.S.C. 701, et seq.); the Bald and Golden Eagle Protection Act 
(16 U.S.C. 668-668d); the Fish and Wildlife Coordination Act (16 U.S.C. 
661 et seq.); the National Wildlife Refuge System Administration Act (16 
U.S.C. 668dd, 668ee); the Magnuson Fishery Conservation and Management 
Act (16 U.S.C. 1801 et seq.); the Tuna Conventions Act (16 U.S.C. 951 et 
seq.); the Marine Mammal Protection Act (16 U.S.C. 1361 et seq.,) the 
Sockeye Salmon or Pink Salmon Fishing Act (16 U.S.C. 776 et seq.); the 
Protection of Sea Otters on the High Seas Act (16 U.S.C. 1171 et seq.); 
the Northern Pacific Halibut Act (16 U.S.C. 772 et seq.); and the North 
Pacific Fisheries Act (16 U.S.C. 1021 et seq.).
    The Section Chief of the Wildlife and Marine Resources Section shall 
base his decision upon a review of all the pertinent facts including the 
petition for remission or mitigation, the report and recommendation of 
the appropriate United States Attorney, the

[[Page 89]]

report of the seizing law enforcement agency, and the report prepared 
within the Section.
    Following the adverse decision a petitioner may request the 
Assistant Attorney General for the Land and Natural Resources Division 
to review the decision of the Section Chief.
    The above directive shall be effective immediately and shall be the 
interim procedure in effect until promulgation of regulations by the 
Department of Justice which address the remission and mitigation process 
in the Land and Natural Resources Division.
    Effective Date: April 12, 1983.

[51 FR 12849, Apr. 16, 1986]

                            [Directive 6-81]

    This directive establishes the Division's policy of notice to 
appropriate state officials of action against states. The Chief of each 
section in the Land and Natural Resources Division shall:
    1. Insure that each attorney in his or her respective section reads, 
becomes familiar with, and complies with this directive.
    2. In each suit or claim brought against state government, agencies, 
and entities;
    (a) Satisfy the Deputy Assistant Attorney General to whom the 
section reports of compliance with this directive,
    (b) Before such suit or claim is brought, advise the Attorney 
General and governor of any affected state as to the nature of the 
contemplated action and the terms of the remedy sought and
    (c) Place a memorandum in the file of the case of matter, indicating 
compliance with this directive.
    Such prior notice may:
    (1) Result in settlement of the action in advance of its filing on 
terms acceptable to the United States,
    (2) Permit the state to bring to our attention facts or issues that 
may change our outlook on the action, or
    (3) Permit the State Attorney General and the Governor to respond 
knowledgeably to inquires from local officials and the media when the 
action is commenced.
    Because the actual situation covered by this directive may vary from 
section to section, no single detailed procedure can be established but 
common sense should prevail. To that end, the state through its Attorney 
General and Governor should get fair warning and an opportunity to 
resolve the litigation. The notice should be given sufficiently in 
advance of the contemplated action to allow state officials to respond.
    Where a Section Chief believes he has good cause to seek an 
exception from the terms of this directive he should discuss the matter 
with the Deputy Assistant Attorney General to whom he or she reports.
    Effective Date: April 27, 1981.

[51 FR 12849, Apr. 16, 1986]

                              Tax Division

                           [Directive No. 27]

    Editorial Note: Tax Division, Directive No. 27, was superseded by 
Tax Division, Directive No. 28, appearing at 41 FR 53005, Dec. 3, 1976.

                           [Directive No. 28]

    Editorial Note: Tax Division, Directive No. 28, was superseded by 
Tax Division, Directive No. 31, appearing at 43 FR 36438, Aug. 17, 1978.

                             [Memo No. 391]

    Editorial Note: Tax Division Memo No. 391 was superseded by Tax 
Division Directive No. 29.

                           [Directive No. 29]

    Editorial Note: Tax Division, Directive No. 29 was superseded by Tax 
Division, Directive No. 30, appearing at 43 FR 36438, Aug. 17, 1978.

                           [Directive No. 30]

    Editorial Note: Tax Division, Directive No. 30 was superseded by Tax 
Division, Directive No. 55, appearing at 51 FR 16841, May 7, 1986.

                           [Directive No. 31]

    Editorial Note: Tax Division, Directive No. 31 was superseded by Tax 
Division, Directive No. 36, appearing at 45 FR 20799, Mar. 31, 1980.

                           [Directive No. 36]

    Editorial Note: Tax Division, Directive No. 36 was superseded by Tax 
Division, Directive No. 40, appearing at 45 FR 81201, Dec. 10, 1980 and 
redesignated as Directive No. 41 appearing at 46 FR 52352, Oct. 27, 
1981.

                           [Directive No. 41]

    Editorial Note: Tax Division, Directive No. 41 was superseded by Tax 
Division, Directive No. 42, appearing at 47 FR 44254, Oct. 7, 1982.

                           [Directive No. 42]

    Editorial Note: Tax Division, Directive No. 42 was superseded by Tax 
Division, Directive No. 43, appearing at 48 FR 16674, Apr. 19, 1983.

[[Page 90]]

                           [Directive No. 43]

    Editorial Note: Tax Division, Directive No. 43 was superseded by Tax 
Division, Directive No. 45, appearing at 48 FR 25183, June 6, 1983, 
corrected at 48 FR 28634, June 23, 1983.

                           [Directive No. 45]

    Editorial Note: Tax Division, Directive No. 45 was superseded by Tax 
Division Directive No. 47, appearing at 49 FR 12247, Mar. 29, 1984.

                           [Directive No. 47]

    Editorial Note: Tax Division, Directive No. 47 was superseded by Tax 
Division Directive No. 54, appearing at 51 FR 16842, May 7, 1986.

                           [Directive No. 54]

    Editorial Note: Tax Division, Directive No. 54 was superseded by Tax 
Division Directive No. 82, appearing at 55 FR 22901, June 5, 1990.

                           [Directive No. 55]

    Editorial Note: Tax Division, Directive No. 55 was superseded by Tax 
Division Directive No. 83, appearing at 55 FR 22902, June 5, 1990.

                           [Directive No. 83]

    By virtue of the authority vested in me by part 0 of title 28 of the 
Code of Federal Regulations, particularly sections 0.70, 0.160, 0.162, 
0.164, 0.166, and 0.168, it is hereby ordered as follows:
    Section 1. The U.S. Attorney for each district in which is located 
real property, which is subject to a right of redemption of the United 
States in respect of Federal tax liens, arising under section 2410(c) of 
title 28 of the United States Code, or under State law when the United 
States has been joined as a party to a suit, is authorized to release 
the right of redemption, subject to the following limitations and 
conditions--
    (1) This redelegation of authority relates only to real property on 
which is located only one single-family residence, and to all other real 
property having a fair market value not exceeding $200,000. That 
limitation as to value or use shall not apply in those cases in which 
the release is requested by the Department of Veterans Affairs or any 
other Federal agency.
    (2) The consideration paid for the release must be equal to the 
value of the right of redemption, or fifty dollars ($50), whichever is 
greater. However, no consideration shall be required for releases issued 
to the Department of Veterans Affairs or any other Federal agency.
    (3) The following described documents must be placed in the U.S. 
Attorney's file in each case in which a release is issued--
    (A) Appraisals by two disinterested and well-qualified persons. In 
those cases in which the applicant is a Federal agency, the appraisal of 
that agency may be substituted for the two appraisals generally 
required.
    (B) Such other information and documents as the Tax Division may 
prescribe.
    Section 2. This directive supersedes Tax Division Directive No. 55, 
effective May 7, 1986.
    Section 3. This directive shall become effective on the date of its 
publication in the Federal Register.

[55 FR 22902, June 5, 1990]

                           [Directive No. 105]

    By virtue of the authority vested in me by part 0 of title 28 of the 
Code of Federal Regulations, particularly sections 0.70, 0.160, 0.162, 
0.164, 0.166, and 0.168, It Is Hereby Ordered As Follows:
    Section 1. The Chiefs of the Civil Trial Sections, the Court of 
Federal Claims Section, and the Appellate Section are authorized to 
reject offers in compromise, regardless of amount, provided that such 
action is not opposed by the agency or agencies involved.
    Section 2. Subject to the conditions and limitations set forth in 
Section 8 hereof, the Chiefs of the Civil Trial Sections and the Court 
of Federal Claims Section are authorized to:
    (A) Accept offers in compromise in all civil cases, other than:
    (i) Cases involving liability under Section 6672 of the Internal 
revenue Code; and
    (ii) Cases in which judgments in favor of the United States have 
been entered, in which the amount of the Government's concession, 
exclusive of statutory interest, does not exceed $300,000;
    (B) Approve administrative settlements of civil claims against the 
United States in all cases, other than cases involving liability under 
Section 6672 of the Internal Revenue Code, in which the amount of the 
Government's concession, exclusive of statutory interest, does not 
exceed $200,000;
    (C) Approve concessions (other than by compromise) of civil claims 
asserted by the United States in all cases, other than cases involving 
liability under Section 6672 of the Internal Revenue Code, in which the 
gross amount of the original claim does not exceed $200,000;
    (D) In civil cases involving liability under Section 6672 of the 
Internal Revenue Code, (i) accept offers in compromise in which the 
amount of the Government's concession, exclusive of statutory interest, 
does not exceed $500,000; (ii) approve administrative settlements of 
claims against the United States in

[[Page 91]]

which the amount of the Government's concession, exclusive of statutory 
interest, does not exceed $350,000; and (iii) approve concessions (other 
than by compromise) of claims asserted by the United States in which the 
gross amount of the original claim does not exceed $350,000;
    (E) Accept offers in compromise of judgments in favor of the United 
States in all civil cases in which the amount of the Government's 
concession, exclusive of statutory interest, does not exceed $500,000;
    (F) Accept offers in compromise in injunction or declaratory 
judgment suits against the United States in which the principal amount 
of the related liability, if any, does not exceed $300,000; and
    (G) Accept offers in compromise in all other nonmonetary cases;

provided that such action is not opposed by the agency or agencies 
involved, and provided further that the proposed compromise, 
administrative settlement, or concession is not subject to reference to 
the Joint Committee on Taxation.
    Section 3. The Chiefs of the Civil Trial Sections and the Court of 
Federal Claims Section are authorized on a case-by-case basis to 
redelegate in writing to their respective Assistant Section Chiefs or 
Reviewers the authority delegated to them in Section 1 hereof to reject 
offers, and in Section 2 hereof,
    (A) to accept offers in compromise in which the amount of the 
Government's concession, exclusive of statutory interest, does not 
exceed $100,000;
    (B) to approve administrative settlements of civil claims against 
the United States in which the amount of the Government's concession, 
exclusive of statutory interest, does not exceed $100,000; and
    (C) to approve concessions (other than by compromise) of civil 
claims asserted by the United States in which the gross amount of the 
original claim does not exceed $100,000;

provided that such redelegation is not made to the attorney-of-record in 
the case. The redelegations pursuant to this section shall be by 
memorandum signed by the Section Chief, which shall be placed in the 
Department of Justice file for the applicable case.
    Section 4. Subject to the conditions and limitations set forth in 
Section 8 hereof, the Chief of the Appellate Section is authorized to:
    (A) Accept offers in compromise with reference to litigating hazards 
of the issues on appeal in all civil cases in which the amount of the 
Government's concession, exclusive of statutory interest, does not 
exceed $300,000;
    (B) Accept offers in compromise in declaratory judgment suits 
against the United States in which the principal amount of the related 
liability, if any, does not exceed $300,000; and
    (C) Accept offers in compromise in all other nonmonetary cases which 
do not involve issues concerning collectibility;

provided that (i) such acceptance is not opposed by the agency or 
agencies involved or the chief of the section in which the case 
originated, and (ii) the proposed compromise is not subject to reference 
to the Joint Committee on Taxation.
    Section 5. Subject to the conditions and limitations set forth in 
Section 8 hereof, the Chief of the Office of Review is authorized to:
    (A) Accept offers in compromise of claims against the United States 
in all civil cases in which the amount of the Government's concession, 
exclusive of statutory interest, does not exceed $1,500,000;
    (B) Accept offers in compromise of claims on behalf of the United 
States in all civil cases in which the difference between the gross 
amount of the original claim and the proposed settlement does not exceed 
$1,500,000 or 15 percent of the original claim, whichever is greater;
    (C) Approve administrative settlements of civil claims against the 
United States in all cases in which the amount of the Government's 
concession, exclusive of statutory interest, does not exceed $1,000,000;
    (D) Approve concessions (other than by compromise) of civil claims 
asserted by the United States in all cases in which the gross amount of 
the original claim does not exceed $1,000,000;
    (E) Accept offers in compromise in all nonmonetary cases; and
    (F) Reject offers in compromise or disapprove administrative 
settlements or concessions, regardless of amount,

provided that such action is not opposed by the agency or agencies 
involved or the chief of the section to which the case is assigned, and 
provided further that the proposed compromise, administrative 
settlement, or concession is not subject to reference to the Joint 
Committee on Taxation.
    Section 6. Subject to the conditions and limitations set forth in 
Section 8 hereof, each of the Deputy Assistant Attorneys General is 
authorized to:
    (A) Accept offers in compromise of claims against the United States 
in all civil cases in which the amount of the Government's concession, 
exclusive of statutory interest, does not exceed $2,000,000;
    (B) Accept offers in compromise of claims on behalf of the United 
States in all civil cases in which the difference between the gross 
amount of the original claim and the proposed settlement does not exceed 
$2,000,000 or 15 percent of the original claim, whichever is greater;
    (C) Approve administrative settlements of civil claims against the 
United States in all

[[Page 92]]

cases in which the amount of the Government's concession does not exceed 
$1,500,000, exclusive of statutory interest;
    (D) Approve concessions (other than by compromise) of civil claims 
asserted by the United States in all cases in which the gross amount of 
the original claim does not exceed $1,500,000;
    (E) Accept offers in compromise in all nonmonetary cases; and
    (F) Reject offers in compromise or disapprove administrative 
settlements or concessions, regardless of amount,

provided that such action is not opposed by the agency or agencies 
involved and the proposed compromise, administrative settlement, or 
concession is not subject to reference to the Joint Committee on 
Taxation.
    Section 7. Subject to the conditions and limitations set forth in 
Section 8 hereof, United States Attorneys are authorized to:
    (A) Reject offers in compromise of judgments in favor of the United 
States, regardless of amount;
    (B) Accept offers in compromise of judgments in favor of the United 
States where the amount of the judgment does not exceed $300,000; and
    (C) Terminate collection activity by his or her office as to 
judgments in favor of the United States which do not exceed $300,000 if 
the United States Attorney concludes that the judgment is uncollectible;

provided that such action has the concurrence in writing of the agency 
or agencies involved, and provided further that this authorization 
extends only to judgments which have been formally referred to the 
United States Attorney for collection.
    Section 8. The authority redelegated herein shall be subject to the 
following conditions and limitations:
    (A) When, for any reason, the compromise, administrative settlement, 
or concession of a particular claim, as a practical matter, will control 
or adversely influence the disposition of other claims totalling more 
than the respective amounts designated in Sections 2, 3, 4, 5, 6, and 7 
hereof, the case shall be forwarded for review at the appropriate level 
for the cumulative amount of the affected claims;
    (B) When, because of the importance of a question of law or policy 
presented, the position taken by the agency or agencies or by the United 
States Attorney involved, or any other considerations, the person 
otherwise authorized herein to take final action is of the opinion that 
the proposed disposition should be reviewed at a higher level, the case 
shall be forwarded for such review;
    (C) If the Department has previously submitted a case to the Joint 
Committee on Taxation leaving one or more issues unresolved, any 
subsequent compromise, administrative settlement, or concession in that 
case must be submitted to the Joint Committee, whether or not the 
overpayment exceeds the amount specified in Section 6405 of the Internal 
Revenue Code;
    (D) Nothing in this Directive shall be construed as altering any 
provision of subpart Y of part O of title 28 of the Code of Federal 
Regulations requiring the submission of certain cases to the Attorney 
General, the Associate Attorney General, or the Solicitor General.
    (E) Authority to approve recommendations that the Government confess 
error or make administrative settlements in cases on appeal is excepted 
from the foregoing redelegations; and
    (F) The Assistant Attorney General, at any time, may withdraw any 
authority delegated by this Directive as it relates to any particular 
case or category of cases, or to any part thereof.
    Section 9. This Directive supersedes Tax Division Directive No. 95, 
effective February 21, 1992.
    Section 10. This Directive is effective on June 14, 1995.

[60 FR 31244, June 14, 1995]

                   Attorney General Order No. 1147-86

    By virtue of the authority vested in the Attorney General by 18 
U.S.C. 2254, the Attorney General hereby designates the Postal Service 
with the authority to conduct civil forfeitures under section 2254 of 
the Protection of Childern Against Sexual Exploitation Act, as amended 
by the Child Protection of 1984, 18 U.S.C. 2251-2255.
    In utilizing the authority hereby granted, all rules, regulations, 
and procedures of the Federal Bureau of Investigation relating to the 
aforementioned Act must be followed, including the Federal Bureau of 
Investigation's Manual of Investigative Operations and Guidelines.
    The authority hereby granted to enforce section 2254 of the 
Protection of Children Against Sexual Exploitation Act, as amended by 
the Child Protection Act of 1984, is subject to the direction of the 
Attorney General.

[Order No. 1148-86, 51 FR 31940, Sept. 8, 1986]



 Subpart Z--Assigning Responsibility Concerning Applications for Orders 
       Compelling Testimony or Production of Evidence by Witnesses



Sec. 0.175  Judicial and administrative proceedings.

    (a) The Assistant Attorney General in charge of the Criminal 
Division, or

[[Page 93]]

any Deputy Assistant Attorney General of the Criminal Division is 
authorized to exercise the authority vested in the Attorney General by 
18 U.S.C. 6003, to approve the application of a U.S. Attorney to a 
Federal court for an order compelling testimony or the production of 
information by a witness in any proceeding before or ancillary to a 
court or grand jury of the United States, and the authority vested in 
the Attorney General by 18 U.S.C. 6004, to approve the issuance by an 
agency of the United States of an order compelling testimony or the 
production of information by a witness in a proceeding before the 
agency, when the subject matter of the case or proceeding is either 
within the cognizance of the Criminal Division or is not within the 
cognizance of the Divisions or Administration designated in paragraphs 
(b) and (c) of this section.
    (b) The Assistant Attorneys General or any Deputy Assistant Attorney 
General of the Antitrust Division, the Civil Division, the Civil Rights 
Division, the Land and Natural Resources Division and the Tax Division 
are authorized to exercise the power and authority vested in the 
Attorney General by 18 U.S.C. 6003 to approve the application of a U.S. 
Attorney to a Federal court for an order compelling testimony or the 
production of information in any proceeding before or ancillary to a 
court or grand jury of the United States when the subject matter of the 
case or proceeding is within the cognizance of their respective 
Divisions: Provided, however, That no approval shall be granted unless 
the Criminal Division indicates that it has no objection to the proposed 
grant of immunity.
    (c) The Assistant Attorneys General and Deputy Assistant Attorneys 
General designated in paragraph (b) of this section, and the 
Administrator of the Drug Enforcement Administration are authorized to 
exercise the authority vested in the Attorney General by 18 U.S.C. 6004 
to approve the issuance by an agency of the United States of an order 
compelling testimony or the production of information by a witness in a 
proceeding before the agency when the subject matter of the proceeding 
is within the cognizance of their respective Divisions or the 
Administration: Provided, however, That no approval shall be granted 
unless the Criminal Division indicates that it has no objection to the 
proposed grant of immunity.

[Order No. 1310-88, 54 FR 297, Jan. 5, 1989]



Sec. 0.176  Congressional proceedings.

    (a) A notice of an intention to request an order from a district 
court compelling testimony or the production of information in a 
congressional proceeding when submitted to the Attorney General by 
either House of Congress or a committee or a subcommittee of the 
Congress pursuant to 18 U.S.C. 6005 shall be referred to the Assistant 
Attorney General of the Division or the Administrator of the 
Administration having cognizance of the subject matter of the 
proceedings: Provided, however, That either the notice or a copy thereof 
shall in any event be referred to the Assistant Attorney General in 
charge of the Criminal Division.
    (b) The Assistant Attorneys General and Deputy Assistant Attorneys 
General designated in Sec. 0.175 (a) and (b) are authorized to exercise 
the power and authority vested in the Attorney General by 18 U.S.C. 6005 
to apply to a district court of the United States to defer the issuance 
of an order compelling the testimony of a witness or the production of 
information in a proceeding before either House of Congress, or any 
committee or subcommittee of either House, or any joint committee of the 
two Houses.

[Order No. 445-70, 35 FR 19397, Dec. 23, 1970, as amended by Order No. 
520-73, 38 FR 18381, July 10, 1973; Order No. 960-81, 46 FR 52353, Oct. 
27, 1981; Order No. 1310-88, 54 FR 298, Jan. 5, 1989]



Sec. 0.177  Applications for orders under the Comprehensive Drug Abuse Prevention and Control Act.

    Notwithstanding the delegation of functions contained in subpart R 
of this part, the Assistant Attorney General in charge of the Criminal 
Division is authorized to exercise the authority vested in the Attorney 
General by section 514 of the Comprehensive Drug Abuse Prevention and 
Control Act of 1970, 84 Stat. 1276, to approve the application of a U.S. 
Attorney to a Federal

[[Page 94]]

court for an order compelling testimony or the production of information 
in any proceeding before a court or grand jury of the United States. 
Immunity shall be granted in agency proceedings under that Act only with 
the concurrence of the Assistant Attorney General in charge of the 
Criminal Division.

[Order No. 445-70, 35 FR 19397, Dec. 23, 1970]



Sec. 0.177a  Antitrust civil investigative demands.

    The Assistant Attorney General in charge of the Antitrust Division 
is authorized to issue orders pursuant to section 6004 of title 18, 
United States Code, to compel testimony in response to antitrust civil 
investigative demands for oral testimony. Issuance of such orders shall 
be subject to the concurrence of the Assistant Attorney General in 
charge of the Criminal Division.

[Order No. 753-77, 42 FR 56730, Oct. 28, 1977]



Sec. 0.178  Redelegation of authority.

    The Administrator of the Drug Enforcement Administration is 
authorized to redelegate the authority delegated by this subpart to the 
Deputy Administrator of DEA, to be exercised solely during the absence 
of the Administrator from the City of Washington.

[Order No. 445-70, 35 FR 19397, Dec. 23, 1970, as amended by Order No. 
520-73, 38 FR 18381, July 10, 1973; Order No. 960-81, 46 FR 52354, Oct. 
27, 1981; Order No. 1310-88, 54 FR 298, Jan. 5, 1989]



Subpart Z-1--Prosecutions for Obstruction of Justice and Related Charges



Sec. 0.179  Scope.

    This subpart applies to the following matters:
    (a) Obstruction of justice and obstruction of a criminal 
investigation (18 U.S.C. 1501-1511);
    (b) Perjury and subornation of perjury (18 U.S.C. 1621, 1622);
    (c) False declarations before a grand jury or court (18 U.S.C. 
1623);
    (d) Fraud and false statements in matters within the jurisdiction of 
a government agency (18 U.S.C. 1001); and
    (e) Conspiracy to defraud the United States (18 U.S.C. 371).

[Order No. 630-75, 40 FR 53390, Nov. 18, 1975]



Sec. 0.179a  Enforcement responsibilities.

    (a) Matters involving charges of obstruction of justice, perjury, 
fraud or false statement, as described in Sec. 0.179, shall be under the 
supervisory jurisdiction of the Division having responsibility for the 
case or matter in which the alleged obstruction occurred. The Assistant 
Attorney General in charge of each Division shall have full authority to 
conduct prosecution of such charges, including authority to appoint 
special attorneys to present evidence to grand juries. However, such 
enforcement shall be preceded by consultation with the Assistant 
Attorney General in charge of the Criminal Division, to determine the 
appropriate supervisory jurisdiction. (See 38 CFR 0.55(p).)
    (b) In the event the Assistant Attorney General in charge of the 
Division having responsibility for the case or matter does not wish to 
assume supervisory jurisdiction he shall refer the matter to the 
Assistant Attorney General in charge of the Criminal Division for 
handling by that Division.

[Order No. 630-75, 40 FR 53390, Nov. 18, 1975]



               Subpart AA--Orders of the Attorney General

    Source: Order No. 460-71, 36 FR 12096, June 25, 1971, unless 
otherwise noted.



Sec. 0.180  Documents designated as orders.

    All documents relating to the organization of the Department or to 
the assignment, transfer, or delegation of authority, functions, or 
duties by the Attorney General or to general departmental policy shall 
be designated as orders and shall be issued only by the Attorney General 
in a separate, numbered series. Classified orders shall be identified as 
such, included within the numbered series, and limited to the 
distribution provided for in the order or determined by the Assistant 
Attorney General for Administration. All documents amending, modifying, 
or revoking such orders, in whole or in part, shall likewise be 
designated as orders

[[Page 95]]

within such numbered series, and no other designation of such documents 
shall be used.



Sec. 0.181  Requirements for orders.

    Each order prepared for issuance by or approval of the Attorney 
General shall be given a suitable title, shall contain a clear and 
concise statement explaining the substance of the order, and shall cite 
the authority for its issuance.



Sec. 0.182  Submission of proposed orders to the Office of Legal Counsel.

    All orders prepared for the approval or signature of the Attorney 
General shall be submitted to the Office of Legal Counsel for approval 
as to form and legality and consistency with existing orders.



Sec. 0.183  Distribution of orders.

    The distribution of orders, unless otherwise provided by the 
Attorney General, shall be determined by the Assistant Attorney General 
for Administration.



                    Subpart BB--Sections and Subunits



Sec. 0.190  Changes within organizational units.

    (a) The head of each Office, Board, Division or Bureau may from time 
to time propose the establishment, transfer, reorganization or 
termination of major functions within his organizational unit as he may 
deem necessary or appropriate. In each instance, the head of the Office, 
Board, Division or Bureau shall submit the proposed change in writing to 
the Assistant Attorney General for Administration. The Assistant 
Attorney General for Administration shall evaluate the proposal and 
shall submit the proposed change, along with his recommendation, to the 
Associate Attorney when appropriate, and in all other cases directly to 
the Deputy Attorney General. Where the Associate Attorney General has 
received a proposed change, he shall evaluate it, and shall submit it 
along, with his recommendation, to the Deputy Attorney General. The 
Deputy Attorney General shall then approve or disapprove the change.
    (b) The approval shall be final in the case of changes which do not 
affect the overall structure of the Department. Proposed changes which 
are determined by the Deputy Attorney General to affect the overall 
structure of the Department's organization shall be forwarded by the 
Deputy Attorney General to the Attorney General for final approval prior 
to implementation, and shall be effectuated by issuance of an Attorney 
General's order, in accordance with subpart AA of this part.

[Order No. 960-81, 46 FR 52354, Oct. 27, 1981]



Sec. 0.191  Changes which affect the overall structure of the Department.

    Changes to the overall structure of the Department include: The 
establishment, merger or abolishment of Offices, Boards, Divisions, and 
Bureaus; changes in reporting lines of Offices, Boards, Divisions and 
Bureaus to the Department; and transfers of major functions between or 
among Offices, Boards, Divisions and Bureaus.

[Order No. 808-78, 43 FR 54929, Nov. 24, 1978]



                Subpart CC--Jurisdictional Disagreements



Sec. 0.195  Procedure with respect to jurisdictional disagreements.

    Any disagreement between or among heads of the organizational units 
as to their respective jurisdictions shall be resolved by the Attorney 
General, who may, if he so desires, issue an order in the numbered 
series disposing of the matter.

[Order No. 423-69, 34 FR 20388, Dec. 31, 1969. Redesignated by Order No. 
445-70. 35 FR 19397, Dec. 23, 1970]



Sec. 0.196  Procedures for resolving disagreements concerning mail or case assignments.

    When an assignment for the handling of mail or a case has been made 
through established procedures and the appropriate authorities in any 
organizational unit of the Department disagree concerning jurisdiction 
of the unit for handling the matter or matters assigned, the 
disagreement, together with a statement of the view of

[[Page 96]]

the unit or units involved, shall be referred to the Assistant Attorney 
General for Administration for determination. If the disagreement cannot 
be resolved, the matter shall be referred to the Deputy Attorney General 
for final disposition.

[Order No. 900-80, 45 FR 43703, June 30, 1980]



Sec. 0.197  Agreements, in connection with criminal proceedings or investigations, promising non-deportation or other immigration benefits.

    The Immigration and Naturalization Service (Service) shall not be 
bound, in the exercise of its authority under the immigration laws, 
through plea agreements, cooperation agreements, or other agreements 
with or for the benefit of alien defendants, witnesses, or informants, 
or other aliens cooperating with the United States Government, except by 
the authorization of the Commissioner of the Service or the 
Commissioner's delegate. Both the agreement itself and the necessary 
authorization must be in writing to be effective, and the authorization 
shall be attached to the agreement.

[Order No. 2055-96, 61 FR 48406, Sept. 13, 1996]



PART 1--EXECUTIVE CLEMENCY--Table of Contents




Sec.
1.1  Submission of petition; form to be used; contents of petition.
1.2  Eligibility for filing petition for pardon.
1.3  Eligibility for filing petition for commutation of sentence.
1.4  Offenses against the laws of possessions or territories of the 
          United States.
1.5  Disclosure of files.
1.6  Consideration of petitions; recommendations to the President.
1.7  Notification of grant of clemency.
1.8  Notification of denial of clemency.
1.9  Delegation of authority.
1.10  Advisory nature of regulations.

    Authority: U.S. Const., Art. II, sec. 2; authority of the President 
as Chief Executive; and 28 U.S.C. 509, 510.

    Source: Order No. 1798-93, 58 FR 53658, Oct. 18, 1993, unless 
otherwise noted.



Sec. 1.1  Submission of petition; form to be used; contents of petition.

    A person seeking executive clemency by pardon, reprieve, commutation 
of sentence, or remission of fine shall execute a formal petition. The 
petition shall be addressed to the President of the United States and 
shall be submitted to the Pardon Attorney, Department of Justice, 
Washington, DC 20530, except for petitions relating to military 
offenses. Petitions and other required forms may be obtained from the 
Pardon Attorney. Petition forms for commutation of sentence also may be 
obtained from the wardens of federal penal institutions. A petitioner 
applying for executive clemency with respect to military offenses should 
submit his or her petition directly to the Secretary of the military 
department that had original jurisdiction over the court-martial trial 
and conviction of the petitioner. In such a case, a form furnished by 
the Pardon Attorney may be used but should be modified to meet the needs 
of the particular case. Each petition for executive clemency should 
include the information required in the form prescribed by the Attorney 
General.



Sec. 1.2  Eligibility for filing petition for pardon.

    No petition for pardon should be filed until the expiration of a 
waiting period of at least five years after the date of the release of 
the petitioner from confinement or, in case no prison sentence was 
imposed, until the expiration of a period of at least five years after 
the date of the conviction of the petitioner. Generally, no petition 
should be submitted by a person who is on probation, parole, or 
supervised release.



Sec. 1.3  Eligiblity for filing petition for commutation of sentence.

    No petition for commutation of sentence, including remission of 
fine, should be filed if other forms of judicial or administrative 
relief are available, except upon a showing of exceptional 
circumstances.



Sec. 1.4  Offenses against the laws of possessions or territories of the United States.

    Petitions for executive clemency shall relate only to violations of 
laws of the United States. Petitions relating to violations of laws of 
the possessions of the United States or territories subject to the 
jurisdiction of the United

[[Page 97]]

States should be submitted to the appropriate official or agency of the 
possession or territory concerned.



Sec. 1.5  Disclosure of files.

    Petitions, reports, memoranda, and communications submitted or 
furnished in connection with the consideration of a petition for 
executive clemency generally shall be available only to the officials 
concerned with the consideration of the petition. However, they may be 
made available for inspection, in whole or in part, when in the judgment 
of the Attorney General their disclosure is required by law or the ends 
of justice.



Sec. 1.6  Consideration of petitions; recommendations to the President.

    (a) Upon receipt of a petition for executive clemency, the Attorney 
General shall cause such investigation to be made of the matter as he/
she may deem necessary and appropriate, using the services of, or 
obtaining reports from, appropriate officials and agencies of the 
Government, including the Federal Bureau of Investigation.
    (b) The Attorney General shall review each petition and all 
pertinent information developed by the investigation and shall determine 
whether the request for clemency is of sufficient merit to warrant 
favorable action by the President. The Attorney General shall report in 
writing his or her recommendation to the President, stating whether in 
his or her judgment the President should grant or deny the petition.



Sec. 1.7  Notification of grant of clemency.

    When a petition for pardon is granted, the petitioner or his or her 
attorney shall be notified of such action and the warrant of pardon 
shall be mailed to the petitioner. When commutation of sentence is 
granted, the petitioner shall be notified of such action and the warrant 
of a commutation shall be sent to the petitioner through the officer in 
charge of his or her place of confinement, or directly to the petitioner 
if he/she is on parole, probation, or supervised release.



Sec. 1.8  Notification of denial of clemency.

    (a) Whenever the President notifies the Attorney General that he has 
denied a request for clemency, the Attorney General shall so advise the 
petitioner and close the case.
    (b) Except in cases in which a sentence of death has been imposed, 
whenever the Attorney General recommends that the President deny a 
request for clemency and the President does not disapprove or take other 
action with respect to that adverse recommendation within 30 days after 
the date of its submission to him, it shall be presumed that the 
President concurs in that adverse recommendation of the Attorney 
General, and the Attorney General shall so advise the petitioner and 
close the case.



Sec. 1.9  Delegation of authority.

    The Attorney General may delegate to any officer of the Department 
of Justice any of his or her duties or responsibilities under Secs. 1.1 
through 1.8.



Sec. 1.10  Advisory nature of regulations.

    The regulations contained in this part are advisory only and for the 
internal guidance of Department of Justice personnel. They create no 
enforceable rights in persons applying for executive clemency, nor do 
they restrict the authority granted to the President under Article II, 
section 2 of the Constitution.



PART 2--PAROLE, RELEASE, SUPERVISION AND RECOMMITMENT OF PRISONERS, YOUTH OFFENDERS, AND JUVENILE DELINQUENTS--Table of Contents




          Subpart A--United States Code Prisoners and Parolees

Sec.
2.1  Definitions.
2.2  Eligibility for parole; adult sentences.
2.3  Same: Narcotic Addict Rehabilitation Act.
2.4  Same: Youth offenders and juvenile delinquents.
2.5  Sentence aggregation.
2.6  Withheld and forfeited good time.
2.7  Committed fines and restitution orders.
2.8  Mental competency proceedings.
2.9  Study prior to sentencing.
2.10  Date service of sentence commences.

[[Page 98]]

2.11  Application for parole; notice of hearing.
2.12  Initial hearings: Setting presumptive release dates.
2.13  Initial hearing; procedure.
2.14  Subsequent proceedings.
2.15  Petition for consideration of parole prior to date set at hearing.
2.16  Parole of prisoner in state, local, or territorial institution.
2.17  Original jurisdiction cases.
2.18  Granting of parole.
2.19  Information considered.
2.20  Paroling policy guidelines: Statement of general policy.
2.21  Reparole consideration guidelines.
2.22  Communication with the Commission.
2.23  Delegation to hearing examiners.
2.24  Review of panel recommendation by the Regional Commissioner.
2.25  [Reserved]
2.26  Appeal to National Appeals Board.
2.27  Petition for reconsideration of original jurisdiction decisions.
2.28  Reopening of cases.
2.29  Release on parole.
2.30  False information or new criminal conduct: Discovery after 
          release.
2.31  Parole to detainers: Statement of policy.
2.32  Parole to local or immigration detainers.
2.33  Release plans.
2.34  Rescission of parole.
2.35  Mandatory release in the absence of parole.
2.36  Rescission guidelines.
2.37  Disclosure of information concerning parolees; Statement of 
          policy.
2.38  Community supervision by U.S. Probation Officers.
2.39  Jurisdiction of the Commission.
2.40  Conditions of release.
2.41  Travel approval.
2.42  Probation officer's reports to Commission.
2.43  Early termination.
2.44  Summons to appear or warrant for retaking of parolee.
2.45  Same; youth offenders.
2.46  Execution of warrant and service of summons.
2.47  Warrant placed as a detainer and dispositional review.
2.48  Revocation: Preliminary interview.
2.49  Place of revocation hearing.
2.50  Revocation hearing procedure.
2.51  Issuance of a subpoena for the appearance of witnesses or 
          production of documents.
2.52  Revocation decisions.
2.53  Mandatory parole.
2.54  Reviews pursuant to 18 U.S.C. 4215(c).
2.55  Disclosure of file prior to parole hearing.
2.56  Disclosure of Parole Commission file.
2.57  Special parole terms.
2.58  Prior orders.
2.59  Designation of a Commissioner to act as a hearing examiner.
2.60  Superior program achievement.
2.61  Qualifications of representatives.
2.62  Rewarding assistance in the prosecution of other offenders; 
          criteria and guidelines.
2.63  Quorum.
2.64  Youth Corrections Act.
2.65  Paroling policy for prisoners serving aggregate U.S. and D.C. Code 
          sentences.
2.66  Expedited Revocation Procedure.

            Subpart B--Transfer Treaty Prisoners and Parolees

2.68  Prisoners transferred pursuant to treaty.
2.69  [Reserved]

       Subpart C--District of Columbia Code Prisoners and Parolees

2.70  Authority and functions of the U.S. Parole Commission with respect 
          to District of Columbia Code offenders.
2.71  Application for parole.
2.72  Hearing procedure.
2.73  Parole suitability criteria.
2.74  Decision of the Commission.
2.75  Reconsideration proceedings.
2.76  Reduction in minimum sentence.
2.77  Medical parole.
2.78  Geriatric parole.
2.79  Good time forfeiture.
2.80  Guidelines for D.C. Code offenders.
2.81  Reparole decisions.
2.82  Effective date of parole.
2.83  Release planning.
2.84  Release to other jurisdictions.
2.85  Conditions of release.
2.86  Release on parole; rescission for misconduct.
2.87  Mandatory release.
2.88  Confidentiality of parole records.
2.89  Miscellaneous provisions.
2.90  Prior orders of the Board of Parole.

    Authority: 18 U.S.C. 4203(a)(1) and 4204(a)(6).

    Source: 42 FR 39809, Aug. 5, 1977, unless otherwise noted.



          Subpart A--United States Code Prisoners and Parolees



Sec. 2.1  Definitions.

    As used in this part:
    (a) The term Commission refers to the U.S. Parole Commission.
    (b) The term Commissioner refers to members of the U.S. Parole 
Commission.

[[Page 99]]

    (c) The term National Appeals Board refers to the three-member 
Commission sitting as a body to decide appeals taken from decisions of a 
Regional Commissioner, who participates as a member of the National 
Appeals Board. The Vice Chairman shall be Chairman of the National 
Appeals Board.
    (d) The term National Commissioners refers to the Chairman of the 
Commission and to the Commissioner who is not serving as the Regional 
Commissioner in respect to a particular case.
    (e) The term Regional Commissioner refers to Commissioners who are 
assigned to make initial decisions, pursuant to the authority delegated 
by these rules, in respect to prisoners and parolees in regions defined 
by the Commission.
    (f) The term eligible prisoner refers to any Federal prisoner 
eligible for parole pursuant to this part and includes any Federal 
prisoner whose parole has been revoked and who is not otherwise 
ineligibile for parole.
    (g) The term parolee refers to any Federal prisoner released on 
parole or as if on parole pursuant to 18 U.S.C. 4164 or 4205(f). The 
term mandatory release refers to release pursuant to 18 U.S.C. 4163 and 
4164.
    (h) The term effective date of parole refers to a parole date that 
has been approved following an in-person hearing held within nine months 
of such date, or following a pre-release record review.
    (i) All other terms used in this part shall be deemed to have the 
same meaning as identical or comparable terms as used in chapter 311 of 
part IV of title 18 of the U.S. Code or 28 CFR chapter I, part 0, 
subpart V.

[42 FR 39809, Aug. 5, 1977, as amended at 43 FR 22707, May 26, 1978; 
Order No. 960-81, 46 FR 52354, Oct. 27, 1981; 60 FR 51350, Oct. 2, 1995; 
61 FR 55743, Oct. 29, 1996]



Sec. 2.2  Eligibility for parole; adult sentences.

    (a) A Federal prisoner serving a maximum term or terms of more than 
one year imposed pursuant to 18 U.S.C. 4205 (a) (or pursuant to former 
18 U.S.C. 4202) may be released on parole in the discretion of the 
Commission after completion of one-third of such term or terms, or after 
completion of ten years of a life sentence or of a sentence of over 
thirty years.
    (b) A Federal prisoner serving a maximum term or terms of more than 
one year imposed pursuant to 18 U.S.C. 4205(b)(1) (or pursuant to former 
18 U.S.C. 4208(a)(1)) may be released on parole in the discretion of the 
Commission after completion of the court-designated minimum term, which 
may be less than but not more than one-third of the maximum sentence 
imposed.
    (c) A Federal prisoner serving a maximum term or terms of more than 
one year imposed pursuant to 18 U.S.C. 4205(b)(2) (or pursuant to former 
18 U.S.C. 4208(a)(2)) may be released on parole at any time in the 
discretion of the Commission.
    (d) If the Court has imposed a maximum term or terms of more than 
one year pursuant to 18 U.S.C. 924(a) or 26 U.S.C. 5871 [violation of 
Federal gun control laws], a Federal prisoner serving such term or terms 
may be released in the discretion of the Commission as if sentenced 
pursuant to 18 U.S.C. 4205(b)(2). However, if the prisoner's offense was 
committed on or after October 12, 1984, and the Court imposes a term or 
terms under 26 U.S.C. 5871, the prisoner is eligible for parole only 
after service of one-third of such term or terms, pursuant to 18 U.S.C. 
4205(a).
    (e) A Federal prisoner serving a maximum term or terms of one year 
or less is not eligible for parole consideration by the Commission.

[42 FR 41408, Aug. 17, 1977, as amended at 50 FR 36423, Sept. 6, 1985; 
53 FR 46870, Nov. 21, 1988]



Sec. 2.3  Same: Narcotic Addict Rehabilitation Act.

    A Federal prisoner committed under the Narcotic Addict 
Rehabilitation Act may be released on parole in the discretion of the 
Commission after completion of at least six months in treatment, not 
including any period of time for ``study'' prior to final judgment of 
the court. Before parole is ordered by the Commission, the Surgeon 
General or his designated representative must certify that the prisoner 
has made sufficent progress to warrant his release and the Attorney 
General or his designated representative must also report to the 
Commission whether the

[[Page 100]]

prisoner should be released. Recertification by the Surgeon General 
prior to reparole consideration is not required (18 U.S.C. 4254).

[48 FR 22918, May 23, 1983]



Sec. 2.4  Same: Youth offenders and juvenile delinquents.

    Committed youth offenders and juvenile delinquents may be released 
on parole at any time in the discretion of the Commission.

(18 U.S.C. 5017(a) and 5041)

[45 FR 44925, July 2, 1980]



Sec. 2.5  Sentence aggregation.

    When multiple sentences are aggregated by the Bureau of Prisons 
pursuant to 18 U.S.C. 4161 and 4205, such sentences are treated as a 
single aggregate sentence for the purpose of every action taken by the 
Commission pursuant to these rules, and the prisoner has a single parole 
eligibility date as determined by the Bureau of Prisons.

[45 FR 44925, July 2, 1980]



Sec. 2.6  Withheld and forfeited good time.

    While neither a forfeiture of good time nor a withholding of good 
time shall bar a prisoner from receiving a parole hearing, section 4206 
of title 18 of the U.S. Code permits the Commission to parole only those 
prisoners who have substantially observed the rules of the institution.

[43 FR 38822, Aug. 31, 1978]



Sec. 2.7  Committed fines and restitution orders.

    (a) Committed fines. In any case in which a prisoner shall have had 
a fine imposed upon him by the committing court for which he is to stand 
committed until it is paid or until he is otherwise discharged according 
to law, such prisoner shall not be released on parole or mandatory 
release until payment of the fine, or until the fine commitment order is 
discharged according to law under the regulations of the Bureau of 
Prisons. Discharge from the commitment obligation of any committed fine 
does not discharge the prisoner's obligation to pay the fine as a debt 
due the United States.
    (b) Restitution orders. Where a prisoner applying for parole is 
under an order of restitution, and it appears that the prisoner has the 
ability to pay and has willfully failed to do so, the Commission shall 
require that approval of a parole release plan be contingent upon the 
prisoner first satisfying such restitution order. The prisoner shall be 
notified that failure to satisfy this condition shall result in 
retardation of parole under the provisions of Sec. 2.28(e).

[48 FR 44527, Sept. 29, 1983, as amended at 50 FR 36422, Sept. 6, 1985]



Sec. 2.8  Mental competency proceedings.

    (a) Whenever a prisoner (or parolee) is scheduled for a hearing in 
accordance with the provisions of this part and reasonable doubt exists 
as to his mental competency, i.e., his ability to understand the nature 
of and participate in scheduled proceedings, a preliminary inquiry to 
determine his mental competency shall be conducted by the hearing panel, 
hearing examiner or other official (including a U.S. Probation Officer) 
designated by the Regional Commissioner.
    (b) The hearing examiner(s) or designated official shall receive 
oral or written psychiatric or psychological testimony and other 
evidence that may be available. A preliminary determination of mental 
competency shall be made upon the testimony, evidence, and personal 
observation of the prisoner (or parolee). If the examiner(s) or 
designated official determines that the prisoner is mentally competent, 
the previously scheduled hearing shall be held. If they determine that 
the prisoner is not mentally competent, the previously scheduled hearing 
shall be temporarily postponed.
    (c) Whenever the hearing examiner(s) or designated official 
determine that a prisoner is incompetent and postpone the previously 
scheduled hearing, they shall forward the record of the preliminary 
hearing with their findings to the Regional Commissioner for review. If 
the Regional Commissioner concurs with their findings, he shall order 
the temporarily postponed hearing to be postponed indefinitely until 
such time as it is determined that the prisoner has recovered 
sufficiently to understand the nature of and participate in

[[Page 101]]

the proceedings, and in the case of a parolee may order such parolee 
transferred to a Bureau of Prisons facility for further examination. In 
any such case, the Regional Commissioner shall require a progress report 
on the mental health of the prisoner at least every 6 months. When the 
Regional Commissioner determines that the prisoner has recovered 
sufficiently, he shall reschedule the hearing for the earliest feasible 
date.
    (d) If the Regional Commissioner disagrees with the findings of the 
hearing examiner(s) or designated official as to the mental competency 
of the prisoner, he shall take such action as he deems appropriate.

[44 FR 3408, Jan. 16, 1979]



Sec. 2.9  Study prior to sentencing.

    When an adult Federal offender has been committed to an institution 
by the sentencing court for observation and study prior to sentencing, 
under the provisions of 18 U.S.C. 4205(c), the report to the sentencing 
court is prepared and submitted directly by the U.S. Federal Prison 
System.

[50 FR 36423, Sept. 6, 1985]



Sec. 2.10  Date service of sentence commences.

    (a) Service of a sentence of imprisonment commences to run on the 
date on which the person is received at the penitentiary, reformatory, 
or jail for service of the sentence: Provided, however, That any such 
person shall be allowed credit toward the service of his sentence for 
any days spent in custody in connection with the offense or acts for 
which sentence was imposed.
    (b) The imposition of a sentence of imprisonment for civil contempt 
shall interrupt the running of any sentence of imprisonment being served 
at the time the sentence of civil contempt is imposed, and the sentence 
or sentences so interrupted shall not commence to run again until the 
sentence of civil contempt is lifted.
    (c) Service of the sentence of a committed youth offender or person 
committed under the Narcotic Addict Rehabilitation Act commences to run 
from the date of conviction and is interrupted only when such prisoner 
or parolee:
    (1) Is on court-ordered bail;
    (2) Is in escape status;
    (3) Has absconded from parole supervision; or
    (4) Comes within the provisions of paragraph (b) of this section.

[42 FR 39809, Aug. 5, 1977, as amended at 47 FR 36634, Aug. 23, 1982]



Sec. 2.11  Application for parole; notice of hearing.

    (a) A federal prisoner (including a committed youth offender or 
prisoner sentenced under the Narcotic Addict Rehabilitation Act) 
desiring to apply for parole shall execute an application form as 
prescribed by the Commission. Such forms shall be available at each 
federal institution and shall be provided to each prisoner who is 
eligible for an initial parole hearing pursuant to Sec. 2.12. Prisoners 
committed under the Federal Juvenile Delinquency Act shall be considered 
for parole without application and may not waive parole consideration. A 
prisoner who receives an initial hearing need not apply for subsequent 
hearings.
    (b) A prisoner may knowingly and intelligently waive any parole 
consideration on a form provided for that purpose. If a prisoner waives 
parole consideration, he may later apply for parole and may be heard 
during the next visit of the Commission to the institution at which he 
is confined, provided that he has applied at least 60 days prior to the 
first day of the month in which such visit of the Commission occurs.
    (c) A prisoner who declines either to apply for or waive parole 
consideration is deemed to have waived parole consideration.
    (d) In addition to the above procedures relating to parole 
application, all prisoners prior to initial hearing shall be provided 
with an inmate background statement by the Bureau of Prisons for 
completion by the prisoner.
    (e) At least sixty days prior to the initial hearing (and prior to 
any hearing conducted pursuant to Sec. 2.14), the prisoner shall be 
provided with written notice of the time and place of the hearing and of 
his right to review the documents to be considered by the Commission, as 
provided by Sec. 2.55. A

[[Page 102]]

prisoner may waive such notice, except that if such notice is not 
waived, the case shall be continued to the time of the next regularly 
scheduled proceeding of the Commission at the institution in which the 
prisoner is confined.

[42 FR 39809, Aug. 5, 1977, as amended at 45 FR 6381, Jan. 28, 1980; 47 
FR 21041, May 17, 1982; 49 FR 7228, Feb. 28, 1984]



Sec. 2.12  Initial hearings: Setting presumptive release dates.

    (a) An initial hearing shall be conducted within 120 days of a 
prisoner's arrival at a federal institution or as soon thereafter as 
practicable; except that in a case of a prisoner with a minimum term of 
parole ineligibility of ten years or more, the initial hearing will be 
conducted nine months prior to the completion of such a minimum term, or 
as soon thereafter as practicable.
    (b) Following initial hearing, the Commission shall (1) set a 
presumptive release date (either by parole or by mandatory release) 
within fifteen years of the hearing; (2) set an effective date of 
parole; or (3) continue the prisoner to a fifteen year reconsideration 
hearing pursuant to Sec. 2.14(c).
    (c) Notwithstanding the above paragraph, a prisoner may not be 
paroled earlier than the completion of any judicially set minimum term 
of imprisonment or other period of parole ineligibility fixed by law.
    (d) A presumptive parole date shall be contingent upon an 
affirmative finding by the Commission that the prisoner has a continued 
record of good conduct and a suitable release plan and shall be subject 
to the provisions of Secs. 2.14 and 2.28. In the case of a prisoner 
sentenced under the Narcotic Addict Rehabilitation Act, 18 U.S.C. 4254, 
a presumptive parole date shall also be contingent upon certification by 
the Surgeon General pursuant to Sec. 2.3 of these rules. Consideration 
of disciplinary infractions in cases with presumptive parole dates may 
be deferred until the commencement of the next in-person hearing or the 
prerelease record review required by Sec. 2.14(b). While prisoners are 
encouraged to earn the restoration of forfeited or withheld good time, 
the Commission will consider the prisoner's overall institutional record 
in determining whether the conditions of a presumptive parole date have 
been satisfied.

[42 FR 39809, Aug. 5, 1977, as amended at 44 FR 3405, 3407, Jan. 16, 
1979; 48 FR 22919, May 23, 1983; 49 FR 34208, Aug. 29, 1984; 57 FR 
41391, Sept. 10, 1992; 60 FR 51350, Oct. 2, 1995]



Sec. 2.13  Initial hearing; procedure.

    (a) An initial hearing shall be conducted by a single hearing 
examiner unless the Regional Commissioner orders that the hearing be 
conducted by a panel of two examiners. The examiner shall discuss with 
the prisoner his offense severity rating and salient factor score as 
described in Sec. 2.20, his institutional conduct and, in addition, any 
other matter the examiner may deem relevant.
    (b) A prisoner may be represented at a hearing by a person of his or 
her choice. The function of the prisoner's representative shall be to 
offer a statement at the conclusion of the interview of the prisoner by 
the examiner, and to provide such additional information as the examiner 
shall request. Interested parties who oppose parole may select a 
representative to appear and offer a statement. The hearing examiner 
shall limit or exclude any irrelevant or repetitious statement.
    (c) At the conclusion of the hearing, the examiner shall discuss the 
decision to be recommended by the examiner, and the reasons therefor, 
except in the extraordinary circumstance of a complex issue that 
requires further deliberation before a recommendation can be made.
    (d) In accordance with 18 U.S.C. 4206, the reasons for establishment 
of a release date shall include a guidelines evaluation statement 
containing the prisoner's offense severity rating and salient factor 
score (including the points credited on each item of such score) as 
described in Sec. 2.20, as well as the specific factors and information 
relied upon for any decision outside the range indicated by the 
guidelines.
    (e) No interviews with the Commission, or any representative 
thereof, shall be granted to a prisoner unless his name is docketed for 
a hearing in

[[Page 103]]

accordance with Commission procedures. Hearings shall not be open to the 
public.
    (f) A full and complete record of every hearing shall be retained by 
the Commission. Upon a request, pursuant to Sec. 2.56, the Commission 
shall make available to any eligible prisoner such record as the 
Commission has retained of the hearing.

[42 FR 39809, Aug. 5, 1977, as amended at 45 FR 6381, Jan. 28, 1980; 47 
FR 25736, June 15, 1982; 48 FR 23183, May 24, 1983; 59 FR 45625, Sept. 
2, 1994]



Sec. 2.14  Subsequent proceedings.

    (a) Interim proceedings. The purpose of an interim hearing required 
by 18 U.S.C. 4208(h) shall be to consider any significant developments 
or changes in the prisoner's status that may have occurred subsequent to 
the initial hearing.
    (1) Notwithstanding a previously ordered presumptive release date or 
fifteen year reconsideration hearing, interim hearings shall be 
conducted by an examiner panel pursuant to the procedures of 
Sec. 2.13(b), (c), (e), and (f) at the following intervals from the date 
of the last hearing:
    (i) In the case of a prisoner with a maximum term or terms of less 
than seven years, every eighteen months (until released);
    (ii) In the case of a prisoner with a maximum term or terms of seven 
years or more, every twenty-four months (until released); Provided That, 
in the case of a prisoner whose presumptive parole date exceeds the 
minimum term by no more than nine months, and where at least twenty-four 
months has elapsed since the initial hearing, such prisoner shall be 
entitled to an interim hearing nine months preceding the month of parole 
eligibility.
    (iii) In the case of a prisoner with an unsatisfied minimum term, 
other than described under paragraph (a)(1)(ii) of this section, the 
first interim hearing shall be deferred until the docket of hearings 
immediately preceding the month of parole eligibility.
    (2) Following an interim hearing, the Commission may:
    (i) Order no change in the previous decision;
    (ii) Advance a presumptive release date, or the date of a fifteen 
year reconsideration hearing. However, it shall be the policy of the 
Commission that once set, a presumptive release date or the date of a 
fifteen year reconsideration hearing shall be advanced only:
    (1) For superior program achievement under the provisions of 
Sec. 2.60; or
    (2) For other clearly exceptional circumstances.
    (iii) Retard or rescind a presumptive parole date for reason of 
disciplinary infractions. In a case in which disciplinary infractions 
have occurred, the interim hearing shall be conducted in accordance with 
the procedures of Sec. 2.34(c) through (f). (Prior to each interim 
hearing, prisoners shall be notified on the progress report furnished by 
the Federal Prison System that any finding of misconduct by an 
Institutional Disciplinary Committee since the previous hearing will be 
considered for possible action under this paragraph);
    (iv) If a presumptive date falls within nine months after the date 
of an interim hearing, the Commission may treat the interim hearing as a 
prerelease review in lieu of the record review required by paragraph (b) 
of this section.
    (b) Pre-release reviews. The purpose of a pre-release review shall 
be to determine whether the conditions of a presumptive release date by 
parole have been satisfied.
    (1) At least sixty days prior to a presumptive parole date, the case 
shall be reviewed on the record, including a current institutional 
progress report.
    (2) Following review, the Regional Commissioner may:
    (i) Approve the parole date;
    (ii) Advance or retard the parole date for purpose of release 
planning as provided by Sec. 2.28(e);
    (iii) Retard the parole date or commence rescission proceedings as 
provided by Sec. 2.34;
    (iv) Advance the parole date for superior program achievement under 
the provisions of Sec. 2.60.
    (3) A pre-release review pursuant to this section shall not be 
required if an in-person hearing has been held within nine months of the 
parole date.
    (4) Where:

[[Page 104]]

    (i) There has been no finding of misconduct by an Institutional 
Disciplinary Committee nor any allegation of criminal conduct since the 
last hearing; and
    (ii) No other modification of the release date appears warranted, 
the administrative hearing examiner may act for the Regional 
Commissioner under paragraph (b)(2) of this section to approve 
conversion of the presumptive parole date to an effective date of 
parole.
    (c) Fifteen year reconsideration hearings. A fifteen year 
reconsideration hearing shall be a full reassessment of the case 
pursuant to the procedures at Sec. 2.13.
    (1) A fifteen year reconsideration hearing shall be ordered 
following initial hearing in any case in which a release date is not 
set.
    (2) Following a fifteen year reconsideration hearing, the Commission 
may take any one of the actions authorized by Sec. 2.12(b).

[46 FR 39136, July 31, 1981; 47 FR 25735, June 15, 1982, as amended at 
48 FR 9247, Mar. 4, 1983; 48 FR 44525, Sept. 29, 1983; 49 FR 34208, Aug. 
29, 1984; 55 FR 290, Jan. 4, 1990; 60 FR 51350, Oct. 2, 1995]



Sec. 2.15  Petition for consideration of parole prior to date set at hearing.

    When a prisoner has served the minimum term of imprisonment required 
by law, the Bureau of Prisons may petition the responsible Regional 
Commissioner for reopening the case under Sec. 2.28(a) and consideration 
for parole prior to the date set by the Commission at the initial or 
review hearing. The petition must show cause why it should be granted, 
i.e., an emergency, hardship, or the existence of other extraordinary 
circumstances that would warrant consideration of early parole.

[42 FR 39809, Aug. 5, 1977, as amended at 44 FR 3407, Jan. 16, 1979]



Sec. 2.16  Parole of prisoner in state, local, or territorial institution.

    (a) Any person who is serving a sentence of imprisonment for any 
offense against the United States, but who is confined therefor in a 
state reformatory or other state or territorial institution, shall be 
eligible for parole by the Commission on the same terms and conditions, 
by the same authority, and subject to recommittal for the violation of 
such parole, as though he were confined in a Federal penitentiary, 
reformatory, or other correctional institution.
    (b) Federal prisoners serving concurrent state and Federal sentences 
in state, local, or territorial institutions shall be furnished upon 
request parole application forms. Upon receipt of the application and 
any supplementary classification material submitted by the institution, 
parole consideration shall be made by an examiner panel of the 
appropriate region on the record only. If such prisoner is released from 
his state sentence prior to a Federal grant of parole, he shall be given 
a personal hearing as soon as feasible after receipt at a Federal 
institution.
    (c) Prisoners who are serving Federal sentences exclusively but who 
are being boarded in State, local, or territorial institutions may be 
provided hearings at such facilities or may be transferred by the Bureau 
of Prisons to Federal Institutions for hearings by examiner panels of 
the Commission.

(18 U.S.C. 4203, 4204)

[42 FR 39809, Aug. 5, 1977, as amended at 45 FR 44924, July 2, 1980; 50 
FR 36424, Sept. 6, 1985]



Sec. 2.17  Original jurisdiction cases.

    (a) Following any hearing conducted pursuant to these rules, a 
Regional Commissioner may designate certain cases for decision by a 
majority of the Commission, as original jurisdiction cases. In such 
instances, he shall forward the case with his vote, and any additional 
comments he may deem germane, to the National Commissioners for 
decision. Decisions shall be based upon the concurrence of two votes, 
with the Regional Commissioner and the National Commissioners each 
having one vote.
    (b) The following criteria will be used in designating cases as 
original jurisdiction cases:
    (1) Prisoners who have committed serious crimes against the security 
of the Nation, e.g., espionage or aggravated subversive activity.
    (2) Prisoners whose offense behavior:
    (i) Involved an unusual degree of sophistication or planning, or

[[Page 105]]

    (ii) Was part of a large scale criminal conspiracy or a continuing 
criminal enterprise.
    (3) Prisoners who have received national or unusual attention 
because of the nature of the crime, arrest, trial, or prisoner status, 
or because of the community status of the offender or his victim.
    (4) Long-term sentences. Prisoners sentenced to a maximum term of 
forty-five years (or more) or prisoners serving life sentences.
    (c)(1) Any case designated for the original jurisdiction of the 
Commission shall remain an original jurisdiction case unless designation 
is removed pursuant to this subsection.
    (2) A case found to be inappropriately designated for the 
Commission's original jurisdiction, or to no longer warrant such 
designation, may be removed from original jurisdiction under the 
procedures specified in paragraph (a) of this section following a 
regularly scheduled hearing or the reopening of the case pursuant to 
Sec. 2.28. Removal from original jurisdiction may also occur by majority 
vote of the Commission considering a petition for reconsideration 
pursuant to Sec. 2.27. Where the circumstances warrant, a case may be 
redesignated as original jurisdiction pursuant to the provisions of 
paragraphs (a) and (b) of this section.

[42 FR 39809, Aug. 5, 1977, as amended at 42 FR 44234, Sept. 2, 1977; 48 
FR 53409, Nov. 28, 1983; 61 FR 13763, Mar. 28, 1996; 61 FR 55743, Oct. 
29, 1996]



Sec. 2.18  Granting of parole.

    The granting of parole to an eligible prisoner rests in the 
discretion of the U.S. Parole Commission. As prerequisites to a grant of 
parole, the Commission must determine that the prisoner has 
substantially observed the rules of the institution or institutions in 
which he has been confined; and upon consideration of the nature and 
circumstances of the offense and the history and characteristics of the 
prisoner, must determine that release would not depreciate the 
seriousness of his offense or promote disrespect for the law, and that 
release would not jeopardize the public welfare (i.e., that there is a 
reasonable probability that, if released, the prisoner would live and 
remain at liberty without violating the law or the conditions of his 
parole).



Sec. 2.19  Information considered.

    (a) In making a parole or reparole determination the Commission 
shall consider, if available and relevant:
    (1) Reports and recommendations which the staff of the facility in 
which such prisoner is confined may make;
    (2) Official reports of the prisoner's prior criminal record, 
including a report or record of earlier probation and parole 
experiences;
    (3) Pre-sentence investigation reports;
    (4) Recommendations regarding the prisoner's parole made at the time 
of sentencing by the sentencing judge and prosecuting attorney;
    (5) Reports of physical, mental, or psychiatric examination of the 
offender; and
    (6) A statement, which may be presented orally or otherwise, by any 
victim of the offense for which the prisoner is imprisoned about the 
financial, social, psychological, and emotional harm done to, or loss 
suffered by such victim.
    (b)(1) There shall also be taken into consideration such additional 
relevant information concerning the prisoner (including information 
submitted by the prisoner) as may be reasonably available (18 U.S.C. 
4207). The Commission encourages the submission of relevant information 
concerning an eligible prisoner by interested persons.
    (2) To permit adequate review of information concerning the 
prisoner, materials submitted to the Commission should be received by 
the Commission no later than the first day of the month preceding the 
month of the scheduled hearing docket.
    (3) If material of more than six (6), double-spaced, letter-sized 
pages is first submitted at the time of the hearing (or preliminary 
interview) and the hearing panel (or person conducting the hearing or 
preliminary interview) concludes that it is not feasible to read all the 
material at that time, the person submitting the material will be 
permitted to summarize it briefly at the hearing (or preliminary 
interview).

[[Page 106]]

All of the material submitted will become part of the record to be 
considered by the Commission in its review of the proceedings.
    (4) The Commission will normally consider only verbal and written 
evidence at hearings. Recorded audio and visual material will be 
reviewed at hearings only if there is no adequate substitute to permit a 
finding under paragraph (c) of this section. Otherwise, recorded audio 
and visual material should be submitted prior to the hearing for review 
and summarization, pursuant to paragraph (b)(2) of this section.
    (c) The Commission may take into account any substantial information 
available to it in establishing the prisoner's offense severity rating, 
salient factor score, and any aggravating or mitigating circumstances, 
provided the prisoner is apprised of the information and afforded an 
opportunity to respond. If the prisoner disputes the accuracy of the 
information presented, the Commission shall resolve such dispute by the 
preponderance of the evidence standard; that is, the Commission shall 
rely upon such information only to the extent that it represents the 
explanation of the facts that best accords with reason and probability. 
If the Commission is given evidence of criminal behavior that has been 
the subject of an acquittal in a federal, state, or local court, the 
Commission may consider that evidence if:
    (1) The Commission finds that it cannot adequately determine the 
prisoner's suitability for release on parole, or to remain on parole, 
unless the evidence is taken into account;
    (2) The Commission is satisfied that the record before it is 
adequate notwithstanding the acquittal;
    (3) The prisoner has been given the opportunity to respond to the 
evidence before the Commission; and
    (4) The evidence before the Commission meets the preponderance 
standard.


In any other case, the Commission shall defer to the trial jury. Offense 
behavior in Category 5 or above shall presumptively support a finding 
under paragraph (c)(1) of this section.
    (d) Recommendations and information from sentencing judges, defense 
attorneys, prosecutors, and other interested parties are welcomed by the 
Commission. In evaluating a recommendation concerning parole, the 
Commission must consider the degree to which such recommendation 
provides the Commission with specific facts and reasoning relevant to 
the statutory criteria for parole (18 U.S.C. 4206) and the application 
of the Commission's guidelines (including reasons for departure 
therefrom). Thus, to be most helpful, a recommendation should state its 
underlying factual basis and reasoning. However, no recommendation 
(including a prosecutorial recommendation pursuant to a plea agreement) 
may be considered as binding upon the Commission's discretionary 
authority to grant or deny parole.

[42 FR 39809, Aug. 5, 1977, as amended at 44 FR 26550, May 4, 1979; 44 
FR 27658, May 11, 1979; 44 FR 31638, June 1, 1979; 49 FR 34207, Aug. 29, 
1984; 49 FR 44098, Nov. 2, 1984; 50 FR 36423, Sept. 6, 1985; 51 FR 7064, 
Feb. 28, 1986; 56 FR 16270, Apr. 22, 1991; 56 FR 30868, July 8, 1991; 58 
FR 16612, Mar. 30, 1993]



Sec. 2.20  Paroling policy guidelines: Statement of general policy.

    (a) To establish a national paroling policy, promote a more 
consistent exercise of discretion, and enable fairer and more equitable 
decision-making without removing individual case consideration, the U.S. 
Parole Commission has adopted guidelines for parole release 
consideration.
    (b) These guidelines indicate the customary range of time to be 
served before release for various combinations of offense (severity) and 
offender (parole prognosis) characteristics. The time ranges specified 
by the guidelines are established specifically for cases with good 
institutional adjustment and program progress.
    (c) These time ranges are merely guidelines. Where the circumstances 
warrant, decisions outside of the guidelines (either above or below) may 
be rendered.
    (d) The guidelines contain instructions for the rating of certain 
offense behaviors. However, especially mitigating or aggravating 
circumstances in a particular case may justify a decision or a severity 
rating different from that listed.

[[Page 107]]

    (e) An evaluation sheet containing a ``salient factor score'' serves 
as an aid in determining the parole prognosis (potential risk of parole 
violation). However, where circumstances warrant, clinical evaluation of 
risk may override this predictive aid.
    (f) Guidelines for reparole consideration are set forth at 
Sec. 2.21.
    (g) The Commission shall review the guidelines, including the 
salient factor score, periodically and may revise or modify them at any 
time as deemed appropriate.
    (h) If an offender was less than 18 years of age at the time of the 
current offense, such youthfulness shall, in itself, be considered as a 
mitigating factor.
    (i) For criminal behavior committed while in confinement see 
Sec. 2.36 (Rescission Guidelines).
    (j)(1) In probation revocation cases, the original federal offense 
behavior and any new criminal conduct on probation (federal or 
otherwise) is considered in assessing offense severity. The original 
federal conviction is also counted in the salient factor score as a 
prior conviction. Credit is given toward the guidelines for any time 
spent in confinement on any offense considered in assessing offense 
severity.
    (2) Exception: Where probation has been revoked on a complex 
sentence (i.e., a committed sentence of more than six months on one 
count or more of an indictment or information followed by a probation 
term on other count(s) of an indictment or information), the case shall 
be considered for guideline purposes under Sec. 2.21 as if parole rather 
than probation had been revoked.

                      Guidelines for Decisionmaking
[Guidelines for decisionmaking, customary total time to be served before
                     release (including jail time)]
------------------------------------------------------------------------
                                       Offender characteristics: Parole
                                        prognosis (salient factor score
                                                     1981)
Offense characteristics: Severity of -----------------------------------
          offense behavior              Very
                                        good   Good (7  Fair (5  Poor (3
                                       (10 to   to 6)    to 4)    to 0)
                                         8)
------------------------------------------------------------------------
                                           Guideline range (months)
 
Category:
  1.................................       =4       =8     8-12    12-16
  2.................................       =6      =10    12-16    16-22
  3.................................      =10    12-16    18-24    24-32
  4.................................    12-18    20-26    26-34    34-44
  5.................................    24-36    36-48    48-60    60-72
  6.................................    40-52    52-64    64-78   78-100
  7.................................    52-80    64-92   78-110  100-148
  8 1...............................     100+     120+     150+    180+
------------------------------------------------------------------------
\1\ Note: For Category Eight, no upper limits are specified due to the
  extreme variability of the cases within this category. For decisions
  exceeding the lower limit of the applicable guideline category by more
  than 48 months, the Commission will specify the pertinent case factors
  upon which it relied in reaching its decision, which may include the
  absence of any factors mitigating the offense. This procedure is
  intended to ensure that the prisoner understands that individualized
  consideration has been given to the facts of the case, and not to
  suggest that a grant of parole is to be presumed for any class of
  Category Eight offenders. However, a murder committed to silence a
  victim or witness, a contract murder, a murder by torture, the murder
  of a law enforcement officer to carry out an offense, or a murder
  committed to further the aims of an on-going criminal operation, shall
  not justify a grant of parole at any point in the prisoner's sentence
  unless there are compelling circumstances in mitigation (e.g., a
  youthful offender who participated in a murder planned and executed by
  his parent). Such aggravated crimes are considered, by definition, at
  the extreme high end of Category Eight offenses. For these cases, the
  expiration of the sentence is deemed to be a decision at the maximim
  limit of the guideline range. (The fact that an offense does not fall
  under the definition contained herein does not mean that the
  Commission is obliged to grant a parole.)

         U.S. Parole Commission Offense Behavior Severity Index

Chapter One  Offenses of General Applicability
Chapter Two  Offenses Involving the Person
    Subchapter A--Homicide Offenses
    Subchapter B--Assault Offenses
    Subchapter C--Kidnaping and Related Offenses
    Subchapter D--Sexual Offenses
    Subchapter E--Offenses Involving Aircraft
    Subchapter F--Communication of Threats
Chapter Three   Offenses Involving Property
    Subchapter A--Arson and Property Destruction Offenses
    Subchapter B--Criminal Entry Offenses
    Subchapter C--Robbery, Extortion, and Blackmail
    Subchapter D--Theft and Related Offenses
    Subchapter E--Counterfeiting and Related Offenses
    Subchapter F--Bankruptcy Offenses
    Subchapter G--Violations of Securities or Investment Regulations and 
Antitrust Offenses
Chapter Four  Offenses Involving Immigration, Naturalization, and 
          Passports
Chapter Five  Offenses Involving Revenue

[[Page 108]]

    Subchapter A--Internal Revenue Offenses
    Subchapter B--Customs Offenses
    Subchapter C--Contraband Cigarettes
Chapter Six  Offenses Involving Governmental Process
    Subchapter A--Impersonation of Officials
    Subchapter B--Obstructing Justice
    Subchapter C--Official Corruption
Chapter Seven  Offenses Involving Individual Rights
    Subchapter A--Offenses Involving Civil Rights
    Subchapter B--Offenses Involving Privacy
Chapter Eight  Offenses Involving Explosives and Weapons
    Subchapter A--Explosives and Other Dangerous Articles
    Subchapter B--Firearms
Chapter Nine  Offenses Involving Illicit Drugs
    Subchapter A--Heroin and Opiate Offenses
    Subchapter B--Marihuana and Hashish Offenses
    Subchapter C--Cocaine Offenses
    Subchapter D--Other Illicit Drug Offenses
Chapter Ten  Offenses Involving National Defense
    Subchapter A--Treason and Related Offenses
    Subchapter B--Sabotage and Related Offenses
    Subchapter C--Espionage and Related Offenses
    Subchapter D--Selective Service Offenses
    Subchapter E--Other National Defense Offenses
Chapter Eleven  Offenses Involving Organized Criminal Activity, 
          Gambling, Obscenity, Sexual Exploitation of Children, 
          Prostitution, and Non-Governmental Bribery
    Subchapter A--Organized Crime Offenses
    Subchapter B--Gambling Offenses
    Subchapter C--Obscenity
    Subchapter D--Sexual Exploitation of Children
    Subchapter E--Prostitution and White Slave Traffic
    Subchapter F--Non-Governmental Bribery
    Subchapter G--Currency Offenses
Chapter Twelve  Miscellaneous Offenses
Chapter Thirteen  General Notes and Definitions
    Subchapter A--General Notes
    Subchapter B--Definitions

             Chapter One  Offenses of General Applicability

101  Conspiracy
    Grade conspiracy in the same category as the underlying offense.
102    Attempt
    Grade attempt in the same category as the offense attempted.
103  Aiding and Abetting
    Grade aiding and abetting in the same category as the underlying 
offense.
104  Accessory After the Fact
    Grade accessory after the fact as two categories below the 
underlying offense, but not less than Category One.
105  Solicitation to Commit a Crime of Violence
    Grade solicitation to commit a crime of violence in the same 
category as the underlying offense if the crime solicited would be 
graded as Category Eight. In all other cases grade solicitation to 
commit a crime of violence one category below the underlying offense, 
but not less than Category One.

    Note to Chapter One: The reasons for a conspiracy or attempt not 
being completed may, where the circumstances warrant, be considered as a 
mitigating factor (e.g., where there is voluntary withdrawal by the 
offender prior to completion of the offense).

               Chapter Two  Offenses Involving the Person

                     Subchapter A--Homicide Offenses

201  Murder
    Murder, or a forcible felony* resulting in the death of a person 
other than a participating offender, shall be graded as Category Eight.
---------------------------------------------------------------------------

    *Terms marked by an asterisk are defined in Chapter Thirteen.
---------------------------------------------------------------------------

202  Voluntary Manslaughter
    Category Seven.
203  Involuntary Manslaughter
    Category Four.

                     Subchapter B--Assault Offenses

211  Assault During Commission of Another Offense
    (a) If serious bodily injury* results or if `serious bodily injury 
is the result intended'*, grade as Category Seven;
    (b) If bodily injury* results, or a weapon is fired by any offender, 
grade as Category Six;
    (c) Otherwise, grade as Category Five.
212  Assault
    (a) If serious bodily injury* results or if `serious bodily injury 
is the result intended'*, grade as Category Seven;
    (b) If bodily injury* results or a dangerous weapon is used by any 
offender, grade as Category Five;
    (c) Otherwise, grade as Category Two;
    (d) Exception: (1) If the victim was known to be a ``protected 
person'' * or law enforcement, judicial, or correctional official, grade 
conduct under (a) as Category Seven, (b) as Category six, and (c) as 
Category Three.
    (2) If an assault is committed while resisting an arrest or 
detention initiated by a law enforcement officer or a civilian acting 
under color of law, grade conduct under (a) as Category Seven, (b) as 
Category Six, and (c) as Category Three.
    (e) Exception: If not for ransom or terrorism, and no bodily injury 
to victim, and

[[Page 109]]

limited duration (e.g., abducting the driver of a truck during a 
hijacking and releasing him unharmed within an hour), grade as Category 
Six.
    213  Firing a Weapon at a Structure Where Occupants are Physically 
Present
    Grade according to the underlying offense if one can be established, 
but not less than Category Five.

              Subchapter C--Kidnaping and Related Offenses

221  Kidnaping
    (a) If the purpose of the kidnaping is for ransom or terrorism, 
grade as Category Eight;
    (b) If a person is held hostage in a known place for purposes of 
extortion (e.g., forcing a bank manager to drive to a bank to retrieve 
money by holding a family member hostage at home), grade as Category 
Seven;
    (c) If a victim is used as a shield or hostage in a confrontation 
with law enforcement authorities, grade as Category Seven;
    (d) Otherwise, grade as Category Seven.
    (e) Exception: If not for ransom or terrorism, and no bodily injury 
to victim, and limited duration (e.g., abducting the driver of a truck 
during a hijacking and releasing him unharmed within an hour), grade as 
Category Six.
222  Demand for Ransom
    (a) If a kidnapping has, in fact, occurred, but it is established 
that the offender was not acting in concert with the kidnapper(s), grade 
as Category Seven;
    (b) If no kidnapping has occurred, grade as ``extortion''.

                      Subchapter D--Sexual Offenses

231  Rape or Forcible Sodomy
    (a) Category Seven.
    (b) Exception: If a prior consensual sexual relationship between 
victim and offender is present, grade as Category Six.
232  Carnal Knowledge* or Sodomy Involving Minors

    (a) Grade as Category Four, except as provided below.
    (b) If the relationship is clearly consensual and the victim is at 
least fourteen years old, and the age difference between the victim and 
offender is less than four years, grade as Category One.
    (c) If the victim is less than twelve years old, grade as Category 
Seven.
    (d) If the offender is an adult who has abused a position of trust 
(e.g., teacher, counselor, or physician), or the offense involved 
predatory sexual behavior, grade as Category Seven. Sexual behavior is 
deemed predatory when the offender repeatedly uses any trick or other 
device to attract, lure, or bribe victims into the initial contact that 
results in the offense.
233  Other Unlawful Sexual Conduct With Minors
    (a) Category Four
    (b) Exception: If the victim is less than twelve years old grade as 
Category Six.

                Subchapter E--Offenses Involving Aircraft

241  Aircraft Piracy
    Category Eight.
242  Interference with a Flight Crew
    (a) If the conduct or attempted conduct has potential for creating a 
significant safety risk to an aircraft or passengers, grade as Category 
Seven.
    (b) Otherwise, grade as Category Two.

                 Subchapter F--Communication of Threats

251  Communicating a Threat [to kill, assault, or kidnap]
    (a) Category Four;
    (b) Notes:
    (1) Any overt act committed for the purposes of carrying out a 
threat in this subchapter may be considered as an aggravating factor.
    (2) If for purposes of extortion or obstruction of justice, grade 
according to Chapter Three, subchapter C, or Chapter Six, subchapter B, 
as applicable.

               Chapter Three  Offenses Involving Property

       Subchapter A--Arson and Other Property Destruction Offenses

301  Property Destruction by Fire or Explosives

    (a) If the conduct results in serious bodily injury* or if `serious 
bodily injury is the result intended'*, grade as Category Seven;
    (b) If the conduct (i) involves any place where persons are present 
or likely to be present; or (ii) involves a residence, building, or 
other structure; or (iii) results in bodily injury*, grade as Category 
Six;
    (c) Otherwise, grade as ``property destruction other than listed 
above'' but not less than Category Five.
302  Wrecking a Train
    Category Seven.
303  Property Destruction Other Than Listed Above

    (a) If the conduct results in bodily injury,* or if ``serious bodily 
injury is the result intended'',* grade as if ``assault during 
commission of another offense'';
---------------------------------------------------------------------------

    * Terms marked by an asterisk are defined in Chapter Thirteen.
---------------------------------------------------------------------------

    (b) If damage of more than $5,000,000 is caused, grade as Category 
Seven;
    (c) If damage of more than $1,000,000 but not more than $5,000,000 
is caused, grade as Category Six;

[[Page 110]]

    (d) If damage of more than $200,000 but not more than $1,000,000 is 
caused, grade as Category Five;
    (e) If damage of at least $40,000 but not more than $200,000 is 
caused, grade as Category Four;
    (f) If damage of at least $2,000 but less than $40,000 is caused, 
grade as Category Three;
    (g) If damage of less than $2,000 is caused, grade as Category One;
    (h) Exception: If a significant interruption of a government or 
public utility function is caused, grade as not less than Category 
Three.

                  Subchapter B--Criminal Entry Offenses

311  Burglary or Unlawful Entry
    (a) If the conduct involves an armory or similar facility (e.g., a 
facility where automatic weapons or war materials are stored) for the 
purpose of theft or destruction of weapons or war materials, grade as 
Category Six;
    (b) If the conduct involves an inhabited dwelling (whether or not a 
victim is present), or any premises with a hostile confrontation with a 
victim, grade as Category Five;
    (c) If the conduct involves use of explosives or safecracking, grade 
as Category Five;
    (d) Otherwise, grade as ``theft'' offense, but not less than 
Category Two.
    (e) Exception: If the grade of the applicable ``theft'' offense 
exceeds the grade under this subchapter, grade as a ``theft'' offense.

             Subchapter C--Robbery, Extortion, and Blackmail

321  Robbery
    (a) Category Five.
    (b) Exceptions:
    (1) If the grade of the applicable ``theft'' offense exceeds the 
grade for robbery, grade as a ``theft'' offense.
    (2) If any offender forces a victim to accompany any offender to a 
different location, or if a victim is forcibly detained by being tied, 
bound, or locked up, grade as Category Six.
    (3) Pickpocketing (stealth--no force or fear), see subchapter D.
    (c) Note: Grade purse snatching (fear or force) as robbery.
322  Extortion
    (a) If by threat of physical injury to person or property, or 
extortionate extension of credit (loansharking), grade as Category Five;
    (b) If by use of official governmental position, grade according to 
Chapter Six, subchapter C.
    (c) If neither (a) nor (b) is applicable, grade under Chapter 
Eleven, subchapter F;
323  Blackmail [threat to injure reputation or accuse of crime]
    Grade as a ``theft'' offense according to the value of the property 
demanded, but not less than Category Three. Actual damage to reputation 
may be considered as an aggravating factor.

                Subchapter D--Theft and Related Offenses

331  Theft, Forgery, Fraud, Trafficking in Stolen Property*, Interstate 
          Transportation of Stolen Property, Receiving Stolen Property, 
          Embezzlement, and Related Offenses

    (a) If the value of the property* is more than $5,000,000, grade as 
Category Seven;
    (b) If the value of the property* is more than $1,000,000 but not 
more than $5,000,000, grade as Category Six;
---------------------------------------------------------------------------

    *Terms marked by an asterisk are defined in Chapter Thirteen.
---------------------------------------------------------------------------

    (c) If the value of the property* is more than $200,000 but not more 
than $1,000,000, grade as Category Five;
    (d) If the value of the property* is at least $40,000 but not more 
than $200,000, grade as Category Four;
    (e) If the value of the property* is at least $2,000 but less than 
$40,000, grade as Category Three;
    (f) If the value of the property* is less than $2,000, grade as 
Category One.
    (g) Exceptions:
    (1) Offenses involving stolen checks, credit cards, money orders or 
mail, forgery, fraud, interstate transportation of stolen or forged 
securities, trafficking in stolen property, or embezzlement shall be 
graded as not less than Category Two;
    (2) Theft of an automobile shall be graded as no less than Category 
Three. Note: where the vehicle was recovered within 72 hours with no 
significant damage and the circumstances indicate that the only purpose 
of the theft was temporary use (e.g., joyriding), such circumstances may 
be considered as a mitigating factor.
    (3) Grade obtaining drugs for own use by a fraudulent or 
fraudulently obtained prescription as Category Two.
    (4) Grade manufacture, sale, and fraudulent use of credit cards as 
follows:
    (i) Grade the manufacture, distribution or possession of counterfeit 
or altered credit cards as not less than Category Four.
    (ii) Grade the distribution or possession of multiple stolen credit 
cards as not less than Category Three.
    (iii) Grade the distribution or possession of a single stolen credit 
card as not less than Category Two.
    (h) Note: In ``theft'' offenses, the total amount of the theft 
committed or attempted by the offender, or others acting in concert with 
the offender, is to be used.
    (2) Grade fraudulent sale of drugs (e.g., sale of sugar as heroin) 
as `fraud'.
332  Pickpocketing [stealth-no force or fear]
    Grade as a ``theft'' offense, but not less than Category Three.

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333  Fraudulent Loan Applications
    Grade as a ``fraud'' offense according to the amount of the loan.
334  Preparation or Possession of Fraudulent Documents
    (a) If for purposes of committing another offense, grade according 
to the offense intended;
    (b) Otherwise, grade as Category Two.
335  Criminal Copyright Offenses
    (a) If very large scale (e.g., more than 100,000 sound recordings or 
more than 10,000 audio visual works), grade as Category Five;

    (b) If large scale (e.g., 20,000-100,000 sound recordings or 2,000-
10,000 audio visual works), grade as Category Four;
    (c) If medium scale (e.g., 2,000-19,999 sound recordings or 200-
1,999 audio visual works), grade as Category Three;
    (d) If small scale (e.g., less than 2,000 sound recordings or less 
than 200 audio visual works), grade as Category Two.

            Subchapter E--Counterfeiting and Related Offenses

341  Passing or Possession of Counterfeit Currency or Other Medium of 
          Exchange*

    (a) If the face value of the currency or other medium of exchange is 
more than $5,000,000, grade as Category Seven;
    (b) If the face value of the currency or other medium of exchange is 
more than $1,000,000 but not more than $5,000,000, grade as Category 
Six;
    (c) If the face value is more than $200,000 but not more than 
$1,000,000, grade as Category Five;
    (d) If the face value is at least $40,000 but not more than 
$200,000, grade as Category Four;
    (e) If the face value is at least $2,000 but less than $40,000, 
grade as Category Three;
    (f) If the face value is less than $2,000, grade as Category Two.
342  Manufacture of Counterfeit Currency or Other Medium of Exchange* or 
          Possession of Instruments for Manufacture
    Grade manufacture or possession of instruments for manufacture 
(e.g., a printing press or plates) according to the quantity printed 
(see passing or possession)), but not less than Category Five. The term 
manufacture refers to the capacity to print or generate multiple copies; 
it does not apply to pasting together parts of different notes.

                    Subchapter F--Bankruptcy Offenses

351  Fraud in Bankruptcy or Concealing Property
    Grade as a ``fraud'' offense.

  Subchapter G--Violation of Securities or Investment Regulations and 
                           Antitrust Offenses

361  Violation of Securities or Investment Regulations
    (a) If for purposes of fraud, grade according to the underlying 
offense;
    (b) Otherwise, grade as Category Two.
362  Antitrust Offenses
    (a) If estimated economic impact is more than one million dollars, 
grade as Category Four;
    (b) If the estimated economic impact is more than $100,000 but not 
more than one million dollars, grade as Category Three;
    (c) Otherwise, grade as Category Two.
    (d) Note: The term `economic impact' refers to the estimated loss to 
any victims (e.g., loss to consumers from a price fixing offense).
363  Insider Trading
    (a) If the estimated economic impact is more than $5,000,000, grade 
as Category Seven;
    (b) If the estimated economic impact is more than $1,000,000 but not 
more than $5,000,000, grade as Category Six;
    (c) If the estimated economic impact is more than $200,000 but not 
more than $1,000,000, grade as Category Five;
    (d) If the estimated economic impact is at least $40,000 but not 
more than $200,000, grade as Category Four;
    (e) If the estimated economic impact is at least $2,000 but less 
than $40,000, grade as Category Three;
    (f) If the estimated economic impact is less than $2,000, grade as 
Category Two.
    (g) Note: The term `economic impact' includes the damage sustained 
by the victim whose information was unlawfully used, plus any other 
illicit profit resulting from the offense.

   Chapter Four  Offenses Involving Immigration, Naturalization, and 
                                Passports

401  Unlawfully Entering the United States as an Alien
    Category One.
402  Transportation of Unlawful Alien(s)
    (a) If the transportation of unlawful alien(s) involves detention 
and demand for payment, grade as Category Five;
    (b) Otherwise, grade as Category Three.
403  Offenses Involving Passports
    (a) If making an unlawful passport for distribution to another, 
possession with intent to distribute, or distribution of an unlawful 
passport, grade as Category Three;
    (b) If fraudulently acquiring or improperly using a passport, grade 
as Category Two.
404  Offenses Involving Naturalization or Citizenship Papers
    (a) If forging or falsifying naturalization or citizenship papers 
for distribution to another, possession with intent to distribute, or 
distribution, grade as Category Three;
    (b) If acquiring fraudulent naturalization or citizenship papers for 
own use or improper use of such papers, grade as Category Two;

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    (c) If failure to surrender canceled naturalization or citizenship 
certificate(s), grade as Category One.

                Chapter Five  Offenses Involving Revenue

                 Subchapter A--Internal Revenue Offenses

501  Tax Evasion [income tax or other taxes]

    (a) If the amount of tax evaded or evasion attempted is more than 
$5,000,000, grade as Category Seven;
    (b) If the amount of tax evaded or evasion attempted is more than 
$1,000,000 but not more than $5,000,000, grade as Category Six;
    (c) If the amount of tax evaded or evasion attempted is more than 
$200,000 but not more than $1,000,000, grade as Category Five;
    (d) If the amount of tax evaded or evasion attempted is at least 
$40,000 but not more than $200,000, grade as Category Four;
    (e) If the amount of tax evaded or evasion attempted is at least 
$2,000 but less than $40,000, grade as Category Three;
    (f) If the amount of tax evaded or evasion attempted is less than 
$2,000, grade as Category One.
    (g) Notes:
    (1) Grade according to the amount of tax evaded or evasion 
attempted, not the gross amount of income.
    (2) Tax evasion refers to failure to pay applicable taxes. Grade a 
false claim for a tax refund (where tax has not been withheld) as a 
``fraud'' offense.
502  Operation of an Unregistered Still
    Grade as a ``tax evasion'' offense.

                     Subchapter B--Customs Offenses

511  Smuggling Goods into the United States
    (a) If the conduct is for the purpose of tax evasion, grade as a 
`tax evasion' offense.
    (b) If the article is prohibited from entry to the country 
absolutely (e.g., illicit drugs or weapons), use the grading applicable 
to possession with intent to distribute of such articles, or the grading 
applicable to tax evasion, whichever is higher, but not less than 
Category Two;
    (c) If the conduct involves breaking seals, or altering or defacing 
customs marks, or concealing invoices, grade according to (a) or (b), as 
applicable, but not less than Category Two.
512  Smuggling Goods into Foreign Countries in Violation of Foreign Law 
          (re: 18 U.S.C. 546)
    Category Two.

                   Subchapter C--Contraband Cigarettes

521  Trafficking in Contraband Cigarettes (re: 18 U.S.C. 2342)
    Grade as a tax evasion offense.

          Chapter Six  Offenses Involving Governmental Process

                Subchapter A--Impersonation of Officials

601  Impersonation of Official
    (a) If for purposes of commission of another offense, grade 
according to the offense attempted, but not less than Category Two;
    (b) Otherwise, grade as Category Two.

                    Subchapter B--Obstructing Justice

611  Perjury
    (a) If the perjured testimony concerns a criminal offense, grade as 
accessory after the fact, but not less than Category Three;
    (b) Otherwise, grade as Category Three.
    (c) Suborning perjury, grade as perjury.
612  Unlawful False Statements Not Under Oath
    Category One.
613  Tampering With Evidence or Witness, Victim, Informant or Juror
    (a) If concerning a criminal offense, grade as accessory after the 
fact, but not less than Category Three.
    (b) Otherwise, grade as Category Three.
    (c) Exception: Intimidation by threat of physical harm, grade as not 
less than Category Five.
614  Misprision of a Felony*
    Grade as if ``accessory after the fact'' but not higher than 
Category Three.
615  Harboring a Fugitive
    Grade as if `accessory after the fact' to the offense for which the 
fugitive is wanted, but not higher than Category Three.
616  Escape
    If in connection with another offense for which a severity rating 
can be assessed, grade the underlying offense and apply the rescission 
guidelines to determine an additional penalty. Otherwise, grade as 
Category Three.
617  Failure To Appear*
    (a) In Felony Proceedings. If in connection with an offense for 
which a severity rating can be assessed, add to the guidelines otherwise 
appropriate the following: (i)  6 months if voluntary return 
within 6 days, or (ii) 6-12 months in any other case. Otherwise, grade 
as Category Three.
    (b) In Misdemeanor Proceedings. Grade as Category One.
    (c) Note: For purposes of this subsection, a misdemeanor is defined 
as an offense for which the maximum penalty authorized by law (not 
necessarily the penalty actually imposed) does not exceed one year.
618  Contempt of Court
    (a) Criminal Contempt (re: 18 U.S.C. 402). Where imposed in 
connection with a prisoner serving a sentence for another offense, add 
<=6 months to the guidelines otherwise appropriate.

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    (b) Exception: If a criminal sentence is imposed under 18 U.S.C. 401 
for refusal to testify concerning a criminal offense, grade such conduct 
as if accessory after the fact.
    (c) Civil Contempt. See 28 CFR 2.10.

                    Subchapter C--Official Corruption

621  Bribery or Extortion [use of official position--no physical threat]
    (a)Grade as a ``theft offense'' according to the value of the bribe 
demanded or received, or the favor received by the bribe-giver 
(whichever is greater), but not less than Category Three. The ``favor 
received'' is the gross value of the property, contract, obligation, 
interest, or payment intended to be awarded to the bribe-giver in return 
for the bribe. Grade the bribe-taker in the same manner.
    (b) If the above conduct involves a pattern of corruption (e.g., 
multiple instances), grade as not less than Category Four.
    (c) If the purpose of the conduct is the obstruction of justice, 
grade as if ``perjury''.
    (d) Notes:
    (1) The grading in this subchapter applies to each party to a bribe.
    (2) The extent to which the criminal conduct involves a breach of 
public trust, causing injury beyond that describable by monetary gain, 
may be considered as an aggravating factor.
622  Other Unlawful Use of Governmental Position
    Category Two.

                       Subchapter D--Voting Fraud

631  Voting Fraud
    Category Four.

           Chapter Seven  Offenses Involving Individual Rights

              Subchapter A--Offenses Involving Civil Rights

701  Conspiracy Against Rights of Citizens (re: 18 U.S.C. 241)
    (a) If death results, grade as Category Eight;
    (b) Otherwise, grade as if ``assault''.
702  Deprivation of Rights Under Color of Law (re: 18 U.S.C. 242)
    (a) If death results, grade as Category Eight;
    (b) Otherwise, grade as if ``assault''.
703  Federally Protected Activity (re: 18 U.S.C. 245)
    (a) If death results, grade as Category Eight;
    (b) Otherwise, grade as if ``assault''.
704  Intimidation of Persons in Real Estate Transactions Based on Racial 
          Discrimination (re: 42 U.S.C. 3631)
    (a) If death results, grade as Category Eight;
    (b) Otherwise, grade as if ``assault''.
705  Transportation of Strikebreakers (re: 18 U.S.C. 1231)
    Category Two.

                Subchapter B--Offenses Involving Privacy

711  Interception and Disclosure of Wire or Oral Communications (re: 18 
          U.S.C. 2511)
    Category Two.
712  Manufacture, Distribution, Possession, and Advertising of Wire or 
          Oral Communication Intercepting Devices (re: 18 U.S.C. 2512)
    (a) Category Three.
    (b) Exception: If simple possession, grade as Category Two.
713  Unauthorized Opening of Mail
    Category Two.

        Chapter Eight  Offenses Involving Explosives and Weapons

     Subchapter A--Explosives Offenses and Other Dangerous Articles

801  Unlawful Possession or Distribution of Explosives; or Use of 
          Explosives During a Felony
    Grade according to offense intended, but not less than Category 
Five.
802  Mailing Explosives or Other Injurious Articles With Intent To 
          Commit a Crime
    Grade according to offense intended, but not less than Category 
Five.

                         Subchapter B--Firearms

811  Possession by Prohibited Person (e.g., ex-felon)
    (a) If single weapon (rifle, shotgun, or handgun) with ammunition of 
the same caliber, or ammunition of a single caliber (without weapon), 
grade as Category Three;
    (b) If multiple weapons (rifles, shotguns, or handguns), or 
ammunition of different calibers, or single weapon and ammunition of a 
different caliber, grade as Category Four.
812  Unlawful Possession or Manufacture of Sawed-off Shotgun, Machine 
          Gun, Silencer, or ``Assassination kit''
    (a) If silencer or ``assassination kit'', grade as Category Six;
    (b) If sawed-off shotgun or machine gun, grade as Category Five.
813  Unlawful Distribution of Weapons or Possession With Intent To 
          Distribute
    (a) If silencer(s) or ``assassination kit(s)'', grade as Category 
Six;
    (b) If sawed-off shotgun(s) or machine gun(s), grade as Category 
Five;
    (c) If multiple weapons (rifles, shotguns, or handguns), or 
ammunition of different calibers, or single weapon and ammunition of a 
different caliber, grade as Category Four;
    (d) If single weapon (rifle, shotgun, or handgun) with ammunition of 
the same caliber, or ammunition of a single caliber (without weapon), 
grade as Category Three.

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             Chapter Nine  Offenses Involving Illicit Drugs

                Subchapter A--Heroin and Opiate* Offenses

901  Distribution or Possession With Intent To Distribute
    (a) If extremely large scale (e.g., involving 3 kilograms or more of 
100% pure heroin, or equivalent amount), grade as Category Eight [except 
as noted in (c) below];
    (b) if very large scale (e.g., involving 1 kilogram but less than 3 
kilograms of 100% pure herion, or equivalent amount), grade as Category 
Seven [except as noted in (c) below];
    (c) Where the Commission finds that the offender had only a 
peripheral role*, grade conduct under (a) or (b) as Category Six;
    (d) If large scale (e.g., involving 50-999 grams of 100% pure 
heroin, or equivalent amount), grade as Category Six [except as noted in 
(e) below];
    (e) Where the Commission finds that the offender had only a 
peripheral role*, grade conduct under (d) as Category Five.
    (f) If medium scale (e.g., involving 5-49 grams of 100% pure heroin, 
or equivalent amount), grade as Category Five;
    (g) If small scale (e.g., involving less than 5 grams of 100% pure 
heroin, or equivalent amount), grade as Category Four;
902  Simple Possession
    Category One.

              Subchapter B--Marihuana and Hashish Offenses

911  Distribution or Possession With Intent To Distribute
    (a) If extremely large scale (e.g., involving 20,000 pounds or more 
of marihuana/6,000 pounds or more of hashish/600 pounds or more of hash 
oil), grade as Category Six [except as noted in (b) below];
    (b) Where the Commission finds that the offender had only a 
peripheral role, grade* conduct under (a) as Category Five;
    (c) If very large scale (e.g., involving 2,000-19,999 pounds of 
marihuana/600-5,999 pounds of hashish/60-599 pounds of hash oil), grade 
as Category Five;
    (d) If large scale (e.g., involving 200-1,999 pounds of marihuana/
60-599 pounds of hashish/6-59.9 pounds of hash oil), grade as Category 
Four;
    (e) If medium scale (e.g., involving 50-199 pounds of marihuana/15-
59.9 pounds of hashish/1.5-5.9 pounds of hash oil), grade as Category 
Three;
    (f) If small scale (e.g., involving 10-49 pounds of marihuana/3-14.9 
pounds of hashish/.3-1.4 pounds of hash oil), grade as Category Two;
    (g) If very small scale (e.g., involving less than 10 pounds of 
marihuana/less than 3 pounds of hashish/less than .3 pounds of hash 
oil), grade as Category One.
912  Simple Possession
    Category One.

                     Subchapter C--Cocaine Offenses

921 Distribution or Possession With Intent to Distribute
    (a) If extremely large scale (e.g., involving 15 kilograms or more 
of 100% purity, or equivalent amount; or 1.5 kilograms or more of 
freebased cocaine), grade as Category Eight [except as noted in (c) 
below];
    (b) If very large scale (e.g., involving 5 kilograms, but less than 
15 kilograms of 100% purity, or equivalent amount; or 500 grams but less 
than 1.5 kilograms of freebased cocaine), grade as Category Seven 
[except as noted in (c) below];
    (c) Where the Commission finds that the offender had only a 
peripheral role*, grade conduct under (a) or (b) as Category Six;
    (d) If large scale (e.g., involving more than 1 kilogram, but less 
than 5 kilograms of 100% purity, or equivalent amount; or more than 100 
grams, but less than 500 grams of freebased cocaine) grade as Category 
Six [except as noted in (e) below];
    (e) Where the Commission finds that the offender had only a 
peripheral role, grade conduct under (d) as Category Five;
    (f) If medium scale (e.g., involving 100 grams-1 kilogram of 100% 
purity, or equivalent amount; or 10 grams-100 grams of freebased 
cocaine), grade as Category Five;
    (g) If small scale (e.g., involving 5-99 grams of 100% purity, or 
equivalent amount; or 1 gram-9.9 grams of freebased cocaine), grade as 
Category Four;
    (h) If very small scale (e.g., involving less than 1.0-4.9 grams of 
100% purity, or equivalent amount; or less than 1 gram of freebased 
cocaine), grade as Category Three;
    (i) If extremely small scale (e.g., involving less than 1 gram of 
100% purity, or equivalent amount), grade as Category Two.
922  Simple Possession
    Category One.

                Subchapter D--Other Illicit Drug Offenses

931  Distribution or Possession With Intent To Distribute
    (a) If very large scale (e.g., involving more than 200,000 doses), 
grade as Category Six [except as noted in (b) below];
    (b) Where the Commission finds that the offender had only a 
peripheral role*, grade conduct under (a) as Category Five;
    (c) If large scale (e.g., involving 20,000-200,000 doses), grade as 
Category Five;
    (d) If medium scale (e.g., involving 1,000-19,999 doses), grade as 
Category Four;
    (e) If small scale (e.g., involving 200-999 doses), grade as 
Category Three;
    (f) If very small scale (e.g., involving less than 200 doses), grade 
as Category Two.
932  Simple Possession
    Category One.


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    Notes to Chapter Nine:
    (1) Grade manufacture of synthetic illicit drugs as listed above, 
but not less than Category Five.
    (2) ``Equivalent amounts'' for the cocaine and opiate categories may 
be computed as follows: 1 gram of 100% pure is equivalent to 2 grams of 
50% pure and 10 grams of 10% pure, etc.
    (3) Grade unlawful possession or distribution of precursors of 
illicit drugs as Category Five (i.e., aiding and abetting the 
manufacture of synthetic illicit drugs).
    (4) If weight, but not purity is available, the following grading 
may be used:

                                 Heroin

Extremely large scale--6 kilograms or more
Very large scale--2-5.99 kilograms
Large scale--200 gms.-1.99 kilograms
Medium scale--28.35-199.99 gms.
Small scale--Less than 28.35 gms.

                                 Cocaine

Extremely large scale--18.75 kilograms or more
Very large scale--6.25-18.74 kilograms
Large scale--1.25-6.24 kilograms
Medium scale--200 gms.-1.24 kilograms
Small scale--20 gms.-199.99 gms.
Very small scale--4 gms.-19.99 gms.
Extremely small scale--Less than 4 gms.

            Chapter Ten  Offenses Involving National Defense

               Subchapter A--Treason and Related Offenses

1001  Treason
    Category Eight.
1002  Rebellion or Insurrection
    Category Seven.

               Subchapter B--Sabotage and Related Offenses

1011  Sabotage
    Category Eight.
1012  Enticing Desertion
    (a) In time of war or during a national defense emergency, grade as 
Category Four;
    (b) Otherwise, grade as Category Three.
1013  Harboring or Aiding a Deserter
    Category One.

              Subchapter C--Espionage and Related Offenses

1021  Espionage
    Category Eight.

                Subchapter D--Selective Service Offenses

1031  Failure to Register, Report for Examination or Induction
    (a) If committed during time of war or during a national defense 
emergency, grade as Category Four;
    (b) If committed when draftees are being inducted into the armed 
services, grade as Category Three;
    (c) Otherwise, grade as Category One.

              Subchapter E--Other National Defense Offenses

1041  Offenses Involving Nuclear Energy
    Unauthorized production, possession, or transfer of nuclear weapons 
or special nuclear material or receipt of or tampering with restricted 
data on nuclear weapons or special nuclear material, grade as Category 
Eight.
1042  Violations of Export Administration Act (50 U.S.C. 2410)
    Grade conduct involving ``national security controls'' or ``nuclear 
nonproliferation controls'' as Category Six.
1043 Violations of the Arms Control Act (22 U.S.C. 2278)
    (a) Grade conduct involving export of sophisticated weaponry (e.g., 
aircraft, helicopters, armored vehicles, or ``high technology'' items) 
as Category Six.
    (b) Grade Conduct involving export of other weapons (e.g., rifles, 
handguns, machine guns, or hand grenades) as if a weapons/explosive 
distribution offense under Offenses Involving Explosives and Weapons 
(Chapter Eight).

 Chapter Eleven--Offenses Involving Organized Crime Activity, Gambling, 
     Obscenity, Sexual Exploitation of Children, Prostitution, Non-
              Governmental Corruption, and the Environment

                 Subchapter A--Organized Crime Offenses

1101  Racketeer Influence and Corrupt Organizations (re: 18 U.S.C. 1961-
          63)
    Grade according to the underlying offense attempted, but not less 
than Category Five.
1102  Interstate or Foreign Travel or Transportation in Aid of 
          Racketeering Enterprise (re: 18 U.S.C. 1952)
    Grade according to the underlying offense attempted, but not less 
than Category Three.

                     Subchapter B--Gambling Offenses

1111  Gambling Law Violations--Operating or Employment in an Unlawful 
          Business (re: 18 U.S.C. 1955)
    (a) If large scale operation [e.g., Sports books (estimated daily 
gross more than $15,000); Horse books (estimated daily gross more than 
$4,000); Numbers bankers (estimated daily gross more than $2,000); Dice 
or card games (estimated daily `house cut' more than $1,000); video 
gambling (eight or more machines)]; grade as Category Four;
    (b) If medium scale operation [e.g., Sports books (estimated daily 
gross $5,000--$15,000); Horse books (estimated daily gross $1,500--
$4,000); Numbers bankers (estimated daily

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gross $750--$2,000); Dice or card games (estimated daily `house cut' 
$400--$1,000); video gambling (four-seven machines)]; grade as Category 
Three;
    (c) If small scale operation [e.g., Sports books (estimated daily 
gross less than $5,000); Horse books (estimated daily gross less than 
$1,500); Numbers bankers (estimated daily gross less than $750); Dice or 
card games (estimated daily `house cut' less than $400); video gambling 
(three or fewer machines)]; grade as Category Two;
    (d) Exception: Where it is established that the offender had no 
proprietary interest or managerial role, grade as Category One.
1112  Interstate Transportation of Wagering Paraphernalia (re: 18 U.S.C. 
          1953)
    Grade as if `operating a gambling business'.
1113  Wire Transmission of Wagering Information (re: 18 U.S.C. 1084)
    Grade as if ``operating a gambling business''.
1114  Operating or Owning a Gambling Ship (re: 18 U.S.C. 1082)
    Category Three.
1115  Importing or Transporting Lottery Tickets; Mailing Lottery Tickets 
          or Related Matter (re: 18 U.S.C. 1301, 1302)
    (a) Grade as if ``operating a gambling business'';
    (b) Exception: If non-commercial, grade as Category One.

                         Subchapter C--Obscenity

1121  Mailing, Importing, or Transporting Obscene Matter
    (a) If for commercial purposes, grade as Category Three;
    (b) Otherwise, Category One.
1122  Broadcasting Obscene Language
    Category One.

              Subchapter D--Sexual Exploitation of Children

1131  Sexual Exploitation of Children* (re: 18 U.S.C. 2251, 2252)
    (a) Category Six;
    (b) Exception: Where the Commission finds the offender had only a 
peripheral role (e.g., a retailer receiving such material for resale but 
with no involvement in the production or wholesale distribution of such 
material), grade as Category Five.

           Subchapter E--Prostitution and White Slave Traffic

1141  Interstate Transportation for Commercial Purposes
    (a) If physical coercion, or involving person(s) of age less than 
18, grade as Category Six;
    (b) Otherwise, grade as Category Four.
    1142  Prostitution
    Category One.

                Subchapter F--Non-Governmental Corruption

1151  Demand or Acceptance of Unlawful Gratuity Not Involving Federal, 
          State, or Local Government Officials
    Grade as if a fraud offense according to (1) the amount of the bribe 
offered or demanded, or (2) the financial loss to the victim, whichever 
is higher.
1152  Sports Bribery
    If the conduct involves bribery in a sporting contest, grade as if a 
theft offense according to the amount of the bribe, but not less than 
Category Three.

                     Subchapter G--Currency Offenses

1161  Reports on Monetary Instrument Transactions

    (a) If extremely large scale (e.g., the estimated gross amount of 
currency involved is more than $5,000,000), grade as Category Seven;
    (b) If very large scale (e.g., the estimated gross amount of 
currency involved is more than $1,000,000 but not more than $5,000,000), 
grade as Category Six;
    (c) If large scale (e.g., the estimated gross amount of currency 
involved is more than $200,000 but not more than $1,000,000), grade as 
Category Five;
    (d) If medium scale (e.g., the estimated gross amount of currency 
involved is at least $40,000 but not more than $200,000), grade as 
Category Four;
    (e) If small scale (e.g., the estimated gross amount of currency 
involved is less than $40,000), grade as Category Three.

                  Subchapter H--Environmental Offenses

1171   Knowing Endangerment Resulting From Unlawful Treatment, 
          Transportation, Storage, or Disposal of Hazardous Waste [Re: 
          42 U.S.C. 6928(e)]
    (a) If death results, grade as Category Seven;
    (b) If serious bodily injury results, grade as Category Six;
    (c) Otherwise, grade as Category Five.
    (d) Note: Knowing Endangerment requires a finding that the offender 
knowingly transported, treated, stored, or disposed of any hazardous 
waste and knew that he thereby placed another person in imminent danger 
of death or serious bodily injury.
1172  Knowing Disposal and/or Storage and Treatment of Hazardous Waste 
          Without a Permit; Transportation of Hazardous Waste to an 
          Unpermitted Facility [Re: 42 U.S.C. 6928(d)(1-2)]

    (a) If death results, grade as Category Six;
    (b) If (1) serious bodily injury results; or (2) a substantial 
potential for death or serious bodily injury in the future results; or 
(3) a substantial disruption to the environment results (e.g., estimated 
cleanup cost exceeds

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$200,000, or a community is evacuated for more than 72 hours), grade as 
Category Five;
    (c) If (1) bodily injury results, or (2) a significant disruption to 
the environment results (e.g., estimated cleanup costs of $40,000-
$200,000, or a community is evacuated for 72 hours or less), grade as 
Category Four;
    (d) Otherwise, grade as Category Three;
    (e) Exception: Where the offender is a non-managerial employee 
(i.e., a truck driver or loading dock worker) acting under the orders of 
another person, grade as two categories below the underlying offense, 
but not less than Category One.

                 Chapter Twelve  Miscellaneous Offenses

    If an offense behavior is not listed, the proper category may be 
obtained by comparing the severity of the offense behavior with those of 
similar offense behaviors listed in Chapters One-Eleven. If, and only 
if, an offense behavior cannot be graded by reference to Chapters One-
Eleven, the following formula may be used as a guide.

------------------------------------------------------------------------
 Maximum sentence authorized by statute (not necessarily the    Grading
                      sentence imposed)                       (category)
------------------------------------------------------------------------
< 2 years...................................................         1
2 to 3 years................................................         2
4 to 5 years................................................         3
6 to 10 years...............................................         4
11 to 20 years..............................................         5
21 to 29 years..............................................         6
30 years to life............................................         7
------------------------------------------------------------------------

             Chapter Thirteen  General Notes and Definitions

                       Subchapter A--General Notes

    1. If an offense behavior can be classified under more than one 
category, the most serious applicable category is to be used.
    2. If an offense behavior involved multiple separate offenses, the 
severity level may be increased. Exception: in cases graded as Category 
Seven, multiple separate offenses are to be taken into account by 
consideration of a decision above the guidelines rather than by 
increasing the severity level.
    (a) In certain instances, the guidelines specify how multiple 
offenses are to be rated. In offenses rated by monetary loss (e.g., 
theft and related offenses, counterfeiting, tax evasion) or drug 
offenses, the total amount of the property or drugs involved is used as 
the basis for the offense severity rating. In instances not specifically 
covered in the guidelines, the decision-makers must exercise discretion 
as to whether or not the multiple offense behavior is sufficiently 
aggravating to justify increasing the severity rating. The following 
chart is intended to provide guidance in assessing whether the severity 
of multiple offenses is sufficient to raise the offense severity level; 
it is not intended as a mechanical rule.

                       Multiple Separate Offenses
------------------------------------------------------------------------
             Severity               Points        Severity        Points
------------------------------------------------------------------------
Category One.....................    = 1/9  Category Five......      = 9
Category Two.....................    = 1/3  Category Six.......     = 27
Category Three...................     =  1  Category Seven.....     = 45
Category Four....................     =  3  ...................  .......
------------------------------------------------------------------------

Examples: 3 Category Five Offense [3x(9)=27]=Category Six, 5 Category 
          Five Offenses [5x(9)=45]=Category Seven, 2 Category Six 
          Offenses [2x(27)=54]=Category Seven

    (b) The term `multiple separate offenses' generally refers to 
offenses committed at different times. However, there are certain 
circumstances in which offenses committed at the same time are properly 
considered multiple separate offenses for the purpose of establishing 
the offense severity rating. These include (1) unrelated offenses, and 
(2) offenses involving the unlawful possession of weapons during 
commission of another offense.
    (c) For offenses graded according to monetary value (e.g., theft) 
and drug offenses, the severity rating is based on the amount or 
quantity involved and not on the number of separate instances.
    (d) Intervening Arrests. Where offenses ordinarily graded by 
aggregation of value/quantity (e.g., property or drug offenses) are 
separated by an intervening arrest, grade (1) by aggregation of value/
quantity or (2) as multiple separate offenses, whichever results in a 
higher severity category.
    (e) Income Tax Violations Related to Other Criminal Activity. Where 
the circumstances indicate that the offender's income tax violations are 
related to failure to report income from other criminal activity (e.g., 
failure to report income from a fraud offense) grade as tax evasion or 
according to the underlying criminal activity established, whichever is 
higher. Do not grade as multiple separate offenses.
    3. In cases where multiple sentences have been imposed (whether 
consecutive or concurrent, and whether aggregated or not) an offense 
severity rating shall be established to reflect the overall severity of 
the underlying criminal behavior. This rating shall apply whether or not 
any of the component sentences have expired.
    4. The prisoner is to be held accountable for his own actions and 
actions done in concert with others; however, the prisoner is not to be 
held accountable for activities committed by associates over which the 
prisoner has no control and could not have been reasonably expected to 
foresee. However, if the prisoner has been convicted of a conspiracy, he 
must be held accountable for the criminal

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activities committed by his co-conspirators, provided such activities 
were committed in furtherance of the conspiracy and subsequent to the 
date the prisoner joined the conspiracy. However, if the prisoner has 
been convicted of a conspiracy, he must be held accountable for the 
criminal activities committed by his co-conspirators, provided such 
activities were committed in furtherance of the conspiracy and 
subsequent to the date the prisoner joined the conspiracy, except in the 
case of an independent, small-scale operator whose role in the 
conspiracy was neither established nor significant. An offender has an 
``established'' role in a conspiracy if, for example, he takes orders to 
perform a function that assist others to further the objectives of the 
conspiracy, even if his activities did not significantly contribute to 
those objectives. For such offenders, however, a ``peripheral role'' 
reduction may be considered.
    5. The following are examples of circumstances that may be 
considered as aggravating factors: extreme cruelty or brutality to a 
victim; the degree of permanence or likely permanence of serious bodily 
injury resulting from the offender's conduct; an offender's conduct 
while attempting to evade arrest that causes circumstances creating a 
significant risk of harm to other persons (e.g., causing a high speed 
chase or provoking the legitimate firing of a weapon by law enforcement 
officers).
    6. The phrase ``may be considered an aggravating/mitigating factor'' 
is used in this index to provide guidance concerning certain 
circumstances which may warrant a decision above or below the 
guidelines. This does not restrict consideration of above or below 
guidelines decisions only to these circumstances, nor does it mean that 
a decision above or below the guidelines is mandated in every such case.

                        Subchapter B--Definitions

    1. ``Accessory after the fact'' refers to the conduct of one who, 
knowing an offense has been committed, assists the offender to avoid 
apprehension, trial, or punishment (e.g., by assisting in disposal of 
the proceeds of an offense).
    Note: Where the conduct consists of concealing an offense by making 
false statements not under oath, grade as ``misprision of felony''. 
Where the conduct consists of haboring a fugitive, grade as ``harboring 
a fugitive''.
    2. ``Assassination kit'' refers to a disguised weapon designed to 
kill without attracting attention. Unlike other weapons such as sawed-
off shotguns which can be used to intimidate, assassination kits are 
intended to be undetectable in order to make the victim and bystanders 
unaware of the threat. A typical assassination kit is usually, but not 
always, a firearm with a silencer concealed in a briefcase or similar 
disguise and fired without showing the weapon.
    3. ``Bodily injury'' refers to injury of a type normally requiring 
medical attention [e.g., broken bone(s), laceration(s) requiring 
stitches, severe bruises].
    4. ``Carnal knowledge'' refers to sexual intercourse with a female 
who is less than 16 years of age and is not the wife of the offender.
    5. ``Extortionate extension of credit'' refers to any extension of 
credit with respect to which it is the understanding of the creditor and 
the debtor at the time it is made that delay in making repayment or 
failure to make repayment could result in the use of violence or other 
criminal means to cause harm to the person, reputation, or property of 
any person.
    6. ``Failure to appear'' refers to the violation of court imposed 
conditions of release pending trial, appeal, or imposition or execution 
of sentence by failure to appear before the court or to surrender for 
service of sentence.
    7. ``Forcible felony'' includes, but shall not be limited to, 
kidnaping, rape or sodomy, aircraft piracy or interference with a flight 
crew, arson or property destruction offenses, escape, robbery, 
extortion, or criminal entry offenses, and attempts to commit such 
offenses.
    8. ``Involuntary manslaughter'' refers to the unlawful killing of a 
human being without malice in the commission of an unlawful act not 
amounting to a felony, or in the commission in a unlawful manner, or 
without due caution and circumspection, of a lawful act which might 
produce death.
    9. ``Misprision of felony'' refers to the conduct of one who, having 
knowledge of the actual commission of a felony, conceals and does not as 
soon as possible make known the same to some judge or other person in 
civil or military authority. The ``concealment'' described above 
requires an act of commission (e.g., making a false statement to a law 
enforcement officer).
    10. ``Murder'' refers to the unlawful killing of a human being with 
malice aforethought. ``With malice aforethought'' generally refers to a 
finding that the offender formed an intent to kill or do serious bodily 
harm to the victim without just cause or provocation.
    11. ``Opiate'' includes heroin, morphine, opiate derivatives, and 
synthetic opiate substitutes.
    12. ``Other illicit drug offenses'' include, but are not limited to, 
offenses involving the following: amphetamines, hallucinogens, 
barbiturates, methamphetamines, and phencyclidine (PCP).
    13. ``Other medium of exchange'' includes, but is not limited to, 
postage stamps, governmental money orders, or governmental coupons 
redeemable for cash or goods.

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    14. ``Peripheral role'' in drug offenses refers to conduct such as 
that of a person hired as a deckhand on a marijuana boat, a person hired 
to help offload marijuana, a person with no special skills hired as a 
simple courier of drugs on a commerical airline flight, or a person 
hired as a chauffeur in a drug transaction. This definition does not 
include persons with decision-making or supervisory authority, persons 
with relevant special skills (e.g., a boat captain, chemist, or airplane 
pilot), or persons who finance such operations. Individuals who 
transport unusually large amounts of drugs (e.g., 50 kilos of cocaine or 
more) or who otherwise appear to have a high degree of trust, 
professionalism, or control will be considered to be ``transporters'' 
and not ``simple couriers.''
    15. ``Protected person'' refers to a person listed in 18 U.S.C. 351 
(relating to Members of Congress), 1116 (relating to foreign officials, 
official guests, and internationally protected persons), or 1751 
(relating to presidential assassination and officials in line of 
succession).
    16. ``Serious bodily injury'' refers to injury creating a 
substantial risk of death, major disability or loss of a bodily 
function, or disfigurement.
    17. ``Serious bodily injury is the result intended'' refers to a 
limited category of offense behaviors where the circumstances indicate 
that the bodily injury intended was serious (e.g., throwing acid in a 
person's face, or firing a weapon at a person) but where it is not 
established that murder was the intended object. Where the circumstances 
establish that murder was the intended object, grade as an `attempt to 
murder'.
    18. ``Sexual exploitation of children'' refers to employing, using, 
inducing, enticing, or coercing a person less than 18 years of age to 
engage in any sexually explicit conduct for the purpose of producing a 
visual or print medium depicting such conduct with knowledge or reason 
to know that such visual or print medium will be distributed for sale, 
transported in interstate or foreign commerce, or mailed. It also 
includes knowingly transporting, shipping, or receiving such visual or 
print medium for the purposes of distributing for sale, or knowingly 
distribution for sale such visual or print medium.
    19. ``Trafficking in stolen property'' refers to receiving stolen 
property with intent to sell.
    20. The ``value of the property'' is determined by estimating the 
actual or potential replacement cost to the victim. The ``actual 
replacement cost'' is the value or money permanently lost to the victim 
through theft/forgery/fraud. The ``potential replacement cost'' refers 
to the total loss the offender specifically intended to cause by theft/
forgery/fraud, or the total amount of the victim's money or property 
unlawfully exposed to risk of loss through theft/forgery/fraud 
notwithstanding subsequent recovery by the victim. The highest of these 
three values is the value to be used in rating the offense on the 
guidelines.
    21. ``Voluntary manslaughter'' refers to the unlawful killing of a 
human being without malice upon a sudden quarrel or heat of passion.''

                      SALIENT FACTOR SCORING MANUAL

    The following instructions serve as a guide in computing the salient 
factor score.

ITEM A. PRIOR CONVICTIONS/ADJUDICATIONS (ADULT OR JUVENILE) [[None = 3; 
          One = 2; Two or three = 1; Four or more. . . . = 0]]

    A.1  In General. Count all convictions/adjudications (adult or 
juvenile) for criminal offenses (other than the current offense) that 
were committed prior to the present period of confinement, except as 
specifically noted. Convictions for prior offenses that are charged or 
adjudicated together (e.g., three burglaries) are counted as a single 
prior conviction, except when such offenses are separated by an 
intervening arrest (e.g., three convictions for larceny and a conviction 
for an additional larceny committed after the arrest for the first three 
larcenies would be counted as two prior convictions, even if all four 
offenses were adjudicated together). Do not count the current federal 
offense or state/local convictions resulting from the current federal 
offense (i.e., offenses that are considered in assessing the severity of 
the current offense). Exception: Where the first and last overt acts of 
the current offense behavior are separated by an intervening federal 
conviction (e.g., after conviction for the current federal offense, the 
offender commits another federal offense while on appeal bond), both 
offenses are counted in assessing offense severity; the earlier offense 
is also counted as a prior conviction in the salient factor score.
    A.2  Convictions. (a) Felony convictions are counted. Non-felony 
convictions are counted, except as listed under (b) and (c). Convictions 
for driving while intoxicated/while under the influence/while impaired, 
or leaving the scene of an accident involving injury or an attended 
vehicle are counted. For the purpose of scoring Item A of the salient 
factor score, use the offense of conviction.
    (b) Convictions for the following offenses are counted only if the 
sentence resulting was a commitment of more than thirty days (as defined 
in item B) or probation of one year or more (as defined in Item E), or 
if the record indicates that the offense was classified by the 
jurisdiction as a felony (regardless of sentence):
    1. Contempt of court;

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    2. Disorderly conduct/disorderly person/breach of the peace/
disturbing the peace/uttering loud and abusive language;
    3. Driving without a license/with a revoked or suspended license/
with a false license;
    4. False information to a police officer;
    5. Fish and game violations;
    6. Gambling (e.g., betting on dice, sports, cards) [Note: Operation 
or promotion of or employment in an unlawful gambling business is not 
included herein];
    7. Loitering;
    8. Non-support;
    9. Prostitution;
    10. Resisting arrest/evade and elude;
    11. Trespassing;
    12. Reckless driving;
    13. Hindering/failure to obey a police officer;
    14. Leaving the scene of an accident (except as listed under (a)).
    (c) Convictions for certain minor offenses are not counted, 
regardless of sentence. These include:
    1. Hitchhiking;
    2. Local regulatory violations;
    3. Public intoxication/possession of alcohol by a minor/possession 
of alcohol in an open container;
    4. Traffic violations (except as specifically listed);
    5. Vagrancy/vagabond and rogue;
    6. Civil contempt.
    A.3  Juvenile Conduct. Count juvenile convictions/adjudications 
except as follows:
    (a) Do not count any status offense (e.g., runaway, truancy, 
habitual disobedience) unless the behavior included a criminal offense 
which would otherwise be counted;
    (b) Do not count any criminal offense committed at age 15 or less, 
unless it resulted in a commitment of more than 30 days.
    A.4  Military Conduct. Count military convictions by general or 
special court-martial (not summary court-maritial or Article 15 
disciplinary proceeding) for acts that are generally prohibited by 
civilian criminal law (e.g., assault, theft). Do not count convictions 
for strictly military offenses. Note: This does not preclude 
consideration of serious or repeated military misconduct as a negative 
indicant of parole prognosis (i.e., a possible reason for overriding the 
salient factor score in relation to this item).
    A.5  Diversion. Conduct resulting in diversion from the judicial 
process without a finding of guilt (e.g., deferred prosecution, 
probation without plea) is not to be counted in scoring this item. 
However, behavior resulting in a judicial determination of guilt or an 
admission of guilt before a judicial body shall be counted as a 
conviction even if a conviction is not formally entered.
    A.6  Setting Aside of Convictions/Restoration of Civil Rights 
Setting aside or removal of juvenile convictions/adjudications is 
normally for civil purposes (to remove civil penalties and stigma). Such 
convictions/adjudications are to be counted for purposes of assessing 
parole prognosis. This also applies to adult convictions/adjudications 
which may be set aside by various methods (including pardon). However, 
convictions/adjudications that were set aside or pardoned on grounds of 
innocence are not to be counted.
    A.7  Convictions Reversed or Vacated on Grounds of Constitutional or 
Procedural Error. Exclude any conviction reversed or vacated for 
constitutional or procedural grounds, unless the prisoner has been 
retried and reconvicted. It is the Commission's presumption that a 
conviction/adjudication is valid, except under the limited circumstances 
described in the first note below. If a prisoner challenges such 
conviction he/she should be advised to petition for a reversal of such 
conviction in the court in which he/she was originally tried, and then 
to provide the Commission with evidence of such reversal. Note: 
Occasionally the presentence report documents facts clearly indicating 
that a conviction was unconstitutional for deprivation of counsel [this 
occurs only when the conviction was for a felony, or for a lesser 
offense for which imprisonment was actually imposed; and the record is 
clear that the defendant (1) was indigent, and (2) was not provided 
counsel, and (3) did not waive counsel]. In such case, do not count the 
conviction. Similarly, do not count a conviction if: (1) the offender 
has petitioned the appropriate court to overturn a felony conviction 
that occurred prior to 1964, or a misdemeanor/petty offense conviction 
that occurred prior to 1973 (and the offender claims he served a jail 
sentence for the non-felony conviction); (2) the offender asserts he was 
denied his right to counsel in the prior conviction; and (3) the 
offender provides evidence (e.g., a letter from the court clerk) that 
the records of the prior conviction are unavailable. Note: If a 
conviction found to be invalid is nonetheless supported by persuasive 
information that the offender committed the criminal act, this 
information may be considered as a negative indicant of parole prognosis 
(i.e., a possible reason for overriding the salient factor score).
    A.8  Ancient Prior Record. If both of the following conditions are 
met: (1) The offender's only countable convictions under Item A occurred 
at least ten years prior to the commencement of the current offense 
behavior (the date of the last countable conviction under Item A refers 
to the date of the conviction, itself, not the date of the offense 
leading to conviction), and (2) there is at least a ten year commitment 
free period in the community (including time on probation or parole) 
between the last release from a countable commitment (under Item B) and 
the commencement of the current offense behavior; then convictions/
commitments prior to the above ten year period are not to be

[[Page 121]]

counted for purposes of Item A, B, or C. Note: This provision does not 
preclude consideration of earlier behavior (e.g., repetition of 
particularly serious or assaultive conduct) as a negative indicant of 
parole prognosis (i.e., a possible reason for overriding the salient 
factor score). Similarly, a substantial crime free period in the 
community, not amounting to ten years, may, in light of other factors, 
indicate that the offender belongs in a better risk category than the 
salient factor score indicates.
    A.9  Foreign Convictions. Foreign convictions (for behavior that 
would be criminal in the United States) are counted.
    A.10  Tribal Court Convictions. Tribal court convictions are counted 
under the same terms and conditions as any other conviction.
    A.11  Forfeiture of Collateral. If the only known disposition is 
forfeiture of collateral, count as a conviction (if a conviction for 
such offense would otherwise be counted).
    A.12  Conditional/Unconditional Discharge (New York State). In N.Y. 
State, the term ``conditional discharge'' refers to a conviction with a 
suspended sentence and unsupervised probation; the term ``unconditional 
discharge'' refers to a conviction with a suspended sentence. Thus, such 
N.Y. State dispositions for countable offenses are counted as 
convictions.
    A.13 Adjudication Withheld (Florida). In Florida, the term 
``adjudication withheld'' refers to a disposition in which a formal 
conviction is not entered at the time of sentencing, the purpose of 
which is to allow the defendant to retain his civil rights and not to be 
classified as a convicted felon. Since the disposition of adjudication 
withheld is characterized by an admission of guilt and/or a finding of 
guilt before a judicial body, dispositions of ``adjudication withheld'' 
are to be counted as convictions for salient factor scoring purposes. 
However, it is not considered a conviction on which forfeiture of street 
time can be based.

ITEM B. PRIOR COMMITMENTS OF MORE THAN THIRTY DAYS (ADULT OR JUVENILE) 
          [[None=-2; One or two=1; Three or more=0]]

    B.1  Count all prior commitments of more than thirty days (adult or 
juvenile) resulting from a conviction/adjudication listed under Item A, 
except as noted below. Also count commitments of more than thirty days 
imposed upon revocation of probation or parole where the original 
probation or parole resulted from a conviction/adjudication counted 
under Item A.
    B.2  Count only commitments that were imposed prior to the 
commission of the last overt act of the current offense behavior. 
Commitments imposed after the current offense are not counted for 
purposes of this item. Concurrent or consecutive sentences (whether 
imposed as the same time or at different times) that result in a 
continuous period of confinement count as a single commitment. However, 
a new court commitment of more than thirty days imposed for an escape/
attempted escape or for criminal behavior committed while in 
confinement/escape status counts as a separate commitment.
    B.3  Definitions. (a) This item only includes commitments that were 
actually imposed. Do not count a suspended sentence as a commitment. Do 
not count confinement pending trial or sentencing or for study and 
observation as a commitment unless the sentence is specifically to 
``time served''. If a sentence imposed is subsequently reconsidered and 
reduced, do not count as a commitment if it is determined that the total 
time served, including jail time, was 30 days or less. Count a sentence 
to intermittent confinement (e.g., weekends) totalling more than 30 
days.
    (b) This item includes confinement in adult or juvenile 
institutions, and residential treatment centers. It does not include 
foster home placement. Count confinement in a community treatment center 
when part of a committed sentence. Do not count confinement in a CTC 
when imposed as a condition of probation or parole. Do not count self-
commitment for drug or alcohol treatment.
    (c) If a committed sentence of more then thirty days is imposed 
prior to the current offense but the offender avoids or delays service 
of the sentence (e.g., by absconding, escaping, bail pending appeal), 
count as a prior commitment. Note: Where the subject unlawfully avoids 
service of a prior commitment by escaping or failing to appear for 
service of sentence, this commitment is also to be considered in Items D 
and E. Example: An offender is sentenced to a term of three years 
confinement, released on appeal bond, and commits the current offense. 
Count as a previous commitment under Item B, but not under Items D and 
E. To be considered under Items D and E, the avoidance of sentence must 
have been unlawful (e.g., escape or failure to report for service or 
sentence).

ITEM C. AGE AT COMMENCEMENT OF THE CURRENT OFFENSE/PRIOR COMMITMENTS OF 
          MORE THAN THIRTY DAYS (ADULT OR JUVENILE)

    C.1  If the subject was 26 years of age or more at the commencement 
of the current offense and has 3 or fewer prior commitments, score 3; if 
four prior commitments, score 2; if five or more prior commitments, 
score 1.
    C.2  If the subject was 22-25 years of age at the commencement of 
the current offense and has three or fewer prior commitments, score 2; 
if four prior commitments, score 1; if five or more prior commitments, 
score 0.
    C.3  If the subject was 20-21 years of age at the commencement of 
the current offense

[[Page 122]]

and has three or fewer prior commitments, score 1; if four or more prior 
commitments, score 0.
    C.4  If the subject was 19 years of age or less at the commencement 
of the current offense, score 0.
    C.5  Definitions (a) Use the age of the commencement of the 
subject's current offense behavior, except as noted under the special 
instructions for probation/parole/confinement/escape status violators.
    (b) Prior commitment is defined under Item B.

ITEM D. RECENT COMMITMENT FREE PERIOD (THREE YEARS)

    D.1  Score 1 if the subject has no prior commitments; or if the 
subject was released to the community from his/her last prior commitment 
at least three years prior to commencement of his/her current offense 
behavior.
    D.2  Score 0 if the subject's last release to the community from a 
prior commitment occurred less than three years prior to the current 
offense behavior; or if the subject was in confinement/escape status at 
the time of the current offense.
    D.3  Definitions. (a) Prior commitment is defined under Item B.
    (b) Confinement/escape status is defined under Item E.
    (c) Release to the community means release from confinement status 
(e.g., a person paroled through a CTC is released to the community when 
released from the CTC, not when placed in the CTC).

ITEM E. PROBATION/PAROLE/CONFINEMENT/ESCAPE STATUS VIOLATOR THIS TIME

    E.1  Score 1 if the subject was not on probation or parole, nor in 
confinement or escape status at the time of the current offense 
behavior; and was not committed as a probation, parole, confinement, or 
escape status violator this time.
    E.2  Score 0 if the subject was on probation or parole or in 
confinement or escape status at the time of the current offense 
behavior; or if the subject was committed as a probation, parole, 
confinement, or escape status violator this time.
    E.3  Definitions. (a) The term probation/parole refers to a period 
of federal, state, or local probation or parole supervision. 
Occasionally, a court disposition such as `summary probation' or 
`unsupervised probation' will be encountered. If it is clear that this 
disposition involved no attempt at supervision, it will not be counted 
for purposes of this item. Note: Unsupervised probation/parole due to 
deportation is counted in scoring this item.
    (b) The term `parole' includes parole, mandatory parole, conditional 
release, or mandatory release supervision (i.e., any form of supervised 
release).
    (c) The term `confinement/escape status' includes institutional 
custody, work or study release, pass or furlough, community treatment 
center confinement, or escape from any of the above.

ITEM F. OLDER OFFENDERS

    G.1  Score 1 if the offender was 41 years of age or more at the 
commencement of the current offense and the total score from Items A-F 
is 9 or less.
    G.2  Score 0 if the offender was less than 41 years of age at the 
commencement of the current offense or if the total score from Items A-F 
is 10.

            Special Instructions--Federal Probation Violators

    Item A  Count the original federal offense as a prior conviction. Do 
not count the conduct leading to probation revocation as a prior 
conviction.
    Item B  Count all prior commitments of more than thirty days which 
were imposed prior to the behavior resulting in the current probation 
revocation. If the subject is committed as a probation violator 
following a `split sentence' for which more than thirty days were 
served, count the confinement portion of the `split sentence' as a prior 
commitment. Note: The prisoner is still credited with the time served 
toward the current commitment.
    Item C  Use the age at commencement of the probation violation, not 
the original offense.
    Item D  Count backwards three years from the commencement of the 
probation violation.
    Item E  By definition, no point is credited for this item. 
Exception: A case placed on unsupervised probation (other than for 
deportation) would not lose credit for this item.
    Item F  No special instructions.
    Item G  Use the age at commencement of the probation violation, not 
the original offense.

             Special Instructions--Federal Parole Violators

    Item A  The conviction from which paroled counts as a prior 
conviction.
    Item B  The commitment from which paroled counts as a prior 
commitment.
    Item C  Use the age at commencement of the new criminal behavior/
parole violation behavior.
    Item D  Count backwards three years from the commencement of the new 
criminal behavior/parole violation behavior.
    Item E  By definition, no point is credited for this item.
    Item F  No special instructions.
    Item G  Use the age at commencement of the new criminal/parole 
violation behavior.

[[Page 123]]

 Special Instructions--Federal Confinement/Escape Status Violators With 
                 New Criminal Behavior in the Community

    Item A  The conviction being served at the time of the confinement/
escape status violation counts as a prior conviction.
    Item B  The commitment being served at the time of the confinement/
escape status violation counts as a prior commitment.
    Item C  Use the age at commencement of the confinement/escape status 
violation.
    Item D  By definition, no point is credited for this item.
    Item E  By definition, no point is credited for this item.
    Item F  No special instructions.
    Item G  Use the age at commencement of the confinement/escape status 
violation.

(18 U.S.C. 4203(a)(1); 18 U.S.C. 4204(a)(6))

[47 FR 56336, Dec. 16, 1982]

    Editorial Note: For Federal Register citations affecting Sec. 2.20, 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.



Sec. 2.21  Reparole consideration guidelines.

    (a)(1) If revocation is based upon administrative violation(s) only, 
grade the behavior as if a Category One offense under Sec. 2.20.
    (2) If a finding is made that the prisoner has engaged in behavior 
constituting new criminal conduct, the appropriate severity rating for 
the new criminal behavior shall be calculated. New criminal conduct may 
be determined either by a new federal, state, or local conviction or by 
an independent finding by the Commission at revocation hearing. As 
violations may be for state or local offenses, the appropriate severity 
level may be determined by analogy with listed federal offense 
behaviors.
    (b) The guidelines for parole consideration specified at 28 CFR 2.20 
shall then be applied with the salient factor score recalculated. The 
conviction and commitment from which the offender was released shall be 
counted as a prior conviction and commitment.
    (c) Time served on a new state or federal sentence shall be counted 
as time in custody for reparole guideline purposes. This does not affect 
the computation of the expiration date of the violator term as provided 
by Secs. 2.47(d) and 2.52 (c) and (d).
    (d) The above are merely guidelines. A decision outside these 
guidelines (either above or below) may be made when circumstances 
warrant.

[50 FR 40368, Oct. 3, 1985]



Sec. 2.22  Communication with the Commission.

    Attorneys, relatives, or interested parties wishing a personal 
interview to discuss a specific case with a representative of the 
Commission must submit a written request to the appropriate office 
setting forth the nature of the information to be discussed. Such 
interview may be conducted by a Commissioner or assigned staff, and a 
written summary of each such interview shall be prepared and placed in 
the prisoner's file.

[43 FR 22707, May 28, 1978]



Sec. 2.23  Delegation to hearing examiners.

    (a) There is hereby delegated to hearing examiners the authority 
necessary to conduct hearings and to make recommendations relative to 
the grant or denial of parole or reparole, revocation or reinstatement 
of parole or mandatory release, and conditions of parole. Any hearing 
may be conducted by a single examiner or by a panel of examiners. A 
Executive Hearing Examiner shall function as a hearing examiner for the 
purpose of obtaining a panel recommendation whenever the Regional 
Commissioner has not ordered that a hearing be conducted by a panel of 
two examiners.
    (b) The concurrence of two hearing examiners, or of a hearing 
examiner and the Executive Hearing Examiner, shall be required to obtain 
a panel recommendation to the Regional Commissioner. A panel 
recommendation is required in each case decided by a Regional 
Commissioner after the holding of a hearing.
    (c) An examiner panel recommendation consists of two concurring 
examiner votes. In the event of divergent votes, the case shall be 
referred to another hearing examiner (or to the Executive Hearing 
Examiner in the case

[[Page 124]]

of a hearing conducted by a panel of examiners) for another vote. If 
concurring votes do not result from such a referral, the case shall be 
referred to any available hearing examiner until a panel recommendation 
is obtained.
    (d) A recommendation of a hearing examiner panel shall become an 
effective Commission decision only upon the Regional Commissioner's 
approval, and docketing at the regional office.

[44 FR 3408, Jan. 16, 1979, as amended at 45 FR 84052, Dec. 12, 1980; 59 
FR 45625, Sept. 2, 1994; 60 FR 51349, Oct. 2, 1995]



Sec. 2.24  Review of panel recommendation by the Regional Commissioner.

    (a) A Regional Commissioner may review the recommendation of any 
examiner panel and refer this recommendation, prior to written 
notification to the prisoner, with his recommendation and vote to the 
National Commissioners for consideration and any action deemed 
appropriate. Written notice of this referral action shall be mailed or 
transmitted to the prisoner within twenty-one days of the date of the 
hearing. The Regional Commissioner and each National Commissioner shall 
have one vote and decisions shall be based upon the concurrence of two 
votes. Action shall be taken by the National Commissioners within thirty 
days of the date of referral action by the Regional Commissioner, except 
in emergencies.
    (b) Notwithstanding the provisions of paragraph (a) of this section, 
a Regional Commissioner may:
    (1) On his own motion, modify or reverse the recommendation of a 
hearing examiner panel that is outside the guidelines to bring the 
decision closer to (or to) the nearer limit of the appropriate guideline 
range; or
    (2) On his own motion, modify the recommendation of a hearing 
examiner panel to bring the decision to a date not to exceed six months 
from the date recommended by the examiner panel;
    (3) Return the case to the institution for a rehearing, provided 
that a notice of action is sent to the prisoner specifying the purpose 
of the rehearing;
    (4) Designate the case for the original jurisdiction of the 
Commission pursuant to Sec. 2.17.

[42 FR 39809, Aug. 5, 1977, as amended at 45 FR 84053, Dec. 22, 1980; 46 
FR 35639, July 10, 1981]



Sec. 2.25  [Reserved]



Sec. 2.26  Appeal to National Appeals Board.

    (a) A prisoner or parolee may submit to the National Appeals Board a 
written appeal of any decision to grant (other than a decision to grant 
parole on the date of parole eligibility), rescind, deny, or revoke 
parole, except that any appeal of a Commission decision pursuant to 
Sec. 2.17 shall be pursuant to Sec. 2.27. This appeal must be filed on a 
form provided for that purpose within thirty days from the date of entry 
of such decision. No exhibits are to be attached to an administrative 
appeal unless the documents therein contain new information and 
materials not already in the possession of the Commission. Any submitted 
exhibits which are copies of material already in the Commission's files 
will not be retained by the Commission.
    (b)(1) The National Appeals Board may: Affirm the decision of a 
Regional Commissioner on the vote of a single Commissioner other than 
the Commissioner who issued the decision from which the appeal is taken; 
or modify or reverse the decision of a Regional Commissioner, or order a 
new hearing, upon the concurrence of two Commissioners. The Commissioner 
first reviewing the case may in his discretion circulate the case for 
review and vote by the other Commissioners notwithstanding his own vote 
to affirm the Regional Commissioner's decision. In such event, the case 
shall be decided by the concurrence of two out of three votes.
    (2) All Commissioners serve as members of the National Appeals 
Board, and it shall in no case be an objection to a decision of the 
Board that the Commissioner who issued the decision from which an appeal 
is taken participated as a voting member on appeal.
    (c) The National Appeals Board shall act within sixty days of 
receipt of the appellant's papers, to affirm, modify, or reverse the 
decision. Decisions of

[[Page 125]]

the National Appeals Board shall be final.
    (d) If no appeal is filed within thirty days of the date of entry of 
the original decision, such decision shall stand as the final decision 
of the Commission.
    (e) Appeals under this section may be based upon the following 
grounds:
    (1) That the guidelines were incorrectly applied as to any or all of 
the following:
    (i) Severity rating;
    (ii) Salient factor score;
    (iii) Time in custody;
    (2) That a decision outside the guidelines was not supported by the 
reasons or facts as stated;
    (3) That especially mitigating circumstances (for example, facts 
relating to the severity of the offense or the prisoner's probability of 
success on parole) justify a different decision;
    (4) That a decision was based on erroneous information, and the 
actual facts justify a different decision;
    (5) That the Commission did not follow correct procedure in deciding 
the case, and a different decision would have resulted if the error had 
not occurred;
    (6) There was significant information in existence but not known at 
the time of the hearing;
    (7) There are compelling reasons why a more lenient decision should 
be rendered on grounds of compassion.
    (f) Upon the written request of the Attorney General seeking review 
of a decision of a Regional Commissioner, which is received within 30 
days of such decision, the National Appeals Board shall reaffirm, 
modify, or reverse the Regional Commissioner's decision within 60 days 
of receipt of the Attorney General's request. The National Appeals Board 
shall inform the Attorney General and the prisoner to whom the decision 
applies in writing of its decision and the reasons therefor. In the 
event the Attorney General submits new and significant information that 
has not previously been disclosed to the prisoner prior to a hearing 
under these rules, the National Appeals Board shall act within 60 days 
to reaffirm, modify or reverse the Regional Commissioner's decision, but 
shall also remand the case for a new hearing if its decision is adverse 
to the prisoner. The prisoner shall have disclosure of the new 
information, and the opportunity to dispute that information under 
Sec. 2.19(c) of this part. Following the hearing, the case shall be 
returned to the National Appeals Board, together with a recommendation 
from the hearing examiner, to render a final Commission decision as to 
the disposition of the case.

[49 FR 44098, Nov. 2, 1984, as amended at 51 FR 32785, Sept. 16, 1986; 
59 FR 40258, Aug. 8, 1994; 61 FR 55743, Oct. 29, 1996]



Sec. 2.27  Petition for reconsideration of original jurisdiction decisions.

    (a) A petition for reconsideration may be filed with the Commission 
in cases decided under the procedure specified in Sec. 2.17 within 
thirty days of the date of such decision. A form is provided for this 
purpose. A petition for reconsideration will be reviewed at the next 
regularly scheduled meeting of the Commission provided the petition is 
received thirty days in advance of such meeting. Petitions received by 
the Commission less than thirty days in advance of a regularly scheduled 
meeting will be reviewed at the next regularly scheduled meeting. The 
concurrence of two Commissioners shall be required to modify or reverse 
the decision for which reconsideration is sought. If such concurrence is 
not obtained, the previous decision shall stand. A decision under this 
rule shall be final.
    (b) Attorneys, relatives, and other interested parties who wish to 
submit written information concerning a petition for reconsideration 
should send such information to the National Appeals Board, United 
States Parole Commission, 5550 Friendship Boulevard, Chevy Chase, 
Maryland 20815. Petitions and all supporting material are to be 
submitted thirty days in advance of the meeting at which such petitions 
will be considered.
    (c) If no petition for reconsideration is filed within 30 days of 
the entry of a decision under Sec. 2.17, that decision shall stand as 
the final decision of the Commission.

[61 FR 13763, Mar. 28, 1996, as amended at 61 FR 55743, Oct. 29, 1996]

[[Page 126]]



Sec. 2.28  Reopening of cases.

    (a) Favorable information. Notwithstanding the appeal procedures of 
Sec. 2.26, the appropriate Regional Commissioner may, on his own motion, 
reopen a case at any time upon the receipt of new information of 
substantial significance favorable to the prisoner. The Regional 
Commissioner may then order a new institutional hearing on the next 
docket, or reverse or modify the decision. The following actions require 
the concurrence of two out of three Commissioners:
    (1) Any modification resulting in a reduction of more than 180 days 
(other than a modification that brings a decision from above the 
appropriate guideline range closer to, or to, the nearer limit of the 
appropriate guideline range);
    (2) Any modification resulting in a decision below the appropriate 
guideline range;
    (3) Reversal of a decision (i.e., any modification of a fifteen-year 
reconsideration hearing decision to a presumptive or effective parole 
date). Decisions requiring a second or additional vote shall be referred 
to the National Commissioners under the procedures of 28 CFR 2.24(a). 
Original jurisdiction cases may be reopened upon the motion of the 
appropriate Regional Commissioner under the procedures of Sec. 2.17.
    (b) Institutional misconduct. Consideration of disciplinary 
infractions and allegations of new criminal conduct occurring after the 
setting of a parole date are subject to the provisions of Sec. 2.14 (in 
the case of a prisoner with a presumptive date) and Sec. 2.34 (in the 
case of a prisoner with an effective date of parole).
    (c) Additional sentences. If a prisoner receives an additional 
concurrent or consecutive federal sentence following his initial parole 
consideration, the Regional Commissioner shall reopen his case for a new 
initial hearing on the next regularly scheduled docket to consider the 
additional sentence and reevaluate the case. Such action shall void the 
previous presumptive or effective release date. However, a new initial 
hearing is not mandatory where the Commission has previously evaluated 
the new criminal behavior, which led to the additional federal sentence, 
at a rescission hearing under 28 CFR 2.34; except where the new sentence 
extends the mandatory release date for a prisoner previously continued 
to the expiration of his sentence.
    (d) Conviction after revocation. Upon receipt of information 
subsequent to the revocation hearing that a prisoner whose parole has 
been revoked has sustained a new conviction for conduct while on parole, 
the Regional Commissioner may reopen the case pursuant to 
Sec. 2.52(c)(2) for a special reconsideration hearing on the next 
regularly scheduled docket to consider forfeiture of time spent on 
parole and such further action as may be appropriate. The entry of a new 
order shall void any presumptive or effective release date previously 
established.
    (e) Release planning. When an effective date of parole has been set 
by the Commission, release on that date shall be conditioned upon the 
completion of a satisfactory plan for parole supervision. The 
appropriate Regional Commissioner may on his own motion reconsider any 
case prior to release and may reopen and advance or retard an effective 
parole date for purposes of release planning. Retardation without a 
hearing may not exceed 120 days.
    (f) New adverse information. Upon receipt of new and significant 
adverse information that is not covered by paragraphs (a) through (e) of 
this section, a Commissioner may refer the case to the National 
Commissioners with his recommendation and vote to schedule the case for 
a special reconsideration hearing. Such referral shall automatically 
retard the prisoner's scheduled release date until a final decision is 
reached in the case. The decision to schedule a case for a special 
reconsideration hearing shall be based on the concurrence of two 
Commissioner votes, including the vote of the referring Commissioner. 
The hearing shall be conducted in accordance with the procedures set 
forth in Secs. 2.12 and 2.13. The entry of a new order following such 
hearing shall void the previously established release date.

[44 FR 3406, Jan. 16, 1979, as amended at 46 FR 36138, July 14, 1981; 49 
FR 44098, Nov. 2, 1984; 61 FR 55743, Oct. 29, 1996]

[[Page 127]]



Sec. 2.29  Release on parole.

    (a) A grant of parole shall not be deemed to be operative until a 
certificate of parole has been delivered to the prisoner.
    (b) An effective date of parole shall not be set for a date more 
than nine months from the date of the hearing. Residence in a Community 
Treatment Center as part of a parole release plan generally shall not 
exceed one hundred and twenty days.
    (c) When an effective date of parole falls on a Saturday, Sunday, or 
legal holiday, the Warden of the appropriate institution shall be 
authorized to release the prisoner on the first working day preceding 
such date.

[42 FR 39809, Aug. 5, 1977, as amended at 44 FR 3407, Jan. 16, 1979; 60 
FR 51350, Oct. 2, 1995]



Sec. 2.30  False information or new criminal conduct: Discovery after release.

    If evidence comes to the attention of the Commission after a 
prisoner's release that such prisoner has willfully provided false 
information or misrepresented information deemed significant to his 
application for parole or has engaged in any criminal conduct during the 
current sentence prior to the delivery of the parole certificate, the 
Regional Commissioner may reopen the case pursuant to the procedures of 
Sec. 2.28(f) and order the prisoner summoned or retaken for hearing 
pursuant to the procedures of Secs. 2.49 and 2.50, as applicable, to 
determine whether the order of parole should be cancelled.

[47 FR 36635, Aug. 23, 1982]



Sec. 2.31  Parole to detainers: Statement of policy.

    (a) Where a detainer is lodged against a prisoner, the Commission 
may grant parole if the prisoner in other respects meets the criteria 
set forth in Sec. 2.18. The presence of a detainer is not in itself a 
valid reason for the denial of parole.
    (b) The Commission will cooperate in working out arrangements for 
concurrent supervision with other jurisdictions where it is feasible and 
where release on parole appears to be justified.



Sec. 2.32  Parole to local or immigration detainers.

    (a) When a State or local detainer is outstanding against a prisoner 
whom the Commission wishes to parole, the Commission may order either of 
the following:
    (1) Parole to the actual physical custody of the detaining 
authorities only. In this event, release is not to be effected except to 
the detainer. When such a detainer is withdrawn, the prisoner is not to 
be released unless and until the Commission makes a new order of parole.
    (2) Parole to the actual physical custody of the detaining 
authorities or an approved plan. In this event, release is to be 
effected to the community if detaining officials withdraw the detainer 
or make no effort to assume custody of the prisoner, providing there is 
an acceptable plan for community supervision.
    (b) When the Commission wishes to parole a prisoner subject to a 
detainer filed by Federal immigration officials, the Commission shall 
order the following: Parole to the actual physical custody of the 
immigration authorities or an approved plan. In this event, release is 
to be effected regardless of whether immigration officials take the 
prisoner into custody, providing there is an acceptable plan for 
community supervision.
    (c) As used in this section ``parole to a detainer'' means release 
to the ``physical custody'' of the authorities who have lodged the 
detainer. Temporary detention in a jail in the county where the 
institution of confinement is located does not constitute release on 
parole to such detainer. If the authorities who lodged the detainer do 
not take the prisoner into custody for any reason, he shall be returned 
to the institution to await further order of the Commission.

[43 FR 38822, Aug. 31, 1978, as amended at 44 FR 3409, Jan. 16, 1979; 44 
FR 31637, June 1, 1979; 44 FR 34494, June 15, 1979; 47 FR 36635, Aug. 
23, 1982]



Sec. 2.33  Release plans.

    (a) A grant of parole is conditioned upon the approval of release 
plans by the Regional Commissioner. In general,

[[Page 128]]

the following factors are considered as elements in the prisoner's 
release plan:
    (1) Availability of legitimate employment and an approved residence 
for the prospective parolee; and
    (2) Availability of necessary aftercare for a parolee who is ill or 
who requires special care.
    (b) Generally, parolees will be released only to the place of their 
legal residence unless the Commission is satisfied that another place of 
residence will serve the public interest more effectively or will 
improve the probability of the applicant's readjustment.
    (c) Where the circumstances warrant, the Commission on its own 
motion, or upon recommendation of the probation officer, may require 
that an adviser who is a responsible, reputable, and law-abiding citizen 
living in or near the community in which the releasee will reside be 
available to the releasee. Such advisor shall serve under the direction 
of and in cooperation with the probation officer to whom the parolee is 
assigned.
    (d) When the prisoner has an unsatisfied fine or restitution order, 
a reasonable plan for payment [or performance of services, if so ordered 
by the court] shall, where feasible, be included in the parole release 
plan.

[42 FR 39809, Aug. 5, 1977; 42 FR 44234, Sept. 2, 1977, as amended at 50 
FR 36422, Sept. 6, 1985]



Sec. 2.34  Rescission of parole.

    (a) When an effective date of parole has been set by the Commission, 
release on that date is conditioned upon continued satisfactory conduct 
by the prisoner. If a prisoner granted such a date has been found in 
violation of institution rules by a disciplinary hearing officer or is 
alleged to have committed a new criminal act at any time prior to the 
delivery of the certificate of parole, the Regional Commissioner shall 
be advised promptly of such information. The prisoner shall not be 
released until the institution has been notified that no change has been 
made in the Commission's order to parole. Following receipt of such 
information, the Regional Commissioner may reopen the case and retard 
the parole date for up to 90 days without a hearing, or schedule a 
rescission hearing under this section on the next available docket at 
the institution or on the first docket following return to a federal 
institution from a Community Treatment Center or a state or local 
halfway house.
    (b) Upon the ordering of a rescission hearing under this section, 
the prisoner shall be afforded written notice specifying the information 
to be considered at the hearing. The notice shall further state that the 
purpose of the hearing will be to decide whether rescission of the 
parole date is warranted based on the charges listed on the notice, and 
shall advise the prisoner of the procedural rights described below.
    (c) A hearing before a disciplinary hearing officer resulting in a 
finding that the prisoner has committed a violation of disciplinary 
rules may be relied upon by the Commission as conclusive evidence of 
institutional misconduct. However, the prisoner will be afforded an 
opportunity to explain any mitigating circumstances, and to present 
documentary evidence in mitigation of the misconduct at the rescission 
hearing.
    (d) In the case of allegations of new criminal conduct committed 
prior to delivery of the parole certificate, the Commission may consider 
documentary evidence and/or written testimony presented by the prisoner, 
arresting authorities, or other persons.
    (e) The prisoner may be represented at a rescission hearing by a 
person of his choice. The function of the prisoner's representative 
shall be to offer a statement following the discussion of the charges 
with the prisoner, and to provide such additional information as the 
examiner panel may require. However, the presiding hearing examiner may 
limit or exclude any irrelevant or repetitious statement.
    (f) The evidence upon which the rescission hearing is to be 
conducted shall be disclosed to the prisoner upon request, subject to 
the exemptions set forth at Sec. 2.55. If the parole grant is rescinded, 
the Commission shall furnish to the prisoner a written statement of its 
findings and the evidence relied upon.

[44 FR 3406, Jan. 16, 1979, as amended at 45 FR 59871, Sept. 11, 1980; 
47 FR 2313, Jan. 15, 1982; 54 FR 15173, Apr. 17, 1989]

[[Page 129]]



Sec. 2.35  Mandatory release in the absence of parole.

    (a) A prisoner shall be mandatorily released by operation of law at 
the end of the sentence imposed by the court less such good time 
deductions as he may have earned through his behavior and efforts at the 
institution of confinement. If released pursuant to 18 U.S.C. 4164, such 
prisoner shall be released, as if on parole, under supervision until the 
expiration of the maximum term or terms for which he was sentenced less 
180 days. If released pursuant to 18 U.S.C. 4205(f), such prisoner shall 
remain under supervision until the expiration of the maximum term or 
terms for which he was sentenced. Insofar as possible, release plans 
shall be completed before the release of any such prisoner.
    (b) It is the Commission's interpretation of the statutory scheme 
for parole and good time that the only function of good time credits is 
to determine the point in a prisoner's sentence when, in the absence of 
parole, the prisoner is to be conditionally released on supervision, as 
described in subsection (a). Once an offender is conditionally released 
from imprisonment, either by parole or mandatory release, the good time 
earned during that period of imprisonment is of no further effect either 
to shorten the period of supervision or to shorten the period of 
imprisonment which the offender may be required to serve for violation 
of parole or mandatory release.
    (c) A prisoner committed under the Youth Corrections Act must be 
initially released conditionally under supervision not later than two 
years before the expiration of the term imposed by the court.

[42 FR 39809, Aug. 5, 1977, as amended at 50 FR 46283, Nov. 7, 1985]



Sec. 2.36  Rescission guidelines.

    (a) The following guidelines shall apply to the sanctioning of 
disciplinary infractions or new criminal conduct committed by a prisoner 
during any period of confinement that is credited to his current 
sentence (whether before or after sentence is imposed), but prior to his 
release on parole; and by a parole violator during any period of 
confinement prior to or following the revocation of his parole (except 
when such period of confinement has resulted from initial parole to a 
detainer). These guidelines specify the customary time to be served for 
such behavior which shall be added to the time required by the original 
presumptive or effective date. Credit shall be given towards service of 
these guidelines for any time spent in custody on a new offense that has 
not been credited towards service of the original presumptive or 
effective date. If a new concurrent or consecutive sentence is imposed 
for such behavior, these guidelines shall also be applied at the initial 
hearing on such term.
    (1) Administrative rule infraction(s) (including alcohol abuse) 
normally can be adequately sanctioned by postponing a presumptive or 
effective date by 0-60 days per instance of misconduct, or by 0-8 months 
in the case of use or simple possession of illicit drugs or refusal to 
provide a urine sample. Escape or other new criminal conduct shall be 
considered in accordance with the guidelines set forth below.
    (2) Escape/new criminal behavior in a prison facility (including a 
Community Treatment Center). The time required pursuant to the 
guidelines set forth in paragraphs (a)(2) (i) and (ii) of this section 
shall be added to the time required by the original presumptive or 
effective date.
    (i) Escape or attempted escape--(A) Escape or attempted escape, 
except as listed below--8-16 months.
    (B) If from non-secure custody with voluntary return in 6 days or 
less-- 6 months.
    (C) If by fear or force applied to person(s), grade under (ii) but 
not less than Category Five.

    Notes: (1) If other criminal conduct is committed during the escape 
or during time spent in escape status, then time to be served for the 
escape/attempted escape shall be added to that assessed for the other 
new criminal conduct.
    (2) Time in escape status shall not be credited.
    (3) Voluntary return is defined as returning voluntarily to the 
facility or voluntarily turning one's self in to a law enforcement 
authority as an escapee (not in connection with an arrest on other 
charges).

[[Page 130]]

    (4) Non-secure custody refers to custody with no significant 
physical restraint [e.g., walkaway from a work detail outside the 
security perimeter of an institution; failure to return to any 
institution from a pass or unescorted furlough; or escape by stealth 
from an institution with no physical perimeter barrier (usually a camp 
or community treatment center)].

    (ii) Other new criminal behavior in a prison facility.

------------------------------------------------------------------------
   Severity rating in the new criminal
        behavior (from Sec.  2.20)                Guideline range
------------------------------------------------------------------------
Category One.............................  <=8 months.
Category Two.............................  <=10 months.
Category Three...........................  12-16 months.
Category Four............................  20-26 months.
Category Five............................  36-48 months.
Category Six.............................  52-64 months.
Category Seven...........................  64-92 months.
Category Eight...........................  120+ months.
------------------------------------------------------------------------


    Note: Grade unlawful possession of a firearm or explosives in a 
prison facility, other than a community treatment center, as Category 
Six. Grade unlawful possession of a firearm in a community treatment 
center as Category Four. Grade unlawful possession of a dangerous weapon 
other than a firearm or explosives (e.g., a knife) in a prison facility 
or community treatment center as Category Three.

    (3) New criminal behavior in the community (e.g., while on pass, 
furlough, work release, or on escape). In such cases, the guidelines 
applicable to reparole violators under Sec. 2.21 shall be applied, using 
the new offense severity (from Sec. 2.20) and recalculated salient 
factor score (such score shall be recalculated as if the prisoner had 
been on parole at the time of the new criminal behavior). The time 
required pursuant to these guidelines shall be added to the time 
required by the original presumptive or effective date.

    Note: Offenses committed in a prison or in a Community Treatment 
Center that are not limited to the confines of the prison or Community 
Treatment Center (e.g., mail fraud of a victim outside the prison) are 
graded as new criminal behavior in the community.

    (b) The above are merely guidelines. Where the circumstances 
warrant, a decision outside the guidelines (above or below) may be 
rendered provided specific reasons are given. For example, a substantial 
period of good conduct since the last disciplinary infraction in cases 
not involving new criminal conduct may be treated as a mitigating 
circumstance.

[45 FR 59871, Sept. 11, 1980, as amended at 51 FR 32072, Sept. 9, 1986; 
52 FR 5763, Feb. 26, 1987; 52 FR 17399, May 8, 1987; 64 FR 59623, Nov. 
3, 1999]



Sec. 2.37  Disclosure of information concerning parolees; Statement of policy.

    (a) Information concerning a parolee under the Commission's 
supervision may be disclosed to a person or persons who may be exposed 
to harm through contact with that particular parolee if such disclosure 
is deemed to be reasonably necessary to give notice that such danger 
exists.
    (b) Information concerning parolees may be released by a Chief U.S. 
Probation Officer to a law enforcement agency (1) as deemed appropriate 
for the protection of the public or the enforcement of the conditions of 
parole or (2) pursuant to a request under 18 U.S.C. 4203(e).
    (c) Information deemed to be ``public sector'' information may be 
disclosed to third parties without the consent of the file subject. 
Public sector information encompasses the following:
    (1) Name;
    (2) Register number;
    (3) Offense of conviction;
    (4) Past and current places of incarceration;
    (5) Age;
    (6) Sentence data on the Bureau of Prisons sentence computation 
record (BP-5);
    (7) Date(s) of parole and parole revocation hearings; and
    (8) The decision(s) rendered by the Commission following a parole or 
parole revocation proceeding, including the dates of continuances and 
parole dates. An inmate's designated future place of incarceration is 
not public information.

[47 FR 13521, Mar. 31, 1982, as amended at 52 FR 33408, Sept. 3, 1987; 
63 FR 25772, May 11, 1998]



Sec. 2.38  Community supervision by U.S. Probation Officers.

    (a) Pursuant to sections 3655 and 4203(b)(4) of title 18 of the U.S. 
Code, U.S. Probation Officers shall provide such parole services as the 
Commission

[[Page 131]]

may request. In conformity with the foregoing, probation officers 
function as parole officers and provide supervision to persons released 
by parole or as if on parole (mandatory release) under the Commission's 
jurisdiction.
    (b) A parolee may be transferred to a new district of supervision 
with the permission of the probation officers of both the transferring 
and receiving district, provided such transfer is not contrary to 
instructions from the Commission.

[44 FR 3409, Jan. 16, 1979]



Sec. 2.39  Jurisdiction of the Commission.

    (a) Jurisdiction of the Commission over a parolee shall terminate no 
later than the date of expiration of the maximum term or terms for which 
he was sentenced, except as provided by Sec. 2.35, Sec. 2.43, or 
Sec. 2.52.
    (b) The parole of any parolee shall run concurrently with the period 
of parole or probation under any other Federal, State, or local 
sentence.
    (c) Upon the termination of jurisdiction, the Commission shall issue 
a certificate of discharge to such parolee and to such other agencies as 
it may determine.

[42 FR 39809, Aug. 5, 1977, as amended at 48 FR 22919, May 23, 1983]



Sec. 2.40  Conditions of release.

    (a) The following conditions are attached to every grant of parole 
and are deemed necessary to provide adequate supervision and to protect 
the public welfare. They are printed on the certificates issued to each 
parolee and mandatory releasee:
    (1) The parolee shall go directly to the district named in the 
certificate (unless released to the custody of other authorities). 
Within three days after his arrival, he shall report to his parole 
adviser, if he has one, and to the U.S. Probation Officer whose name 
appears on the certificate. If in any emergency the parolee is unable to 
get in touch with his parole adviser or his probation officer or his 
office, he shall communicate with the U.S. Parole Commission, Chevy 
Chase, Maryland 20815-7286.
    (2) If the parolee is released to the custody of other authorities, 
and after release from the physical custody of such authorities, he is 
unable to report to the U.S. Probation Officer to whom he is assigned 
within three days, he shall report instead to the nearest U.S. Probation 
Officer.
    (3) The parolee shall not leave the limits fixed by his certificate 
of parole without written permission from the probation officer.
    (4) The parolee shall notify his probation officer within two days 
of any change in his place of residence.
    (5) The parolee shall make a complete and truthful written report 
(on a form provided for that purpose) to his probation officer between 
the first and third day of each month, and on the final day of parole. 
He shall also report to his probation officer, at other times as the 
probation officer directs, providing complete and truthful information.
    (6) The parolee shall not violate any law, nor shall he associate 
with persons engaged in criminal activity. The parolee shall get in 
touch within two days with his probation officer or office if he is 
arrested or questioned by a law-enforcement officer.
    (7) The parolee shall not enter into any agreement to act as an 
informer or special agent for any law-enforcement agency.
    (8) The parolee shall work regularly unless excused by his probation 
officer, and support his legal dependents, if any, to the best of his 
ability. He shall report within two days to his probation officer any 
changes in employment.
    (9) The parolee shall not drink alcoholic beverages to excess. He 
shall not purchase, possess, use, or administer marihuana or narcotic or 
other habitforming drugs, unless prescribed or advised by a physician. 
The parolee shall not frequent places where such drugs are illegally 
sold, dispensed, used, or given away.
    (10) The parolee shall not associate with persons who have a 
criminal record unless he has permission of his probation officer.
    (11) The parolee shall not possess a firearm or other dangerous 
weapon.

    Note: Such permission may not be considered in cases in which the 
parolee is prohibited from such possession by any federal, state, or 
local law.


[[Page 132]]


    (12) The parolee shall permit confiscation by his Probation Officer 
of any materials which the Probation Officer believes may constitute 
contraband in the parolee's possession and which he observes in plain 
view in the parolee's residence, place of business or occupation, 
vehicle(s), or on his person. The Commission may also, when a reasonable 
basis for doing is presented, modify the conditions of parole to require 
the parolee to permit the U.S. Probation Officer to conduct searches and 
seizures of concealed contraband on the parolee's person, and in any 
building, vehicle, or other area under the parolee's control, at such 
times as the U.S. Probation Officer shall decide.
    (13) The parolee shall make a diligent effort to satisfy any fine, 
restitution order, court costs or assessment, and/or court ordered child 
support or alimony payment that has been, or may be, imposed, and shall 
provide such financial information as may be requested, by his Probation 
Officer, relevant to the payment of the obligation. If unable to pay the 
obligation in one sum, the parolee will cooperate with his Probation 
Officer in establishing an installment payment schedule.
    (14) The parolee shall submit to a drug test whenever ordered by his 
Probation Officer.
    (b) The Commission or a member thereof may at any time modify or add 
to the conditions of release pursuant to this section, on its own motion 
or on the request of the United States Probation Officer supervising the 
parolee. The parolee shall receive notice of the proposed modification 
and unless waived shall have ten days following receipt of such notice 
to express his views thereon. Following such ten day period, the 
Commission shall have 21 days, exclusive of holidays, to order such 
modification of or addition to the conditions of release.
    (c) The Commission may require a parolee to reside in or participate 
in the program of a residential treatment center, or both, for all or 
part of the period of parole.
    (d) The Commission may require a parolee, who is an addict, within 
the meaning of section 4251(a), or a drug dependent person within the 
meaning of section 2(8) of the Public Health Service Act, as amended, to 
participate in the community supervision program authorized by section 
4255 for all or part of the period of parole.
    (e) The Commission may require that a parolee remain at his place of 
residence during nonworking hours and, if the Commission so directs, to 
have compliance with this condition monitored by telephone or electronic 
signaling devices. A condition under this section may be imposed only as 
an alternative to incarceration.
    (f) A parolee may petition the Commission on his own behalf for a 
modification of conditions pursuant to this section.
    (g) The ten-day notice provision of paragraph (b) of this section 
shall not apply to a modification of the conditions of parole
    (1) Following a revocation hearing,
    (2) Upon a finding that immediate modification of the conditions of 
parole is required to prevent harm to the parolee or the public, or
    (3) In response to a request by the parolee under paragraph (f) of 
this section.
    (h) A parolee may appeal an order to impose or modify parole 
conditions under Sec. 2.26 not later than thirty days after the 
effective date of such conditions.
    (i) A prisoner who, having been granted a parole date, subsequently 
refuses to sign the parole certificate, or any other consent form 
necessary to fulfill the conditions of parole, shall be deemed to have 
withdrawn the application for parole as of the date of refusal to sign. 
To be again considered for parole, the prisoner must reapply for parole 
consideration. With respect to prisoners who are required to be released 
to supervision through good time reductions (pursuant to 18 U.S.C 4161 
and 4164), the conditions of parole set forth in this rule, and any 
other special conditions ordered by the Commission, shall be in full 
force and effect upon the established release date regardless of any 
refusal by the releasee to sign the parole certificate.
    (j) Any parolee who absconds from supervision has effectively 
prevented his sentence from expiring. Therefore, the parolee remains 
bound by the conditions of his release and violations

[[Page 133]]

committed at any time prior to execution of the warrant, whether before 
or after the original expiration date, may be charged as a basis for 
revocation, and a warrant may be supplemented at any time.
    (k) A parolee or mandatory releasee who is released after December 
31, 1988, and who is found by the Commission, after a revocation hearing 
conducted pursuant to these rules, to have been in possession of a 
controlled substance while on parole, shall have his or her parole 
revoked. When considering what action to take with regard to a parolee 
who fails a drug test, the Commission shall consider appropriate 
alternatives to revocation pursuant to 18 U.S.C. 4209(a). In no case 
shall parole be revoked upon the basis of a single, unconfirmed positive 
drug test that is challenged by the parolee, without other violations 
having been found to justify such revocation.
    (l)(1) The Commission may require a parolee, when there is evidence 
of prior or current alcohol dependence or abuse, to participate in an 
alcohol aftercare treatment program. In such a case, the Commission will 
require that the parolee abstain from the use of alcohol and/or all 
other intoxicants during and after the course of treatment.
    (2) The Commission may require a parolee, where there is evidence of 
prior or current drug dependence or abuse, to participate in a drug 
treatment program, which shall include at least two periodic tests to 
determine whether the parolee has reverted to the use of drugs 
(including alcohol). In such a case, the Commission will require that 
the parolee abstain from the use of alcohol and/or all other intoxicants 
during and after the course of treatment. A decision by the Commission 
not to impose this special condition shall constitute good cause for 
suspension of the drug testing requirements of 18 U.S.C. 4209(a). In the 
event such condition is imposed prior to an eligible prisoner's release 
from prison, any grant of parole or reparole shall be contingent upon 
the prisoner passing all pre-release drug tests administered by the U.S. 
Bureau of Prisons.

[42 FR 39809, Aug. 5, 1977, as amended at 45 FR 84054, Dec. 22, 1980; 46 
FR 52354, Oct. 27, 1981; 48 FR 22917, May 23, 1983; 48 FR 23184, May 24, 
1983; 49 FR 6717, Feb. 23, 1984; 49 FR 44098, Nov. 2, 1984; 50 FR 28101, 
July 10, 1985; 50 FR 36422, Sept. 6, 1985; 54 FR 11687, Mar. 21, 1989; 
55 FR 862, Jan. 10, 1990; 56 FR 30871, 30873, July 8, 1991; 59 FR 66735, 
Dec. 28, 1994; 60 FR 5461, Jan. 27, 1995; 60 FR 51349, Oct. 2, 1995]



Sec. 2.41  Travel approval.

    (a) The probation officer may approve travel outside the district 
without approval of the Commission in the following situations:
    (1) Vacation trips not to exceed thirty days.
    (2) Trips, not to exceed thirty days, to investigate reasonably 
certain employment possibilities.
    (3) Recurring travel across a district boundary, not to exceed fifty 
miles outside the district, for purpose of employment, shopping, or 
recreation.
    (b) Specific advance approval by the Commission is required for all 
foreign travel, employment requiring recurring travel more than fifty 
miles outside the district (except employment at offshore locations), 
and vacation travel outside the district exceeding thirty days. A 
request for such permission shall be in writing and must demonstrate a 
substantial need for such travel.
    (c) A special condition imposed by the Regional Commissioner 
prohibiting certain travel shall supersede any general rules relating to 
travel as set forth above.

[42 FR 39809, Aug. 5, 1977, as amended at 44 FR 3408, Jan. 16, 1979; 48 
FR 9247, Mar. 4, 1983; 57 FR 59916, Dec. 17, 1992]



Sec. 2.42  Probation officer's reports to Commission.

    A supervision report shall be submitted by the responsible probation 
officer to the Commission for each parolee after the completion of 24 
months of continuous supervision and annually thereafter. The probation 
officer shall

[[Page 134]]

submit such additional reports as the Commission may direct.

[51 FR 11017, Apr. 1, 1986]



Sec. 2.43  Early termination.

    (a)(1) Upon its own motion or upon request of the parolee, the 
Commission may terminate supervision, and thus jurisdiction, over a 
parolee prior to the expiration of his maximum sentence.
    (2) A committed youth offender sentenced to a term of more than one 
year may not be granted an early termination of jurisdiction earlier 
than after one year of continuous supervision on parole. When 
termination of jurisdiction prior to the expiration of sentence is 
granted in the case of a youth offender, his conviction shall be 
automatically set aside. A certificate setting aside his conviction 
shall be issued in lieu of a certificate of termination.
    (b) Two years after release on supervision, and at least annually 
thereafter, the Commission shall review the status of each parolee to 
determine the need for continued supervision. In calculating such two-
year period there shall not be included any period of release on parole 
prior to the most recent release, nor any period served in confinement 
on any other sentence. A review will also be conducted whenever early 
termination is recommended by the supervising probation officer.
    (c)(1) Five years after release on supervision, the Commission shall 
terminate supervision over such parolee unless it is determined, after a 
hearing conducted in accordance with the procedures prescribed in 18 
U.S.C. 4214(a)(2), that such supervision should not be terminated 
because there is a likelihood that the parolee will engage in conduct 
violating any criminal law. Such hearing may be conducted by a hearing 
examiner or other official designated by the Regional Commissioner. In 
calculating such five-year period, there shall not be included any 
period of release on parole prior to the most recent release or any 
period served in confinement on any other sentence.
    (2) If supervision is not terminated under paragraph (c)(1) of this 
section the parolee may request a hearing annually thereafter, and a 
hearing shall be conducted with respect to termination of supervision 
not less frequently than biennially.
    (3) A parolee may appeal an adverse decision under paragraphs (c)(1) 
or (c)(2) of this section pursuant to Sec. 2.26 or Sec. 2.27 as 
applicable.
    (d) The Regional Commissioner in the region of supervision shall 
have authority to make decisions under this section pursuant to the 
guidelines set forth below; except that in the case of a parolee 
classified under the provisions of Sec. 2.17, an affirmative decision to 
terminate supervision under paragraph (b) of this section, or a decision 
to terminate or continue supervision under paragraph (c) of this section 
shall be made pursuant to the provisions of Sec. 2.17.
    (e) Early termination guidelines. In determining whether to grant 
early termination from supervision, the Commission shall apply the 
following guidelines:
    (1) Absent case-specific factors to the contrary, termination of 
supervision shall be considered indicated when:
    (i) A parolee originally classified in the very good risk category 
(pursuant to Sec. 2.20) has completed two continuous years of 
supervision free from any indication of new criminal behavior or serious 
parole violation; and
    (ii) A parolee originally classified in other than the very good 
risk category (pursuant to Sec. 2.20) has completed three continuous 
years of supervision free from any indication of new criminal behavior 
or serious parole violation.

    Note: As used in this section, an indication of new criminal 
behavior includes a new arrest if supported by substantial evidence of 
guilt, even if no conviction or parole revocation results.

    (2) Decisions to continue the parolee under supervision past the 
period indicated above may be made where case-specific factors justify a 
conclusion that continued supervision is needed to protect the public 
welfare. Such case-specific factors may relate to the current behavior 
of the parolee (for example, a parolee whose behavior begins to 
deteriorate as the normally expected time for termination approaches) or 
to the parolee's background (for example, a parolee with a history of 
repetitive assaultive conduct or substantial involvement in large scale 
or organized

[[Page 135]]

criminal activity). In such cases, an additional period of supervision 
prior to termination of jurisdiction may be warranted.
    (3) Decisions to terminate supervision prior to completion of the 
three year period specified in paragraph (e)(1)(ii) of this section may 
be made where it appears that the parolee is a better risk than 
indicated by the salient factor score as originally calculated. However, 
termination of supervision prior to the completion of two years of 
difficulty-free supervision will not be granted unless case-specific 
factors clearly indicate that continued supervision would be 
counterproductive.
    (4) Cases with pending criminal charge(s) shall not be terminated 
from supervision until disposition of such charge(s) is known.
    (5) After five continuous years of supervision, decisions to 
terminate will be made in accordance with subsection (c) of this rule.

[46 FR 28649, May 28, 1981, as amended at 46 FR 35639, July 10, 1981; 49 
FR 44098, Nov. 2, 1984; 50 FR 36424, Sept. 6, 1985]



Sec. 2.44  Summons to appear or warrant for retaking of parolee.

    (a) If a parolee is alleged to have violated the conditions of his 
release, and satisfactory evidence thereof is presented, the Commission 
or a member thereof may:
    (1) Issue a summons requiring the offender to appear for a 
preliminary interview or local revocation hearing.
    (2) Issue a warrant for the apprehension and return of the offender 
to custody.

A summons or warrant may be issued or withdrawn only by the Commission, 
or a member thereof.
    (b) Any summons or warrant under this section shall be issued as 
soon as practicable after the alleged violation is reported to the 
Commission, except when delay is deemed necessary. Issuance of a summons 
or warrant may be withheld until the frequency or seriousness of 
violations, in the opinion of the Commission, requires such issuance. In 
the case of any parolee charged with a criminal offense and awaiting 
disposition of the charge, issuance of a summons or warrant may be 
withheld, a warrant may be issued and held in abeyance, or a warrant may 
be issued and a detainer may be placed.
    (c) A summons or warrant may be issued only within the prisoner's 
maximum term or terms except that in the case of a prisoner released as 
if on parole pursuant to 18 U.S.C. 4164, such summons or warrant may be 
issued only within the maximum term or terms, less one hundred eighty 
days. A summons or warrant shall be considered issued when signed and 
either--
    (1) Placed in the mail or
    (2) Sent by electronic transmission to the intended authorities.
    (d) The issuance of a warrant under this section operates to bar the 
expiration of the parolee's sentence. Such warrant maintains the 
Commission's jurisdiction to retake the parolee either before or after 
the normal expiration date of the sentence and to reach a final decision 
as to revocation of parole and forfeiture of time pursuant to 
Sec. 2.52(c).
    (e) A summons or warrant issued pursuant to this section shall be 
accompanied by a statement of the charges against the parolee, the 
applicable procedural rights under the Commission's regulations and the 
possible actions which may be taken by the Commission. A summons shall 
specify the time and place the parolee shall appear for a revocation 
hearing. Failure to appear in response to a summons shall be grounds for 
issuance of a warrant.

[42 FR 39809, Aug. 5, 1977, as amended at 45 FR 84055, Dec. 22, 1980; 54 
FR 11688, Mar. 21, 1989; 63 FR 25771, May 11, 1998]



Sec. 2.45  Same; youth offenders.

    (a) In addition to the issuance of a summons or warrant pursuant to 
Sec. 2.44 of this part, the Commission or a member thereof, when of the 
opinion that a youth offender will be benefitted by further treatment in 
an institution or other facility, may direct his return to custody or 
issue a warrant for his apprehension and return to custody.
    (b) Upon his return to custody, such youth offender shall be 
scheduled for a revocation hearing.

[[Page 136]]



Sec. 2.46  Execution of warrant and service of summons.

    (a) Any officer of any Federal correctional institution or any 
Federal officer authorized to serve criminal process within the United 
States, to whom a warrant is delivered shall execute such warrant by 
taking the parolee and returning him to the custody of the Attorney 
General.
    (b) On arrest of the parolee the officer executing the warrant shall 
deliver to him a copy of the Warrant Application listing the charges 
against the parolee, the applicable procedural rights under the 
Commission's regulations and the possible actions which may be taken by 
the Commission.
    (c) If execution of the warrant is delayed pending disposition of 
local charges, for further investigation, or for some other purpose, the 
parolee is to be continued under supervision by the probation officer 
until the normal expiration of the sentence, or until the warrant is 
executed, whichever first occurs. Monthly supervision reports are to be 
submitted, and the parolee must continue to abide by all the conditions 
of release.
    (d) A summons to appear at a preliminary interview or revocation 
hearing shall be served upon the parolee in person by delivering to the 
parolee a copy of the summons. Service shall be made by any Federal 
officer authorized to serve criminal process within the United States, 
and certification of such service shall be returned to the appropriate 
regional office of the Commission.

[42 FR 39809, Aug. 5, 1977, as amended at 44 FR 3409, Jan. 16, 1979]



Sec. 2.47  Warrant placed as a detainer and dispositional review.

    (a) When a parolee is serving a new sentence in a federal, state or 
local institution, a parole violation warrant may be placed against him 
as a detainer.
    (1) If the prisoner is serving a new sentence in a federal 
institution, a revocation hearing shall be scheduled within 120 days of 
notification of placement of the detainer, or as soon thereafter as 
practicable, provided the prisoner is eligible for and has applied for 
an initial hearing on the new sentence, or is serving a new sentence of 
one year or less. In any other case, the detainer shall be reviewed on 
the record pursuant to paragraph (a)(2) of this section.
    (2) If the prisoner is serving a new sentence in a state or local 
institution, the violation warrant shall be reviewed by the Regional 
Commissioner not later than 180 days following notification to the 
Commission of such placement. The parolee shall receive notice of the 
pending review, and shall be permitted to submit a written application 
containing information relative to the disposition of the warrant. He 
shall also be notified of his right to request counsel under the 
provisions of Sec. 2.48(b) to assist him in completing this written 
application.
    (b) If the prisoner is serving a new federal sentence, the Regional 
Commissioner, following a dispositional record review, may:
    (1) Pursuant to the general policy of the Commission, let the 
warrant stand as a detainer and order that the revocation hearing be 
scheduled to coincide with the initial hearing on the new federal 
sentence or upon release from the new sentence, whichever comes first;
    (2) Withdraw the warrant, and either order reinstatement of the 
parolee to supervision upon release from confinement or close the case 
if the expiration date has passed.
    (c) If the prisoner is serving a new state or local sentence, the 
Regional Commissioner, following a dispositional record review may:
    (1) Withdraw the detainer and order reinstatement of the parolee to 
supervision upon release from custody, or close the case if the 
expiration date has passed.
    (2) Order a revocation hearing to be conducted by a hearing examiner 
or an official designated by the Regional Commissioner at the 
institution in which the parolee is confined.
    (3) Let the detainer stand and order further review at an 
appropriate time. If the warrant is not withdrawn and no revocation 
hearing is conducted while the prisoner is in state or local custody, an 
institutional revocation hearing shall be conducted after the prisoner's 
return to federal custody.

[[Page 137]]

    (d) Revocation hearings pursuant to this section shall be conducted 
in accordance with the provisions governing institutional revocation 
hearings, except that a hearing conducted at a state or local facility 
may be conducted by a hearing examiner, hearing examiner panel, or other 
official designated by the Regional Commissioner. Following a revocation 
hearing conducted pursuant to this section, the Commission may take any 
action specified in Sec. 2.52.
    (e)(1) A parole violator whose parole is revoked shall be given 
credit for all time in federal, state, or local confinement on a new 
offense for purposes of satisfaction of the reparole guidelines at 
Sec. 2.20 and Sec. 2.21.
    (2) However, it shall be the policy of the Commission that the 
revoked parolee's original sentence (which due to the new conviction, 
stopped running upon his last release from federal confinement on 
parole) again start to run only upon release from the confinement 
portion of the new sentence or the date of reparole granted pursuant of 
these rules, whichever comes first. This subsection does not apply to 
cases where, by law, the running of the original sentence is not 
interrupted by a new conviction (e.g., YCA; NARA; Mexican or Canadian 
treaty cases).
    (f) If a Regional Commissioner determines that additional 
information is required in order to make a decision pursuant to 
paragraph (a)(2) of this section, he may schedule a dispositional 
hearing at the state or local institution where the parolee is confined 
to obtain such information. Such hearing may be conducted by a hearing 
examiner, hearing examiner panel, or other official designated by the 
Regional Commissioner. The parolee shall have notice of such hearing, be 
allowed to testify in his behalf, and have opportunity for counsel as 
provided in Sec. 2.48(b).

[52 FR 17400, May 8, 1987, as amended at 61 FR 33657, June 28, 1996]



Sec. 2.48  Revocation: Preliminary interview.

    (a) Interviewing officer. A parolee who is retaken on a warrant 
issued by a Commissioner shall be given a preliminary interview by an 
official designated by the Regional Commissioner to enable the 
Commission to determine if there is probable cause to believe that the 
parolee has violated his parole as charged, and if so, whether a 
revocation hearing should be conducted. The official designated to 
conduct the preliminary interview may be a U.S. Probation Officer in the 
district where the prisoner is confined, provided he is not the officer 
who recommended that the warrant be issued.
    (b) Notice and opportunity to postpone interview. At the beginning 
of the preliminary interview, the interviewing officer shall ascertain 
that the Warrant Application has been given to the parolee as required 
by Sec. 2.46(b), and shall advise the parolee that he may have the 
preliminary interview postponed in order to obtain representation by an 
attorney or arrange for the attendance of witnesses. The parolee shall 
also be advised that if he cannot afford to retain an attorney he may 
apply to a U.S. District Court for appointment of counsel to represent 
him at the preliminary interview and the revocation hearing pursuant to 
18 U.S.C. 3006A. In addition, the parolee may request the Commission to 
obtain the presence of persons who have given information upon which 
revocation may be based. Such adverse witnesses shall be requested to 
attend the preliminary interview unless the parolee admits a violation 
or has been convicted of a new offense while on supervision or unless 
the interviewing officer finds good cause for their non-attendance. 
Pursuant to Sec. 2.51 a subpoena may issue for the appearance of adverse 
witnesses or the production of documents.
    (c) Review of the charges. At the preliminary interview, the 
interviewing officer shall review the violation charges with the 
parolee, apprise the parolee of the evidence which has been presented to 
the Commission, receive the statements of witnesses and documentary 
evidence on behalf of the parolee, and allow cross-examination of those 
witnesses in attendance. Disclosure of the evidence presented to the 
Commission shall be made pursuant to Sec. 2.50(d).
    (d) At the conclusion of the preliminary interview, the interviewing 
officer

[[Page 138]]

shall inform the parolee of his recommended decision as to whether there 
is probable cause to believe that the parolee has violated the 
conditions of his release, and shall submit to the Commission a digest 
of the interview together with his recommended decision.
    (1) If the interviewing officer's recommended decision is that no 
probable cause may be found to believe that the parolee has violated the 
conditions of his release, the responsible Regional Commissioner shall 
review such recommended decision and notify the parolee of his final 
decision concerning probable cause as expeditiously as possible 
following receipt of the interviewing officer's digest. A decision to 
release the parolee shall be implemented without delay.
    (2) If the interviewing officer's recommended decision is that 
probable cause may be found to believe that the parolee has violated a 
condition (or conditions) of his release, the responsible Regional 
Commissioner shall notify the parolee of his final decision concerning 
probable cause within 21 days of the date of the preliminary interview.
    (3) Notice to the parolee of any final decision of a Regional 
Commissioner finding probable cause and ordering a revocation hearing 
shall state the charges upon which probable cause has been found and the 
evidence relied upon.
    (e) Release notwithstanding probable cause. If the Commission finds 
probable cause to believe that the parolee has violated the conditions 
of his release, reinstatement to supervision or release pending further 
proceeding may nonetheless be ordered if it is determined that:
    (1) Continuation of revocation proceedings is not warranted despite 
the violations found; or
    (2) Incarceration pending further revocation proceedings is not 
warranted by the alleged frequency or seriousness of such violation or 
violations, and that the parolee is not likely to fail to appear for 
further proceedings, and that the parolee does not constitute a danger 
to himself or others.
    (f) Conviction as probable cause. Conviction of a Federal, State, or 
local crime committed subsequent to release by a parolee shall 
constitute probable cause for the purposes of this section and no 
preliminary interview shall be conducted unless otherwise ordered by the 
Regional Commissioner.
    (g) Local revocation hearing. A postponed preliminary interview may 
be conducted as a local revocation hearing by an examiner panel or other 
interviewing officer designated by the Regional Commissioner provided 
that the parolee has been advised that the postponed preliminary 
interview will constitute his final revocation hearing.

[42 FR 39809, Aug. 5, 1977, as amended at 44 FR 3408, 3409, Jan. 16, 
1979; 46 FR 42842, Aug. 25, 1981; 47 FR 25735, June 15, 1982]



Sec. 2.49  Place of revocation hearing.

    (a) If the parolee requests a local revocation hearing, he shall be 
given a revocation hearing reasonably near the place of the alleged 
violation(s) or arrest, if the following conditions are met:
    (1) The parolee has not been convicted of a crime committed while 
under supervision; and
    (2) The parolee denies that he has violated any condition of his 
release.
    (b) If there are two or more alleged violations, the hearing may be 
conducted near the place of the violation chiefly relied upon as a basis 
for the issuance of the warrant or summons as determined by the Regional 
Commissioner.
    (c) A parolee who voluntarily waives his right to a local revocation 
hearing, or who admits any violation of the conditions of his release, 
or who is retaken following conviction of a new crime, shall be given a 
revocation hearing upon his return to a Federal institution. However, 
the Regional Commissioner may, on his own motion, designate a case for a 
local revocation hearing.
    (d) A parolee retaken on a warrant issued by the Commission shall be 
retained in custody until final action relative to revocation of his 
release, unless otherwise ordered by the Regional Commissioner under 
Sec. 2.48(e)(2). A parolee who has been given a revocation hearing 
pursuant to the issuance of a summons under Sec. 2.44 shall remain on

[[Page 139]]

supervision pending the decision of the Commission.
    (e) A local revocation hearing shall be scheduled to be held within 
sixty days of the probable cause determination. Institutional revocation 
hearings shall be scheduled to be held within ninety days of the date of 
the execution of the violator warrant upon which the parolee was 
retaken. However, if a parolee requests and receives any postponement or 
consents to a postponed revocation proceeding, or if a parolee by his 
actions otherwise precludes the prompt conduct of such proceedings, the 
above-stated time limits may be extended. A local revocation hearing may 
be conducted by a hearing examiner, hearing examiner panel, or other 
official designated by the Regional Commissioner.

[42 FR 39809, Aug. 5, 1977, as amended at 44 FR 3408, 3409, Jan. 16, 
1979]



Sec. 2.50  Revocation hearing procedure.

    (a) The purpose of the revocation hearing shall be to determine 
whether the parolee has violated the conditions of his release and, if 
so, whether his parole or mandatory release should be revoked or 
reinstated.
    (b) The alleged violator may present witnesses, and documentary 
evidence in his behalf. However, the presiding hearing officer or 
examiner panel may limit or exclude any irrelevant or repetitious 
statement or documentary evidence.
    (c) At a local revocation hearing, the Commission may on the request 
of the alleged violator or on its own motion, request the attendance of 
persons who have given statements upon which revocation may be based. 
Those witnesses who are present shall be made available for questioning 
and cross-examination in the presence of the alleged violator unless the 
presiding hearing officer or examiner panel finds good cause for their 
non-attendance. Adverse witnesses will not be requested to appear at 
institutional revocation hearings.
    (d) All evidence upon which the finding of violation may be based 
shall be disclosed to the alleged violator at or before the revocation 
hearing. The hearing officer or examiner panel may disclose documentary 
evidence by permitting the alleged violator to examine the document 
during the hearing, or where appropriate, by reading or summarizing the 
document in the presence of the alleged violator.
    (e) In lieu of an attorney, an alleged violator may be represented 
at a revocation hearing by a person of his choice. However, the role of 
such non-attorney representative shall be limited to offering a 
statement on the alleged violator's behalf with regard to reparole or 
reinstatement to supervision.
    (f) A revocation decision may be appealed under the provisions of 
Sec. 2.26 or Sec. 2.27 as applicable.

[42 FR 39809, Aug. 5, 1977, as amended at 44 FR 3408, Jan. 16, 1979; 51 
FR 32785, Sept. 16, 1986; 52 FR 33409, Sept. 3, 1987]



Sec. 2.51  Issuance of a subpoena for the appearance of witnesses or production of documents.

    (a)(1) Preliminary interview or local revocation hearing: If any 
person who has given information upon which revocation may be based 
refuses, upon request by the Commission to appear, the Regional 
Commissioner may issue a subpoena for the appearance of such witness. 
Such subpoena may also be issued at the discretion of the Regional 
Commissioner in the event such adverse witness is judged unlikely to 
appear as requested.
    (2) In addition, the Regional Commissioner may, upon his own motion 
or upon a showing by the parolee that a witness whose testimony is 
necessary to the proper disposition of his case will not appear 
voluntarily at a local revocation hearing or provide an adequate written 
statement of his testimony, issue a subpoena for the appearance of such 
witness at the revocation hearing.
    (3) Both such subpoenas may also be issued at the discretion of the 
Regional Commissioner if it is deemed necessary for orderly processing 
of the case.
    (b) A subpoena issued pursuant to paragraph (a) of this section 
above may require the production of documents as well as, or in lieu of, 
a personal appearance. The subpoena shall specify the time and the place 
at which the person

[[Page 140]]

named therein is commanded to appear, and shall specify any documents 
required to be produced.
    (c) A subpoena may be served by any Federal officer authorized to 
serve criminal process. The subpoena may be served at any place within 
the judicial district in which the place specified in the subpoena is 
located, or any place where the witness may be found. Service of a 
subpoena upon a person named therein shall be made by delivering a copy 
thereof to such person.
    (d) If a person refuses to obey such subpoena, the Commission may 
petition a court of the United States for the judicial district in which 
the parole proceeding is being conducted, or in which such person may be 
found, to require such person to appear, testify, or produce evidence. 
The court may issue an order requiring such person to appear before the 
Commission, and failure to obey such an order is punishable by contempt.



Sec. 2.52  Revocation decisions.

    (a) Whenever a parolee is summoned or retaken by the Commission, and 
the Commission finds by a preponderance of the evidence, that the 
parolee has violated a condition of the parole, the Commission may take 
any of the following actions:
    (1) Restore the parolee to supervision including where appropriate:
    (i) Reprimand;
    (ii) Modification of the parolee's conditions of release;
    (iii) Referral to a residential community treatment center for all 
or part of the remainder of his original sentence; or
    (2) Revoke parole.
    (b) If parole is revoked pursuant to this section, the Commission 
shall also determine, on the basis of the revocation hearing, whether 
reparole is warranted or whether the prisoner should be continued for 
further review.
    (c) A parolee whose release is revoked by the Commission will 
receive credit on service of his sentence for time spent under 
supervision, except as provided below:
    (1) If the Commission finds that such parolee intentionally refused 
or failed to respond to any reasonable request, order, summons or 
warrant of the Commission or any agent thereof, the Commission may order 
the forfeiture of the time during which the parolee so refused or failed 
to respond, and such time shall not be credited to service of the 
sentence.
    (2) It is the Commission's interpretation of 18 U.S.C. 4210(b)(2) 
that, if a parolee has been convicted of a new offense committed 
subsequent to his release on parole, which is punishable by any term of 
imprisonment, detention, or incarceration in any penal facility, 
forfeiture of time from the date of such release to the date of 
execution of the warrant is an automatic statutory penalty, and such 
time shall not be credited to the service of the sentence. An actual 
term of confinement or imprisonment need not have been imposed for such 
conviction; it suffices that the statute under which the parolee was 
convicted permits the trial court to impose any term of confinement or 
imprisonment in any penal facility. If such conviction occurs subsequent 
to a revocation hearing the Commission may reopen the case and schedule 
a further hearing relative to time forfeiture and such further 
disposition as may be appropriate. However, in no event shall the 
violator term imposed under this subsection, taken together with the 
time served before release, exceed the total length of the original 
sentence.
    (d)(1) Notwithstanding the above, prisoners committed under the 
Narcotic Addict Rehabilitation Act or the Youth Corrections Act shall 
not be subject to any forfeiture provision, but shall serve 
uninterrupted sentences from the date of conviction, except as provided 
in Sec. 2.10 (b) and (c).
    (2) The commitment of a juvenile offender under the Federal Juvenile 
Delinquency Act may not be extended past the offender's twenty-first 
birthday unless the juvenile has attained his nineteenth birthday at the 
time of his commitment, in which case his commitment shall not exceed 
the lesser of two years or the maximum term which could have been 
imposed on an adult convicted of the same offense.
    (e) In determining whether to revoke parole for non-compliance with 
a condition of fine, restitution, court costs or assessment, and/or 
court ordered

[[Page 141]]

child support or alimony payment, the Parole Commission shall consider 
the parolee's employment status, earning ability, financial resources, 
and any other special circumstances that may have a bearing on the 
matter. Revocation shall not be ordered unless the parolee is found to 
be deliberately evading or refusing compliance.

           Appendix to Sec. 2.52--General Statement of Policy

    In the case of any revocation hearing conducted within the Ninth 
Circuit, the Commission will exercise discretion in determining whether 
or not to order forfeiture of all or part of the time spent on parole 
pursuant to 18 U.S.C. 4210(b)(2). The Commission's policy shall be to 
consider granting credit for time on parole in the case of a parole 
violator originally classified in the very good risk category (pursuant 
to 28 CFR 2.20) if the following condtions are met. The conviction must 
not be for a felony offense. The parole violation behavior (the offense 
of conviction plus any other violations) must be non-violent, and not 
involve a repeat of the parole violator's original offense behavior. 
Further, an adequate period of reimprisonment pursuant to the reparole 
guidelines at 28 CFR 2.21, and an adequate period of renewed supervision 
following release from reimprisonment or reinstatement to supervision, 
must be available without forfeiting street time. In the case of a 
parole violator originally classified in other than the ``very good 
risk'' category, it shall be the Commission's policy to order the 
forfeiture of all time spent on parole absent extraordinary 
circumstances. In no instance will the Commission grant credit in the 
case of a repeat violator on the current sentence.

[42 FR 39809, Aug. 5, 1977, as amended at 44 FR 3408, 3410, Jan. 16, 
1979; 50 FR 36422, Sept. 6, 1985; 53 FR 47187, Nov. 22, 1988; 55 FR 
42185, Oct. 18, 1990]



Sec. 2.53  Mandatory parole.

    (a) A prisoner (including a prisoner sentenced under the Narcotic 
Addict Rehabilitation Act, Federal Juvenile Delinquency Act, or the 
provisions of 5010(c) of the Youth Corrections Act) serving a term or 
terms of 5 years or longer shall be released on parole after completion 
of two-thirds of each consecutive term or terms or after completion of 
30 years of each term or terms of more than 45 years (including life 
terms), whichever comes earlier, unless pursuant to a hearing under this 
section, the Commission determines that there is a reasonable 
probability that the prisoner will commit any Federal, State, or local 
crime or that the prisoner has frequently or seriously violated the 
rules of the institution in which he is confined. If parole is denied 
pursuant to this section, such prisoner shall serve until the expiration 
of his sentence less good time.
    (b) When feasible, at least 60 days prior to the scheduled two-
thirds date, a review of the record shall be conducted by an examiner 
panel. If a mandatory parole is ordered following this review, no 
hearing shall be conducted.
    (c) A prisoner released on mandatory parole pursuant to this section 
shall remain under supervision until the expiration of the full term of 
his sentence unless the Commission terminates parole supervision 
pursuant to Sec. 2.43 prior to the full term date of the sentence.
    (d) A prisoner whose parole has been revoked and whose parole 
violator term is 5 years or more shall be eligible for mandatory parole 
under the provisions of this section upon completion of two-thirds of 
the violator term and shall be considered for mandatory parole under the 
same terms as any other eligible prisoner.

[43 FR 38822, Aug. 31, 1978]



Sec. 2.54  Reviews pursuant to 18 U.S.C. 4215(c).

    The Attorney General, within thirty days after entry of a Regional 
Commissioner's decision, may request in writing that the National 
Appeals Board review such decision. Within sixty days of the receipt of 
the request the National Appeals Board shall, upon the concurrence of 
two members, affirm, modify, or reverse the decision, or order a 
rehearing at the institutional or regional level. The Attorney General 
and the prisoner affected shall be informed in writing of the decision, 
and the reasons therefor.

[42 FR 39821, Aug. 5, 1977, as amended at 43 FR 17470, Apr. 25, 1978; 44 
FR 3408, Jan. 16, 1979]



Sec. 2.55  Disclosure of file prior to parole hearing.

    (a) Processing disclosure requests. At least 60 days prior to a 
hearing scheduled pursuant to 28 CFR 2.12 or 2.14 each prisoner shall be 
given notice of

[[Page 142]]

his right to request disclosure of the reports and other documents to be 
used by the Commission in making its determination.
    (1) The Commission's file consists mainly of documents provided by 
the Bureau of Prisons. Therefore, disclosure of documents used by the 
Commission can normally be accomplished by disclosure of documents in a 
prisoner's institutional file. Requests for disclosure of a prisoner's 
institutional file will be handled under the Bureau of Prison's 
disclosure regulations. The Bureau of Prisons has 15 days from date of 
receipt of a disclosure request to respond to that request.
    (2) A prisoner may also request disclosure of documents used by the 
Commission which are contained in the Commission's regional office file 
but not in the prisoner's institutional file.
    (3) Upon the prisoner's request, a representative shall be given 
access to the presentence investigation report reasonably in advance of 
the initial hearing, interim hearing, and a 15-year reconsideration 
hearing, pursuant and subject to the regulations of the U.S. Bureau of 
Prisons. Disclosure shall not be permitted with respect to confidential 
material withheld by the sentencing court under Rule 32(c)(3)(A), 
F.R.Crim.P.
    (b) Scope of disclosure. The scope of disclosure under this section 
is limited to reports and other documents to be used by the Commission 
in making its determination. At statutory interim hearings conducted 
pursuant to 28 CFR 2.14 the Commission only considers information 
concerning significant developments or changes in the prisoner's status 
since the initial hearing or a prior interim hearing. Therefore, 
prehearing disclosure for interm hearings will be limited to such 
information.
    (c) Exemption to disclosure (18 U.S.C. 4208(c)). A document may be 
withheld from disclosure to the extent it contains:
    (1) Diagnostic opinions which, if known to the prisoner, could lead 
to a serious disruption of his institutional program;
    (2) Material which would reveal a source of information obtained 
upon a promise of confidentiality; or
    (3) Any other information which, if disclosed, might result in harm, 
physical or otherwise to any person.
    (d) Summarizing nondisclosable documents. If any document or portion 
of a document is found by the Commission, the Bureau of Prisons or the 
originating agency to fall within an exemption to disclosure, the agency 
shall:
    (1) Identify the material to be withheld; and
    (2) State the exemption to disclosure under paragraph (c) of this 
section; and
    (3) Provide the prisoner with a summary of the basic content of the 
material withheld with as much specificity as possible without revealing 
the nondisclosable information.
    (e) Waiver of disclosure. When a timely request has been made for 
disclosure, if any document or summary of a document relevant to the 
parole determination has not been disclosed 30 days prior to the 
hearing, the prisoner shall be offered the opportunity to waive 
disclosure of such document without prejudice to his right to later 
review the document or a summary of the document. The examiner panel may 
disclose the document and proceed with the hearing so long as the 
prisoner waives his right to advance disclosure. If the prisoner chooses 
not to waive prehearing disclosure, the examiner panel shall continue 
the hearing to the next docket to permit disclosure. A continuance for 
disclosure should not be extended beyond the next hearing docket.
    (f) Late received documents. If a document containing new and 
significant adverse information is received after a parole hearing but 
before all review and appellate procedures have been concluded, the 
prisoner shall be given a rehearing on the next docket. A copy of the 
document shall be forwarded to the institution for inclusion in the 
prisoner's institutional file. The Commission shall notify the prisoner 
of the new hearing and his right to request disclosure of the document 
pursuant to this section. If a late received document provides favorable 
information, merely restates already available information or provides 
insignificant information, the case will not be reopened for disclosure.
    (g) Reopened cases. Whenever a case is reopened for a new hearing 
and there is

[[Page 143]]

a document the Commission intends to use in making its determination, a 
copy of the document shall be forwarded for inclusion in the prisoner's 
institutional file and the prisoner shall be informed of his right to 
request disclosure of the document pursuant to this section.

[50 FR 40374, Oct. 3, 1985]



Sec. 2.56  Disclosure of Parole Commission file.

    (a) Procedure. Copies of disclosable records pertaining to a 
prisoner or a parolee which are contained in the subject's Parole 
Commission file may be obtained by that prisoner or parolee upon written 
request pursuant to this section. Such requests shall be answered as 
soon as possible in the order of their receipt. Other persons may obtain 
copies of such documents only upon proof of authorization from the 
prisoner or parolee concerned or to the extent permissable under the 
Freedom of Information Act or the Privacy Act of 1974.
    (b) Scope of disclosure. Disclosure under this section shall extend 
to Commission documents concerning the prisoner or parolee making the 
request. Documents which are contained in the regional file and which 
are prepared by agencies other than the Commission which are also 
subject to the provisions of the Freedom of Information Act, shall be 
referred to the appropriate agency for a response pursuant to its 
regulations, unless the document has previously been prepared for 
disclosure pursuant to Sec. 2.55, or is fully disclosable on its face, 
or has been prepared by the Bureau of Prisons. Any Bureau of Prisons 
documents in a parole file are duplicates of records in the inmate's 
institutional file. Before referring these documents to the Bureau of 
Prisons (BOP), the Commission will ask the requestor whether he also 
wants the BOP documents in his parole file processed.
    (1) Requests that are only for a copy of the tape recording of a 
hearing will be processed ahead of requests seeking multiple documents 
from the Parole Commission file (priority processing). A requester may 
limit the scope of the request to a tape recording only (or to a tape 
recording and/or up to two documents) and thereby qualify for priority 
processing. For example, a request for the tape recording and the 
examiner's summary of a hearing qualifies for priority processing.
    (2) [Reserved]
    (c) Exemptions to disclosure. A document or segregable portion 
thereof may be withheld from disclosure to the extent it contains 
material exempt from disclosure under the Freedom of Information Act. 5 
U.S.C. 552(b)(1)-(9).
    (d) Specification of documents withheld. Documents that are withheld 
pursuant to paragraph (c) of this section shall be identified for the 
requester together with the applicable exemption for withholding each 
document or portion thereof. In addition, the requester must be informed 
of the right to appeal any non-disclosure to the Office of the Chairman.
    (e) Hearing record. Upon request by the prisoner or parolee 
concerned, the Commission shall make available a copy of any verbatim 
record (e.g., tape recording) which it has retained of a hearing, 
pursuant to 18 U.S.C. 4208(f).
    (f) Costs. In any case in which billable costs exceed $14.00 (based 
upon the provisions and fee schedules as set forth in the Department of 
Justice regulation 28 CFR 16.10), requesters will be notified that they 
will be required to reimburse the United States for such costs before 
copies are released.
    (g) Relation to other provisions. Disclosure under this section is 
authorized by 28 CFR 16.85 under which the Parole Commission is exempt 
from the record disclosure provisions of the Privacy Act of 1974, as 
well as certain other provisions of the Act pursuant to 5 U.S.C. 
552a(j)(2). Requests submitted under the Freedom of Information Act or 
the Privacy Act for the requester's own records will be processed under 
this section. In no event will the Commission consider satisfaction of a 
request under this section, the Freedom of Information Act, or the 
Privacy Act of 1974, to be a prerequisite to an adequate parole hearing 
under 18 U.S.C. 4208 (for which disclosure is exclusively governed by 
Sec. 2.55 of this part) or to the exercise of a parole applicant's 
appeal rights under 18 U.S.C. 4215. Provisions of the Freedom of 
Information Act not

[[Page 144]]

specifically addressed by these regulations (including the reading room) 
are covered by 28 CFR, part 16, subpart A.
    (h) Appeals--(1) Appeals to the Chairman. When a request for access 
to Parole Commission records or a waiver of fees has been denied in 
whole or in part, or when the Commission fails to respond to a request 
within the time limits set forth in the FOIA, the requester may appeal 
the denial of the request to the Chairman of the Commission within 
thirty days from the date of the notice denying the request. An appeal 
to the Chairman shall be made in writing and addressed to the Office of 
the Chairman, U.S. Parole Commission, 5550 Friendship Boulevard, Suite 
420, Chevy Chase, Maryland 20815.
    (2) Decision on appeal. A decision affirming in whole or in part the 
denial of a request shall include a brief statement of the reason or 
reasons for the affirmance, including each FOIA exemption relied upon 
and its relation to each record withheld, and a statement that judicial 
review of the denial is available in the U.S. district court for the 
judicial district in which the requester resides or has his principal 
place of business, the judicial district in which the requested records 
are located, or in the District of Columbia. If the denial of a request 
is reversed on appeal to the Chairman, the requester shall be so 
notified and the request shall be processed promptly by Commission staff 
in accordance with the Chairman's decision on appeal.
    (i) Expedited processing of Requests. (1) The Commission will 
provide expedited processing of a request when a requester has 
demonstrated a compelling need as defined in this section and has 
presented a statement certified by such person to be true and correct to 
the best of such person's knowledge and belief. A requester may 
demonstrate ``compelling need'' by establishing one of the following:
    (i) That failure to obtain the requested records on an expedited 
basis could reasonably be expected to pose an imminent threat to the 
life or physical safety of an individual; or
    (ii) With respect to a request made by a person primarily engaged in 
disseminating information, urgency to inform the public concerning 
actual or alleged federal government activity.
    (2) A determination as to whether to provide expedited processing 
shall be made within ten days after the date of the request. However, 
the fact of lawful imprisonment in a correctional facility or revocation 
of parole shall not be deemed to pose an imminent threat to the life or 
physical safety of an individual. The Commission shall process as soon 
as practicable any request for records to which it has granted expedited 
processing. An administrative appeal of a denial of expedited processing 
may be made to the Chairman of the Commission within thirty days from 
the date of notice denying expedited processing.

[50 FR 40375, Oct. 3, 1985, as amended at 52 FR 47921, Dec. 17, 1987; 53 
FR 24933, July 1, 1988; 53 FR 47187, Nov. 22, 1988; 54 FR 27839, June 
30, 1989; 58 FR 51780, Oct. 5, 1993; 62 FR 51602, Oct. 2, 1997]



Sec. 2.57  Special parole terms.

    (a) The Drug Abuse Prevention and Control Act, 21 U.S.C. sections 
801 to 966, provides that, on conviction of certain offenses, mandatory 
``special parole terms'' must be imposed by the court as part of the 
sentence. This term is an additional period of supervision which 
commences upon completion of any period on parole or mandatory release 
supervision from the regular sentence; or if the prisoner is released 
without supervision, commences upon such release.
    (b) At the time of release under the regular sentence, whether under 
full term expiration or under a mandatory release certificate or a 
parole certificate, a separate Special Parole Term certificate will be 
issued to the prisoner by the Bureau of Prisons.
    (c) Should a parolee be found to have violated conditions of release 
during supervision under his regular sentence, i.e., before commencement 
of the Special Parole Term, he may be returned as a violator under his 
regular sentence; the Special Parole Term will follow unaffected, as in 
paragraph (a) of this section. Should a parolee violate conditions of 
release during the Special Parole Term he will be subject to revocation 
on the Special Parole Term as

[[Page 145]]

provided in Sec. 2.52, and subject to reparole or mandatory release 
under the Special Parole Term. Notwithstanding the provisions of 
Sec. 2.52(c), a special parole term violator whose parole is revoked 
shall receive no credit for time spent on parole pursuant to 21 U.S.C. 
841(c).
    (d) If a prisoner is reparoled under the revoked Special Parole Term 
a certificate of parole to Special Parole Term is issued by the 
Commission. If the prisoner is mandatorily released under the revoked 
``special parole term'' a certificate of mandatory release to Special 
Parole Term will be issued by the Bureau of Prisons.
    (e) If regular parole or mandatory release supervision is terminated 
under Sec. 2.43, the Special Parole Term commences to run at that point 
in time. Early termination from supervision from a Special Parole Term 
may occur as in the case of a regular parole term, except that the time 
periods considered shall commence from the beginning of the Special 
Parole Term.

[42 FR 39809, Aug. 5, 1977, as amended at 44 FR 3410, Jan. 16, 1979. 
Redesignated at 44 FR 26551, May 4, 1979, as amended at 54 FR 11689, 
Mar. 21, 1989]



Sec. 2.58  Prior orders.

    Any order of the United States Board of Parole entered prior to May 
14, 1976, including, but not limited to, orders granting, denying, 
rescinding or revoking parole or mandatory release, shall be a valid 
order of the United States Parole Commission according to the terms 
stated in the order.

[42 FR 39809, Aug. 5, 1977. Redesignated at 44 FR 26551, May 4, 1979]



Sec. 2.59  Designation of a Commissioner to act as a hearing examiner.

    The Chairman may designate a Commissioner, with the Commissioner's 
consent, to serve as a hearing examiner on specified hearing dockets. 
The Commissioner who serves as a hearing examiner may not vote in the 
same proceeding as a Commissioner.

[60 FR 40094, Aug. 7, 1995]



Sec. 2.60  Superior program achievement.

    (a) Prisoners who demonstrate superior program achievement (in 
addition to a good conduct record) may be considered for a limited 
advancement of the presumptive date previously set according to the 
schedule below. Such reduction will normally be considered at an interim 
hearing or pre-release review. It is to be stressed that a clear conduct 
record is expected; this reduction applies only to cases with documented 
sustained superior program achievement over a period of 9 months or more 
in custody.
    (b) Superior program achievement may be demonstrated in areas such 
as educational, vocational, industry, or counselling programs, and is to 
be considered in light of the specifics of each case. A report from the 
Bureau of Prisons based upon successful completion of a residential 
substance abuse program of at least 500 hours will be given prompt 
review by the Commission for a possible advancement under this section.
    (c) Upon a finding of superior program achievement, a previously set 
presumptive date may be advanced. The normal maximum advancement 
permissible for superior program achievement during the prisoner's 
entire term shall be as set forth in the following schedule. It is the 
intent of the Commission that this maximum be exceeded only in the most 
clearly exceptional cases.
    (d) Partial advancements may be given (for example, a case with 
superior program achievement during only part of the term or a case with 
both superior program achievement and minor disciplinary infraction(s)). 
Advancements may be given at different times; however, the limits set 
forth in the following schedule shall apply to the total combined 
advancement.
    (e) Schedule of Permissible Reductions for Superior Program 
Achievement.

------------------------------------------------------------------------
     Total months required by original
             presumptive date                   Permissible reduction
------------------------------------------------------------------------
14 months or less.........................  Not applicable.
15 to 22 months...........................  Up to 1 month.
23 to 30 months...........................  Up to 2 months.
31 to 36 months...........................  Up to 3 months.
37 to 42 months...........................  Up to 4 months.
43 to 48 months...........................  Up to 5 months.
49 to 54 months...........................  Up to 6 months.
55 to 60 months...........................  Up to 7 months.
61 to 66 months...........................  Up to 8 months.
67 to 72 months...........................  Up to 9 months.
73 to 78 months...........................  Up to 10 months.

[[Page 146]]

 
79 to 84 months...........................  Up to 11 months.
85 to 90 months...........................  Up to 12 months.
91 plus months............................  Up to 13 months.\1\
------------------------------------------------------------------------
\1\ Plus up to 1 additional month for each 6 months or fraction thereof,
  by which the original date exceeds 96 months.

    (f) For cases originally continued to expiration, the statutory good 
time date (calculated under 18 U.S.C. 4161) will be used for computing 
the maximum reduction permissible and as the base from which the 
reduction is to be subtracted for prisoners serving sentences of less 
than five years. For prisoners serving sentences of five or more, the 
two-thirds date (calculated pursuant to 18 U.S.C. 4206(d)) will be used 
for these purposes. If the prisoner's presumptive release date has been 
further reduced by extra good time (18 U.S.C. 4162) and such reduction 
equals or exceeds the reduction applicable for superior program 
achievement, the Commission will not give an additional reduction for 
superior program achievement.

[44 FR 55004, Sept. 24, 1979; 44 FR 59527, Oct. 16, 1979, as amended at 
49 FR 26580, June 28, 1984; 61 FR 4351, Feb. 6, 1996]



Sec. 2.61  Qualifications of representatives.

    (a) A prisoner or parolee may select any person to appear as his or 
her representative in any proceeding, and any representative will be 
deemed qualified unless specifically disqualified under paragraph (b) or 
(c) of this section. However, an examiner or examiner panel may bar an 
otherwise qualified representative from participating in a particular 
hearing, provided good cause for such action is found and stated in the 
record (e.g., willfully disruptive conduct during the hearing by 
repeated interruption or use of abusive language). In certain 
situations, good cause may be found in advance of the hearing (e.g., 
that the proposed representative is a prisoner in disciplinary 
segregation whose presence at the hearing would pose a risk to security, 
or has a personal interest in the case which appears to conflict with 
that of the parole applicant).
    (b) The Commission may disqualify any representative from appearing 
before it for up to a five-year period if, following a hearing, the 
Commission finds that the representative has engaged in any conduct 
which demonstrates a clear lack of personal integrity or fitness to 
practice before the Commission (including, but not limited to, 
deliberate or repetitive provision of false information to the 
Commission, or solicitation of clients on the strength of purported 
personal influence with U.S. Parole Commissioners or staff).
    (c)(1) In addition to the prohibitions contained in 18 U.S.C. 207, 
no former employee of any Federal criminal justice agency (in either the 
Executive or Judicial Branch of the Government) with the exception of 
the Federal Defender Service, shall be qualified to act as a 
representative for hire in any case before the Commission for one year 
following termination of Federal employment. However, such persons may 
be employed by, or perform consulting services for, a private firm or 
other organization providing representation before the agency, to the 
extent that such employment or service does not include the performance 
of any representational act before the Commission.
    (2) No prisoner or parolee may serve as a representative before the 
Commission, at the hire of individual clients, in any case.

[48 FR 14377, Apr. 4, 1983, as amended at 48 FR 44528, Sept. 29, 1983]



Sec. 2.62  Rewarding assistance in the prosecution of other offenders; criteria and guidelines.

    (a) The Commission may consider as a factor in the parole release 
decision-making a prisoner's assistance to law enforcement authorities 
in the prosecution of other offenders.
    (1) The assistance must have been an important factor in the 
investigation and/or prosecution of an offender other than the prisoner. 
Other significant assistance (e.g., providing information critical to 
prison security) may also be considered.
    (2) The assistance must be reported to the Commission in sufficient 
detail to permit a full evaluation. However, no promises, express or 
implied, as to a Parole Commission reward shall be

[[Page 147]]

given any weight in evaluating a recommendation for leniency.
    (3) The release of the prisoner must not threaten the public safety.
    (4) The assistance must not have been adequately rewarded by other 
official action.
    (b) If the assistance meets the above criteria, the Commission may 
consider providing a reduction of up to one year from the presumptive 
parole date that the Commission would have deemed warranted had such 
assistance not occurred. If the prisoner would have been continued to 
the expiration of sentence, any reduction will be taken from the actual 
date of the expiration of the sentence. Reductions exceeding the one 
year limit specified above may be considered only in exceptional 
circumstances.
    (c) In the case of an eligible DC Code prisoner whose assistance 
meets the criteria of this section, the Commission may consider 
deducting a point under Category V of the Point Assignment Table at 
Sec. 2.80, in addition to any other deduction for positive program 
achievement, when considering such prisoner for parole. In the case of a 
DC Code prisoner with an unserved minimum term, the Commission may 
consider filing an application under Sec. 2.76 for a reduction of up to 
one-third of such term less applicable good time.

[52 FR 44389, Nov. 19, 1987. Redesignated at 63 FR 39176, July 21, 1998, 
as amended at 64 FR 5613, Feb. 4, 1999]



Sec. 2.63  Quorum.

    Any Commission action authorized by law may be taken on a majority 
vote of the Commissioners holding office at the time the action is 
taken.

[61 FR 55743, Oct. 29, 1996. Redesignated at 63 FR 39176, July 21, 1998]



Sec. 2.64  Youth Corrections Act.

    (a) The provisions of this section only apply to offenders serving 
sentences imposed under former 18 U.S.C. section 5010 (b) and (c).
    (b) Approval of program plans. (1) The criteria outlined in 
paragraph (d) of this section (on determining successful response to 
treatment) shall be considered in determining whether a proposed program 
plan will effectively reduce the risk to the public welfare presented by 
the YCA prisoner's release.
    (2) If the prisoner's program plan has not already been approved by 
the Commission, the examiner panel shall be given the plan at a hearing 
for review and approval. The examiners shall indicate their approval or 
disapproval of the program plan (with relevant comments and 
recommendations) in the hearing summary.
    (3) If the examiners consider the plan inadequate, they will discuss 
their concerns with institutional staff. If there is still a 
disagreement on the plan, the case will be referred by the Commission's 
regional administrator to the Bureau's regional correctional programs 
administrator with the recommended changes. Unresolved disputes 
concerning the adequacy of the program plan shall be decided by the 
Regional Commissioner and the Regional Director of the Bureau of 
Prisons. The Regional Commissioner shall render the final decision on 
approving or disapproving each program plan on behalf of the Commission. 
Once the program plan has been approved, subsequent approvals are not 
necessary, unless significant modifications are made by institutional 
staff.
    (c) Parole hearings and progress reports. (1) Initial hearings shall 
be conducted in accordance with Secs. 2.12 and 2.13. The examiner panel 
will discuss with the prisoner and a staff member who is knowledgeable 
about the case the program plan and the importance of good conduct and 
program participation is setting the release date.
    (2) An interim hearing must be scheduled for an inmate every nine 
months if the inmate is serving a sentence of less than seven years. If 
the inmate is serving a sentence of seven years or more, the interim 
hearing must be scheduled every twelve months. If the inmate has been 
continued to the expiration of his sentence, and he has less than twelve 
months remaining to be served prior to his release or his transfer to a 
community treatment center, no further hearing is required. In addition, 
within 60 days of receipt of any special progress report from the warden 
recommending parole, the prisoner shall be scheduled for a special 
interim hearing, unless the recommendation

[[Page 148]]

can be timely considered at a regularly scheduled interim hearing. An 
institutional staff member who has personal knowledge of the case shall 
be present to assist the examiners in their evaluation of the prisoner's 
conduct, program performance, and response to treatment.
    (3) After any interim hearing or review on the record, the 
Commission may advance the presumptive release date, let the date stand, 
or retard/rescind the date if the prisoner has committed disciplinary 
infractions or new criminal conduct.
    (4) An interim hearing will not be scheduled after receipt of a 
progress report, if the Commission decides on the record to parole the 
prisoner as soon as a release plan is approved (normally within 60 days 
of the decision).
    (5) The institution shall send a progress report to the Commission:
    (i) No more than 60 days before each interim hearing;
    (ii) Upon determining that a prisoner should be recommended for 
parole; and
    (iii) Before presumptive parole date to allow for the pre-release 
record review under Sec. 2.14(b).

The warden may forward progress reports to the Commission at other times 
in his discretion. Progress reports shall also be sent to the Commission 
every six months for prisoners who have waived interim hearings to 
enable the Commission to verify that these prisoners have satisfied the 
conditions of securing their release on an alternative parole date 
granted under the former YCA compliance plan (i.e., completion of the 
program plan) or the normal presumptive release date (i.e., obedience to 
institutional rules).
    (6) For prisoners granted earlier parole dates under former 
compliance plans in Watts v. Bleaski: A prisoner may waive interim 
hearings under this section, in which case he would retain an 
alternative parole date previously granted to him or a presumptive 
parole date granted as a result of a finding that the prisoner had 
responded to treatment. A prisoner who waives an interim hearing under 
this section may, at any time, re-apply for the hearing and be 
considered under this section in accordance with the application/waiver 
provisions at Sec. 2.11. The Commission will not review the program 
plans for prisoners who waive interim hearings pursuant to this 
paragraph, unless the prisoner subsequently is scheduled for a hearing 
to consider new criminal conduct or a rule infraction and a modification 
of the original program plan appears warranted due to the prisoner's new 
criminal offense or infraction. If the prisoner is scheduled for a 
hearing that may not be waived (e.g., an interim hearing where there has 
been a finding of a disciplinary infraction since the last hearing, or 
any hearing scheduled pursuant to Sec. 2.20 (b) through (f), this 
section will be applied at such hearing.
    (7) Warden's recommendation. Based on the completion of the program 
by the prisoner, and the quality of effort demonstrated by the prisoner 
in completing the plan, the warden will recommend to the Commission a 
conditional release date for its consideration. This recommendation 
shall be accompanied by a report on the prisoner's participation and 
level of achievement in different aspects of his program.
    (d) Criteria for finding successful response to treatment programs. 
(1) In determining whether a prisoner has successfully ``responded to 
treatment'' the Commission shall examine whether the prisoner has shown 
that he has received sufficient corrective training, counseling, 
education, and therapy that the public would not be endangered by his 
release. See former 18 U.S.C. 5006(f) (definition of ``treatment'' under 
the YCA). The Bureau of Prisons shall assist the Commission in this 
determination by informing the Commission when the prisoner has 
completed his program plan and by advising the Commission of the quality 
of effort demonstrated by the prisoner in completing the plan.
    (2) In determining the extent of a prisoner's positive response to 
treatment, the Commission shall examine the degree by which the prisoner 
has increased the likelihood that his release would not jeopardize 
public welfare through his program performance and conduct record. See 
18 U.S.C. 4206(a)(2). The starting report for the analysis of a 
prisoner's response to treatment will be the original parole

[[Page 149]]

prognosis reached by the use of the salient factor score, and an 
evaluation of the nature of the prisoner's prior criminal history and 
other characteristics of the prisoner. The nature of the current offense 
may also be considered in determining the risk to the public welfare 
presented by the prisoner's release. The Commission will then proceed to 
evaluate whether the prisoner's program participation and institutional 
conduct has improved the original risk prognosis and evidences an 
alteration of his valued system, including an understanding of the 
wrongfulness of his past criminal conduct. For those prisoners who have 
exhibited serious or violent criminal behavior, the Commission will 
exercise more caution in making a finding that the prisoner has 
responded to treatment to the degree that he should be released.
    (3) With regard to program performance, significant weight will be 
given to the following factors in determining a prisoner's response to 
treatment. This is not intended as an exhaustive list.
    (i) Vocational training: Where the inmate originally had few job 
skills, the acquisition of a marketable job skill through vocational 
training or an apprenticeship program.
    (ii) Education: Participation in educational programs to acquire an 
educational level at least the level of a high school graduate.
    (iii) Psychological counseling and therapy: Where the prisoner's 
behavior has shown that he may be affected by personality disorders or a 
mental illness that has hampered his ability to lead a law-abiding life, 
or that he may otherwise benefit from such programs, participation in 
psychological and/or other specialized programs which lead to a judgment 
by the therapist/counselor that the prisoner has significantly improved 
his ability to obey the law and favorably modified his value system. 
Participation in these programs will normally be required for a 
significant advancement of the presumptive release date for a prisoner 
who has either committed or attempted a crime of violence.
    (iv) Drug/alcohol abuse programs: Where the prisoner has a history 
of drug/alcohol abuse, participation in a drug/alcohol abuse program 
which leads to the judgment by the therapist/counselor that there is a 
significant likelihood that the prisoner will not revert to drug/alcohol 
abuse and has thereby significantly improved his ability to obey the 
law.
    (v) Work: Assuming the prisoner is physically and mentally able to 
do so and is not otherwise engaged in an institutional activity which 
prevents him from obtaining a job, participation in a job on a regular 
basis so as to demonstrate a stable life pattern and a favorable 
modification of his value system.
    (4) Prison misconduct (i.e., disobedience to institutional rules, 
escape) and new criminal conduct in the institution shall be considered 
in the decision as to whether (or to what degree) a prisoner has 
successfully responded to treatment. The rescission guidelines of 2.36 
shall be used in retarding or rescinding the original presumptive 
release date set according to the guidelines and the factors described 
in 18 U.S.C. 4206. If the original presumptive date has been advanced 
based on response to treatment, the rescission guidelines may also be 
used to retard or rescind the new date to maintain institutional 
discipline, if the misconduct is not deemed serious enough to affect the 
decision that the prisoner has responded to treatment. But misconduct 
subsequent to the advancement of a release date based on a finding of 
response to treatment may also result in a reversal of that finding and 
the cancellation of any advancement of the original presumptive release 
date.
    (e) Setting the parole date (balancing section 4206 factors with 
response to treatment). At any hearing or review on the record, the 
presumptive release date may be advanced if it is determined that the 
prisoner has responded to a sufficient degree to his treatment programs. 
The amount of the advancement should be proportional to the degree of 
response evidenced by the prisoner. In making the advancement, no rule 
restricting the amount of the reduction--whether based on the guidelines 
(Sec. 2.20) or the rule on superior program achievement (Sec. 2.60)--
shall be used. The decision will be the result of

[[Page 150]]

a case-by-case evaluation in which response to treatment programs, the 
seriousness of the offense, and the original parole prognosis are all 
weighed by the Commission with no one factor capable of excluding all 
others.
    (f) Parole violators. Parole violators returned to an institution 
following a local revocation hearing shall normally be considered for 
reparole under this section at a hearing within six months of their 
arrival at the institution.
    (g) Early termination from supervision. (1) A review of the YCA 
parolee's file will be conducted at the conclusion of each year of 
supervision (following receipt of the annual progress report--Form F-3) 
and six months prior to the expiration of his sentence (after receipt of 
the final report).
    (2) A YCA parolee shall not be continued on supervision beyond the 
time periods specified in the early termination guidelines (Sec. 2.43), 
unless case-specific factors indicate further supervision is warranted. 
The guidelines at Sec. 2.43 shall not be routinely used to deny early 
discharge to a YCA parolee who has yet to complete two (or three) years 
of clean supervision.
    (3) The Commission shall consider the facts and circumstances of 
each YCA parolee's case, focusing on the risk he poses to the public and 
the benefit he may obtain from further supervision. The nature of the 
offense and parolee's past criminal record shall be taken into account 
only to evaluate the risk that the parolee may still pose to the public.
    (4) In denying early discharge, the Commission shall inform the 
probation office by letter (with a copy to the YCA parolee) of the 
reasons for continued supervision. The reasons should pertain, whenever 
possible, to the facts and circumstances of the YCA parolee's case. If 
there are no case-specific factors which indicate that discharge should 
be either granted to denied and further supervision appears warranted, 
the Commission may inform the YCA parolee that he is continued on 
supervision because of its experience with similarly situated offenders.

[53 FR 49654, Dec. 9, 1988, as amended at 55 FR 289, Jan. 4, 1990. 
Redesignated at 63 FR 39176, July 21, 1998]



Sec. 2.65  Paroling policy for prisoners serving aggregate U.S. and D.C. Code sentences.

    (a) Applicability. This regulation applies to all prisoners serving 
any combination of U.S. and D.C. Code sentences that have been 
aggregated by the U.S. Bureau of Prisons. Such individuals are 
considered for parole on the basis of a single parole eligibility and 
mandatory release date on the aggregate sentence. Pursuant to Sec. 2.5, 
every decision made by the Commission, including the grant, denial, and 
revocation of parole, is made on the basis of the aggregate sentence.
    (b) Basic policy. The Commission shall apply the guidelines at 
Sec. 2.20 to the prisoner's U.S. Code crimes, and the guidelines of the 
District of Columbia Board of Parole to the prisoner's D.C. Code crimes.
    (c) Determining the federal guideline range. The Commission shall 
first consider the U.S. Code offenses pursuant to the guidelines at 
Sec. 2.20, and shall determine the appropriate number of months to be 
served (the prisoner's ``federal time''). The Commission shall deem the 
``federal time'' to have commenced with the prisoner's initial 
commitment on the current aggregate sentence, including jail time.
    (d) Decisions above the federal guideline range. The ``federal 
time'' thus determined may be a decision within, below or above the 
federal guidelines, but it shall not exceed the limit of the U.S. Code 
sentence, i.e., the number of months that would be required by the 
statutory release date if the U.S. Code sentence is less than five 
years, or the two-thirds date if the U.S. Code sentence is five years or 
more. The D.C. Code criminal behavior may not be used as an aggravating 
offense factor, but may be used as predictive basis for exceeding the 
federal guideline range to account for the actual degree and/or 
seriousness of risk.
    (e) Scheduling the D.C. parole hearing. The Commission shall then 
schedule a D.C. parole hearing to be conducted not later than four 
months prior to the parole eligibility date, or the expiration of the 
``federal time,'' whichever is later. At the D.C. parole hearing the 
Commission shall apply the point score system of the D.C. Board of 
Parole,

[[Page 151]]

pursuant to the regulations of the D.C. Board of Parole, to determine 
the prisoner's suitability for release on parole.
    (f) Granting parole. In determining whether or not to grant parole 
pursuant to the point score system of the D.C. Board of Parole, and the 
length of any continuance for a rehearing if parole is denied, the 
Commission shall presume that the eligible prisoner has satisfied basic 
accountability for the D.C. Code offense behavior. However, the 
Commission retains the authority to consider any unusual offense 
circumstances pursuant to 28 DCMR 204.22 to deny parole despite a 
favorable point score, and to set a rehearing date beyond the ordinary 
schedule. The Commission shall also consider whether the totality of the 
prisoner's offense behaviors (U.S. and D.C. Code) warrants a continuance 
to reflect the true seriousness or the degree of the risk that the 
release of the prisoner would pose for the public welfare. Nonetheless, 
the Commission shall not deny parole or order a continuance, solely on 
the ground of punishment for the U.S. Code offenses standing alone, or 
on grounds that have been adequately accounted for in a decision to 
exceed the federal guideline range.
    (g) Hearings. The Commission shall, in accordance with Sec. 2.12 of 
these regulations, conduct an initial hearing to determine the federal 
time. This portion of the decision shall be subject to appeal pursuant 
to Sec. 2.26 of these regulations. A D.C. parole hearing to determine 
the prisoner's suitability for parole under the D.C. guidelines shall be 
conducted as ordered at the initial hearing. Prior to the D.C. parole 
hearing, statutory interim hearings shall be conducted pursuant to 
Sec. 2.14 of these regulations, including an interim hearing at 
eligibility on the aggregate sentence if no other interim hearing would 
be held. After the D.C. parole hearing, rehearings shall be conducted 
pursuant to the rules and policy guidelines of the D.C. Board of Parole, 
if release on parole is not granted.
    (h) Revocation decisions. Violations of parole are violations on the 
aggregate sentence, and a parole violation warrant is therefore issued 
under the authority of the aggregate sentence. With regard to the 
reparole decision, the Commission shall follow the guidelines at 
Sec. 2.21 of these rules, but rehearings shall be scheduled according to 
the guidelines of the D.C. Board of Parole.
    (i) Forfeiture of street time. All time on parole shall be forfeited 
if required under Sec. 2.52(c) of these regulations. If not, the 
Commission shall divide the total time on parole (street time) according 
to the proportional relationship of the D.C. sentence to the U.S. 
sentence, and shall order the forfeiture of the portion corresponding to 
the D.C. sentence pursuant to D.C. Code 24-206(a). For example, if the 
prisoner is serving a two-year D.C. Code sentence and a three-year U.S. 
Code sentence, the D.C. sentence is two-fifths, or 40 percent, of the 
total aggregate sentence. If he was on parole 100 days, he therefore 
forfeits 40 days. ``Street time'' is measured from the date of release 
on parole to the execution of the warrant or confinement on other 
charges.

[54 FR 27842, June 30, 1989, as amended at 57 FR 41395, 41396, Sept. 10, 
1992. Redesignated at 63 FR 39176, July 21, 1998]



Sec. 2.66  Expedited Revocation Procedure.

    (a) In addition to the actions available to the Commission under 
Sec. 2.47(a) and (b), and under Sec. 2.48, the Commission may offer an 
alleged parole violator an opportunity to accept responsibility for his 
violation behavior, to waive a revocation hearing, and to accept the 
sanction proposed by the Commission in the Notice of Eligibility for 
Expedited Revocation Procedure that is sent to the alleged parole 
violator.
    (b) The following cases may be considered under the expedited 
revocation procedure:
    (1) Cases in which the alleged parole violator has been given a 
preliminary interview under Sec. 2.48, and the alleged violation 
behavior would be graded Category One or Category Two;
    (2) Cases in which the alleged violator has been given a preliminary 
interview under Sec. 2.48 and the proposed decision is continue to 
expiration of sentence, regardless of offense category; and
    (3) Cases in which an alleged violator has received a dispositional 
review

[[Page 152]]

under Sec. 2.47, and the Commission determines that conditional 
withdrawal of the warrant would be appropriate, but forfeiture of street 
time is deemed necessary to provide an adequate period of supervision.
    (c) The alleged violator's consent shall not be deemed to create an 
enforceable agreement with respect to any action the Commission is 
authorized to take by law or regulation, or to limit in any respect the 
normal statutory consequences of a revocation of parole or mandatory 
release.

[63 FR 25770, May 11, 1998. Redesignated at 63 FR 39176, July 21, 1998]



            Subpart B--Transfer Treaty Prisoners and Parolees



Sec. 2.68  Prisoners transferred pursuant to treaty.

    (a) Applicability, jurisdiction and statutory interpretation. (1) 
Prisoners transferred pursuant to treaty (transferees) who committed 
their offenses on or after November 1, 1987, shall receive a special 
transferee hearing pursuant to the procedures found in this section and 
18 U.S.C. 4106A. Transferees who committed their offenses prior to 
November 1, 1987, are immediately eligible for parole and shall receive 
a parole hearing pursuant to procedures found at 28 CFR 2.13. The Parole 
Commission shall treat the foreign conviction as though it were a lawful 
conviction in a United States District Court.
    (2) The jurisdiction of the Commission to set a release date and 
periods and conditions of supervised release extends until the 
transferee is released from prison or the transferee's case is otherwise 
transferred to a district court pursuant to an order of the Commission.
    (3) It is the Commission's interpretation of 18 U.S.C. 4106A that 
every transferee is entitled to a release date determination by the 
Commission after considering the applicable sentencing guidelines in 
effect at the time of the hearing. Upon release from imprisonment the 
transferee may be required to serve a period of supervised release 
pursuant to section 5D1.2 of the sentencing guidelines. The combination 
of the period of imprisonment that results from the release date set by 
the Commission and the period of supervised release shall not exceed the 
full term of the sentence imposed by the foreign court. The combined 
periods of imprisonment and supervised release may be less than the full 
term of the sentence imposed by the foreign court unless the applicable 
treaty is found to require otherwise.
    (4) The applicable offense guideline provision is determined by 
selecting the offense in the U.S. Code that is most similar to the 
offense for which the transferee was convicted in the foreign court. In 
so doing, the Commission considers itself required by law and treaty to 
respect the offense definitions contained in the foreign criminal code 
under which the prisoner was convicted, as well as the official 
documents supplied by the foreign court.
    (5) The release date that is determined by the Commission under 18 
U.S.C. 4106A(b)(1)(A) is a prison release determination and does not 
represent the imposition of a new sentence for the transferee. However, 
the release date shall be treated by the Bureau of Prisons as if it were 
the full term date of a sentence for the purpose of establishing a 
release date pursuant to 18 U.S.C. 4105(c)(1). The Bureau of Prisons 
release date shall supersede the release date established by the Parole 
Commission under 18 U.S.C. 4106A and shall be the date upon which the 
transferee's period of supervised release commences. If the Commission 
has ordered ``continue to expiration,'' the 4106A release date is the 
same as the full term date of the foreign sentence. It is the 
Commission's interpretation of 18 U.S.C. 4105(c)(1) that the deduction 
of service credits in either case does not operate to reduce the foreign 
sentence or otherwise limit the Parole Commission's authority to 
establish a period of supervised release extending from the date of 
actual release from prison to the full term date of the foreign 
sentence.
    (6) If the Commission sets a release date under 18 U.S.C. 
4106A(b)(1)(A) that is earlier than the mandatory release date 
established by the Bureau of Prisons under 18 U.S.C. 4105(c)(1), then 
the release date set by the Commission controls. If the release date set 
by the Commission under 18 U.S.C.

[[Page 153]]

4106A(b)(1)(A) is equal to or later than the mandatory release date 
established by the Bureau of Prisons under 18 U.S.C. 4105(c)(1), then 
the mandatory release date established by the Bureau of Prisons 
controls.
    (7) It is the Commission's interpretation of 18 U.S.C. 4106A that 
U.S. Code provisions for mandatory minimum terms of imprisonment and 
supervised release, as well as sentencing guideline provisions 
implementing such U.S. Code requirements (e.g., section 5G1.1(b) of the 
sentencing guidelines), were not intended by Congress to be applicable 
in an 18 U.S.C. 4106A(b)(1)(A) determination. Alternatively, it is the 
Commission's position that there is good cause in every transfer treaty 
case for a departure from any statutorily required minimum sentence 
provision in the sentencing guidelines, including section 5G1.1(b) of 
the sentencing guidelines, because Congress did not enact mandatory 
sentence laws with transferees in mind. Thus, in every transfer treaty 
case, the release date will be determined through an exercise of 
Commission discretion, according to the sentencing guideline range that 
is derived from a case-specific ``similar offense'' determination, 
rather than by reference to any provision concerning mandatory minimum 
sentences of imprisonment or terms of supervised release.
    (b) Interview upon entry. Following the transferee's entry into the 
United States, the transferee shall, without unnecessary delay, be 
interviewed by a United States Probation Officer who shall inform the 
transferee of his rights under this regulation. The transferee shall be 
given the appropriate forms for appointment of counsel pursuant to 18 
U.S.C. 3006(A) at the interview if appointment of counsel is requested.
    (c) Postsentence report. A postsentence investigation report, which 
shall include an estimated sentencing classification and sentencing 
guideline range, shall be prepared by the probation office in the 
district of entry (or the transferee's home district). Disclosure of the 
postsentence report shall be made as soon as the report is completed, by 
delivery of a copy of the report to the transferee and his or her 
counsel (if any). Confidential material contained in the postsentence 
investigation report may be withheld pursuant to the procedures of 18 
U.S.C. 4208(c). Copies of all documents provided by the transferring 
country relating to the transferee shall be appended to the postsentence 
report when disclosed to the transferee and when transmitted to the 
Commission.
    (d) Opportunity to object. The transferee (or counsel) shall have 
thirty calendar days after disclosure of the postsentence report to 
transmit any objections to the report he or she may have, in writing, to 
the Commission with a copy to the probation officer. The Commission 
shall review the objections and may request that additional information 
be submitted by the probation officer in the form of an addendum to the 
postsentence report. Any disputes of fact or disputes concerning 
application of the sentencing guidelines shall be resolved at the 
special transferee hearing.
    (e) Special transferee hearing. A special transferee hearing shall 
be conducted within 180 days from the transferee's entry into the United 
States, or as soon as is practicable following completion of the 
postsentence report along with any corrections or addendum to the report 
and appointment of counsel for an indigent transferee.
    (1) Waivers. The transferee may waive the special transferee hearing 
on a form provided for that purpose, and the Commission may either:
    (A) Set a release date that falls within 60 days of receipt of the 
waiver and establish a period and conditions of supervised release; or
    (B) Reject the waiver and schedule a hearing.
    (2) Short-term cases. In the case of a transferee who has less than 
six months from the date of his entry into the United States to his 
release date as calculated by the Bureau of Prisons under 18 U.S.C. 
4105, the Commission may, without conducting a hearing or awaiting a 
waiver, set a release date and a period and conditions of supervised 
release. In such cases, the period of supervised release shall not 
exceed the minimum necessary to satisfy the applicable sentencing 
guideline (but may extend to the full-term of the foreign sentence if 
such period is shorter

[[Page 154]]

than the minimum of applicable sentencing guideline). The transferee may 
petition the Commission for a more favorable decision within 60 days of 
the Commission's determination, and the Commission may act upon the 
petition regardless of whether or not the transferee has been released 
from prison.
    (f) Representation. The transferee shall have the opportunity to be 
represented by counsel (retained by the transferee or, if financially 
unable to retain counsel, counsel shall be provided pursuant to 18 
U.S.C. 3006(A)), at all stages of the proceeding set forth in this 
section. The transferee may select a non-lawyer representative as 
provided in 28 CFR 2.61.
    (g) The decisionmaking criteria. The Commission shall apply the 
guidelines promulgated by the United States Sentencing Commission, as 
though the transferee were convicted in a United States District Court 
of a statutory offense most nearly similar to the offense of which the 
transferee was convicted in the foreign court. The Commission shall take 
into account the offense definition under foreign law, the length of the 
sentence permitted by that law, and the underlying circumstances of the 
offense behavior, to establish a guideline range that fairly reflects 
the seriousness of the offense behavior committed in the foreign 
country.
    (h) Hearing procedures. Special transferee hearings shall be 
conducted by a hearing examiner. Each special transferee hearing shall 
be recorded by a certified court reporter and the proceedings shall be 
transcribed if the determination of the Commission is appealed. The 
following procedures shall apply at a special transferee proceeding, 
unless waived by the transferee:
    (1) The examiner shall inquire whether the transferee and his 
counsel have had an opportunity to read and discuss the postsentence 
investigation report and whether the transferee is prepared to go 
forward with the hearing. If not, the transferee shall be given the 
opportunity to continue the hearing.
    (2) The transferee shall have an opportunity to present documentary 
evidence and to testify on his own behalf.
    (3) Oral testimony of interested parties may be taken with prior 
advance permission of the Regional Commissioner.
    (4) The transferee and his counsel shall be afforded the opportunity 
to comment upon the guideline estimate contained in the postsentence 
investigation report (and the addendum, if any), and to present 
arguments and information relating to the Commission's final guideline 
determination and decision.
    (5) Disputes of material fact shall be resolved by a preponderance 
of the evidence, with written recommended findings by the examiner 
unless the examiner determines, on the record, not to take the 
controverted matter into account.
    (6) The transferee shall be notified of the examiner's recommended 
findings of fact, and the examiner's recommended determination and 
reasons therefore, at the conclusion of the hearing. The case shall 
thereafter be reviewed by the Executive Hearing Examiner pursuant to 
Sec. 2.23, and the Commission shall make its determination upon a panel 
recommendation.
    (i) Final decision. (1) The Commission shall render a decision as 
soon as practicable and without unnecessary delay. Decisions shall be 
made upon a concurrence of two votes of the National Commissioners. The 
decision shall set a release date and a period and conditions of 
supervised release. If the Commission determines that the appropriate 
release date under 18 U.S.C. 4106A is the full term date of the foreign 
sentence, the Commission will order the transferee to ``continue to 
expiration''.
    (2) Whenever the Bureau of Prisons applies service credits under 18 
U.S.C. 4105 to a release date established by the Commission, the release 
date used by the Bureau of Prisons shall be the date established by the 
Parole Commission pursuant to the sentencing guidelines and not a date 
that resulted from any adjustment made to achieve comparable punishment 
with a similarly-situated U.S. Code offender. The application of service 
credits under 18 U.S.C. 4105 shall supersede any previous release date 
set by the Commission. The

[[Page 155]]

Commission may, for the purpose of facilitating the application of 
service credits by the Bureau of Prisons, reopen any case on the record 
to clarify the correct release date to be used, and the period of 
supervised release to be served.
    (3) The Commission may, in its discretion, defer a decision and 
order a rehearing, provided that a statement of the reason for ordering 
a rehearing is issued to the transferee and the transferee's counsel (if 
any).
    (4) The Commission's final decision shall be supported by a 
statement of reasons explaining:
    (i) The similar offense selected as the basis for the Commission's 
decision;
    (ii) The basis for the guideline range applied; and
    (iii) The reason for making a release determination above or below 
the guideline range. If the release date is within a guideline range 
that exceeds twenty-four months, the Commission shall identify the 
reason for the release date selected.
    (j) Appeal. The transferee shall be advised of his right to appeal 
the decision of the Commission to the United States Court of Appeals 
that has jurisdiction over the district in which the transferee is 
confined.
    (k) Reopening or modification of a determination prior to transfer 
of jurisdiction. (1) A hearing and assistance of counsel will be 
provided to the transferee whenever a case is reopened under 
subparagraphs (2), (3), (4), and (5) below unless:
    (i) Waived by the transferee; or
    (ii) The action to be taken is favorable and no factual issue must 
be resolved.
    (2) The Commission may reopen and modify a determination based upon 
information which was not previously considered. Such information must, 
however, be contained in the record of the foreign sentencing court.
    (3) The Commission may reopen and modify a determination of the 
terms and conditions of supervised release. Modifications may include 
approval or disapproval of the transferee's release plan.
    (4) The Commission shall reopen and modify a determination that has 
been found on appeal to have been imposed in violation of the law, to 
have been imposed as a result of an incorrect application of the 
sentencing guidelines, or to have been unreasonable.
    (5) The Commission may reopen and modify a determination upon 
consideration of the factors listed in section 5K1.1 of the sentencing 
guidelines if the transferee provides substantial assistance to law 
enforcement authorities, and that assistance was not previously 
considered by the Commission. The Commission will treat a request from a 
foreign or a domestic law enforcement authority as the equivalent of a 
``motion of the government.''
    (6) The Commission may modify a determination based upon a clerical 
mistake or other error in accordance with Federal Rules of Criminal 
Procedure Rule 36.
    (7) The Commission may reopen and modify the release date if it 
determines that a circumstance set forth in 18 U.S.C. 3582(c) is 
satisfied.
    (l) Supervised release. (1) If a period of supervised release is 
imposed, the Commission presumes that the recommended conditions of 
supervised release in section 5B1.4(a) of the sentencing guidelines, a 
condition requiring the transferee to report to the probation office 
within 72 hours of release from the custody of the Bureau of Prisons, a 
condition that the transferee not commit another Federal, state or local 
crime, and a condition that the transferee not possess a firearm or 
other dangerous weapon are reasonably necessary in every case. These 
conditions, therefore, shall be imposed unless the Commission finds 
otherwise. The Commission may also impose special conditions of 
supervised release whenever deemed reasonably necessary in an individual 
case.
    (2) If the transferee is released pursuant to a date established by 
the Bureau of Prisons under 18 U.S.C. 4105(c)(1), then the period of 
supervised release commences upon the transferee's release from 
imprisonment.

[54 FR 27840, June 30, 1989, as amended at 55 FR 39269, Sep. 26, 1990; 
58 FR 30705, May 27, 1993; 59 FR 26425, May 20, 1994; 60 FR 18354, Apr. 
11, 1995; 61 FR 38570, July 25, 1996; 61 FR 54096, 54097, Oct. 17, 1996; 
62 FR 40270, July 28, 1997. Redesignated at 63 FR 39176, July 21, 1998]

[[Page 156]]



Sec. 2.69  [Reserved]



       Subpart C--District of Columbia Code Prisoners and Parolees

    Source: 65 FR 19997, Apr. 13, 2000, unless otherwise noted.



Sec. 2.70  Authority and functions of the U.S. Parole Commission with respect to District of Columbia Code offenders.

    (a) The U.S. Parole Commission shall exercise authority over 
District of Columbia Code offenders pursuant to Section 11231 of the 
National Capital Revitalization and Self-Government Improvement Act of 
1997, Public Law 105-33, 111 Stat. 712, and D.C. Code 24-209. The rules 
in this Subpart shall govern the operation of the U.S. Parole Commission 
with respect to D.C. Code offenders and are the pertinent parole rules 
of the District of Columbia as amended and supplemented pursuant to 
section 11231(a)(1) of the Act.
    (b) The Commission shall have sole authority to grant parole, and to 
establish the conditions of release, for all District of Columbia Code 
prisoners who are serving sentences for felony offenses, and who are 
eligible for parole by statute, including offenders who have been 
returned to prison upon the revocation of parole or mandatory release. 
(D.C. Code 24-208). The above authority shall include youth offenders 
who are committed to prison for treatment and rehabilitation based on 
felony convictions under the D.C. Code. (D.C. Code 24-804(a).)
    (c) The Commission shall have authority to recommend to the Superior 
Court of the District of Columbia a reduction in the minimum sentence of 
a District of Columbia Code prisoner, if the Commission deems such 
recommendation to be appropriate. (D.C. Code 24-201(c).)
    (d) The Commission shall have authority to grant parole to a 
prisoner who is found to be geriatric, permanently incapacitated, or 
terminally ill, notwithstanding the minimum term imposed by the 
sentencing court. (D.C. Code 24-263 through 267.)
    (e) The Commission shall have authority over all District of 
Columbia Code felony offenders who have been released to parole or 
mandatory release supervision, including the authority to return such 
offenders to prison upon an order of revocation. (D.C. Code 24-206.)



Sec. 2.71  Application for parole.

    (a) A prisoner (including a committed youth offender) desiring to 
apply for parole shall execute an application form as prescribed by the 
Commission. Such forms shall be available at each institution and shall 
be provided to a prisoner who is eligible for parole consideration. The 
Commission may then conduct an initial hearing or grant an effective 
date of parole on the record. A prisoner who receives an initial hearing 
need not apply for subsequent hearings.
    (b) To the extent practicable, the initial hearing for an eligible 
adult prisoner who has applied for parole shall be held at least 180 
days prior to such prisoner's date of eligibility for parole. The 
initial hearing for a committed youth offender shall be scheduled during 
the first 120 days after admission to the institution that is 
responsible for developing his rehabilitative program.
    (c) A prisoner may knowingly and intelligently waive any parole 
consideration on a form provided for that purpose. A prisoner who 
declines either to apply for or waive parole consideration shall be 
deemed to have waived parole consideration.
    (d) A prisoner who waives parole consideration may later apply for 
parole and be heard during the next visit of the Commission to the 
institution at which the prisoner is confined, provided that the 
prisoner has applied for parole at least 60 days prior to the first day 
of the month in which such visit of the Commission occurs. In no event, 
however, shall such prisoner be heard at an earlier date than that set 
forth in paragraph (b) of this section.



Sec. 2.72  Hearing procedure.

    (a) Each eligible prisoner for whom an initial hearing has been 
ordered shall appear in person before an examiner of the Commission. The 
examiner shall review with the prisoner the guidelines at Sec. 2.80, and 
shall discuss with the prisoner such information as the examiner deems 
relevant, including

[[Page 157]]

the prisoner's offense behavior, criminal history, institutional record, 
health status, release plans, and community support. If the examiner 
determines that the available file material is not adequate for this 
purpose the examiner may order the hearing to be postponed to the next 
docket so that the missing information can be requested.
    (b) Parole hearings may be held in District of Columbia facilities 
(including District of Columbia contract facilities) and federal 
facilities (including federal contract facilities).
    (c) A prisoner appearing for a parole hearing in a federal facility 
may have a representative pursuant to Sec. 2.13(b). A prisoner appearing 
for a parole hearing in a facility other than a federal facility shall 
not be accompanied by counsel or any other person (except a staff member 
of the facility) except in such facilities as the Commission may 
designate as suitable for the appearance of representatives.
    (d) Prehearing disclosure of file material will be available to 
prisoners and their representatives only in the case of prisoners 
confined in federal facilities, and pursuant to Sec. 2.55.
    (e) A victim of a crime, or a representative of the immediate family 
of a victim if the victim has died, shall have the right:
    (1) To be present at the parole hearings of each offender who 
committed the crime, and
    (2) To testify and/or offer a written or recorded statement as to 
whether or not parole should be granted, including information and 
reasons in support of such statement. A written statement may be 
submitted at the hearing or provided separately. The prisoner may be 
excluded from the hearing room during the appearance of a victim or 
representative who gives testimony. In lieu of appearing at a parole 
hearing, a victim or representative may request permission to appear 
before an examiner (or other staff member), who shall record and 
summarize the victim's or representative's testimony. Whenever new and 
significant information is provided under this rule, the hearing 
examiner will summarize the information at the parole hearing and will 
give the prisoner an opportunity to respond. Such summary shall be 
consistent with a reasonable request for confidentiality by the victim 
or representative.
    (f) Attorneys, family members, relatives, friends of the prisoner, 
or other interested persons desiring to submit information pertinent to 
any prisoner may do so at any time, but such information must be 
received by the Commission at least 30 days prior to a scheduled hearing 
in order to be considered at that hearing. Such persons may also request 
permission to appear at the offices of the Commission to speak to a 
Commission staff member, provided such request is received at least 30 
days prior to the scheduled hearing. The purpose of this office visit 
will be to supplement the Commission's record with pertinent factual 
information concerning the prisoner, which shall be placed in the record 
for consideration at the hearing. An office visit at a time other than 
set forth in this paragraph may be authorized only if the Commission 
finds good cause based upon a written request setting forth the nature 
of the information to be discussed. See Sec. 2.22.
    (g) A full and complete recording of every parole hearing shall be 
retained by the Commission. Upon a request pursuant to Sec. 2.56, the 
Commission shall make available to any eligible prisoner such record as 
the Commission has retained of the hearing.
    (h) Because parole decisions must be reached through a record-based 
hearing and voting process, no contacts shall be permitted between any 
person attempting to influence the Commission's decision-making process, 
and the examiners and Commissioners of the Commission, except as 
provided in this subpart.



Sec. 2.73  Parole suitability criteria.

    (a) In accordance with D.C. Code 24-204(a), the Commission shall be 
authorized to release a prisoner on parole in its discretion after the 
prisoner has served the minimum term of the sentence imposed, if the 
following criteria are met:
    (1) The prisoner has substantially observed the rules of the 
institution;
    (2) There is a reasonable probability that the prisoner will live 
and remain

[[Page 158]]

at liberty without violating the law; and
    (3) In the opinion of the Commission, the prisoner's release is not 
incompatible with the welfare of society.
    (b) It is the policy of the Commission with respect to District of 
Columbia Code offenders that the minimum term imposed by the sentencing 
court presumptively satisfies the need for punishment in respect to the 
crime of which the prisoner has been convicted, and that the 
responsibility of the Commission is to account for the degree and the 
seriousness of the risk that the release of the prisoner would entail. 
This responsibility is carried out by reference to the Salient Factor 
Score and the Point Assignment Table at Sec. 2.80. However, there may be 
exceptional cases in which the gravity of the offense is sufficient to 
warrant an upward departure from Sec. 2.80 and denial of parole.



Sec. 2.74  Decision of the Commission.

    (a) Following each initial or subsequent hearing, the Commission 
shall render a decision granting or denying parole, and shall provide 
the prisoner with a notice of action that includes an explanation of the 
reasons for the decision. The decision shall ordinarily be issued within 
21 days of the hearing, excluding weekends and holidays.
    (b) Whenever a decision is rendered within the applicable guideline 
established in this subpart, it will be deemed a sufficient explanation 
of the Commission's decision for the notice of action to set forth how 
the guideline was calculated. If the decision is a departure from the 
guidelines, the notice of action shall include the reasons for such 
departure.
    (c) Relevant issues of fact shall be resolved by the Commission in 
accordance with Sec. 2.19(c). All final parole decisions (granting, 
denying, or revoking parole) shall be based on the concurrence of two 
Commissioner votes, except that three Commissioner votes shall be 
required if the decision differs from the decision recommended by the 
examiner panel by more than six months. All other decisions may be based 
on a single Commissioner vote, except as expressly provided in these 
rules.



Sec. 2.75  Reconsideration proceedings.

    (a) If the Commission denies parole, it shall establish an 
appropriate reconsideration date in accordance with the provisions of 
Sec. 2.80. The prisoner shall be given a rehearing during the month 
specified by the Commission, or on the docket of hearings immediately 
preceding that month if no docket of hearings is scheduled for the month 
specified. If the prisoner's mandatory release date will occur before 
the reconsideration date deemed appropriate by the Commission pursuant 
to Sec. 2.80, the Commission may order that the prisoner be released by 
the expiration of his sentence less good time (``continue to 
expiration'').
    (b) The first reconsideration date shall be calculated from the 
prisoner's eligibility date, except that in the case of a youth offender 
or any prisoner who has waived the initial hearing, the first 
reconsideration date shall be calculated from the date the initial 
hearing is held. In all cases, any subsequent reconsideration date shall 
be calculated from the date of the last hearing. In the case of a waiver 
or substantial delay in holding the initial hearing, the Commission may 
conduct nunc pro tunc a combined initial hearing and such rehearings as 
would otherwise have been held during the delay.
    (c) Notwithstanding the provisions of paragraph (a), the Commission 
shall not set a reconsideration date in excess of five years from the 
date of the prisoner's last hearing, nor shall the Commission continue a 
prisoner to the expiration of his or her sentence if more than five 
years remains from the date of the last hearing until the prisoner's 
scheduled mandatory release. The scheduling of a reconsideration date 
does not imply that parole will be granted at such hearing.
    (d) Prior to the parole reconsideration date, the Commission shall 
review the prisoner's record, including an institutional progress report 
which shall be submitted 60 days prior to the hearing. Based on its 
review of the record, the Commission may grant an effective date of 
parole without conducting the scheduled in-person hearing.
    (e) Notwithstanding a previously established reconsideration date, 
the

[[Page 159]]

Commission may also reopen any case for a special reconsideration 
hearing, as provided in Sec. 2.28, upon the receipt of new and 
significant information concerning the prisoner.



Sec. 2.76  Reduction in minimum sentence.

    (a) A prisoner who has served three (3) or more years of the minimum 
term of his or her sentence may request the Commission to file an 
application with the sentencing court for a reduction in the minimum 
term pursuant to D.C. Code 24-201c. The prisoner's request to the 
Commission shall be in writing and shall state the reasons that the 
prisoner believes such request should be granted. The Commission shall 
require the submission of a progress report before approving such a 
request.
    (b) Approval of a prisoner's request under this section shall 
require the concurrence of a majority of the Commissioners holding 
office.
    (c) Pursuant to D.C. Code 24-201c, the Commission may file an 
application to the sentencing court for a reduction of a prisoner's 
minimum term if the Commission finds that:
    (1) The prisoner has completed three years of the minimum term 
imposed by the court;
    (2) The prisoner has shown, by report of the responsible prison 
authorities, an outstanding response to the rehabilitative program(s) of 
the institution;
    (3) The prisoner has fully observed the rules of each institution in 
which the prisoner has been confined;
    (4) The prisoner appears to be an acceptable risk for parole based 
on both the prisoner's pre-and post-incarceration record; and
    (5) Service of the minimum term imposed by the court does not appear 
necessary to achieve appropriate punishment and deterrence.
    (d) If the Commission approves a prisoner's request under this 
section, an application for a reduction in the prisoner's minimum term 
shall be forwarded to the U.S. Attorney for the District of Columbia for 
filing with the sentencing court. If the U.S. Attorney objects to the 
Commission's recommendation, the U.S. Attorney shall provide the 
government's objections in writing for consideration by the Commission. 
If, after consideration of the material submitted, the Commission 
declines to reconsider its previous decision, the U.S. Attorney shall 
file the application with the sentencing court.
    (e) If a prisoner's request under this section is denied by the 
Commission, there shall be a waiting period of two (2) years before the 
Commission will again consider the prisoner's request, absent 
exceptional circumstances.



Sec. 2.77  Medical parole.

    (a) Upon receipt of a report from the institution in which the 
prisoner is confined that the prisoner is terminally ill, or is 
permanently and irreversibly incapacitated by a physical or medical 
condition that is not terminal, the Commission shall determine whether 
or not to release the prisoner on medical parole. Release on medical 
parole may be ordered by the Commission at any time, whether or not the 
prisoner has completed his or her minimum sentence. Consideration for 
medical parole shall be in addition to any other parole for which a 
prisoner may be eligible.
    (b) A prisoner may be granted a medical parole on the basis of 
terminal illness if:
    (1) The institution's medical staff has provided the Commission with 
a reasonable medical judgment that the prisoner is within six months of 
death due to an incurable illness or disease; and
    (2) The Commission finds that:
    (i) The prisoner will not be a danger to himself or others; and
    (ii) Release on parole will not be incompatible with the welfare of 
society.
    (c) A prisoner may be granted a medical parole on the basis of 
permanent and irreversible incapacitation only if the Commission finds 
that:
    (1) The prisoner will not be a danger to himself or others because 
his condition renders him incapable of continued criminal activity; and
    (2) Release on parole will not be incompatible with the welfare of 
society.
    (d) The seriousness of the prisoner's crime shall be considered in 
determining whether or not a medical parole should be granted prior to 
completion of the prisoner's minimum sentence.
    (e) A prisoner, or the prisoner's representative, may apply for a 
medical

[[Page 160]]

parole by submitting an application to the institution case management 
staff, who shall forward the application accompanied by a medical report 
and any recommendations within 15 days. The Commission shall render a 
decision within 15 days of receiving the application and report.
    (f) A prisoner, the prisoner's representative, or the institution 
may request the Commission to reconsider its decision on the basis of 
changed circumstances.
    (g) Notwithstanding any other provision of this section--
    (1) A prisoner who has been convicted of first degree murder or who 
has been sentenced for a crime committed while armed under D.C. Code 22-
2903, 22-3202, or 22-3204(b), shall not be eligible for medical parole 
(D.C. Code 24-267); and
    (2) A prisoner shall not be eligible for medical parole on the basis 
of a physical or medical condition that existed at the time the prisoner 
was sentenced (D.C. Code 24-262).



Sec. 2.78  Geriatric parole.

    (a) Upon receipt of a report from the institution in which the 
prisoner is confined that a prisoner who is at least 65 years of age has 
a chronic infirmity, illness, or disease related to aging, the 
Commission shall determine whether or not to release the prisoner on 
geriatric parole. Release on geriatric parole may be ordered by the 
Commission at any time, whether or not the prisoner has completed his or 
her minimum sentence. Consideration for geriatric parole shall be in 
addition to any other parole for which a prisoner may be eligible.
    (b) A prisoner may be granted a geriatric parole if the Commission 
finds that:
    (1) There is a low risk that the prisoner will commit new crimes; 
and
    (2) The prisoner's release would not be incompatible with the 
welfare of society.
    (c) The seriousness of the prisoner's crime, and the age at which it 
was committed, shall be considered in determining whether or not a 
geriatric parole should be granted prior to completion of the prisoner's 
minimum sentence.
    (d) A prisoner, or a prisoner's representative, may apply for a 
geriatric parole by submitting an application to the institution case 
management staff, who shall forward the application accompanied by a 
medical report and any recommendations within 30 days. The Commission 
shall render a decision within 30 days of receiving the application and 
report.
    (e) In determining whether or not to grant a geriatric parole, the 
Commission shall consider the following factors (D.C. Code 24-265(c)(1)-
(7)):
    (1) Age of the prisoner;
    (2) Severity of illness, disease, or infirmities;
    (3) Comprehensive health evaluation;
    (4) Institutional behavior;
    (5) Level of risk for violence;
    (6) Criminal history; and
    (7) Alternatives to maintaining geriatric long-term prisoners in 
traditional prison settings.
    (f) A prisoner, the prisoner's representative, or the institution, 
may request the Commission to reconsider its decision on the basis of 
changed circumstances.
    (g) Notwithstanding any other provision of this section--
    (1) A prisoner who has been convicted of first degree murder or who 
has been sentenced for a crime committed while armed under D.C. Code 22-
2903, 22-3202, or 22-3204(b), shall not be eligible for geriatric parole 
(D.C. Code 24-267); and
    (2) A prisoner shall not be eligible for geriatric parole on the 
basis of a physical or medical condition that existed at the time the 
prisoner was sentenced (D.C. Code 24-262).



Sec. 2.79  Good time forfeiture.

    Although a forfeiture of good time will not bar a prisoner from 
receiving a parole hearing, D.C. Code 24-204 permits the Commission to 
parole only those prisoners who have substantially observed the rules of 
the institution. Consequently, the Commission will consider a grant of 
parole for a prisoner with forfeited good time only after a thorough 
review of the circumstances underlying the disciplinary infraction(s). 
The Commission must be satisfied that the prisoner has served a period 
of imprisonment sufficient to

[[Page 161]]

outweigh the seriousness of the prisoner's misconduct.



Sec. 2.80  Guidelines for D.C. Code offenders.

    (a) Introduction. In determining whether an eligible prisoner should 
be paroled, the Commission shall apply the guidelines set forth in this 
section. The guidelines assign numerical values to the pre- and post-
incarceration factors described in the Point Assignment Table set forth 
in paragraph (f) of this section. Decisions outside the guidelines may 
be made, where warranted, pursuant to paragraph (m) of this section.
    (b) Salient factor score and criminal record. The prisoner's Salient 
Factor Score shall be determined by reference to the Salient Factor 
Scoring Manual in Sec. 2.20. The Salient Factor Score is used to assist 
the Commission in assessing the probability that an offender will live 
and remain at liberty without violating the law. The prisoner's record 
of criminal conduct (including the nature and circumstances of the 
current offense) shall be used to assist the Commission in determining 
the probable seriousness of the recidivism that is predicted by the 
Salient Factor Score.
    (c) Disciplinary infractions. The Commission shall assess whether 
the prisoner has been found guilty of committing disciplinary 
infractions while under confinement for the current offense. The 
Commission shall refer to the offense classification tables of the D.C. 
Department of Corrections or the Bureau of Prisons, as applicable, in 
determining whether the prisoner's disciplinary record should be counted 
on the point score. A single Class I or Code 100 offense, or two or more 
Class II or Code 200 offenses, shall be counted as negative 
institutional behavior at an initial hearing or any rehearing. A 
persistent record of lesser offenses may also be counted as negative 
institutional behavior at an initial hearing or a rehearing. At initial 
hearings, an infraction free period of at least three years preceding 
the date of the hearing may be considered by the Commission as 
sufficient to exclude from consideration a previous record of Class I 
(or Code 100) or Class II (or Code 200) offenses, provided that such 
offenses would result in not more than one point added to the prisoner's 
score.
    (d) Program achievement. The Commission shall assess whether the 
prisoner has demonstrated ordinary or superior achievement in the area 
of prison programs, industries, or work assignments while under 
confinement for the current offense. Where prison programs and work 
assignments are limited or unavailable, the Commission may exercise 
discretion based on the prisoner's record of behavior. Points may be 
deducted for program achievement regardless of whether points have been 
added for negative institutional behavior during the same period.
    (e) Implementation. These guidelines shall be applied to all 
prisoners who are given initial parole hearings on or after August 5, 
1998. For prisoners whose initial hearings were held prior to August 5, 
1998, the Commission shall render its decisions by reference to the 
guidelines applied by the D.C. Board of Parole. However, when a decision 
outside such guidelines has been made by the Board, or is ordered by the 
Commission, the Commission may determine the appropriateness and extent 
of the departure by comparison with the guidelines in this section. The 
Commission may also correct any error in the calculation of the D.C. 
Board's guidelines.
    (f) Point Assignment Table. Add the applicable points from 
Categories I-III to determine the base point score. Then add or subtract 
the points from Categories IV and V to determine the total point score.

                         Point Assignment Table
------------------------------------------------------------------------
                                                        Salient Factor
                                                             Score
------------------------------------------------------------------------
                     Category I: Risk of Recidivism
------------------------------------------------------------------------
10-8 (Very Good Risk):..............................                 +0
7-6 (Good Risk).....................................                 +1
5-4 (Fair Risk).....................................                 +2

[[Page 162]]

 
3-0 (Poor Risk).....................................                 +3
------------------------------------------------------------------------
          Category II: Current or Prior Violence (Type of Risk)
------------------------------------------------------------------------
 Note: Use the highest applicable subcategory. If no
        subcategory is applicable, score = 0.
A. Violence in current offense, and any felony                       +4
 violence in two or more prior offenses.............
B. Violence in current offense, and any felony                       +3
 violence in one prior offense......................
C. Violence in current offense......................                 +2
D. No violence in current offense and any felony                     +2
 violence in two or more prior offenses.............
E. Possession of firearm in current offense if                       +2
 current offense is not scored as a crime of
 violence...........................................
F. No violence in current offense and any felony                     +1
 violence in one prior offense......................
------------------------------------------------------------------------
          Category III: Death of Victim or High Level Violence
------------------------------------------------------------------------
   Note: Use highest applicable subcategory. If no
   subcategory is applicable, score = 0. A current
  offense that involved high level violence must be
scored under both Category II (A, B, or C) and under
                    Category III.
A. Current offense was high level or other violence                  +3
 with death of victim resulting.....................
B. Current offense involved attempted murder,                        +2
 conspiracy to murder, solicitation to murder, or
 any willful violence in which the victim survived
 despite death having been the most probable result
 at the time the offense was committed..............
C. Current offense involved high level violence                      +1
 (other than the behaviors described above).........
    Base Point Score (Total of Categories I-III)....
------------------------------------------------------------------------
              Category IV: Negative Institutional Behavior
------------------------------------------------------------------------
 Note: Use the highest applicable subcategory. If no
        subcategory is applicable, score = 0.
A. Aggravated negative institutional behavior
 involving:
    (1) Assault upon a correctional staff member,
     with bodily harm inflicted or threatened,
    (2) Possession of a deadly weapon,
    (3) Setting a fire so as to risk human life,
    (4) Introduction of drugs for purposes of
     distribution, or
    (5) Participating in a violent demonstration or                  +2
     riot
B. Ordinary negative institutional behavior.........                 +1
------------------------------------------------------------------------
                     Category V: Program Achievement
------------------------------------------------------------------------
 Note: Use the highest applicable subcategory. If no
        subcategory is applicable, score = 0.
A. No program achievement...........................                  0
B. Ordinary program achievement.....................                 -1
C. Superior program achievement.....................                 -2
        Total Point Score (Total of Categories I-V).         __________
------------------------------------------------------------------------

    (g) Definitions and instructions for application of point assignment 
table. (1) Salient factor score means the salient factor score set forth 
at Sec. 2.20.
    (2) High level violence in Category III means any of the following 
offenses--
    (i) Murder;
    (ii) Voluntary manslaughter;
    (iii) Arson of a building in which a person other than the offender 
was present or likely to be present at the time of the offense;
    (iv) Forcible rape or forcible sodomy (first degree sexual abuse);
    (v) Kidnapping, hostage taking, or any armed abduction of a victim 
during a carjacking or other offense;
    (vi) Burglary of a residence while armed with any weapon if a victim 
was in the residence during the offense;
    (vii) Obstruction of justice through violence or threats of 
violence;
    (viii) Any offense involving sexual abuse of a person less than 
sixteen years of age;
    (ix) Mayhem, malicious disfigurement, or any offense defined as 
other violence in paragraph (g)(4) of this section that results in 
serious bodily injury as defined in paragraph (g)(3) of this section;
    (x) Any offense defined as other violence in paragraph (g)(4) of 
this section which the offender intentionally discharged a firearm;
    (3) Serious bodily injury means bodily injury that involves a 
substantial risk of death, unconsciousness, extreme physical pain, 
protracted and obvious

[[Page 163]]

disfigurement, or protracted loss or impairment of the function of a 
bodily member, organ, or mental faculty.
    (4) Other violence means any of the following felony offenses that 
does not qualify as high level violence--
    (i) Robbery;
    (ii) Residential burglary;
    (iii) Felony assault;
    (iv) Felony offenses involving a threat, or risk, of bodily harm;
    (v) Felony offenses involving sexual abuse or sexual contact.
    (5) Attempts, conspiracies, and solicitations shall be scored by 
reference to the substantive offense that was the object of the attempt, 
conspiracy, or solicitation; except that Category IIIA shall apply only 
if death actually resulted.
    (6) Current offense means any criminal behavior that is either:
    (i) Reflected in the offense of conviction, or
    (ii) Is not reflected in the offense of conviction but is found by 
the Commission to be related to the offense of conviction (i.e., part of 
the same course of conduct as the offense of conviction). In probation 
violation cases, the current offense includes both the original offense 
and the violation offense, except that the original offense shall be 
scored as a prior conviction (with a prior commitment) rather than as 
part of the current offense, if the prisoner served more than six months 
in prison for the original offense before commencement of probation.
    (7) Category IIE applies whenever a firearm is possessed by the 
offender during, or used by the offender to commit, any offense that is 
not scored under Category II(A-D). Category IIE also applies when the 
current offense is felony unlawful possession of a firearm and there is 
no other current offense. Possession for purposes of Category IIE 
includes constructive possession.
    (8) Category IIIA applies if the death of a victim is:
    (i) Caused by the offender, or
    (ii) Caused by an accomplice and the killing was planned or approved 
by the offender in furtherance of a joint criminal venture.
    (9) In some cases, negative institutional behavior that involves 
violence will result in a higher score if scored as an additional 
current offense under Categories II and/or III, than if scored under 
Category IVA. In such cases, the prisoner's point score is recalculated 
to reflect the conduct as an additional current offense under Categories 
II and/or III, rather than as a disciplinary infraction under Category 
IVA. For example, the attempted murder of another inmate will result in 
a higher score when treated as an additional current offense under 
Categories II and III, if the offense of conviction was scored under 
Category IIC only as violence in current offense. If negative 
institutional behavior is treated as an additional current offense, 
points may nonetheless be assessed under Category IVA or B for other 
disciplinary infractions.
    (10) Superior program achievement means program achievement that is 
beyond the level that the prisoner might ordinarily be expected to 
accomplish.
    (h) Guidelines for decisions at initial hearing--adult offenders. In 
considering whether to parole an adult offender at an initial hearing, 
the Commission shall determine the offender's total point score and then 
consult the following guidelines for the appropriate action:

------------------------------------------------------------------------
               Total points                   Guideline recommendation
------------------------------------------------------------------------
(1) if points =0..........................  Parole at initial hearing
                                             with low level of
                                             supervision indicated.
(2) if points =1..........................  Parole at initial hearing
                                             with high level of
                                             supervision indicated.
(3) if points =2..........................  Parole at initial hearing
                                             with highest level of
                                             supervision indicated.
(4) if points =3+.........................  Deny parole at initial
                                             hearing and schedule
                                             rehearing in accordance
                                             with Sec.  2.75(c) and the
                                             time ranges set forth in
                                             paragraph (j) of this
                                             section.
------------------------------------------------------------------------

    (i) Guidelines for decisions at initial hearing--youth offenders. In 
considering whether to parole a youth offender at an initial hearing, 
the Commission shall determine the youth offender's total point score 
and then consult the following guidelines for the appropriate action:

------------------------------------------------------------------------
               Total points                   Guideline recommendation
------------------------------------------------------------------------
(1) if points = 0.........................  Parole at initial hearing
                                             with conditions established
                                             to address treatment needs;

[[Page 164]]

 
(2) if points = 1+........................  Deny parole at initial
                                             hearing and schedule a
                                             rehearing based on
                                             estimated time to achieve
                                             program objectives or by
                                             reference to the time
                                             ranges in paragraph (j) of
                                             this section, whichever is
                                             less.
------------------------------------------------------------------------

    (j) Guidelines for time to rehearing adult offenders. (1) If parole 
is denied or rescinded, the time to the subsequent hearing for an adult 
offender shall be determined by the following guidelines:

------------------------------------------------------------------------
 Base point score  (categories I through
                   III)                         Months to rehearing
------------------------------------------------------------------------
0-4......................................                         12-18
5........................................                         18-24
6........................................                         18-24
7........................................                         18-24
8........................................                         18-24
9........................................                         22-28
10.......................................                         26-32
------------------------------------------------------------------------

    (2) The time to a rehearing shall be determined by the prisoner's 
base point score, and not by the total point score at the current 
hearing, which indicates only whether parole should be granted or 
denied. Exception: In the case of institutional misconduct deemed 
insufficiently serious to warrant the addition of one or more points for 
negative institutional behavior, the Commission may nonetheless deny or 
rescind parole and render a decision based on the guideline ranges at 
Sec. 2.36.
    (3) At any initial hearing or rehearing, if the prisoner's total 
point score is 4 or less, the Commission may order both a rehearing date 
and a presumptive parole date that is not more than 9 months from the 
rehearing date. Such presumptive date may be converted to a parole 
effective date following the rehearing, or the case may be reopened 
based on new favorable information and a parole effective date granted 
on the record.
    (k) Guidelines for decisions at subsequent hearing--adult offenders. 
In determining whether to parole an adult offender at a rehearing or 
rescission hearing, the Commission shall take the total point score from 
the initial hearing or last rehearing, as the case may be, and adjust 
that score according to the institutional record of the candidate since 
the last hearing. The following guidelines are applicable:

------------------------------------------------------------------------
               Total points                   Guideline recommendation
------------------------------------------------------------------------
if points = 0-3...........................   Parole with highest level
                                             of supervision indicated.
if points = 4+............................  Deny parole at rehearing and
                                             schedule a further
                                             rehearing in accordance
                                             with Sec.  2.75(c) and the
                                             time ranges set forth in
                                             paragraph (j) of this
                                             section.
------------------------------------------------------------------------

    (l) Guidelines for decisions at subsequent hearing--youth offenders. 
(1) In determining whether to parole a youth offender appearing at a 
rehearing or rescission hearing, the Commission shall take the total 
point score from the initial hearing or last rehearing, as the case may 
be, and adjust that score according to the institutional record of the 
candidate since the last hearing. The following guidelines are 
applicable:

------------------------------------------------------------------------
               Total points                   Guideline recommendation
------------------------------------------------------------------------
if points = 0-3...........................  Parole with highest level of
                                             supervision indicated.
if points = 4+............................  Deny parole and schedule a
                                             rehearing based on
                                             estimated time to achieve
                                             program objectives or by
                                             reference to the time
                                             ranges in paragraph (j) of
                                             this section, whichever is
                                             less.
------------------------------------------------------------------------

    (2) Prison officials may in any case recommend an earlier rehearing 
date than ordered by the Commission if the Commission's program 
objectives have been met.
    (m) Decisions outside the guidelines--all offenders. (1) The 
Commission may, in unusual circumstances, waive the Salient Factor Score 
and the pre- and post-incarceration factors set forth in this section to 
grant or deny parole to a parole candidate notwithstanding the 
guidelines, or to schedule a reconsideration hearing at a time different 
from that indicated in paragraph (j) of this section. Unusual 
circumstances are case-specific factors that are not fully taken into 
account in the guidelines, and that are relevant to the grant or denial 
of parole. In such cases, the Commission shall specify in the Notice of 
Action the specific factors that it relied on in departing from the 
applicable guideline or guideline range.
    (2) If the prisoner is deemed to be a poorer or more serious risk 
than the guidelines indicate, the Commission shall determine what Base 
Point Score would more appropriately fit the prisoner's case, and shall 
render its initial

[[Page 165]]

and rehearing decisions as if the prisoner had that higher Base Point 
Score. If possible, the factors justifying such a departure shall be 
fully accounted for in the initial continuance, so that the guidelines 
can be followed at subsequent hearings. In some cases, however, an 
extreme level of risk presented by the prisoner may make it 
inappropriate for the Commission to contemplate a parole at any hearing 
without a significant change in the prisoner's circumstances.
    (3) Factors that may warrant a decision above the guidelines 
include, but are not limited to, the following:
    (i) Poorer parole risk than indicated by salient factor score. The 
offender is a poorer parole risk than indicated by the salient factor 
score because of--
    (A) Unusually persistent failure under supervision (pretrial 
release, probation, or parole);
    (B) Unusually persistent history of criminally related substance 
(drug or alcohol) abuse and resistance to treatment efforts; or
    (C) Unusually extensive prior record (sufficient to make the 
offender a poorer risk than the ``poor'' prognosis category).
    (ii) More serious parole risk. The offender is a more serious parole 
risk than indicated by the total point score because of--
    (A) Prior record of violence more extensive or serious than that 
taken into account in the guidelines;
    (B) Current offense demonstrates extraordinary criminal 
sophistication, criminal professionalism in the employment of violence 
or threats of violence, or leadership role in instigating others to 
commit a serious offense;
    (C) Unusual cruelty to the victim (beyond that accounted for by 
scoring the offense as high level violence), or predation upon extremely 
vulnerable victim;
    (D) Unusual propensity to inflict unprovoked and potentially 
homicidal violence, as demonstrated by the circumstances of the current 
offense; or
    (E) Additional serious offense(s) committed after (or while on bond 
or fugitive status from) current offense that show unusual capacity for 
sustained, repeated violent criminal activity.
    (4) Factors that may warrant a decision below the guidelines 
include, but are not limited to, the following:
    (i) Better parole risk than indicated by salient factor score. The 
offender is a better parole risk than indicated by the salient factor 
score because of (applicable only to offenders who are not already in 
the very good risk category)--
    (A) A prior criminal record resulting exclusively from minor 
offenses;
    (B) A substantial crime-free period in the community for which 
credit is not already given on the Salient Factor Score;
    (C) A change in the availability of community resources leading to a 
better parole prognosis;
    (ii) Other factors:
    (A) Unusually lengthy period of incarceration on the minimum 
sentence (in relation to the seriousness of the offense and prior 
record) that warrants an initial parole determination as if the offender 
were being considered at a rehearing;
    (B) Substantial period in custody on other sentence(s) sufficient to 
warrant a finding in paragraph (m)(4) of this section; or
    (C) Clearly exceptional program achievement.



Sec. 2.81  Reparole decisions.

    Each decision to grant or deny reparole shall be made by reference 
to the Commission's reparole guidelines at Sec. 2.21, which shall 
include the establishment of a presumptive or effective release date 
pursuant to Sec. 2.12(b) and interim hearings pursuant to Sec. 2.14. 
However, if the prisoner is eligible for parole on a new D.C. Code 
felony sentence that has been aggregated with the prisoner's parole 
violation term, or is a youth offender serving the remainder of a Youth 
Rehabilitation Act sentence following revocation of parole, the 
applicable guideline at Sec. 2.80 (adult or youth) shall be applied. 
Reparole hearings shall be conducted according to the procedures set 
forth in Sec. 2.72.



Sec. 2.82  Effective date of parole.

    (a) A parole release date may be granted up to nine months from the 
date of the hearing in order to permit placement in a halfway house or 
to

[[Page 166]]

allow for release planning. Otherwise, a grant of parole shall 
ordinarily be effective not more than six months from the date of the 
hearing.
    (b) Except in the case of a medical or geriatric parole, a parole 
that is granted prior to the completion of the prisoner's minimum term 
shall not become effective until the prisoner becomes eligible for 
release on parole.



Sec. 2.83  Release planning.

    (a) All grants of parole shall be conditioned on the development of 
a suitable release plan and the approval of that plan by the Commission. 
A parole certificate shall not be issued until a release plan has been 
approved by the Commission. In the case of mandatory release, the 
Commission shall review each prisoner's release plan to determine 
whether the imposition of any special conditions should be ordered to 
promote the prisoner's rehabilitation and protect the public safety.
    (b) If a parole date has been granted, but the prisoner has not 
submitted a proposed release plan, the appropriate correctional or 
supervision staff shall assist the prisoner in formulating a release 
plan for investigation.
    (c) After investigation by a Community Supervision Officer, the 
proposed release plan shall be submitted to the Commission 30 days prior 
to the prisoner's parole or mandatory release date.
    (d) A Commissioner may retard a parole date for purposes of release 
planning for up to 120 days without a hearing. If efforts to formulate 
an acceptable release plan prove futile by the expiration of such 
period, or if the Offender Supervision staff reports that there are 
insufficient resources to provide effective supervision for the 
individual in question, the Commission shall be promptly notified in a 
detailed report. If the Commission does not order the prisoner to be 
paroled, the Commission shall suspend the grant of parole and conduct a 
reconsideration hearing on the next available docket. Following such 
reconsideration hearing, the Commission may deny parole if it finds that 
the release of the prisoner without a suitable plan would fail to meet 
the criteria set forth in Sec. 2.73. However, if the prisoner 
subsequently presents an acceptable release plan, the Commission may 
reopen the case and issue a new grant of parole.
    (e) The following shall be considered in the formulation of a 
suitable release plan:
    (1) Evidence that the parolee will have an acceptable residence;
    (2) Evidence that the parolee will be legitimately employed as soon 
as released; provided, that in special circumstances, the requirement 
for immediate employment upon release may be waived by the Commission;
    (3) Evidence that the necessary aftercare will be available for 
parolees who are ill, or who have any other demonstrable problems for 
which special care is necessary, such as hospital facilities or other 
domiciliary care; and
    (4) Evidence of availability of, and acceptance in, a community 
program in those cases where parole has been granted conditioned upon 
acceptance or participation in a specific community program.



Sec. 2.84  Release to other jurisdictions.

    The Commission, in its discretion, may parole any individual from a 
facility of the District of Columbia, to live and remain in a 
jurisdiction other than the District of Columbia.



Sec. 2.85  Conditions of release.

    (a) The following conditions are attached to every grant of parole 
and are deemed necessary to provide adequate supervision and to protect 
the public welfare. They are printed on the certificate issued to each 
parolee and mandatory releasee:
    (1) The parolee shall go directly to the district named in the 
certificate (unless released to the custody of other authorities). 
Within three days after his release, he shall report to the Community 
Supervision Officer whose name appears on the certificate. If in any 
emergency the parolee is unable to get in touch with his supervision 
office, he shall communicate with the U.S. Parole Commission, Chevy 
Chase, Maryland 20815-7286.
    (2) If the parolee is released to the custody of other authorities, 
and after release from the physical custody of such authorities, he is 
unable to report to the Community Supervision Officer

[[Page 167]]

to whom he is assigned within three days, he shall report instead to the 
nearest U.S. Probation Officer.
    (3) The parolee shall not leave the limits fixed by his certificate 
of parole without written permission from his Community Supervision 
Officer.
    (4) The parolee shall notify his Community Supervision Officer 
within two days of any change in his place of residence.
    (5) The parolee shall make a complete and truthful written report 
(on a form provided for that purpose) to his Community Supervision 
Officer between the first and third day of each month. He shall also 
report to his Community Supervision Officer at other times as the 
officer directs, providing complete and truthful information.
    (6) The parolee shall not violate any law, nor shall he associate 
with persons engaged in criminal activity. The parolee shall report 
within two days to his Community Supervision Officer (or supervision 
office) if he is arrested or questioned by a law-enforcement officer.
    (7) The parolee shall not enter into any agreement to act as an 
informer or special agent for any law-enforcement agency without 
authorization from the Commission.
    (8) The parolee shall work regularly unless excused by his Community 
Supervision Officer, and support his legal dependents, if any, to the 
best of his ability. He shall report within two days to his Community 
Supervision Officer any changes in employment or employment status.
    (9) The parolee shall not drink alcoholic beverages to excess. He 
shall not purchase, possess, use, or administer controlled substances 
(marijuana or narcotic or other habit-forming drugs) unless prescribed 
or advised for the parolee by a physician. The parolee shall not 
frequent places where such drugs are illegally sold, dispensed, used, or 
given away.
    (10) The parolee shall not associate with persons who have a 
criminal record without the permission of his Community Supervision 
Officer.
    (11) The parole shall not posses a firearm or other dangerous 
weapon.
    (12) The parolee shall permit visits by his Community Supervision 
Officer to his residence and to his place of business or occupation. He 
shall permit confiscation by his Community Supervision Officer of any 
materials which the officer believes may constitute contraband in the 
parolee's possession and which he observes in plain view in the 
parolee's residence, place of business or occupation, vehicle(s), or on 
his person. The Commission may also, when a reasonable basis for so 
doing is presented, modify the conditions of parole to require the 
parolee to permit the Community Supervision Officer to conduct searches 
and seizures of concealed contraband on the parolee's person, and in any 
building, vehicle, or other area under the parolee's control, at such 
times as the officer shall decide.
    (13) The parolee shall make a diligent effort to satisfy any fine, 
restitution order, court costs or assessment, and/or court ordered child 
support or alimony payment that has been, or may be, imposed, and shall 
provide such financial information as may be requested by his Community 
Supervision Officer that is relevant to the payment of the obligation. 
If unable to pay the obligation in one sum, the parolee will cooperate 
with his Community Supervision Officer in establishing an installment 
payment schedule.
    (14) The parolee shall submit to a drug test whenever ordered by his 
Community Supervision Officer.
    (b) The Commission or a member thereof may at any time modify or add 
to the conditions of release. The parolee shall receive notice of the 
proposed modification and unless waived shall have ten days following 
receipt of such notice to express his views thereon. Following such ten 
day period, the Commission shall have 21 days, exclusive of holidays, to 
order such modification of or addition to the conditions of release. The 
ten-day notice requirement shall not apply to a modification of the 
conditions of parole in the following circumstances:
    (1) Following a revocation hearing;
    (2) Upon a finding that immediate modification of the conditions of 
parole is required to prevent harm to the parolee or to the public; or

[[Page 168]]

    (3) In response to a request by the parolee for a modification of 
the conditions of parole.
    (c) The Commission may, as a condition of parole, require a parolee 
to reside in a community corrections center, or participate in the 
program of a residential treatment center, or both, for all or part of 
the period of parole.
    (d) The Commission may require that a parolee remain at his place of 
residence during nonworking hours and, if the Commission so directs, to 
have compliance with this condition monitored by telephone or electronic 
signaling devices. A condition under this paragraph may be imposed only 
as an alternative to incarceration.
    (e) A prisoner who, having been granted a parole date, subsequently 
refuses to sign the parole certificate, or any other consent form 
necessary to fulfill the conditions of parole, shall be deemed to have 
withdrawn the application for parole as of the date of his refusal to 
sign. To be considered for parole again, the prisoner must reapply for 
parole.
    (f) With respect to prisoners who are required to be released to 
supervision through good time reductions (mandatory release), the 
conditions of parole set forth in this rule, and any other special 
conditions ordered by the Commission, shall be in full force and effect 
upon the established release date regardless of any refusal by the 
prisoner to sign his certificate.
    (g) Any parolee who absconds from supervision has effectively 
prevented his sentence from expiring. Therefore, the parolee remains 
bound by the conditions of his release and violations committed at any 
time prior to execution of a warrant issued by the Commission, whether 
before or after the original expiration date, may be charged as a basis 
for revocation. In such a case, the warrant may be supplemented at any 
time.
    (h) The Commission may require a parolee, when there is evidence of 
prior or current alcohol dependence or abuse, to participate in an 
alcohol aftercare treatment program. In such a case, the Commission will 
require that the parolee abstain from the use of alcohol and/or all 
other intoxicants during and after the course of treatment.
    (i) The Commission may require a parolee, where there is evidence of 
prior or current drug dependence or abuse, to participate in a drug 
treatment program, which shall include at least two periodic tests to 
determine whether parolee has reverted to the use of drugs (including 
alcohol). In such a case, the Commission will require that the parolee 
abstain from the use of alcohol and/or all other intoxicants during and 
after the course of treatment. In the event such condition is imposed 
prior to an eligible prisoner's release from prison, any grant of parole 
or reparole shall be contingent upon the prisoner passing all pre-
release drug tests administered by prison officials.
    (j) Parolees are expected by the Commission to understand the 
conditions of parole according to their plain meaning, and to seek the 
guidance of their Community Supervision Officers before engaging in any 
conduct that may constitute a violation thereof. Community Supervision 
Officers may issue instructions to parolees to refrain from particular 
conduct that would violate parole, or to take specific steps to avoid or 
correct a violation of parole, as well as such other directives as may 
be authorized by the conditions imposed by the Commission.



Sec. 2.86  Release on parole; rescission for misconduct.

    (a) When a parole effective date has been set, actual release on 
parole on that date shall be conditioned upon the individual maintaining 
a good conduct record in the institution or prerelease program to which 
the prisoner has been assigned.
    (b) The Commission may reconsider any grant of parole prior to the 
prisoner's actual release on parole, and may advance or retard a parole 
effective date or rescind and a parole date previously granted based 
upon the receipt of any new and significant information concerning the 
prisoner, including disciplinary infractions. The Commission may retard 
a parole date for disciplinary infractions (e.g., to permit the use of 
graduated sanctions) for up to 120 days without a hearing, in addition 
to any retardation ordered under 2.83(d). If a parole effective date is 
rescinded for disciplinary infractions, an

[[Page 169]]

appropriate sanction shall be determined either by adding the 
appropriate points for negative institutional behavior to the prisoner's 
total point score, or by reference to Sec. 2.36 if the misconduct is not 
sufficiently serious to warrant a continuance under Sec. 2.80(j). A 
total point score of 0-2 shall be adjusted to a total point score of 3 
prior to adding points for negative institutional behavior pursuant to 
the Point Assignment Table at Sec. 2.80(f).
    (c) After a prisoner has been granted a parole effective date, the 
institution shall notify the Commission of any serious disciplinary 
infractions committed by the prisoner prior to the date of actual 
release. In such case, the prisoner shall not be released until the 
institution has been advised that no change has been made in the 
Commission's order granting parole.
    (d) A grant of parole becomes operative upon the authorized delivery 
of a certificate of parole to the prisoner, and the signing of that 
certificate by the prisoner, who thereafter becomes a parolee.



Sec. 2.87  Mandatory release.

    (a) When a prisoner has been denied parole at the initial hearing 
and all subsequent considerations, or parole consideration is expressly 
precluded by statute, the prisoner shall be released at the expiration 
of his or her imposed sentence less the time deducted for any good time 
allowances provided by statute.
    (b) Any prisoner having served his or her term or terms less 
deduction for good time shall, upon release, be deemed to be released on 
parole until the expiration of the maximum term or terms for which he or 
she was sentenced, except that if the offense of conviction was 
committed before April 11, 1987, such expiration date shall be less one 
hundred eighty (180) days. Every provision of this subpart relating to 
an individual on parole shall be deemed to include individuals on 
mandatory release.



Sec. 2.88  Confidentiality of parole records.

    (a) Consistent with the Privacy Act of 1974 (5 U.S.C. 552(b)), the 
contents of parole records shall be confidential and shall not be 
disclosed outside the Commission except as provided in paragraphs (b) 
and (c) of this section.
    (b) Information that is subject to release to the general public 
without the consent of the prisoner shall be limited to the information 
specified in Sec. 2.37(c).
    (c) Information other than as described in paragraph (b) of this 
section may be disclosed without the consent of the prisoner only 
pursuant to the provisions of the Privacy Act of 1974 (5 U.S.C. 552(b)). 
See Sec. 2.56.



Sec. 2.89  Miscellaneous provisions.

    Except to the extent otherwise provided by law, the following 
sections in Subpart A of this part are also applicable to District of 
Columbia Code offenders:
Sec.
2.5  (Sentence aggregation)
2.7  (Committed fines and restitution orders)
2.8  (Mental competency procedures)
2.10  (Date service of sentence commences)
2.16  (Parole of prisoner in State, local, or territorial institution)
2.19  (Information considered)
2.22  (Communication with Commission)
2.23  (Delegation to hearing examiners)
2.30  (False information or new criminal conduct; Discovery after 
    release)
2.32  (Parole to local or immigration detainers)
2.56  (Disclosure of Parole Commission file)
2.63  (Rewarding assistance in the prosecution of other offenders: 
    criteria and guidelines)
2.66  (Aggregated U.S. and D.C. Code sentences)



Sec. 2.90  Prior orders of the Board of Parole.

    Any prior order entered by the Board of Parole of the District of 
Columbia shall be accorded the status of an order of the Parole 
Commission unless duly reconsidered and changed by the Commission at a 
regularly scheduled hearing. It shall not constitute grounds for 
reopening a case that the prisoner is subject to an order of the Board 
of Parole that fails to conform to a provision of this part.

[[Page 170]]



PART 3--GAMBLING DEVICES--Table of Contents




Sec.
3.1  Definition.
3.2  Assistant Attorney General, Criminal Division.
3.3  Registration.
3.4  Registration to be made by letter.
3.5  Forfeiture of gambling devices.

    Authority: 89 Stat. 379; 5 U.S.C. 301, sec. 2, Reorganization Plan 
No. 2 of 1950, 64 Stat. 1261; 3 CFR, 1949-1953 Comp.

    Cross Reference: For Organization Statement, Federal Bureau of 
Investigation, see subpart P of part 0 of this chapter.

    Source: Order No. 331-65, 30 FR 2316, Feb. 20, 1965, unless 
otherwise noted.



Sec. 3.1  Definition.

    For the purpose of this part, the term Act means the Act of January 
2, 1951, 64 Stat. 1134, as amended by the Gambling Devices Act of 1962, 
76 Stat. 1075, 15 U.S.C. 1171 et seq.



Sec. 3.2  Assistant Attorney General, Criminal Division.

    The Assistant Attorney General, Criminal Division, is authorized to 
exercise the power and authority of and to perform the functions vested 
in the Attorney General by the Act. (See also 28 CFR 0.55(i).)

(28 U.S.C. 509 and 510)

[Order No. 960-81, 46 FR 52354, Oct. 27, 1981]



Sec. 3.3  Registration.

    Persons required to register pursuant to section 3 of the Act shall 
register with the Assistant Attorney General, Criminal Division, 
Department of Justice, Washington, DC 20530.



Sec. 3.4  Registration to be made by letter.

    No special forms are prescribed for the purpose of registering under 
the Act. Registration shall be accomplished by a letter addressed to the 
Assistant Attorney General, Criminal Division, setting forth the 
information required by section 3(b)(4) of the Act. Registration should 
be made by registered or certified mail inasmuch as receipt of 
registrations will not otherwise be acknowledged. The registration 
requirement of the Act is an annual requirement. Any person engaged in 
any one or more of the activities for which registration is required 
under the Act must, in conformity with the provisions of the Act, 
register in each calendar year in which he engages in such activities.



Sec. 3.5  Forfeiture of gambling devices.

    For purposes of seizure and forfeiture of gambling devices see 
section 8 of this chapter.

[Order No. 1128-86, 51 FR 8817, Mar. 17, 1986]



    PART 4--PROCEDURE GOVERNING APPLICATIONS FOR CERTIFICATES OF EXEMPTION UNDER THE LABOR-MANAGEMENT REPORTING AND DISCLOSURE ACT OF 1959, AND THE EMPLOYEE 
RETIREMENT INCOME SECURITY ACT OF 1974--Table of Contents




Sec.
4.1  Definitions.
4.2  Who may apply for Certificate of Exemption.
4.3  Contents of application.
4.4  Supporting affidavit; additional information.
4.5  Character endorsements.
4.6  Institution of proceedings.
4.7  Notice of hearing; postponements.
4.8  Hearing.
4.9  Representation.
4.10  Waiver of oral hearing.
4.11  Appearance; testimony; cross-examination.
4.12  Evidence which may be excluded.
4.13  Record for decision. Receipt of documents comprising record; 
          timing and extension.
4.14  Administrative law judge's recommended decision; exceptions 
          thereto; oral argument before Commission.
4.15  Certificate of Exemption.
4.16  Rejection of application.
4.17  Availability of decisions.

    Authority: Secs. 504, 606, 73 Stat. 536, 540 (29 U.S.C. 504, 526); 
and secs. 411, 507a, 88 Stat. 887, 894 (29 U.S.C. 1111, 1137).

    Cross Reference: For Organization Statement, U.S. Parole Commission, 
see subpart V of part 0 of this chapter.

    Source: 44 FR 6890, Feb. 2, 1979, unless otherwise noted.



Sec. 4.1  Definitions.

    As used in this part:
    (a) Labor Act means the Labor-Management Reporting and Disclosure 
Act of 1959 (73 Stat. 519).

[[Page 171]]

    (b) Pension Act means the Employee Retirement Income Security Act of 
1974 (Pub. L. 93-406) (88 Stat. 829).
    (c) Acts means both of the above statutes.
    (d) Commission means the United States Parole Commission.
    (e) Secretary means the Secretary of Labor or his designee.
    (f) For proceedings under the ``Labor Act''
    (1) Employer means the labor organization, or person engaged in an 
industry or activity affecting commerce, or group or association of 
employers dealing with any labor organization, which an applicant under 
Sec. 4.2 desires to serve in a capacity for which he is ineligible under 
section 504(a) of the ``Labor Act''.
    (2) All other terms used in this part shall have the same meaning as 
identical or comparable terms when those terms are used in the ``Labor 
Act''.
    (g) For proceedings under the ``Pension Act''
    (1) Employer means the employee benefit plan with which an applicant 
under Sec. 4.2 desires to serve in a capacity for which he is ineligible 
under section 411(a) of the ``Pension Act'' (29 U.S.C. section 1111).
    (2) All other terms used in this part shall have the same meaning as 
identical or comparable terms when those terms are used in the ``Pension 
Act''.



Sec. 4.2  Who may apply for Certificate of Exemption.

    Any person who has been convicted of any of the crimes enumerated in 
section 504(a) of the ``Labor Act'' whose service, present or 
prospective, as described in that section is or would be prohibited by 
that section because of such a conviction or a prison term resulting 
therefrom; or any person who has been convicted of any of the crimes 
enumerated in section 411(a) of the ``Pension Act'' (29 U.S.C. section 
1111) whose service, present or prospective, as described in that 
section is or would be prohibited by that section because of such a 
conviction or a prison term resulting therefrom, may apply to the 
Commission for a Certificate of Exemption from such a prohibition under 
the applicable Act.



Sec. 4.3  Contents of application.

    A person applying for a Certificate of Exemption shall file with the 
Office of General Counsel, U.S. Parole Commission, 5550 Friendship 
Boulevard, Chevy Chase, Maryland 20815-7286, a signed application under 
oath, in seven copies, which shall set forth clearly and completely the 
following information:
    (a) The name and address of the applicant and any other names used 
by the applicant and dates of such use.
    (b) A statement of all convictions and imprisonments which prohibit 
the applicant's service under the provisions of the applicable Act.
    (c) Whether any citizenship rights were revoked as a result of 
conviction or imprisonment and if so the name of the court and date of 
judgment thereof and the extent to which such rights have been restored.
    (d) The name and location of the employer and a description of the 
office or paid position, including the duties thereof, for which a 
Certificate of Exemption is sought.
    (e) A full explanation of the reasons or grounds relied upon to 
establish that the applicant's service in the office or employment for 
which a Certificate of Exemption is sought would not be contrary to the 
purposes of the applicable Act.
    (f) A statement that the applicant does not, for the purpose of the 
proceeding, contest the validity of any conviction.

(28 U.S.C. 509 and 510, 5 U.S.C. 301)

[44 FR 6890, Feb. 2, 1979, as amended at 46 FR 52354, Oct. 27, 1981]



Sec. 4.4  Supporting affidavit; additional information.

    (a) Each application filed with the Commission must be accompanied 
by a signed affidavit, in 7 copies, setting forth the following 
concerning the personal history of the applicant:
    (1) Place and date of birth. If the applicant was not born in the 
United States, the time of first entry and port of entry, whether he is 
a citizen of the United States, and if naturalized, when, where and how 
he became naturalized and the number of his Certificate of 
Naturalization.

[[Page 172]]

    (2) Extent of education, including names of schools attended.
    (3) History of marital and family status, including a statement as 
to whether any relatives by blood or marriage are currently serving in 
any capacity with any employee benefit plan, or labor organization, 
group or association of employers dealing with labor organizations or 
industrial labor relations group, or currently advising or representing 
any employer with respect to employee organizing, concerted activities, 
or collective bargaining activities.
    (4) Present employment, including office or offices held, with a 
description of the duties thereof.
    (5) History of employment, including military service, in 
chronological order.
    (6) Licenses held, at the present time or at any time in the past 
five years, to possess or carry firearms.
    (7) Veterans' Administration claim number and regional office 
handling claim, if any.
    (8) A listing (not including traffic offenses for which a fine of 
not more than $25 was imposed or collateral of not more than $25 was 
forfeited) by date and place of all arrests, convictions for felonies, 
misdemeanors, or offenses and all imprisonment or jail terms resulting 
therefrom, together with a statement of the circumstances of each 
violation which led to arrest or conviction.
    (9) Whether applicant was ever on probation or parole, and if so the 
names of the courts by which convicted and the dates of conviction.
    (10) Names and locations of all employee benefit plans, labor 
organizations or employer groups with which the applicant has ever been 
associated or employed, and all employers or employee benefit plans 
which he has advised or represented concerning employee organizing, 
concerted activities, or collective bargaining activities, together with 
a description of the duties performed in each such employment or 
association.
    (11) A statement of applicant's net worth, including all assets held 
by him or in the names of others for him, the amount of each liability 
owed by him or by him together with any other person and the amount and 
source of all income during the immediately preceding five calendar 
years plus income to date of application.
    (12) Any other information which the applicant feels will assist the 
Commission in making its determination.
    (b) The Commission may require of the applicant such additional 
information as it deems appropriate for the proper consideration and 
disposition of his application.



Sec. 4.5  Character endorsements.

    Each application filed with the Commission must be accompanied by 
letters or other forms of statement (in three copies) from six persons 
addressed to the Chairman, U.S. Parole Commission, attesting to the 
character and reputation of the applicant. The statement as to character 
shall indicate the length of time the writer has known applicant, and 
shall describe applicant's character traits as they relate to the 
position for which the exemption is sought and the duties and 
responsibilities thereof. The statement as to reputation shall attest to 
applicant's reputation in his community or in his circle of business or 
social acquaintances. Each letter or other form of statement shall 
indicate that it has been submitted in compliance with procedures under 
the respective Act and that applicant has informed the writer of the 
factual basis of his application. The persons submitting letters or 
other forms of statement shall not include relatives by blood or 
marriage, prospective employers, or persons serving in any official 
capacity with an employee benefit plan, labor organization, group or 
association of employers dealing with labor organizations or industrial 
labor relations group.



Sec. 4.6  Institution of proceedings.

    All applications and supporting documents received by the Commission 
shall be reviewed for completeness by the Office of General Counsel of 
the Parole Commission and if complete and fully in compliance with the 
regulations of this part the Office of General Counsel shall accept them 
for filing. Applicant and/or his representative will be notified by the 
Office of General

[[Page 173]]

Counsel of any deficiency in the application and supporting documents. 
The amount of time allowed for deficiencies to be remedied will be 
specified in said notice. In the event such deficiencies are not 
remedied within the specified period or any extension thereof, granted 
after application to the Commission in writing within the specified 
period, the application shall be deemed to have been withdrawn and 
notice thereof shall be given to applicant.



Sec. 4.7  Notice of hearing; postponements.

    Upon the filing of an application, the Commission shall:
    (a) Set the application for a hearing on a date within a reasonable 
time after its filing and notify the applicant of such date by certified 
mail;
    (b) Give notice, as required by the respective Act, to the 
appropriate State, County, or Federal prosecuting officials in the 
jurisdiction or jurisdictions in which the applicant was convicted that 
an application for a Certificate of Exemption has been filed and the 
date for hearing thereon; and
    (c) Notify the Secretary that an application has been filed and the 
date for hearing thereon and furnish him copies of the application and 
all supporting documents.

Any party may request a postponement of a hearing date in writing from 
the Office of General Counsel at any time prior to ten (10) days before 
the scheduled hearing. No request for postponement other than the first 
for any party will be considered unless a showing is made of cause 
entirely beyond the control of the requester. The granting of such 
requests will be within the discretion of the Commission. In the event 
of a failure to appear on the hearing date as originally scheduled or 
extended, the absent party will be deemed to have waived his right to a 
hearing. The hearing will be conducted with the parties present 
participating and documentation, if any, of the absent party entered 
into the record.



Sec. 4.8  Hearing.

    The hearing on the application shall be held at the offices of the 
Commision in Washington, DC, or elsewhere as the Commission may direct. 
The hearing shall be held before the Commission, before one or more 
Commissioners, or before one or more administrative law judges appointed 
as provided by section 11 of the Administrative Procedure Act (5 U.S.C. 
3105) as the Commission by order shall determine. Hearings shall be 
conducted in accordance with sections 7 and 8 of the Administrative 
Procedure Act (5 U.S.C. 556, 557).



Sec. 4.9  Representation.

    The applicant may be represented before the Commission by any person 
who is a member in good standing of the bar of the Supreme Court of the 
United States or of the highest court of any State or territory of the 
United States, or the District of Columbia, and who is not under any 
order of any court suspending, enjoining, restraining, or disbarring him 
from, or otherwise restricting him in, the practice of law. Whenever a 
person acting in a representative capacity appears in person or signs a 
paper in practice before the Commission, his personal appearance or 
signature shall constitute a representation to the Commission that under 
the provisions of this part and applicable law he is authorized and 
qualified to represent the particular person in whose behalf he acts. 
Further proof of a person's authority to act in a representative 
capacity may be required. When any applicant is represented by an 
attorney at law, any notice or other written communication required or 
permitted to be given to or by such applicant shall be given to or by 
such attorney. If an applicant is represented by more than one attorney, 
service by or upon any one of such attorneys shall be sufficient.



Sec. 4.10  Waiver of oral hearing.

    The Commission upon receipt of a statement from the Secretary that 
he does not object, and in the absence of any request for oral hearing 
from the others to whom notice has been sent pursuant to Sec. 4.7 may 
grant an application without receiving oral testimony with respect to 
it.



Sec. 4.11  Appearance; testimony; cross-examination.

    (a) The applicant shall appear and, except as otherwise provided in 
Sec. 4.10,

[[Page 174]]

shall testify at the hearing and may cross-examine witnesses.
    (b) The Secretary and others to whom notice has been sent pursuant 
to Sec. 4.7 shall be afforded an opportunity to appear and present 
evidence and cross-examine witnesses, at any hearing.
    (c) In the discretion of the Commission or presiding officer, other 
witnesses may testify at the hearing.



Sec. 4.12  Evidence which may be excluded.

    The Commission or officer presiding at the hearing may exclude 
irrelevant, untimely, immaterial, or unduly repetitious evidence.



Sec. 4.13  Record for decision. Receipt of documents comprising record; timing and extension.

    (a) The application and all supporting documents, the transcript of 
the testimony and oral argument at the hearing, together with any 
exhibits received and other documents filed pursuant to these procedures 
and/or the Administrative Procedures Act shall be made parts of the 
record for decision.
    (b) At the conclusion of the hearing the presiding officer shall 
specify the time for submission of proposed findings of fact and 
conclusions of law (unless waived by the parties); transcript of the 
hearing, and supplemental exhibits, if any. He shall set a tentative 
date for the recommended decision based upon the timing of these 
preliminary steps. Extensions of time may be requested by any party, in 
writing, from the Parole Commission. Failure of any party to comply with 
the time frame as established or extended will be deemed to be a waiver 
on his part of his right to submit the document in question. The 
adjudication will proceed and the absence of said document and reasons 
therefor will be noted in the record.



Sec. 4.14  Administrative law judge's recommended decision; exceptions thereto; oral argument before Commission.

    Whenever the hearing is conducted by an administrative law judge, at 
the conclusion of the hearing he shall submit a recommended decision to 
the Commission, which shall include a statement of findings and 
conclusions, as well as the reasons therefor. The applicant, the 
Secretary and others to whom notice has been sent pursuant to Sec. 4.7 
may file with the Commission, within 10 days after having been furnished 
a copy of the recommended decision, exceptions thereto and reasons in 
support thereof. The Commission may order the taking of additional 
evidence and may request the applicant and others to appear before it. 
The Commission may invite oral argument before it on such questions as 
it desires.



Sec. 4.15  Certificate of Exemption.

    The applicant, the Secretary and others to whom notice has been sent 
pursuant to Sec. 4.7 shall be served a copy of the Commission's decision 
and order with respect to each application. Whenever the Commission 
decision is that the application be granted, the Commission shall issue 
a Certificate of Exemption to the applicant. The Certificate of 
Exemption shall extend only to the stated employment with the 
prospective employer named in the application.



Sec. 4.16  Rejection of application.

    No application for a Certificate of Exemption shall be accepted from 
any person whose application for a Certificate of Exemption has been 
withdrawn, deemed withdrawn due to failure to remedy deficiencies in a 
timely manner, or denied by the Commission within the preceding 12 
months.



Sec. 4.17  Availability of decisions.

    The Commission's Decisions under both Acts are available for 
examination in the Office of the U.S. Parole Commission, 5550 Friendship 
Boulevard, Chevy Chase, Maryland 20815-7286. Copies will be mailed upon 
written request to the Office of General Counsel, U.S. Parole 
Commission, at the above address at a cost of ten cents per page.

(28 U.S.C. 509 and 510, 5 U.S.C. 301)

[44 FR 6890, Feb. 2, 1979, as amended at 46 FR 52354, Oct. 27, 1981]

[[Page 175]]



PART 5--ADMINISTRATION AND ENFORCEMENT OF FOREIGN AGENTS REGISTRATION ACT OF 1938, AS AMENDED--Table of Contents




Sec.
5.1  Administration and enforcement of the Act.
5.2  Inquiries concerning application of the Act.
5.3  Filing of a registration statement.
5.4  Computation of time.
5.5  Registration fees.
5.100  Definition of terms.
5.200  Registration.
5.201  Exhibits.
5.202  Short form registration statement.
5.203  Supplemental statement.
5.204  Amendments.
5.205  Termination of registration.
5.206  Language and wording of registration statement.
5.207  Incorporation by reference.
5.208  Disclosure of foreign principals.
5.209  Information relating to employees.
5.210  Amount of detail required in information relating to registrant's 
          activities and expenditures.
5.211  Sixty-day period to be covered in initial statement.
5.300  Burden of establishing availability of exemption.
5.301  Exemption under section 3(a) of the Act.
5.302  Exemptions under sections 3(b) and (c) of the Act.
5.303  Exemption available to persons accredited to international 
          organizations.
5.304  Exemptions under sections 3(d) and (e) of the Act.
5.305  Exemption under section 3(f) of the Act.
5.306  Exemption under section 3(g) of the Act.
5.400  Filing of political propaganda.
5.401  Dissemination report.
5.402  Labeling political propaganda.
5.500  Maintenance of books and records.
5.501  Inspection of books and records.
5.600  Public examination of records.
5.601  Copies of records and information available.
5.800  Ten-day filing requirement.
5.801  Activity beyond 10-day period.
5.1101  Copies of the Report of the Attorney General.

    Authority: 28 U.S.C. 509, 510; Section 1, 56 Stat. 248, 257 (22 
U.S.C. 620); title I, Pub. L. 102-395, 106 Stat. 1828, 1831 (22 U.S.C. 
612 note).

    Source: Order No. 376-67, 32 FR 6362, Apr. 22, 1967, unless 
otherwise noted.



Sec. 5.1  Administration and enforcement of the Act.

    (a) The administration and enforcement of the Foreign Agents 
Registration Act of 1938, as amended (22 U.S.C. 611-621), is subject to 
the general supervision and direction of the Attorney General, assigned 
to, conducted, handled, and supervised by the Assistant Attorney General 
in charge of the Criminal Division (Sec. 0.60(b) of this chapter).
    (b) The Assistant Attorney General is authorized to prescribe such 
forms, in addition to or in lieu of those specified in the regulations 
in this part, as may be necessary to carry out the purposes of this 
part.
    (c) Copies of the Act, and of the rules, regulations, and forms 
prescribed pursuant to the Act, and information concerning the foregoing 
may be obtained upon request without charge from the Registration Unit, 
Criminal Division, Department of Justice, Washington, DC 20530.

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
523-73, 38 FR 18235, July 9, 1973; Order No. 568-74, 39 FR 18646, May 
29, 1974]



Sec. 5.2  Inquiries concerning application of the Act.

    (a) General. Any present or prospective agent of a foreign 
principal, or the agent's attorney, may request from the Assistant 
Attorney General a statement of the present enforcement intentions of 
the Department of Justice under the Act with respect to any presently 
contemplated activity, course of conduct, expenditure, receipt of money 
or thing of value, or transaction, and specifically with respect to 
whether the same requires registration and disclosure pursuant to the 
Act, or is excluded from coverage or exempted from registration and 
disclosure under any provision of the Act.
    (b) Anonymous, hypothetical, non-party and ex post facto review 
requests excluded. The entire transaction which is the subject of the 
review request must be an actual, as opposed to hypothetical, 
transaction and involve disclosed, as opposed to anonymous, agents and 
principals. Review requests must be submitted by a party to the 
transaction or the party's attorney,

[[Page 176]]

and have no application to a party that does not join in the request. A 
review request may not involve only past conduct.
    (c) Fee. All requests for statements of the Department's present 
enforcement intentions must be accompanied by a non-refundable filing 
fee submitted in accordance with Sec. 5.5.
    (d) Address. A review request must be submitted in writing to the 
Assistant Attorney General, Criminal Division, Attention: Chief, 
Registration Unit. The mailing address is 1400 New York Avenue, NW., 
room 9300, Washington, DC 20530.
    (e) Contents. A review request shall be specific and contain in 
detail all relevant and material information bearing on the actual 
activity, course of conduct, expenditure, receipt of money or thing of 
value, or transaction for which review is requested. There is no 
prescribed format for the request, but each request must include:
    (1) The identity(ies) of the agent(s) and foreign principal(s) 
involved;
    (2) The nature of the agent's activities for or in the interest of 
the foreign principal;
    (3) A copy of the existing or proposed written contract with the 
foreign principal or a full description of the terms and conditions of 
each existing or proposed oral agreement; and
    (4) The applicable statutory or regulatory basis for the exemption 
or exclusion claimed.
    (f) Certification. If the requesting party is an individual, the 
review request must be signed by the prospective or current agent, or, 
if the requesting party is not an individual, the review request must be 
signed on behalf of each requesting party by an officer, a director, a 
person performing the functions of an officer or a director of, or an 
attorney for, the requesting party. Each such person signing the review 
request must certify that the review request contains a true, correct 
and complete disclosure with respect to the proposed conduct.
    (g) Additional information. Each party shall provide any additional 
information or documents the Criminal Division may thereafter request in 
order to review a matter. Any information furnished orally shall be 
confirmed promptly in writing, signed by the same person who signed the 
initial review request and certified to be a true, correct and complete 
disclosure of the requested information.
    (h) Outcomes. After submission of a review request, the Criminal 
Division, in its discretion, may state its present enforcement intention 
under the Act with respect to the proposed conduct; may decline to state 
its present enforcement intention; or, if circumstances warrant, may 
take such other position or initiate such other action as it considers 
appropriate. Any requesting party or parties may withdraw a review 
request at any time. The Criminal Division remains free, however, to 
submit such comments to the requesting party or parties as it deems 
appropriate. Failure to take action after receipt of a review request, 
documents or information, whether submitted pursuant to this procedure 
or otherwise, shall not in any way limit or stop the Criminal Division 
from taking any action at such time thereafter as it deems appropriate. 
The Criminal Division reserves the right to retain any review request, 
document or information submitted to it under this procedure or 
otherwise and to use any such request, document or information for any 
governmental purpose.
    (i) Time for response. The Criminal Division shall respond to any 
review request within 30 days after receipt of the review request and of 
any requested additional information and documents.
    (j) Written decisions only. The requesting party or parties may rely 
only upon a written Foreign Agents Registration Act review letter signed 
by the Assistant Attorney General or his delegate.
    (k) Effect of review letter. Each review letter can be relied upon 
by the requesting party or parties to the extent the disclosure was 
accurate and complete and to the extent the disclosure continues 
accurately and completely to reflect circumstances after the date of 
issuance of the review letter.
    (l) Compliance. Neither the submission of a review request, nor its 
pendency, shall in any way alter the responsibility of the party or 
parties to comply with the Act.

[[Page 177]]

    (m) Confidentiality. Any written material submitted pursuant to a 
request made under this section shall be treated as confidential and 
shall be exempt from disclosure.

[Order No. 1757-93, 58 FR 37418, July 12, 1993]



Sec. 5.3  Filing of a registration statement.

    All statements, exhibits, amendments, and other documents and papers 
required to be filed under the Act or under this part shall be submitted 
in triplicate to the Registration Unit. An original document and two 
duplicates meeting the requirements of Rule 1001(4), Federal Rules of 
Evidence (28 U.S.C. Appendix), shall be deemed to meet this requirement. 
Filing of such documents may be made in person or by mail, and they 
shall be deemed to be filed upon their receipt by the Registration Unit.

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
523-73, 38 FR 18235, July 9, 1973; Order No. 1757-93, 58 FR 37419, July 
12, 1993]



Sec. 5.4  Computation of time.

    Sundays and holidays shall be counted in computing any period of 
time prescribed in the Act or in the rules and regulations in this part.



Sec. 5.5  Registration fees.

    (a) A registrant shall pay a registration fee with each initial 
registration statement filed under Sec. 5.200 and each supplemental 
registration statement under Sec. 5.203 at the time such registration 
statement is filed. The registration fee may be paid by cash or by check 
or money order made payable to ``FARA Registration Unit''. The 
Registration Unit, in its discretion, may require that the fee be paid 
by a certified or cashier's check or by a United States Postal money 
order.
    (b) Payment of fees shall accompany any order for copies or request 
for information, and all applicable fees shall be collected before 
copies or information will be made available. Payment may be made by 
cash or by check or money order made payable to ``FARA Registration 
Unit''. The Registration Unit, in its discretion, may require that the 
fee be paid by a certified or cashier's check or by a United States 
Postal money order.
    (c) Registration fees shall be waived in whole or in part, as 
appropriate, in the case of any individual person required to register 
under the Act who has demonstrated to the satisfaction of the 
Registration Unit that he or she is financially unable to pay the fees 
in their entirety. An individual seeking to avail himself or herself of 
this provision shall file with the registration statement a declaration 
made in compliance with section 1746 of title 28, United States Code, 
setting forth the information required by Form 4, Federal Rules of 
Appellate Procedure (28 U.S.C. appendix).
    (d) The fees shall be as follows:
    (1) For initial registration statements (including an exhibit A for 
one foreign principal) under Sec. 5.200: $305.00;
    (2) For supplemental registration statements under Sec. 5.203: 
$305.00 per foreign principal;
    (3) For exhibit A under Sec. 5.201(a)(1): $305.00 per foreign 
principal not currently reported under Sec. 5.200 or Sec. 5.203;
    (4) For exhibit B under Sec. 5.201(a)(2): no fee;
    (5) For exhibits C and D (no forms) under Sec. 5.201: no fee;
    (6) For short-form registration statements under Sec. 5.202: no fee;
    (7) For amendments under Sec. 5.204; no fee;
    (8) For statements of present enforcement intentions under Sec. 5.2: 
$96.00 per review request;
    (9) For each quarter hour of search time under Sec. 5.601: $4.00;
    (10) For copies of registration statements and supplements, 
amendments, exhibits thereto, dissemination reports, and copies of 
political propaganda and other materials contained in the public files, 
under Sec. 5.601: fifty cents ($.50) per copy of each page of the 
material requested;
    (11) For copies of registration statements and supplements, 
amendments, exhibits thereto, dissemination reports, and copies of 
political propaganda and other materials contained in the public files, 
produced by computer, such as tapes or printouts, under Sec. 5.601: 
actual direct cost of producing the copy, including the apportionable 
salary costs; and

[[Page 178]]

    (12) For computer searches of records through the use of existing 
programming: Direct actual costs, including the cost of operating a 
central processing unit for that portion of operating time that is 
directly attributable to searching for records responsive to a request 
and the salary costs apportionable to the search.
    (e) The cost of delivery of any document by the Registration Unit by 
any means other than ordinary mail shall be charged to the requester at 
a rate sufficient to cover the expense to the Registration Unit.
    (f) The Assistant Attorney General is hereby authorized to adjust 
the fees established by this section from time to time to reflect and 
recover the costs of the administration of the Registration Unit under 
the Act.
    (g) Fees collected under this provision shall be available for the 
support of the Registration Unit.
    (h) Notwithstanding Sec. 5.3, no document required to be filed under 
the Act shall be deemed to have been filed unless it is accompanied by 
the applicable fee except as provided by paragraph (c) of this section.

[Order No. 1757-93, 58 FR 37419, July 12, 1993]



Sec. 5.100  Definition of terms.

    (a) As used in this part:
    (1) The term Act means the Foreign Agents Registration Act of 1938, 
as amended (22 U.S.C. 611-621).
    (2) The term Attorney General means the Attorney General of the 
United States.
    (3) The term Assistant Attorney General means the Assistant Attorney 
General in charge of the Criminal Division, Department of Justice, 
Washington, DC 20530.
    (4) The term Secretary of State means the Secretary of State of the 
United States.
    (5) The term Registration Unit means the Registration Unit, Internal 
Security Section, Criminal Division, Department of Justice, Washington, 
DC 20530.
    (6) The term rules and regulations includes the regulations in this 
part and all other rules and regulations prescribed by the Attorney 
General pursuant to the Act and all registration forms and instructions 
thereon which may be prescribed by the regulations in this part or by 
the Assistant Attorney General.
    (7) The term registrant means any person who has filed a 
registration statement with the Registration Unit, pursuant to section 
2(a) of the Act and Sec. 5.3.
    (8) Unless otherwise specified, the term agent of a foreign 
principal means an agent of a foreign principal required to register 
under the Act.
    (9) The term foreign principal includes a person any of whose 
activities are directed or indirectly supervised, directed, controlled, 
financed, or subsidized in whole or in major part by a foreign principal 
as that term is defined in section 1(b) of the Act.
    (10) The term initial statement means the statement required to be 
filed with the Attorney General under section 2(a) of the Act.
    (11) The term supplemental statement means the supplement required 
to be filed with the Attorney General under section 2(b) of the Act at 
intervals of 6 months following the filing of the initial statement.
    (12) The term final statement means the statement required to be 
filed with the Attorney General following the termination of the 
registrant's obligation to register.
    (13) The term short form registration statement means the 
registration statement required to be filed by certain partners, 
officers, directors, associates, employees, and agents of a registrant.
    (b) As used in the Act, the term control or any of its variants 
shall be deemed to include the possession or the exercise of the power, 
directly or indirectly, to determine the policies or the activities of a 
person, whether through the ownership of voting rights, by contract, or 
otherwise.
    (c) The term agency as used in sections 1(c), 1(o), 1(q), 3(g), and 
4(e) of the Act shall be deemed to refer to every unit in the executive 
and legislative branches of the Government of the United States, 
including committees of both Houses of Congress.
    (d) The term official as used in sections 1(c), 1(o), 1(q), 3(g), 
and 4(e) of the

[[Page 179]]

Act shall be deemed to include Members and officers of both Houses of 
Congress as well as officials in the executive branch of the Government 
of the United States.
    (e) The terms formulating, adopting, or changing, as used in section 
1(o) of the Act, shall be deemed to include any activity which seeks to 
maintain any existing domestic or foreign policy of the United States. 
They do not include making a routine inquiry of a Government official or 
employee concerning a current policy or seeking administrative action in 
a matter where such policy is not in question.
    (f) The term domestic or foreign policies of the United States, as 
used in sections 1 (o) and (p) of the Act, shall be deemed to relate to 
existing and proposed legislation, or legislative action generally; 
treaties; executive agreements, proclamations, and orders; decisions 
relating to or affecting departmental or agency policy, and the like.

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
523-73, 38 FR 18235, July 9, 1973]



Sec. 5.200  Registration.

    (a) Registration under the Act is accomplished by the filing of an 
initial statement together with all the exhibits required by Sec. 5.201 
and the filing of a supplemental statement at intervals of 6 months for 
the duration of the principal-agent relationship requiring registration.
    (b) The initial statement shall be filed on Form OBD-63.

(28 U.S.C. 509 and 510; 5 U.S.C. 301)

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
960-81, 46 FR 52355, Oct. 27, 1981]



Sec. 5.201  Exhibits.

    (a) The following described exhibits are required to be filed for 
each foreign principal of the registrant:
    (1) Exhibit A. This exhibit, which shall be filed on Form OBD-67, 
shall set forth the information required to be disclosed concerning each 
foreign principal.
    (2) Exhibit B. This exhibit, which shall be filed on Form OBD-65, 
shall set forth the agreement or understanding between the registrant 
and each of his foreign principals as well as the nature and method of 
performance of such agreement or understanding and the existing or 
proposed activities engaged in or to be engaged in, including political 
activities, by the registrant for the foreign principal.
    (b) Any change in the information furnished in exhibit A or B shall 
be reported to the Registration Unit within 10 days of such change. The 
filing of a new exhibit may then be required by the Assistant Attorney 
General.
    (c) Whenever the registrant is an association, corporation, 
organization, or any other combination of individuals, the following 
documents shall be filed as exhibit C:
    (1) A copy of the registrant's charter, articles of incorporation or 
association, or constitution, and a copy of its bylaws, and amendments 
thereto;
    (2) A copy of every other instrument or document, and a statement of 
the terms and conditions of every oral agreement, relating to the 
organization, powers and purposes of the registrant.
    (d) The requirement to file any of the documents described in 
paragraphs (c) (1) and (2) of this section may be wholly or partially 
waived upon written application by the registrant to the Assistant 
Attorney General setting forth fully the reasons why such waiver should 
be granted.
    (e) Whenever a registrant, within the United States, receives or 
collects contributions, loans, money, or other things of value, as part 
of a fund-raising campaign, for or in the interests of his foreign 
principal, he shall file as exhibit D a statement so captioned setting 
forth the amount of money or the value of the thing received or 
collected, the names and addresses of the persons from whom such money 
or thing of value was received or collected, and the amount of money or 
a description of the thing of value transmitted to the foreign principal 
as well as the manner and time of such transmission.

(28 U.S.C. 509 and 510; 5 U.S.C. 301)

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
523-73, 38 FR 18235, July 9, 1973; Order No. 960-81, 46 FR 52355, Oct. 
27, 1981]

[[Page 180]]



Sec. 5.202  Short form registration statement.

    (a) Except as provided in paragraphs (b), (c), and (d) of this 
section, each partner, officer, director, associate, employee, and agent 
of a registrant is required to file a registration statement under the 
Act. Unless the Assistant Attorney General specifically directs 
otherwise, this obligation may be satisfied by the filing of a short 
form registration statement.
    (b) A partner, officer, director, associate, employee, or agent of a 
registrant who does not engage directly in activity in furtherance of 
the interests of the foreign principal is not required to file a short 
form registration statement.
    (c) An employee or agent of a registrant whose services in 
furtherance of the interests of the foreign principal are rendered in a 
clerical, secretarial, or in a related or similar capacity, is not 
required to file a short form registration statement.
    (d) Whenever the agent of a registrant is a partnership, 
association, corporation, or other combination of individuals, and such 
agent is not within the exemption of paragraph (b) of this section, only 
those partners, officers, directors, associates, and employees who 
engage directly in activity in furtherance of the interests of the 
registrant's foreign principal are required to file a short form 
registration statement.
    (e) The short form registration statement shall be filed on Form 
OBD-66. Any change affecting the information furnished with respect to 
the nature of the services rendered by the person filing the statement, 
or the compensation he receives, shall require the filing of a new short 
form registration statement within 10 days after the occurrence of such 
change. There is no requirement to file exhibits or supplemental 
statements to a short form registration statement.

(28 U.S.C. 509 and 510; 5 U.S.C. 301)

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
960-81, 46 FR 52355, Oct. 27, 1981]



Sec. 5.203  Supplemental statement.

    (a) Supplemental statements shall be filed on Form OBD-64.
    (b) The obligation to file a supplemental statement at 6-month 
intervals during the agency relationship shall continue even though the 
registrant has not engaged during the period in any activity in the 
interests of his foreign principal.
    (c) The time within which to file a supplemental statement may be 
extended for sufficient cause shown in a written application to the 
Assistant Attorney General.

(28 U.S.C. 509 and 510; 5 U.S.C. 301)

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
960-81, 46 FR 52355, Oct. 27, 1981]



Sec. 5.204  Amendments.

    (a) An initial, supplemental, or final statement which is deemed 
deficient by the Assistant Attorney General must be amended upon his 
request. Such amendment shall be filed upon Form OBD-68 and shall 
identify the item of the statement to be amended.
    (b) A change in the information furnished in an initial or 
supplemental statement under clauses (3), (4), (6), and (9) of section 
2(a) of the Act shall be by amendment, unless the notice which is 
required to be given of such change under section 2(b) is deemed 
sufficient by the Assistant Attorney General.

(28 U.S.C. 509 and 510; 5 U.S.C. 301)

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
960-81, 46 FR 52355, Oct. 27, 1981]



Sec. 5.205  Termination of registration.

    (a) A registrant shall, within 30 days after the termination of his 
obligation to register, file a final statement on Form OBD-64 with the 
Registration Unit for the final period of the agency relationship not 
covered by any previous statement.
    (b) Registration under the Act shall be terminated upon the filing 
of a final statement, if the registrant has fully discharged all his 
obligations under the Act.
    (c) A registrant whose activities on behalf of each of his foreign 
principals become confined to those for which an

[[Page 181]]

exemption under section 3 of the Act is available may file a final 
statement notwithstanding the continuance of the agency relationship 
with the foreign principals.
    (d) Registration under the Act may be terminated upon a finding that 
the registrant is unable to file the appropriate forms to terminate the 
registration as a result of the death, disability, or dissolution of the 
registrant or where the requirements of the Act cannot be fulfilled by a 
continuation of the registration.

(28 U.S.C. 509 and 510; 5 U.S.C. 301)

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
523-73, 38 FR 18235, July 9, 1973; Order No. 960-81, 46 FR 52355, Oct. 
27, 1981; Order No. 1757-93, 58 FR 37419, July 12, 1993]



Sec. 5.206  Language and wording of registration statement.

    (a) Except as provided in the next sentence, each statement, 
amendment, exhibit, or notice required to be filed under the Act shall 
be submitted in the English language. An exhibit may be filed even 
though it is in a foreign language if it is accompanied by an English 
translation certified under oath by the translator before a notary 
public, or other person authorized by law to administer oaths for 
general purposes, as a true and accurate translation.
    (b) A statement, amendment, exhibit, or notice required to be filed 
under the Act should be typewritten, but will be accepted for filing if 
it is written legibly in ink.
    (c) Copies of any document made by any of the duplicating processes 
may be filed pursuant to the Act if they are clear and legible.
    (d) A response shall be made to every item on each pertinent form, 
unless a registrant is specifically instructed otherwise in the form. 
Whenever the item is inapplicable or the appropriate response to an item 
is ``none,'' an express statement to that effect shall be made.



Sec. 5.207  Incorporation by reference.

    (a) Each initial, supplemental, and final statement shall be 
complete in and of itself. Incorporation of information by reference to 
statements previously filed is not permissible.
    (b) Whenever insufficient space is provided for response to any item 
in a form, reference shall be made in such space to a full insert page 
or pages on which the item number and inquiry shall be restated and a 
complete answer given. Inserts and riders of less than full page size 
should not be used.



Sec. 5.208  Disclosure of foreign principals.

    A registrant who represents more than one foreign principal is 
required to list in the statements he files under the Act only those 
foreign principals for whom he is not entitled to claim exemption under 
section 3 of the Act.



Sec. 5.209  Information relating to employees.

    A registrant shall list in the statements he files under the Act 
only those employees whose duties require them to engage directly in 
activities in furtherance of the interests of the foreign principal.



Sec. 5.210  Amount of detail required in information relating to registrant's activities and expenditures.

    A statement is ``detailed'' within the meaning of clauses 6 and 8 of 
section 2 (a) of the Act when it has that degree of specificity 
necessary to permit meaningful public evaluation of each of the 
significant steps taken by a registrant to achieve the purposes of the 
agency relation.



Sec. 5.211  Sixty-day period to be covered in initial statement.

    The 60-day period referred to in clauses 5, 7, and 8 of section 2(a) 
of the Act shall be measured from the time that a registrant has 
incurred an obligation to register and not from the time that he files 
his initial statement.



Sec. 5.300  Burden of establishing availability of exemption.

    The burden of establishing the availability of an exemption from 
registration under the Act shall rest upon the person for whose benefit 
the exemption is claimed.

[[Page 182]]



Sec. 5.301  Exemption under section 3(a) of the Act.

    (a) A consular officer of a foreign government shall be considered 
duly accredited under section 3(a) of the Act whenever he has received 
formal recognition as such, whether provisionally or by exequatur, from 
the Secretary of State.
    (b) The exemption provided by section 3(a) of the Act to a duly 
accredited diplomatic or consular officer is personal and does not 
include within its scope an office, bureau, or other entity.



Sec. 5.302  Exemptions under sections 3(b) and (c) of the Act.

    The exemptions provided by sections 3(b) and (c) of the Act shall 
not be available to any person described therein unless he has filed 
with the Secretary of State a fully executed Notification of Status with 
a Foreign Government (Form D.S. 394).



Sec. 5.303  Exemption available to persons accredited to international organizations.

    Persons designated by foreign governments as their representatives 
in or to an international organization, other than nationals of the 
United States, are exempt from registration under the Act in accordance 
with the provisions of the International Organizations Immunities Act, 
if they have been duly notified to and accepted by the Secretary of 
State as such representatives, officers, or employees, and if they 
engage exclusively in activities which are recognized as being within 
the scope of their official functions.



Sec. 5.304  Exemptions under sections 3(d) and (e) of the Act.

    (a) As used in section 3(d), the term trade or commerce shall 
include the exchange, transfer, purchase, or sale of commodities, 
services, or property of any kind.
    (b) For the purpose of section 3(d) of the Act, activities of an 
agent of a foreign principal as defined in section 1(c) of the Act, in 
furtherance of the bona fide trade or commerce of such foreign 
principal, shall be considered ``private,'' even though the foreign 
principal is owned or controlled by a foreign government, so long as the 
activities do not directly promote the public or political interests of 
the foreign government.
    (c) For the purpose of section 3(d) of the Act, the disclosure of 
the identity of the foreign person that is required under section 1(q) 
of the Act shall be made to each official of the U.S. Government with 
whom the activities are conducted. This disclosure shall be made to the 
Government official prior to his taking any action upon the business 
transacted. The burden of establishing that the required disclosure was 
made shall lie upon the person claiming the exemption.
    (d) The exemption provided by section 3(e) of the Act shall not be 
available to any person described therein if he engages in political 
activities as defined in section 1(o) of the Act for or in the interests 
of his foreign principal.

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
463-71, 36 FR 12212, June 29, 1971]



Sec. 5.305  Exemption under section 3(f) of the Act.

    The exemption provided by section 3(f) of the Act shall not be 
available unless the President has, by publication in the Federal 
Register, designated for the purpose of this section the country the 
defense of which he deems vital to the defense of the United States.



Sec. 5.306  Exemption under section 3(g) of the Act.

    For the purpose of section 3(g) of the Act--
    (a) Attempts to influence or persuade agency personnel or officials 
other than in the course of established agency proceedings, whether 
formal or informal, shall include only such attempts to influence or 
persuade with reference to formulating, adopting, or changing the 
domestic or foreign policies of the United States or with reference to 
the political or public interests, policies, or relations of a 
government of a foreign country or a foreign political party; and
    (b) If an attorney engaged in legal representation of a foreign 
principal before an agency of the U.S. Government is not otherwise 
required to disclose the identity of his principal as a

[[Page 183]]

matter of established agency procedure, he must make such disclosure, in 
conformity with this section of the Act, to each of the agency's 
personnel or officials before whom and at the time his legal 
representation is undertaken. The burden of establishing that the 
required disclosure was made shall like upon the person claiming the 
exemption.

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
463-71, 36 FR 12212, June 29, 1971]



Sec. 5.400  Filing of political propaganda.

    (a) The two copies of each item of political propaganda required to 
be filed with the Attorney General under section 4(a) of the Act shall 
be filed with the Registration Unit.
    (b) Whenever two copies of an item of political propaganda have been 
filed pursuant to section 4(a) of the Act, an agent of a foreign 
principal shall not be required, in the event of further dissemination 
of the same material, to forward additional copies thereof to the 
Registration Unit.
    (c) Unless specifically directed to do so by the Assistant Attorney 
General, a registrant is not required to file two copies of a motion 
picture containing political propaganda which he disseminates on behalf 
of his foreign principal, so long as he files monthly reports on its 
dissemination. In each such case this registrant shall submit to the 
Registration Unit either a film strip showing the label required by 
section 4(b) of the Act or an affidavit certifying that the required 
label has been made a part of the film.

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
523-73, 38 FR 18235, July 9, 1973; Order No. 568-74, 39 FR 18646, May 
29, 1974]



Sec. 5.401  Dissemination report.

    (a) A Dissemination Report shall be filed with the Registration Unit 
for each item of political propaganda that is transmitted, or caused to 
be transmitted, in the U.S. mails, or by any means or instrumentality of 
interstate or foreign commerce, by an agent of a foreign principal for 
or in the interests of any of his foreign principals.
    (b) The Dissemination Report shall be filed on Form OBD-69.
    (c) Except as provided in paragraph (d) of this section, a 
Dissemination Report shall be filed no later than 48 hours after the 
beginning of the transmittal of the political propaganda.
    (d) Whenever transmittals of the same political propaganda are made 
over a period of time, a Dissemination Report may be filed monthly for 
as long as such transmittals continue.
    (e) A Dissemination Report shall be complete in and of itself. 
Incorporation of information by reference to reports previously filed is 
not permissible.

(28 U.S.C. 509 and 510; 5 U.S.C. 301)

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
568-74, 39 FR 18646, May 29, 1974; Order No. 960-81, 46 FR 52355, Oct. 
27, 1981]



Sec. 5.402  Labeling political propaganda.

    (a) Within the meaning of this part, political propaganda shall be 
deemed labeled whenever it has been marked or stamped conspicuously at 
its beginning with a statement setting forth such information as is 
required under section 4(b) of the Act.
    (b) An item of political propaganda which is required to be labeled 
under section 4(b) of the Act and which is in the form of prints shall 
be marked or stamped conspicuously at the beginning of such item with a 
statement in the language or languages used therein, setting forth such 
information as is required under section 4(b) of the Act.
    (c) An item of political propaganda which is required to be labeled 
under section 4(b) of the Act but which is not in the form of prints 
shall be accompanied by a statement setting forth such information as is 
required under section 4(b) of the Act.
    (d) Political propaganda as defined in section 1(j) of the Act which 
is televised or broadcast, or which is caused to be televised or 
broadcast, by an agent of a foreign principal, shall be introduced by a 
statement which is reasonably adapted to convey to the viewers or 
listeners thereof such information as is required under section 4(b) of 
the Act.
    (e) An agent of a foreign principal who transmits or causes to be 
transmitted in the U.S. mails or by any means or instrumentality of 
interstate or foreign commerce a still or motion

[[Page 184]]

picture film which contains political propaganda as defined in section 
1(j) of the Act shall insert at the beginning of such film a statement 
which is reasonably adapted to convey to the viewers thereof such 
information as is required under section 4(b) of the Act.
    (f) For the purpose of section 4(e) of the Act, the statement that 
must preface or accompany political propaganda or a request for 
information shall be in writing.



Sec. 5.500  Maintenance of books and records.

    (a) A registrant shall keep and preserve in accordance with the 
provisions of section 5 of the Act the following books and records:
    (1) All correspondence, memoranda, cables, telegrams, teletype 
messages, and other written communications to and from all foreign 
principals and all other persons, relating to the registrant's 
activities on behalf of, or in the interest of any of his foreign 
principals.
    (2) All correspondence, memoranda, cables, telegrams, teletype 
messages, and other written communications to and from all persons, 
other than foreign principals, relating to the registrant's political 
activity, or relating to political activity on the part of any of the 
registrant's foreign principals.
    (3) Original copies of all written contracts between the registrant 
and any of his foreign principals.
    (4) Records containing the names and addresses of persons to whom 
political propaganda has been transmitted.
    (5) All bookkeeping and other financial records relating to the 
registrant's activities on behalf of any of his foreign principals, 
including canceled checks, bank statements, and records of income and 
disbursements, showing names and addresses of all persons who paid 
moneys to, or received moneys from, the registrant, the specific amounts 
so paid or received, and the date on which each item was paid or 
received.
    (6) If the registrant is a corporation, partnership, association, or 
other combination of individuals, all minute books.
    (7) Such books or records as will disclose the names and addresses 
of all employees and agents of the registrant, including persons no 
longer acting as such employees or agents.
    (8) Such other books, records, and documents as are necessary 
properly to reflect the activities for which registration is required.
    (b) The books and records listed in paragraph (a) of this section 
shall be kept and preserved in such manner as to render them readily 
accessible for inspection pursuant to section 5 of the Act.
    (c) A registrant shall keep and preserve the books and records 
listed in paragraph (a) of this section for a period of 3 years 
following the termination of his registration under Sec. 5.205.
    (d) Upon good and sufficient cause shown in writing to the Assistant 
Attorney General, a registrant may be permitted to destroy books and 
records in support of the information furnished in an initial or 
supplemental statement which he filed 5 or more years prior to the date 
of his application to destroy.



Sec. 5.501  Inspection of books and records.

    Officials of the Criminal Division and the Federal Bureau of 
Investigation are authorized under section 5 of the Act to inspect the 
books and records listed in Sec. 5.500(a).

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
523-73, 38 FR 18235, July 9, 1973]



Sec. 5.600  Public examination of records.

    Registration statements, Dissemination Reports, and copies of 
political propaganda filed under section 4(a) of the Act, shall be 
available for public examination at the Registration Unit on official 
business days, from 10 a.m. to 4 p.m.



Sec. 5.601  Copies of records and information available.

    (a) Copies of registration statements and supplements, amendments, 
exhibits thereto, dissemination reports, and copies of political 
propaganda and other materials contained in the public files, may be 
obtained from the Registration Unit upon payment of a fee as prescribed 
in Sec. 5.5.

[[Page 185]]

    (b) Information as to the fee to be charged for copies of 
registration statements and supplements, amendments, exhibits thereto, 
dissemination reports, and copies of political propaganda and other 
materials contained in the public files, or research into and 
information therefrom, and the time required for the preparation of such 
documents or information may be obtained upon request to the 
Registration Unit. Fee rates are established in Sec. 5.5.
    (c) The Registration Unit may, in its discretion, conduct computer 
searches of records through the use of existing programming upon written 
request. Information as to the fee for the conduct of such computer 
searches, and the time required to conduct such computer searches, may 
be obtained upon request to the Registration Unit. A written request for 
computer searches of records shall include a deposit in the amount 
specified by the Registration Unit, which shall be the Registration 
Unit's estimate of the actual fees. The Registration Unit is not 
required to alter or develop programming to conduct a search. Fee rates 
are established in Sec. 5.5.

[Order No. 1757-93, 58 FR 37420, July 12, 1993]



Sec. 5.800  Ten-day filing requirement.

    The 10-day filing requirement provided by section 8(g) of the Act 
shall be deemed satisfied if the amendment to the registration statement 
is deposited in the U.S. mails no later than the 10th day of the period.



Sec. 5.801  Activity beyond 10-day period.

    A registrant who has within the 10-day period filed an amendment to 
his registration statement pursuant to a Notice of Deficiency given 
under section 8(g) of the Act may continue to act as an agent of a 
foreign principal beyond this period unless he receives a Notice of 
Noncompliance from the Registration Unit.

[Order No. 376-67, 32 FR 6362, Apr. 22, 1967, as amended by Order No. 
523-73, 38 FR 18235, July 9, 1973]



Sec. 5.1101  Copies of the Report of the Attorney General.

    Copies of the Report of the Attorney General to the Congress on the 
Administration of the Foreign Agents Registration Act of 1938, as 
amended, shall be sold to the public by the Registration Unit, as 
available, at a charge not less than the actual cost of production and 
distribution.

[Order No. 1757-93, 58 FR 37420, July 12, 1993]



PART 6--TRAFFIC IN CONTRABAND ARTICLES IN FEDERAL PENAL AND CORRECTIONAL INSTITUTIONS--Table of Contents




    Authority: Pub. L. 772, 80th Cong.; 18 U.S.C. 1791.



Sec. 6.1  Consent of warden or superintendent required.

    The introduction or attempt to introduce into or upon the grounds of 
any Federal penal or correctional institution or the taking or attempt 
to take or send therefrom anything whatsoever without the knowledge and 
consent of the warden or superintendent of such Federal penal or 
correctional institution is prohibited.

    Cross Reference: For Organization Statement, Bureau of Prisons, see 
subpart Q of part 0 of this chapter.

[13 FR 5660, Sept. 30, 1948]



PART 7--REWARDS FOR CAPTURE OF ESCAPED FEDERAL PRISONERS--Table of Contents




Sec.
7.1  Standing offer of reward.
7.2  Amount of reward.
7.3  Eligibility for reward.
7.4  Procedure for claiming reward.
7.5  Certification.

    Authority: 5 U.S.C. 301; 18 U.S.C. 3059.

    Cross Reference: For Organization Statement, Bureau of Prisons, see 
subpart Q of part 0 of this chapter.

    Source: 25 FR 2420, Mar. 23, 1960, unless otherwise noted.



Sec. 7.1  Standing offer of reward.

    A standing offer of reward is made for the capture, or for assisting 
in, or furnishing information leading to, the

[[Page 186]]

capture, of an escaped Federal prisoner, in accordance with the 
conditions stated in this part.



Sec. 7.2  Amount of reward.

    Within the discretion of the Warden or U.S. Marshal concerned, a 
reward not in excess of $200 may be granted for each capture of a 
prisoner and to more than one claimant, as determined applicable and 
appropriate. The Director of the Bureau of Prisons may in exceptional 
circumstances, as determined by him, grant rewards in excess of $200. 
Bodily harm, damage, violence, intimidation, terrorizing, risks, etc., 
will be considered in determining the appropriate amount of reward.



Sec. 7.3  Eligibility for reward.

    A reward may be paid to any person, except an official or employee 
of the Department of Justice or a law-enforcement officer of the U.S. 
Government, who personally captures and surrenders an escaped Federal 
prisoner to proper officials, or who assists in the capture, of an 
escaped Federal prisoner.



Sec. 7.4  Procedure for claiming reward.

    A person claiming a reward under this part shall present his claim, 
within six months from the date of the capture, in the form of a letter 
to the Warden or U.S. Marshal concerned. The letter shall state fully 
the facts and circumstances on which the claim is based, and shall 
include the name of each escapee captured and the time and place of the 
capture, and details as to how the arrest was made by the claimant or as 
to how assistance was rendered to others who made the arrest.



Sec. 7.5  Certification.

    The claim letter required under Sec. 7.4 shall contain the following 
certification immediately proceeding the signature of the claimant:

    I am not an officer or employee of the Department of Justice or a 
law-enforcement officer of the United States Government.



PART 8--FBI FORFEITURE AUTHORITY FOR CERTAIN STATUTES--Table of Contents




Sec.
8.1  Definition.
8.2  Designation of officials having seizure authority.
8.3  Designation of the investigative bureau having administrative 
          forfeiture authority; claims for awards, offers in compromise 
          and matters relating to bonds.
8.4  Custody of seized property, inventory and receipt.
8.5  Appraisement of property subject to forfeiture.
8.6  Quick-release authority.
8.7  Judicial forfeiture.
8.8  Advertisement and declaration of forfeiture.
8.9  Disposition of forfeited property.
8.10  Remission or mitigation of forfeiture.

    Authority: 5 U.S.C. 301; 28 U.S.C. 509, 510.

    Source: Order No. 1128-86, 51 FR 8818, Mar. 14, 1986, unless 
otherwise noted.



Sec. 8.1  Definition.

    For the purpose of this part, the term statutes shall include the 
following statutes unless otherwise noted in this part: Interstate and 
Foreign Commerce--Gambling Devices--Transportation Prohibited, Jan. 2, 
1951, ch. 1194 section 7, 64 Stat. 1135 (codified at 15 U.S.C. 1177, 
commonly referred to as Transportation of Gambling Devices); Organized 
Crime Control Act of 1970, Public Law 91-452, title VIII, part C, 
section 803(a), 84 Stat. 937 (1970) (codified at 18 U.S.C. 1955, 
commonly referred to as Illegal Gambling Businesses); Copyrights Act, 
Public Law 94-553, title I, section 101, 90 Stat. 2768 (1976) (codified 
at 17 U.S.C. 509); Motor Vehicle Theft Law Enforcement Act of 1984, 
Public Law 98-547, title II, section 201, 98 Stat. 2754 (1984) (codified 
at 18 U.S.C. 512); Crimes and Criminal Procedure, June 25, 1948, ch. 
645, section 1, 62 Stat. 786 (codified at 18 U.S.C. 1762, commonly 
referred to as Prison-Made Goods); Child Protection Act of 1984, Public 
Law 98-292, section 6, 98 Stat. 205 (1984) (codified at 18 U.S.C. 2254); 
Omnibus Crime Control and Safe Streets Act of 1968, Public Law 90-351, 
title III, section 802, 82 Stat. 215 (1968) (codified at 18 U.S.C. 2513, 
commonly

[[Page 187]]

referred to as Wire Interception and Interception of Oral 
Communications); Seizure of Arms and Other Articles Intended for Export, 
June 15, 1917, ch. 30, title VI section 1, 40 Stat, 223; June 17, 1930, 
ch. 497, title IV, 523, 46 Stat. 740; Aug. 13, 1953, ch. 434, section 1, 
67 Stat. 577 (codified at 22 U.S.C. 401, commonly referred to as Illegal 
Exportation of War Materials) ; Anti-Drug Abuse Act of 1986, Public Law 
99-570, sec. 1351-1367 (1986) (codified at 18 U.S.C. 981, commonly 
referred to as Money Laundering Control Act of 1986).

[Order No. 1128-86, 51 FR 8818, Mar. 14, 1986, as amended by Order No. 
1197-87, 52 FR 24448, July 1, 1987]



Sec. 8.2  Designation of officials having seizure authority.

    The Director, Associate Director, Assistants to the Director, 
Assistant Directors, inspectors, and Agents of the Federal Bureau of 
Investigation are authorized to seize such property as may be subject to 
seizure pursuant to statutes identified in Sec. 8.1.



Sec. 8.3  Designation of the investigative bureau having administrative forfeiture authority; claims for awards, offers in compromise and matters relating to 
          bonds.

    The Federal Bureau of Investigation is, in accordance with the 
statutes identified in Sec. 8.1, authorized and designated as the 
investigative bureau to perform various duties with respect to 
forfeiture which are comparable to the duties performed by collectors of 
customs or other persons with respect to the seizure and forfeiture of 
vessels, vehicles, merchandise, and baggage under the customs' laws. The 
Director of the Federal Bureau of Investigation or his designee is 
designated as the officer authorized to take final action under these 
statutes on claims for award of compensation to informers, offers in 
compromise, and matters relating to bonds or other security.



Sec. 8.4  Custody of seized property, inventory and receipt.

    All property seized pursuant to the statutes identified in Sec. 8.1 
shall be turned over to the U.S. Marshals Service when not held as 
evidence or to be placed into official use following forfeiture. An 
inventory shall be prepared by the Federal Bureau of Investigation of 
the seized property and a receipt given for it to the person from whom 
it was seized at the time of seizure or as soon thereafter as practical.



Sec. 8.5  Appraisement of property subject to forfeiture.

    Seized property shall be appraised. The appraisement shall be the 
function of the Special Agent in Charge, Federal Bureau of Investigation 
or his designee having custody of the property. The value of an article 
seized shall be the price at which it or a similar article is fairly 
offered for sale at the time and place of appraisement.



Sec. 8.6  Quick-release authority.

    Where the forfeiture proceedings are administrative, the Special 
Agent in Charge, prior to forfeiture, is authorized to release property 
seized for forfeiture. The property can be quick-released when the 
Special Agent in Charge deems that there is an innocent owner having an 
immediate right to possession of the property or when the release would 
be in the best interest of justice and the Government.



Sec. 8.7  Judicial forfeiture.

    If the appraised value exceeds the monetary amount set forth in 
title 19, United States Code, section 1607, or a claim and satisfactory 
bond have been received either for property appraised at that amount or 
less, or for seized merchandise which is any monetary instrument within 
the meaning of section 5312(a)(3) of title 31 of the United States Code, 
the Special Agent in Charge of the FBI field office that seized the 
property shall transmit the claim and bond to the U.S. Attorney for the 
judicial district in which the seizure was made for the purpose of 
instituting judicial forfeiture proceedings. Also transmitted with the 
claim and bond will be a description of the property and a complete 
statement of the facts and circumstances leading to the seizure of the 
property.

[Order No. 1476-91, 56 FR 8685, Mar. 1, 1991]

[[Page 188]]



Sec. 8.8  Advertisement and declaration of forfeiture.

    (a) The notice required by customs laws, section 607, Tariff Act of 
1930, as amended (19 U.S.C. 1607), of seizure and intention to forfeit 
and sell or otherwise dispose of property seized pursuant to the 
statutes identified in Sec. 8.1, shall describe the property seized, 
state the date seized, cause, and place of seizure; and state that any 
person desiring to claim the property must file with the Special Agent 
in Charge, Federal Bureau of Investigation (FBI) within 20 days from the 
date of the first publication of the notice a claim to such property and 
a bond.
    (b) The bond amount shall be $5,000 or ten percent of the value of 
the claimed property whichever is lower, but not less than $250. The 
bond posted to cover costs may be in cash, certified check, or 
satisfactory sureties. When the claim and bond are received by the 
Special Agent in Charge, he shall, after finding the documents in proper 
form and the sureties satisfactory, transmit the documents, together 
with a description of the property and a complete statement of the facts 
and circumstrances surrounding the seizure, to the U.S. Attorney for the 
judicial district in which the seizure was made for purpose of 
proceeding to forfeiture of the property in a manner prescribed by law. 
If the documents are not in satisfactory condition when first received, 
a reasonable time for correction may be allowed. If correction is not 
made within a reasonable time, the documents may be treated as nugatory, 
and the administrative forfeiture shall proceed as though they had not 
been tendered. The filing of the claim and the posting of the bond does 
not entitle the claimant to possession of the property, however, it does 
stop the administrative forfeiture proceeding.
    (c) The notice for administrative forfeiture proceedings shall be 
published once each week for at least three successive weeks in a 
newspaper of general circulation in the judicial district in which the 
property was seized. If a claim is not made within the time period, the 
FBI Property Management Officer shall declare the property forfeited.

[Order No. 1128-86, 51 FR 8818, Mar. 14, 1986, as amended by Order No. 
1197-87, 52 FR 24448, July 1, 1987; Order No. 1476-91, 56 FR 8687, Mar. 
1, 1991]



Sec. 8.9  Disposition of forfeited property.

    (a) If the laws of a state in which an article of forfeited property 
is located prohibit the sale of such property or if the U.S. Marshals 
Service is of the opinion that it would be more advantageous to sell the 
forfeited property in another district, the property may be moved to and 
sold in such other district as the U.S. Marshals Service may direct.
    (b) If, after the administrative forfeiture of property is 
completed, it appears that the proceeds of sale will not be sufficient 
to pay the costs of sale or the proceeds will be insignificant in 
relation to the expenses involved in the forfeiture, the U.S. Marshals 
Service may order the destruction of the property. Similarly, property 
forfeited under a decree of a court may be destroyed in accordance with 
section 611, Tariff Act of 1930 (19 U.S.C. 1611). Also, if the sale or 
use of any article is prohibited under any law of the United States or 
the state where it is stored, the U.S. Marshals Service may order it 
destroyed or cause alteration of the property into an article that is 
not prohibited.
    (c) If arms and munitions are forfeited pursuant to 22 U.S.C. 
401(c), the Secretary of Defense should be contacted to determine if he 
desires this property.



Sec. 8.10  Remission or mitigation of forfeiture.

    (a) Any person claiming a legal or equitable interest in any 
property which has been forfeited pursuant to statutes identified in 
Sec. 8.1, may file, in accordance with the provisions of 28 CFR part 9, 
a petition for remission or mitigation of the forfeiture or a petition 
for restoration of the proceeds of sale or for value of the property 
placed in official use. If the foreiture proceedings are administrative, 
the petition shall be addressed to the Director of the FBI and shall be 
filed in triplicate with the Special Agent in Charge of the FBI

[[Page 189]]

field office that seized the property. It must be executed and sworn to 
by the person alleging interest in the property. If the forfeiture 
proceedings are judicial, the petition shall be addressed to the 
Attorney General of the United States and filed in triplicate with the 
Special Agent in Charge of the FBI field office that seized the 
property. The petition for a judicial forfeiture shall be sworn to by 
the petitioner, or by his or her counsel upon information and belief.
    (b) The petition shall include the following:
    (1) A complete description of the property, including model and 
serial numbers, if any, and the date and place of seizure;
    (2) The petitioner's interest in the property, which shall be 
supported by bills of sale, contracts, mortgages, or other satisfactory 
documentary evidence; and,
    (3) The facts and circumstances, established by satisfactory proof, 
relied upon by the petitioner to justify remission or mitigation of the 
forfeiture. For further information regarding the content of a petition, 
see 28 CFR 9.5.
    (c) Where the petition is for restoration of the proceeds of sale, 
or for value of the property placed in official use, it must be 
supported by satisfactory proof that the petitioner did not know of the 
seizure prior to the declaration of forfeiture and was in such 
circumstances as prevented petitioner from knowing of the same.
    (d) A petition for remission or mitigation of forfeiture should be 
filed within 30 days of the receipt of the notice of seizure. Once 
forfeited property is disposed of, a petition for remission or 
mitigation of forfeiture will no longer be accepted. A petition for 
restoration of proceeds of sale or for value of the property placed in 
official use must be filed within 90 days of the sale of the property, 
or within 90 days of the date the property is placed in official use.
    (e) Upon receipt of a petition, an appropriate investigation shall 
be conducted by the FBI. No hearing shall be held. For administrative 
forfeitures, the petition and the results of the petition investigation 
shall be forwarded to the Legal Counsel Division, FBI. Final decisions 
on petitions for property forfeited administratively shall be made by 
the Assistant Director, Legal Counsel, FBI or his designee within the 
Legal Counsel Division, FBI. For judicial forfeitures, the petition and 
the results of the petition investigation shall be forwarded to the U.S. 
Attorney who prosecuted the property. The U.S. Attorney shall forward 
the petition and the results of the investigation together with a 
recommendation as to allowance or denial of the petition to the 
Assistant Attorney General, Criminal Division. The matter shall be 
assigned to the Asset Forfeiture Office who shall either grant the 
petition by remission or mitigation of the forfeiture or shall deny it.
    (f) A request for reconsideration of the denial of the petition for 
an administrative forfeiture must be submitted within 10 days from 
receipt of the letter denying the petition. Such request shall be 
addressed to the Director of the FBI for referral to the FBI Legal 
Counsel Division and shall be based on evidence recently developed or 
not previously considered. Only one request for reconsideration of a 
denial of a petition shall be considered. For further information 
regarding petitions see 28 CFR part 9.



PART 9--REGULATIONS GOVERNING THE REMISSION OR MITIGATION OF CIVIL AND CRIMINAL FORFEITURES--Table of Contents




Sec.
9.1  Authority, purpose, and scope.
9.2  Definitions.
9.3  Petitions in administrative forfeiture cases.
9.4  Petitions in judicial forfeiture cases.
9.5  Criteria governing administrative and judicial remission and 
          mitigation.
9.6  Special rules for specific petitioners.
9.7  Terms and conditions of remission and mitigation.
9.8  Provisions applicable to victims.
9.9  Miscellaneous provisions.

    Authority: 28 U.S.C. 509, 510, 515-518, 524; 8 U.S.C. 1324; 15 
U.S.C. 1177; 17 U.S.C. 509; 18 U.S.C. 512, 981, 982, 1467, 1955, 1963, 
2253, 2254, 2513; 19 U.S.C. 1613, 1618; 21 U.S.C. 853, 881; 22 U.S.C. 
401.

    Source: Order No. 2064-96, 62 FR 316, Jan. 3, 1997, unless otherwise 
noted.

[[Page 190]]



Sec. 9.1  Authority, purpose, and scope.

    (a) Purpose. This part sets forth the procedures for agency 
officials to follow when considering remission or mitigation of 
administrative forfeitures under the jurisdiction of the agency, and 
civil judicial and criminal judicial forfeitures under the jurisdiction 
of the Criminal Division. The purpose of the regulations in this part is 
to provide a basis for ameliorating the effects of forfeiture through 
the partial or total remission of forfeiture for individuals who have an 
interest in the forfeited property but who did not participate in, or 
have knowledge of, the conduct that resulted in the property being 
subject to forfeiture and, where required, took all reasonable steps 
under the circumstances to ensure that such property would not be used, 
acquired, or disposed of contrary to law. Additionally, the regulations 
provide for partial or total mitigation of the forfeiture and imposition 
of alternative conditions in appropriate circumstances.
    (b) Authority to grant remission and mitigation. (1) Remission and 
mitigation functions in administrative forfeitures are performed by the 
agency seizing the property. Within the Federal Bureau of Investigation, 
authority to grant remission and mitigation is delegated to the 
Forfeiture Counsel, who is the Unit Chief, Legal Forfeiture Unit, Office 
of the General Counsel; within the Drug Enforcement Administration, 
authority to grant remission and mitigation is delegated to the 
Forfeiture Counsel, Office of Chief Counsel; and within the Immigration 
and Naturalization Service, authority to grant remission and mitigation 
is delegated to the INS Regional Directors.
    (2) Remission and mitigation functions in judicial cases are 
performed by the Criminal Division of the Department of Justice. Within 
the Criminal Division, authority to grant remission and mitigation is 
delegated to the Chief, Asset Forfeiture and Money Laundering Section, 
Criminal Division.
    (3) The powers and responsibilities delegated by these regulations 
in this part may be redelegated to attorneys or managers working under 
the supervision of the designated officials.
    (c) The time periods and internal requirements established in this 
part are designed to guide the orderly administration of the remission 
and mitigation process and are not intended to create rights or 
entitlements in favor of individuals seeking remission or mitigation. 
The regulations will apply to all decisions on petitions for remission 
or mitigation made on or after February 3, 1997. The regulations will 
apply to decisions on requests for reconsideration of a denial of a 
petition under Secs. 9.3(j) and 9.4(k) only if the initial decision on 
the petition was made under the provisions of this part effective on 
February 3, 1997.
    (d) This part governs any petition for remission filed with the 
Attorney General and supersedes any Department of Justice regulation 
governing petitions for remission, to the extent such regulation is 
inconsistent with this part. In particular, this part supersedes the 
provisions of 21 CFR 1316.79 and 1316.80, which contain remission and 
mitigation procedures for property seized for narcotics violations. The 
provisions of 8 CFR 274.13 through 274.19 and 28 CFR 8.10, which concern 
non-drug related forfeitures, are also superseded by this part where 
those regulations relate to remission and mitigation.



Sec. 9.2  Definitions.

    As used in this part:
    (a) The term administrative forfeiture means the process by which 
property may be forfeited by an investigative agency rather than through 
judicial proceedings.
    (b) The term appraised value means the estimated market value of an 
asset at the time and place of seizure if such or similar property was 
freely offered for sale between a willing seller and a willing buyer.
    (c) The term Assets Forfeiture Fund means the Department of Justice 
Assets Forfeiture Fund or Department of the Treasury Asset Forfeiture 
Fund, depending upon the identity of the seizing agency.
    (d) The term Attorney General means the Attorney General of the 
United States or his or her designee.
    (e) The term beneficial owner means a person with actual use of, as 
well as an

[[Page 191]]

interest in, the property subject to forfeiture.
    (f) The terms Chief, Asset Forfeiture and Money Laundering Section, 
and Chief, refer to the Chief of the Asset Forfeiture and Money 
Laundering Section, Criminal Division, United States Department of 
Justice.
    (g) The term general creditor means one whose claim or debt is not 
secured by a specific right to obtain satisfaction against the 
particular property subject to forfeiture.
    (h) The term judgment creditor means one who has obtained a judgment 
against the debtor but has not yet received full satisfaction of the 
judgment.
    (i) The term judicial forfeiture means either a civil or a criminal 
proceeding in a United States District Court that may result in a final 
judgment and order of forfeiture.
    (j) The term lienholder means a creditor whose claim or debt is 
secured by a specific right to obtain satisfaction against the 
particular property subject to forfeiture. A lien creditor qualifies as 
a lienholder if the lien:
    (1) Was established by operation of law or contract;
    (2) Was created as a result of an exchange of money, goods, or 
services; and
    (3) Is perfected against the specific property forfeited for which 
remission or mitigation is sought (e.g., a real estate mortgage; a 
mechanic's lien).
    (k) The term net equity means the amount of a lienholder's monetary 
interest in property subject to forfeiture. Net equity shall be computed 
by determining the amount of unpaid principal and unpaid interest at the 
time of seizure, and by adding to that sum unpaid interest calculated 
from the date of seizure through the last full month prior to the date 
of the decision on the petition. Where a rate of interest is set forth 
in a security agreement, the rate of interest to be used in this 
computation will be the annual percentage rate so specified in the 
security agreement that is the basis of the lienholder's interest. In 
this computation, however, there shall be no allowances for attorneys' 
fees, accelerated or enhanced interest charges, amounts set by contract 
as damages, unearned extended warranty fees, insurance, service contract 
charges incurred after the date of seizure, allowances for dealer's 
reserve, or any other similar charges.
    (l) The term owner means the person in whom primary title is vested 
or whose interest is manifested by the actual and beneficial use of the 
property, even though the title is vested in another. A victim of an 
offense, as defined in paragraph (v) of this section, may also be an 
owner if he or she has a present legally cognizable ownership interest 
in the property forfeited. A nominal owner of property will not be 
treated as its true owner if he or she is not its beneficial owner.
    (m) The term person means an individual, partnership, corporation, 
joint business enterprise, estate, or other legal entity capable of 
owning property.
    (n) The term petition means a petition for remission or mitigation 
of forfeiture under the regulations in this part. This definition 
includes a petition for restoration of the proceeds of sale of forfeited 
property and a petition for the value of forfeited property placed into 
official use.
    (o) The term petitioner means the person applying for remission, 
mitigation, restoration of the proceeds of sale, or for the appraised 
value of forfeited property, under the regulations in this part. A 
petitioner may be an owner as defined in Sec. 9.2(l), a lienholder as 
defined in Sec. 9.2(j), or a victim as defined in Sec. 9.2(v), subject 
to the limitations of Sec. 9.8.
    (p) The term property means real or personal property of any kind 
capable of being owned or possessed.
    (q) The term record means a series of arrests for related crimes, 
unless the arrestee was acquitted or the charges were dismissed for lack 
of evidence; a conviction for a related crime or completion of sentence 
within ten years of the acquisition of the property subject to 
forfeiture; or two convictions for a related crime at any time in the 
past.
    (r) The term related crime as used in Sec. 9.2(q) and Sec. 9.6(e) 
means any crime similar in nature to that which gives rise to the 
seizure of property for forfeiture. For example, where property is 
seized for a violation of the federal laws relating to drugs, a related 
crime

[[Page 192]]

would be any offense involving a violation of the federal laws relating 
to drugs or the laws of any state or political subdivision thereof 
relating to drugs.
    (s) The term related offense as used in Sec. 9.8 means:
    (1) Any predicate offense charged in a Federal Racketeer Influenced 
and Corrupt Organizations Act (RICO) count for which forfeiture was 
ordered; or
    (2) An offense committed as part of the same scheme or design, or 
pursuant to the same conspiracy, as was involved in the offense for 
which forfeiture was ordered.
    (t) The term Ruling Official means any official to whom decision 
making authority has been delegated pursuant to Sec. 9.1(b).
    (u) The term seizing agency means the federal agency that seized the 
property or adopted the seizure of another agency for federal 
forfeiture.
    (v) The term victim means a person who has incurred a pecuniary loss 
as a direct result of the commission of the offense underlying a 
forfeiture. A drug user is not considered a victim of a drug trafficking 
offense under this definition. A victim does not include one who 
acquires a right to sue the perpetrator of the criminal offense for any 
loss by assignment, subrogation inheritance, or otherwise form the 
actual victim, unless that person has acquired an actual ownership 
interest in the forfeited property.
    (w) The term violator means the person whose use or acquisition of 
the property in violation of the law subjected such property to seizure 
for forfeiture.



Sec. 9.3  Petitions in administrative forfeiture cases.

    (a) Notice of seizure. The notice of seizure and intent to forfeit 
the property shall advise any persons who may have a present ownership 
interest in the property to submit their petitions for remission or 
mitigation within thirty (30) days of the date they receive the notice 
in order to facilitate processing. Petitions shall be considered any 
time after notice until the forfeited property is placed into official 
use, sold, or otherwise disposed of according to law, except in cases 
involving petitions to restore the proceeds from the sale of forfeited 
property. A notice of seizure shall include the title of the seizing 
agency, the Ruling Official, the mailing and street address of the 
official to whom petitions should be sent, and an asset identifier 
number.
    (b) Persons who may file. A petition for remission or mitigation 
must be filed by a petitioner as defined in Sec. 9.2(o) or as prescribed 
in Secs. 9.9(g) and (h).
    (c) Contents of petition. (1) All petitions must include the 
following information in clear and concise terms:
    (i) The name, address, and social security or other taxpayer 
identification number of the person claiming an interest in the seized 
property who is seeking remission or mitigation;
    (ii) The name of the seizing agency, the asset identifier number, 
and the date and place of seizure;
    (iii) A complete description of the property, including make, model, 
and serial numbers, if any; and
    (iv) A description of the petitioner's interest in the property as 
owner, lienholder, or otherwise, supported by original or certified 
bills of sale, contracts, deeds, mortgages, or other documentary 
evidence.
    (2) Any factual recitation or documentation of any type in a 
petition must be supported by a sworn affidavit.
    (d) Releases. In addition to the contents of the petition for 
remission or mitigation set forth in paragraph (c) of this section, upon 
request, the petitioner shall also furnish the agency with an instrument 
executed by the titled or registered owner and any other known claimant 
of an interest in the property releasing interest in such property.
    (e) Filing petition with agency. (1) A petition for remission or 
mitigation subject to administrative forfeiture shall be addressed to 
the appropriate federal agency as follows:
    (i) Drug Enforcement Administration, Office of Chief Counsel, Street 
Address: 700 Army Navy Drive, Arlington, VA 22202
    Mailing Address: P.O. Box 28356, Washington, D.C. 20038.
    (ii) Federal Bureau of Investigation, Special Agent in Charge, Field 
Office that seized the property.

[[Page 193]]

    (iii) Immigration and Naturalization Service District Director, 
Chief Patrol Agent, or Regional Asset Forfeiture Office at location with 
jurisdiction over the forfeiture proceeding.
    (2) The petition is to be sent to the official address provided in 
the notice of seizure and shall be sworn to by the petitioner or by the 
petitioner's attorney upon information and belief, supported by the 
client's sworn notice of representation pursuant to 28 U.S.C. 1746, as 
set out in Sec. 9.9(g). The Chief of the Asset Forfeiture and Money 
Laundering Section is delegated authority to amend the address of the 
official to whom petitions may be sent from time to time, as necessary, 
by publishing notice of the change of address in the Federal Register. 
Failure to publish a notice of change of address in the Federal Register 
shall not alter the authority of the Ruling Official to determine 
petitions for remission or mitigation nor the obligation of a petitioner 
to file a petition at the address provided in the notice of seizure. 
Failure to publish a notice of change of address in the Federal Register 
shall not be grounds for expanding the time for filing a petition for 
remission or mitigation under the regulations in this part.
    (f) Agency investigation. Upon receipt of a petition, the seizing 
agency shall investigate the merits of the petition and prepare a 
written report containing the results of that investigation. This report 
shall be submitted to the Ruling Official for review and consideration.
    (g) Ruling. Upon receipt of the petition and the agency report, the 
Ruling Official for the seizing agency shall review the petition and the 
report, and shall rule on the merits of the petition. No hearing shall 
be held.
    (h) Petitions granted. If the Ruling Official grants a remission or 
mitigation of the forfeiture, a copy of the decision shall be mailed to 
the petitioner or, if represented by an attorney, to the petitioner's 
attorney. A copy shall also be sent to the United States Marshals 
Service or other property custodian. The written decision shall include 
the terms and conditions, if any, upon which the remission or mitigation 
is granted and the procedures the petitioner must follow to obtain 
release of the property or the monetary interest therein.
    (i) Petitions denied. If the Ruling Official denies a petition, a 
copy of the decision shall be mailed to the petitioner or, if 
represented by an attorney, to the petitioner's attorney of record. A 
copy of the decision shall also be sent to the United States Marshals 
Service or other property custodian. The decision shall specify the 
reason that the petition was denied. The decision shall advise the 
petitioner that a request for reconsideration of the denial of the 
petition may be submitted to the Ruling Official in accordance with 
paragraph (j) of this section.
    (j) Request for reconsideration. (1) A request for reconsideration 
of the denial of the petition shall be considered if:
    (i) It is postmarked or received by the office of the Ruling 
Official within ten (10) days from the receipt of the notice of denial 
of the petition by the petitioner; and
    (ii) The request is based on information or evidence not previously 
considered that is material to the basis for the denial or presents a 
basis clearly demonstrating that the denial was erroneous.
    (2) In no event shall a request for reconsideration be decided by 
the same Ruling Official who ruled on the original petition.
    (3) Only one request for reconsideration of a denial of a petition 
shall be considered.
    (k) Restoration of proceeds from sale. (1) A petition for 
restoration of the proceeds from the sale of forfeited property, or for 
the appraised value of forfeited property when the forfeited property 
has been retained by or delivered to a government agency for official 
use, may be submitted by an owner or leinholder in cases in which the 
petitioner:
    (i) Did not know of the seizure prior to the entry of a declaration 
of forfeiture; and
    (ii) Could not reasonably have known of the seizure prior to the 
entry of a declaration of forfeiture.
    (2) Such a petition shall be submitted pursuant to paragraphs (b) 
through (e) of this section within ninety (90) days

[[Page 194]]

of the date the property is sold or otherwise disposed of.



Sec. 9.4  Petitions in judicial forfeiture cases.

    (a) Notice of seizure. The notice of seizure and intent to forfeit 
the property shall advise any persons who may have a present ownership 
interest in the property to submit their petitions for remission or 
mitigation within thirty (30) days of the date they receive the notice 
in order to facilitate processing. Petitions shall be considered any 
time after notice until such time as the forfeited property is placed in 
official use, sold, or otherwise disposed of according to law, except in 
cases involving petitions to restore property. A notice of seizure shall 
include the title of the Ruling Official and the mailing and street 
address of the official to whom petitions should be sent, the name of 
the agency seizing the property, an asset identifier number, and the 
district court docket number.
    (b) Persons who may file. A petition for remission or mitigation 
must be filed by a petitioner as defined in Sec. 9.2(o) or as prescribed 
in Sec. Sec. 9.9 (g) and (h).
    (c) Contents of petition. (1) All petitions must include the 
following information in clear and concise terms:
    (i) The name, address, and social security or other taxpayer 
identification number of the person claiming an interest in the seized 
property who is seeking remission or mitigation;
    (ii) The name of the seizing agency, the asset identifier number, 
and the date and place of seizure;
    (iii) The district court docket number;
    (iv) A complete description of the property, including the address 
or legal description of real property, and make, model, and serial 
numbers of personal property, if any; and
    (v) A description of the petitioner's interest in the property as 
owner, lienholder, or otherwise, supported by original or certified 
bills of sale, contracts, mortgages, deeds, or other documentary 
evidence.
    (2) Any factual recitation or documentation of any type in a 
petition must be supported by a sworn affidavit.
    (d) Releases. In addition to the content of the petition for 
remission or mitigation set forth in paragraph (c) of this section, the 
petitioner, upon request, also shall furnish the agency with an 
instrument executed by the titled or registered owner and any other 
known claimant of an interest in the property releasing the interest in 
such property.
    (e) Filing petition with Department of Justice. A petition for 
remission or mitigation of a judicial forfeiture shall be addressed to 
the Attorney General; shall be sworn to by the petitioner or by the 
petitioner's attorney upon information and belief, supported by the 
client's sworn notice of representation pursuant to 28 U.S.C. 1746, as 
set forth in Sec. 9.9(g); and shall be submitted to the United States 
Attorney for the district in which the judicial forfeiture proceedings 
are brought. A petitioner also shall submit a copy of the petition to 
the seizing agency in the judicial district in which the seizure 
occurred as specified in the notice of seizure, except in Drug 
Enforcement Administration cases, where the copy shall be submitted to 
Drug Enforcement Administration Headquarters, Office of Chief Counsel, 
P.O. Box 28356, Washington, D.C. 20038, or 700 Army Navy Drive, 
Arlington, VA 22202.
    (f) Agency investigation and recommendation; United States 
Attorney's recommendation. Upon receipt of a petition, the United States 
Attorney shall direct the seizing agency to investigate the merits of 
the petition based on the information provided by the petitioner and the 
totality of the agency's investigation of the underlying basis for 
forfeiture. The agency shall submit to the United States Attorney a 
report of its investigation and its recommendation on whether the 
petition should be granted or denied. Upon receipt of the agency's 
report and recommendation, the United States Attorney shall forward to 
the Chief, Asset Forfeiture and Money Laundering Section, the petition, 
the seizing agency's report and recommendation, and the United States 
Attorney's recommendation on whether the petition should be granted or 
denied.
    (g) Ruling. The Chief shall rule on the petition. No hearing shall 
be held. The

[[Page 195]]

Chief shall not rule on any petition in any case in which similar 
petition has been administratively denied by the seizing agency prior to 
the referral of the case to the United States Attorney for the 
institution of forfeiture proceedings.
    (h) Petitons under Internal Revenue Service liquor laws. The Chief 
shall accept and consider petitions submitted in judicial forfeiture 
proceedings under the Internal Revenue Service liquor laws only prior to 
the time a decree of forfeiture is entered. Thereafter, district courts 
have exclusive jurisdiction.
    (i) Petitions granted. If the Chief grants a remission or mitigates 
the forfeiture, the Chief shall mail a copy of the decision to the 
petitioner or, if represented by an attorney, to the petitioner's 
attorney, the appropriate United States Attorney, the United States 
Marshals Service or other property custodian, and the appropriate 
seizing agency. The written decision shall include the terms and 
conditions, if any, upon which the remission or mitigation is granted 
and the procedures the petitioner must follow to obtain release of the 
property or the monetary interest therein. The Chief shall advise the 
petitioner or the petitioner's attorney to consult with the United 
States Attorney as to such terms and conditions. The United States 
Attorney shall confer with the seizing agency regarding the release and 
shall coordinate disposition of the property with that office and the 
United States Marshals Service or other property custodian.
    (j) Petitions denied. If the Chief denies a petition, a copy of that 
decision shall be mailed to the petitioner, or if represented by an 
attorney, to the petitioner's attorney of record, to the appropriate 
United States Attorney, the United States Marshals Service or other 
property custodian, and to the appropriate seizing agency. The decision 
shall specify the reason that the petition was denied. The decision 
shall advise the petitioner that a request for reconsideration of the 
denial of the petition may be submitted to the Chief at the address 
provided in the decision, in accordance with paragraph (k) of this 
section.
    (k) Request for reconsideration. (1) A request for reconsideration 
of the denial shall be considered if:
    (i) It is postmarked or received by the Asset Forfeiture and Money 
Laundering Section at the address contained in the decision denying the 
petition within ten (10) days from the receipt of the notice of denial 
of the petition by the petitioner; and
    (ii) The request is based on information or evidence not previously 
considered that is material to the basis for the denial or presents a 
basis clearly demonstrating that the denial was erroneous. A copy of the 
request must be received by the appropriate United States Attorney 
within ten (10) days of the receipt of the denial by the petitioner.
    (2) In no event shall a request for reconsideration be decided by 
the Ruling Official who ruled on the original petition.
    (3) Only one request for reconsideration of a denial of a petition 
shall be considered.
    (4) Upon receipt of the request for reconsideration of the denial of 
a petition, disposition of the property will be delayed pending notice 
of the decision at the request of the Chief. If the United States 
Attorney does not receive a copy of the request for reconsideration 
within the prescribed period, the deposition of the property may 
proceed.
    (l) Restoration of proceeds from sale. (1) A petition for 
restoration of the proceeds from the sale of forfeited property, or for 
the appraised value of forfeited property when the forfeited property 
has been retained by or delivered to a government agency for official 
use, may be submitted by an owner or lienholder in cases in which the 
petitioner:
    (i) Did not know of the seizure prior to the entry of a final order 
of forfeiture; and
    (ii) Could not reasonably have known of the seizure prior to the 
entry of a final order of forfeiture.
    (2) Such a petition must be submitted pursuant to paragraphs (b) 
through (e) of this section within ninety (90) days of the date the 
property was sold or otherwise disposed of.

[[Page 196]]



Sec. 9.5  Criteria governing administrative and judicial remission and mitigation.

    (a) Remission. (1) The Ruling Official shall not grant remission of 
a forfeiture unless the petitioner establishes that:
    (i) The petitioner has a valid, good faith, and legally cognizable 
interest in the seized property as owner or lienholder as defined in 
this part; and
    (ii) The petitioner is innocent within the meaning of the innocent 
owner provisions of the applicable civil forfeiture statute, is a bona 
fide purchaser for value without cause to believe that the property was 
subject to forfeiture at the time of the purchase, or is one who held a 
legally cognizable interest in the seized property at the time of the 
violation underlying the forfeiture superior to that of the defendant 
within the meaning of the applicable criminal forfeiture statute, and is 
thereby entitled to recover his or her interest in the forfeited 
property by statute. (If the applicable civil forfeiture statute 
contains no innocent owner defense, the innocent owner provisions 
applicable to 21 U.S.C. 881(a)(4) shall apply.) Unless otherwise 
provided by statute, in the case of petitioners who acquired their 
interest in the property after the time of the violation underlying the 
forfeiture, the question of whether the petitioner had knowledge of the 
violation shall be determined as of the point in time when the interest 
in the property was acquired.
    (2) The knowledge and responsibilities of petitioner's 
representative, agent, or employee in paragraph (a)(1)(ii) of this 
section are imputed to the petitioner where the representative, agent, 
or employee was acting in the course of his or her employment and in 
furtherance of the petitioner's business.
    (3) The petitioner has the burden of establishing the basis for 
granting a petition for remission or mitigation of forfeited property, a 
restoration of proceeds of sale or appraised value of forfeited 
property, or a reconsideration of a denial of such a petition. Failure 
to provide information or documents and to submit to interviews, as 
requested, may result in a denial of the petition.
    (4) The Ruling Official shall presume a valid forfeiture and shall 
not consider whether the evidence is sufficient to support the 
forfeiture.
    (5) Willful, materially-false statements or information, made or 
furnished by the petitioner in support of a petition for remission or 
mitigation of forfeited property, the restoration of proceeds or 
appraised value of forfeited property, or the reconsideration of a 
denial of any such petition, shall be grounds for denial of such 
petition and possible prosecution for the filing of false statements.
    (b) Mitigation. (1) The Ruling Official may grant mitigation to a 
party not involved in the commission of the offense underlying 
forfeiture:
    (i) Where the petitioner has not met the minimum conditions for 
remission, but the Ruling Official finds that some relief should be 
granted to avoid extreme hardship, and that return of the property 
combined with imposition of monetary and/or other conditions of 
mitigation in lieu of a complete forfeiture will promote the interest of 
justice and will not diminish the deterrent effect of the law. 
Extenuating circumstances justifying such a finding include those 
circumstances that reduce the responsibility of the petitioner for 
knowledge of the illegal activity, knowledge of the criminal record of a 
user of the property, or failure to take reasonable steps to prevent the 
illegal use or acquisition by another for some reason, such as a 
reasonable fear of reprisal; or
    (ii) Where the minimum standards for remission have been satisfied 
but the overall circumstances are such that, in the opinion of the 
Ruling Official, complete relief is not warranted.
    (2) The Ruling Officials may in his or her discretion grant 
mitigation to a party involved in the commission of the offense 
underlying the forfeiture where certain mitigating factors exist, 
including, but not limited to: the lack of a prior record or evidence of 
similar criminal conduct; if the violation does not include drug 
distribution, manufacturing, or importation, the fact that the violator 
has taken steps, such as drug treatment, to prevent further criminal 
conduct; the fact that the violation was minimal and was not part of

[[Page 197]]

a larger criminal scheme; the fact that the violator has cooperated with 
federal, state, or local investigations relating to the criminal conduct 
underlying the forfeiture; or the fact that complete forfeiture of an 
asset is not necessary to achieve the legitimate purposes of forfeiture.
    (3) Mitigation may take the form of a monetary condition or the 
imposition of other conditions relating to the continued use of the 
property, and the return of the property, in addition to the imposition 
of any other costs that would be chargeable as a condition to remission. 
This monetary condition is considered as an item of cost payable by the 
petitioner, and shall be deposited into the Assets Forfeiture Fund as an 
amount realized from forfeiture in accordance with the applicable 
statute. If the petitioner fails to accept the Ruling Official's 
mitigation decision or any of its conditions, or fails to pay the 
monetary amount within twenty (20) days of the receipt of the decision, 
the property shall be sold, and the monetary amount imposed and other 
costs chargeable as a condition to mitigation shall be subtracted from 
the proceeds of the sale before transmitting the remainder to the 
petitioner.



Sec. 9.6  Special rules for specific petitioners.

    (a) General creditors. A general creditor may not be granted 
remission or mitigation of forfeiture unless he or she otherwise 
qualifies as petitioner under this part.
    (b) Rival claimants. If the beneficial owner of the forfeited 
property and the owner of a security interest in the same property each 
files a petition, and if both petitions are found to be meritorious, the 
claims of the beneficial owner shall take precedence.
    (c) Voluntary bailments. A petitioner who allows another to use his 
or her property without cost, and who is not in the business of lending 
money secured by property or of leasing or renting property for profit, 
shall be granted remission or mitigation of forfeiture in accordance 
with the provisions of Sec. 9.5.
    (d) Lessors. A person engaged in the business of leasing or renting 
real or personal property on a long-term basis with the right to 
sublease shall not be entitled to remission or mitigation of a 
forfeiture of such property unless the lessor can demonstrate compliance 
with all the requirements of Sec. 9.5.
    (e) Straw owners. A petition by any person who has acquired a 
property interest recognizable under this part, and who knew or had 
reason to believe that the interest was conveyed by the previous owner 
for the purpose of circumventing seizure, forfeiture, or the regulations 
in this part, shall be denied. A petition by a person who purchases or 
owns property for another who has a record for related crimes as defined 
in Sec. 9.2(r), or a petition by a lienholder who knows or has reason to 
believe that the purchaser or owner of record is not the real purchaser 
or owner, shall be denied unless both the purchaser of record and the 
real purchaser or owner meet the requirements of Sec. 9.5.
    (f) Judgment creditors. (1) A judgment creditor will be recognized 
as a lienholder if:
    (i) The judgment was duly recorded before the seizure of the 
property for forfeiture;
    (ii) Under applicable state or other local law, the judgment 
constitutes a valid lien on the property that attached to it before the 
seizure of the property for forfeiture; and
    (iii) The petitioner had no knowledge of the commission of any act 
or acts giving rise to the forfeiture at the time the judgment became a 
lien on the forfeited property.
    (2) A judgment creditor will not be recognized as a lienholder if 
the property in question is not property of which the judgment debtor is 
entitled to claim ownership under applicable state or other local law 
(e.g., stolen property). A judgment creditor is entitled under this part 
to no more than the amount of the judgment, exclusive of any interest, 
costs, or other fees including attorney's fees associated with the 
action that led to the judgment or its collection.
    (3) A judgment creditor's lien must be registered in the district 
where the property is located if the judgment was obtained outside the 
district.

[[Page 198]]



Sec. 9.7  Terms and conditions of remission and mitigation.

    (a) Owners. (1) An owner's interest in property that has been 
forfeited is represented by the property itself or by a monetary 
interest equivalent to that interest at the time of seizure. Whether the 
property or a monetary equivalent will be remitted to an owner shall be 
determined at the discretion of the Ruling Official.
    (2) If a civil judicial forfeiture action against the property is 
pending, release of the property must await an appropriate court order.
    (3) Where the government sells or disposes of the property prior to 
the grant of the remission, the owner shall receive the proceeds of that 
sale, less any costs incurred by the government in the sale. The Ruling 
Official, at his or her discretion, may waive the deduction of costs and 
expenses incident to the forfeiture.
    (4) Where the owner does not comply with the conditions imposed upon 
release of the property by the Ruling Official, the property shall be 
sold. Following the sale, the proceeds shall be used to pay all costs of 
the forfeiture and disposition of the property, in addition to any 
monetary conditions imposed. The remaining balance shall be paid to the 
owner.
    (b) Lienholders. (1) When the forfeited property is to be retained 
for official use or transferred to a state or local law enforcement 
agency or foreign government pursuant to law, and remission or 
mitigation has been granted to a lienholder, the recipient of the 
property shall assure that:
    (i) In the case of remission, the lien is satisfied as determined 
through the petition process; or
    (ii) In the case of mitigation, an amount equal to the net equity, 
less any monetary conditions imposed, is paid to the lienholder prior to 
the release of the property to the recipient agency of foreign 
government.
    (2) When the forfeited property is not retained for official use or 
transferred to another agency or foreign government pursuant to law, the 
lienholder shall be notified by the Ruling Official of the right to 
select either of the following alternatives:
    (i) Return of property. The lienholder may obtain possession of the 
property after paying the United States, through the Ruling Official, 
the costs and expenses incident to the forfeiture, the amount, if any, 
by which the appraised value of the property exceeds the lienholder's 
net equity in the property, and any amount specified in the Ruling 
Official's decision as a condition to remit the property. The Ruling 
Official, at his or her discretion, may waive costs and expenses 
incident to the forfeiture. The Ruling Official shall forward a copy of 
the decision, a memorandum of disposition, and the original releases to 
the United States Marshals Service or other property custodian who shall 
thereafter release the property to the lienholder; or
    (ii) Sale of property and payment to lienholder. Subject to the 
provisions of Sec. 9.9(a), upon sale of the property, the lienholder may 
receive the payment of a monetary amount up to the sum of the 
lienholder's net equity, less the expenses and costs incident to the 
forfeiture and sale of the property, and any other monetary conditions 
imposed. The Ruling Official, at his or her discretion, may waive costs 
and expenses incident to the forfeiture.
    (3) If the lienholder does not notify the Ruling Official of the 
selection of one of the two options set forth in paragraph (b)(2) of 
this section within twenty (20) days of the receipt of notification, the 
Ruling Official shall direct the United States Marshal or other property 
custodian to sell the property and pay the lienholder an amount up to 
the net equity, less the costs and expenses incurred incident to the 
forfeiture and sale, and any monetary conditions imposed. In the event a 
lienholder subsequently receives a payment of any kind on the debt owed 
for which he or she received payment as a result of the granting of 
remission or mitigation, the lienholder shall reimburse the Assets 
Forfeiture Fund to the extent of the payment received.
    (4) Where the lienholder does not comply with the conditions imposed 
upon the release of the property, the property shall be sold after 
forfeiture. From the proceeds of the sale, all costs incident to the 
forfeiture and sale shall first be deducted, and the balance up to

[[Page 199]]

the net equity, less any monetary conditions, shall be paid to the 
lienholder.



Sec. 9.8  Provisions applicable to victims.

    The provisions of this section apply to victims of an offense 
underlying the forfeiture of property, or of a related offense, who do 
not have a present ownership interest in the forfeited property (or, in 
the case of multiple victims of an offense, who do not have a present 
ownership interest in the forfeited property that is clearly superior to 
that of other petitioner victims). The provisions of this section apply 
only with respect to property forfeited pursuant to statutes that 
explicitly authorize restoration or remission of forfeited property to 
victims. Victims who have a superior present legally cognizable 
ownership interest in forfeited property may file petitions, as other 
owners, subject to the regulations set forth in Sec. 9.7(a). The claims 
of such owner victims, like those of any other owners, shall have 
priority over the claims of any non-owner victims whose claims are 
recognized pursuant to this section.
    (a) Qualification to file. A victim, as defined in Sec. 9.2(v), of 
an offense that was the underlying basis for the criminal, civil, or 
administrative forfeiture of specific property, or a victim of a related 
offense, may be granted remission of the forfeiture of that property, if 
in addition to complying with the other applicable provisions of 
Sec. 9.8, the victim satisfactorily demonstrates that:
    (1) A pecuniary loss of a specific amount has been directly caused 
by the criminal offense, or related offense, that was the underlying 
basis for the forfeiture, and that the loss is supported by documentary 
evidence including invoices and receipts;
    (2) The pecuniary loss is the direct result of the illegal acts and 
is not the result of otherwise lawful acts that were committed in the 
course of a criminal offense;
    (3) The victim did not knowingly contribute to, participate in, 
benefit from, or act in a willfully blind manner towards the commission 
of the offense, or related offense, that was the underlying basis of the 
forfeiture;
    (4) The victim has not in fact been compensated for the wrongful 
loss of the property by the perpetrator or others; and
    (5) The victim does not have recourse reasonably available to other 
assets from which to obtain compensation for the wrongful loss of the 
property.
    (b) Pecuniary loss. The amount of the pecuniary loss suffered by a 
victim for which remission may be granted is limited to the fair market 
value of the property of which the victim was deprived as of the date of 
the occurrence of the loss. No allowance shall be made for interest 
foregone or for collateral expenses incurred to recover lost property or 
to seek other recompense.
    (c) Torts. A tort associated with illegal activity that formed the 
basis for the forfeiture shall not be a basis for remission, unless it 
constitutes the illegal activity itself, nor shall remission be granted 
for physical injuries to a petitioner or for damage to a petitioner's 
property.
    (d) Denial of petition. In the exercise of his or her discretion, 
the Ruling Official may decline to grant remission where:
    (1) There is substantial difficulty in calculating the pecuniary 
loss incurred by the victim or victims;
    (2) The amount of the remission, if granted, would be small compared 
with the amount of expenses incurred by the government in determining 
whether to grant remission; or
    (3) The total number of victims is large and the monetary amount of 
the remission so small as to make its granting impractical.
    (e) Pro rata basis. In granting remission to multiple victims 
pursuant to this section, the Ruling Official should generally grant 
remission on a pro rata basis to recognized victims when petitions 
cannot be granted in full due to the limited value of the forfeited 
property. However, the Ruling Official may consider, among others, the 
following factors in establishing appropriate priorities in individual 
cases:
    (1) The specificity and reliability of the evidence establishing a 
loss;
    (2) The fact that a particular victim is suffering an extreme 
financial hardship;

[[Page 200]]

    (3) The fact that a particular victim has cooperated with the 
government in the investigation related to the forfeiture or to a 
related persecution or civil action; and
    (4) In the case of petitions filed by multiple victims of related 
offenses, the fact that a particular victim is a victim of the offense 
underlying the forfeiture.
    (f) Reimbursement. Any petitioner granted remission pursuant to this 
part shall reimburse the Assets Forfeiture Fund for the amount received 
to the extent the individual later receives compensation for the loss of 
the property from any other source. The petitioner shall surrender the 
reimbursement upon payment from any secondary source.
    (g) Claims of financial institution regulatory agencies. In cases 
involving property forfeitable under 18 U.S.C. 981(a)(1)(C) or 
(a)(1)(D), the Ruling Official may decline to grant a petition filed by 
a petitioner in whole or in part due to the lack of sufficient 
forfeitable funds to satisfy both the petition and claims of the 
financial institution regulatory agencies pursuant to 18 U.S.C. 
981(e)(3) or (7). Generally, claims of financial institution regulatory 
agencies pursuant to 18 U.S.C. 981(e)(3) or (7) shall take priority over 
claims of victims.



Sec. 9.9  Miscellaneous provisions.

    (a) Priority of payment. Except where otherwise provided in this 
part, costs incurred by the United States Marshals Service and other 
agencies participating in the forfeiture that were incident to the 
forfeiture, sale, or other disposition of the property shall be deducted 
from the amount available for remission or mitigation. Such costs 
include, but are not limited to, court costs, storage costs, brokerage 
and other sales-related costs, the amount of any liens and associated 
costs paid by the government on the property, costs incurred in paying 
the ordinary and necessary expenses of a business seized for forfeiture, 
awards for information as authorized by statute, expenses of trustees or 
other assistants pursuant to paragraph (c) of this section, 
investigative or prosecutive costs specially incurred incident to the 
particular forfeiture, and costs incurred incident to the processing of 
the petition(s) for remission or mitigation. The remaining balance shall 
be available for remission or mitigation. The Ruling Official shall 
direct the distribution of the remaining balance in the following order 
or priority, except that the Ruling Official may exercise discretion in 
determining the priority between petitioners belonging to classes 
described in paragraphs (a)(3) and (4) of this section in exceptional 
circumstances:
    (1) Owners;
    (2) Lienholders;
    (3) Federal financial institution regulatory agencies (pursuant to 
paragraph (e) of this section), not constituting owners or lienholders; 
and
    (4) Victims not constituting owners or lienholders (pursuant to 
Sec. 9.8).
    (b) Sale or disposition of property prior to ruling. If forfeited 
property has been sold or otherwise disposed of prior to a ruling, the 
Ruling Official may grant relief in the form of a monetary amount. The 
amount realized by the sale of the property is presumed to be the value 
of the property. Monetary relief shall not be greater than the appraised 
value of the property at the time of seizure and shall not exceed the 
amount realized from the sale or other disposition. The proceeds of the 
sale shall be distributed as follows:
    (1) Payment of the government's expenses incurred incident to the 
forfeiture and sale, including court costs and storage charges, if any;
    (2) Payment to the petitioner of an amount up to his or her interest 
in the property;
    (3) Payment to the Assets Forfeiture Fund of all other costs and 
expenses incident to the forfeiture;
    (4) In the case of victims, payment of any amount up to the amount 
of his or her loss; and
    (5) Payment of the balance remaining, if any, to the Assets 
Forfeiture Fund.
    (c) Trustees and other assistants. In the exercise of his or her 
discretion, the Ruling Official, with the approval of the Asset 
Forfeiture and Money Laundering Section, may use the services of a 
trustee, other government official, or

[[Page 201]]

appointed contractors to notify potential petitioners, process 
petitions, and make recommendations to the Ruling Official on the 
distribution of property to petitioners. The expense for such assistance 
shall be paid out of the forfeited funds.
    (d) Other agencies of the United States. Where another agency of the 
United States is entitled to remission or mitigation of forfeited assets 
because of an interest that is recognizable under this part or is 
eligible for such transfer pursuant to 18 U.S.C. 981(e)(6), such agency 
shall request the transfer in writing, in addition to complying with any 
applicable provisions of Secs. 9.3 through 9.5. The decision to make 
such transfer shall be made in writing by the Ruling Official.
    (e) Financial institution regulatory agencies. A Ruling Official may 
direct the transfer of property under 18 U.S.C. 981(e) to certain 
federal financial institution regulatory agencies or an entity acting in 
their behalf, upon receipt of a written request, in lieu of ruling on a 
petition for remission or mitigation.
    (f) Transfers to foreign governments. A Ruling Official may decline 
to grant remission to any petitioner other than an owner or lienholder 
so that forfeited assets may be transferred to a foreign government 
pursuant to 18 U.S.C. 981(i)(1), 19 U.S.C. 1616a(c)(2), or 21 U.S.C. 
881(e)(1)(E).
    (g) Filing by attorneys. (1) A petition for remission or mitigation 
may be filed by a petitioner or by his or her attorney or legal 
guardian. If an attorney files on behalf of the petitioner, the petition 
must include a signed and sworn statement by the client-petitioner 
stating that:
    (i) The attorney has the authority to represent the petitioner in 
this proceeding;
    (ii) The petitioner has fully reviewed the petition; and
    (iii) The petition is truthful and accurate in every respect.
    (2) Verbal notification of representation is not acceptable. 
Responses and notification of rulings shall not be sent to an attorney 
claiming to represent a petitioner unless a written notice of 
representation is filed. No extensions of time shall be granted due to 
delays in submission of the notice of representation.
    (h) Consolidated petitions. At the discretion of the Ruling Official 
in individual cases, a petition may be filed by one petitioner on behalf 
of other petitioners, provided the petitions are based on similar 
underlying facts, and the petitioner who files the petition has written 
authority to do so on behalf of the other petitioners. This authority 
must be either expressed in documents giving the petitioner the 
authority to file petitions for remission, or reasonably implied from 
documents giving the petitioner express authority to file claims or 
lawsuits related to the course of conduct in question on behalf of these 
petitioners. An insurer or an administrator of an employee benefit plan, 
for example, which itself has standing to file a petition as a 
``victim'' within the meaning of Sec. 9.2(v), may also file a petition 
on behalf of its insured or plan beneficiaries for any claims they may 
have based on co-payments made to the perpetrator of the offense 
underlying the forfeiture or the perpetrator of a ``related offense'' 
within the meaning of Sec. 9.2(s), if the authority to file claims or 
lawsuits is contained in the document or documents establishing the 
plan. Where such a petition is filed, any amounts granted as a remission 
must be transferred to the other petitioners, not the party filing the 
petition; although, in his or her discretion, the Ruling Official may 
use the actual petitioner as an intermediary for transferring the 
amounts authorized as a remission to the other petitioners.



PART 10--REGISTRATION OF CERTAIN ORGANIZATIONS CARRYING ON ACTIVITIES WITHIN THE UNITED STATES--Table of Contents




                         Registration Statement

Sec.
10.1  Form of registration statement.
10.2  Language of registration statement.
10.3  Effect of acceptance of registration statement.
10.4  Date of filing.
10.5  Incorporation of papers previously filed.
10.6  Necessity for further registration.
10.7  Cessation of activity.

[[Page 202]]

                   Supplemental Registration Statement

10.8  Information to be kept current.
10.9  Requirements for supplemental registration statement.

                  Inspection of Registration Statement

10.10  Public inspection.

    Authority: Pub. L. 772, 80th Cong.; 18 U.S.C. 2386.

    Cross References: For regulations under the Foreign Agents 
Registration Act, see part 5 of this chapter.

    For Organization Statement, Internal Security Section, see subpart K 
of part 0 of this chapter.

    Source: 6 FR 369, Jan. 15, 1941, unless otherwise noted.

                         Registration Statement



Sec. 10.1  Form of registration statement.

    Every organization required to submit a registration statement 
1 to the Attorney General for filing in compliance with the 
terms of section 2 of the act approved October 17, 1940, entitled, ``An 
act to require the registration of certain organizations carrying on 
activities within the United States, and for other purposes'' (Pub. L. 
772, 80th Cong.; 18 U.S.C. 2386), and the rules and regulations issued 
pursuant thereto, shall submit such statement on such forms as are 
prescribed by the Attorney General. Every statement required to be filed 
with the Attorney General shall be subscribed under oath by all of the 
officers of the organization registering.
---------------------------------------------------------------------------

    1  Filed as a part of the original document. Copies may 
be obtained from the Department of Justice.
---------------------------------------------------------------------------



Sec. 10.2  Language of registration statement.

    Registration statements must be in English if possible. If in a 
foreign language they must be accompanied by an English translation 
certified under oath by the translator, before a notary public or other 
person authorized by law to administer oaths for general purposes as a 
true and adequate translation. The statements, with the exception of 
signature, must be typewritten if practicable but will be accepted if 
written legibly in ink.



Sec. 10.3  Effect of acceptance of registration statement.

    Acceptance by the Attorney General of a registration statement 
submitted for filing shall not necessarily signify a full compliance 
with the said act on the part of the registrant, and such acceptance 
shall not preclude the Attorney General from seeking such additional 
information as he deems necessary under the requirements of the said 
act, and shall not preclude prosecution as provided for in the said act 
for a false statement of a material fact, or the willful omission of a 
material fact required to be stated therein, or necessary to make the 
statements made not misleading.



Sec. 10.4  Date of filing.

    The date on which a registration statement properly executed is 
accepted by the Attorney General for filing shall be considered the date 
of the filing of such registration statement pursuant to the said act. 
All statements must be filed not later than thirty days after January 
15, 1941.



Sec. 10.5  Incorporation of papers previously filed.

    Papers and documents already filed with the Attorney General 
pursuant to the said act and regulations issued pursuant thereto may be 
incorporated by reference in any registration statement subsequently 
submitted to the Attorney General for filing, provided such papers and 
documents are adequately identified in the registration statement in 
which they are incorporated by reference.



Sec. 10.6  Necessity for further registration.

    The filing of a registration statement with the Attorney General as 
required by the act shall not operate to remove the necessity for filing 
a registration statement with the Attorney General as required by the 
act of June 8, 1938, as amended, entitled ``An act to require the 
registration of certain persons employed by agencies to disseminate 
propaganda in the United States and for other purposes'' (52 Stat. 631, 
56 Stat. 248; 22 U.S.C. 611), or for filing a

[[Page 203]]

notification statement with the Secretary of State as required by the 
act of June 15, 1917 (40 Stat. 226).

[13 FR 8292, Dec. 24, 1948]



Sec. 10.7  Cessation of activity.

    The chief officer or other officer of the registrant organization 
must notify the Attorney General promptly upon the cessation of the 
activity of the organization, its branches, chapters, or affiliates by 
virtue of which registration has been required pursuant to the act.

                   Supplemental Registration Statement



Sec. 10.8  Information to be kept current.

    A supplemental statement must be filed with the Attorney General 
within thirty days after the expiration of each period of six months 
succeeding the original filing of a registration statement. Each 
supplemental statement must contain information and documents as may be 
necessary to make information and documents previously filed accurate 
and current with respect to the preceding six months' period.



Sec. 10.9  Requirements for supplemental registration statement.

    The rules and regulations in this part with respect to registration 
statements submitted to the Attorney General under section 2 of the said 
act shall apply with equal force and effect to supplemental registration 
statements required thereunder to be filed with the Attorney General.

                  Inspection of Registration Statement



Sec. 10.10  Public inspection.

    Registration statements filed with the Attorney General pursuant to 
the said act shall be available for public inspection in the Department 
of Justice, Washington, DC, from 10 a.m. to 4 p.m. on each official 
business day.

[13 FR 8292, Dec. 24, 1948]



PART 11--DEBT COLLECTION--Table of Contents




       Subpart A--Retention of Private Counsel for Debt Collection

Sec.
11.1  Delegation of authority.
11.2  Pilot program.
11.3  Compliance with existing laws.

              Subpart B--Administration of Debt Collection

11.4  Purpose and scope.
11.5  Delegation of authority.
11.6  Definitions.
11.7  Salary adjustments.
11.8  Salary offset.
11.9  Administrative offset.

   Subpart C--IRS Tax Refund Offset Provisions for Collection of Debts

11.10  Scope.
11.11  Definitions.
11.12  Procedures.

    Authority: 5 U.S.C. 301, 28 U.S.C. 509, 510, 31 U.S.C. 3718, 3720A.

    Source: Order No. 1201-87, 52 FR 24449, July 1, 1987, unless 
otherwise noted.



       Subpart A--Retention of Private Counsel for Debt Collection



Sec. 11.1  Delegation of authority.

    The Assistant Attorney General for Administration shall exercise the 
full authority of the Attorney General to develop and administer the 
Department of Justice pilot program for debt collection by private 
counsel. This authority shall include, but is not limited to, the 
authority to set policies and procedures for the program, and to enter 
into contracts for the retention of private counsel. The Assistant 
Attorney General for Adminstration can in turn delegate authority 
regarding debt collection to subordinate officials as appropriate. 
Existing delegations of authority with respect to settlement 
determinations on disputed claims shall remain in force. See generally, 
28 CFR 0.160 et seq.



Sec. 11.2  Pilot program.

    The Assistant Attorney General for Administration, in consultation 
with

[[Page 204]]

the Executive Office for United States Attorneys, shall designate the 
districts that will participate in the pilot program. U.S. Attorneys in 
the districts chosen for the pilot program, shall direct the full 
cooperation and assistance of their respective offices in implementing 
the program. Among other things, the U.S. Attorneys shall designate an 
Assistant U.S. Attorney to serve as the Contracting Officer's Technical 
Representative (COTR) on the contracts with private debt collection 
lawyers in their respective districts. The COTRs will be responsible for 
assisting the contracting officer by supervising the work of the private 
counsel in their respective districts and providing necessary approvals 
with respect to the initiation or settlement of lawsuits or similar 
matters.



Sec. 11.3  Compliance with existing laws.

    The procurement of the services of private attorneys for debt 
collection shall be accomplished in accordance with the competitive 
procurement procedures mandated by Federal law, and set forth in the 
Federal Property and Administrative Services Act of 1949, 41 U.S.C. 251 
et seq. Best efforts shall be made to encourage extensive participation 
by law firms owned and controlled by socially and economically 
disadvantaged individuals in the competition for award of these 
contracts in the pilot districts. Such efforts shall include, at 
minimum, publication of the requirement for these services in the 
Commerce Business Daily and in a selection of pertinent legal 
publications likely to reach socially and economically disadvantaged 
firms, as well as sending written notice of the requirements to bar 
associations that have a significant socially and economically 
disadvantaged membership in the pilot districts. These special 
recruitment efforts will not authorize or permit preferential 
consideration to any bidders in selection for award of these contracts. 
The Department's Office of Small and Disadvantaged Business Utilization 
shall also make its resources available to assist in encouraging broad 
participation in this competition.



              Subpart B--Administration of Debt Collection

    Source: Order No. 1625-92, 57 FR 44107, Sept. 24, 1992, unless 
otherwise noted.



Sec. 11.4  Purpose and scope.

    (a) Purpose. The purpose of this subpart is to implement 5 U.S.C. 
5514 and 31 U.S.C. 3716, which authorize the collection by salary or 
administrative offset of debts owed by persons, organizations, or 
entities to the federal government. Generally, however, a debt may not 
be collected by such means if it has been outstanding for more than ten 
years after the agency's right to collect the debt first accrued. This 
subpart is consistent with the Office of Personnel Management (OPM) 
regulations on salary offset, codified at 5 CFR part 550, subpart K, and 
with regulations on administrative offset published jointly by the 
General Accounting Office (GAO) and the Department of Justice 
(Department), codified at 4 CFR part 102.
    (b) Scope. (1) This subpart establishes Departmental procedures for 
the collection of certain debts owed the government.
    (2) This subpart applies to collections by the Department from:
    (i) Federal employees who are indebted to the Department;
    (ii) Employees of the Department who are indebted to other agencies; 
and
    (iii) Other persons, organizations, or entities that are indebted to 
the Department.
    (3) This subpart does not apply:
    (i) To debts or claims arising under the Internal Revenue Code of 
1986 (26 U.S.C. et seq.), the Social Security Act (42 U.S.C. 301 et 
seq.), or the tariff laws of the United States;
    (ii) To a situation to which the Contract Disputes Act (41 U.S.C. 
601 et seq.) applies; or
    (iii) In any case where collection of a debt is explicitly provided 
for or prohibited by another statute (e.g., travel advances in 5 U.S.C. 
5705 and employee training expenses in 5 U.S.C. 4108).
    (4) Nothing in this subpart precludes the compromise, suspension, or 
termination of collection actions where appropriate under the standards 
implementing the Federal Claims Collection

[[Page 205]]

Act (31 U.S.C. 3711 et seq.), namely, 4 CFR chapter II and 38 CFR 1.900-
1.954).
    (5) This subpart does not govern debt collection procedures 
implemented by other agencies.



Sec. 11.5  Delegation of authority.

    Authority to conduct the following activities is hereby delegated to 
heads of Department organizations with respect to debts arising in their 
respective organizations:
    (a) Initiate and effectuate the administrative collection process.
    (b) Accept or reject compromise offers and suspend or terminate 
collection actions where the claim does not exceed $100,000 or such 
higher amount as the Attorney General may from time to time prescribe, 
exclusive of interest, administrative costs, and penalties as provided 
herein, as set forth in 311 U.S.C. 3711(a)(2).
    (c) Report to consumer reporting agencies certain data pertaining to 
delinquent debts.
    (d) Use offset procedures to effectuate collection.
    (e) Take any other action necessary to facilitate and augment 
collection in accordance with the policies contained herein and as 
otherwise provided by law.



Sec. 11.6  Definitions.

    Except where the context clearly indicates otherwise or where the 
term is otherwise defined elsewhere in this subpart, the following 
definitions shall apply to this subpart.
    (a) Agency means:
    (1) An executive agency as defined by 5 U.S.C. 105;
    (2) A military department as defined by 5 U.S.C. 102;
    (3) The United States Postal Service and the Postal Rate Commission;
    (4) An agency of the judicial branch, including a court as defined 
by 28 U.S.C. 610, the District Court for the Northern Mariana Islands, 
and the Judicial Panel on Multidistrict Litigation;
    (5) An agency of the legislative branch, including the U.S. Senate 
and the U.S. House of Representatives; and
    (6) Other entities that are establishments of the federal 
government.
    (b) Bureau means the Bureau of Prisons, the Drug Enforcement 
Administration, the Federal Bureau of Investigation (FBI), Federal 
Prison Industries, the Immigration and Naturalization Service, the 
Office of Justice Programs, and the United States Marshals Service 
(USMS).
    (c) Certification means a written statement received by a paying 
agency from a creditor agency that requests the paying agency to offset 
the salary of an employee and specifies that appropriate procedural 
protections have been afforded the employee.
    (d) Components means the bureaus, offices, boards, and divisions of 
the Department.
    (e) Compromise means the forgiveness of a debt in accordance with 31 
U.S.C. 3711(a)(2) and DOJ Order No. 2120.4E. (Copies of this order are 
available in accordance with 28 CFR part 16, subpart A.)
    (f) Creditor agency means an agency of the federal government to 
which the debt is owed.
    (g) Department or Justice Department means the Department of Justice 
and its components.
    (h) Disposable pay means that part of current basic pay, special 
pay, incentive pay, retired pay, retainer pay, and, in the case of an 
employee not entitled to basic pay, other authorized pay, remaining 
after the deduction of any amount required by law to be withheld. The 
Department shall allow the following deductions in determining the 
amount of disposable pay that is subject to salary offset:
    (1) Amounts withheld from benefits payable under title II of the 
Social Security Act where the withholding is required the law;
    (2) Federal employment taxes;
    (3) Amounts mandatorily withheld for the United States Soldiers' and 
Airmen's Home;
    (4) Fines and forfeiture ordered by a court-martial or by a 
commanding officer;
    (5) Amounts deducted for Medicare;
    (6) Federal, state, or local income taxes to the extent authorized 
or required by law, but no greater than would be the case if the 
employee claimed all dependents to which he or she is entitled and such 
additional

[[Page 206]]

amounts for which the employee presents evidence of a tax obligation 
supporting the additional withholding;
    (7) Health insurance premiums;
    (8) Normal retirement contributions (e.g., Civil Service Retirement 
deductions, Survivor Benefit Plan payments, or Retired Servicemen's 
Family Protection Plan payments), not including amounts deducted for 
supplementary coverage; and
    (9) Normal life insurance premiums (e.g., Serviceman's Group Life 
Insurance and ``Basic Life'' Federal Employee's Group Life Insurance 
premiums), not including amounts deducted for supplementary coverage.
    (i) Employee means a current employee of the Justice Department or 
other agency, including a current member of the Armed Forces or a 
Reserve of the Armed Forces of the United States.
    (j) Federal Claims Collection Standards (FCCS) means standards 
jointly published by the Department and the General Accounting Office in 
4 CFR chapter II.
    (k) Hearing official means an individual responsible for conducting 
any hearing with respect to the existence or amount of a debt claimed 
and for rendering a decision on the basis of such hearing. A hearing 
official may not be under the supervision or control of the Attorney 
General when the Department is the creditor agency but may be an 
administrative law judge.
    (l) Notice of Intent to Offset or Notice of Intent means a written 
notice from a creditor agency to an employee, organization, or entity 
stating that the debtor is indebted to the creditor agency and apprising 
the debtor of certain procedural rights.
    (m) Notice of Salary Offset means a written notice from the paying 
agency to an employee after a certification has been issued by a 
creditor agency, informing the employee that salary offset will begin at 
the next officially established pay interval.
    (n) Organization means the bureaus individually and the offices, 
boards, and divisions collectively.
    (o) Organization head means any Director, Administrator, or 
Commissioner of the respective Department bureaus, the Director of the 
United States Trustee System, the Director of the Executive Office for 
United States Attorneys, and the Assistant Attorney General for 
Administration, who shall serve as the organization head for the 
offices, boards, and divisions.
    (p) Paying agency means the agency of the federal government that 
employs the individual who owes a debt to an agency of the federal 
government. In some cases, the Department may be both the creditor 
agency and the paying agency.
    (q)(1) Payroll office means the payroll office in the paying agency 
that is primarily responsible for the payroll records and the 
coordination of pay matters with the appropriate personnel office with 
respect to an employee.
    (2) Applicable payroll office means the Federal Bureau of 
Investigation voucher and Payroll Section with respect to FBI employees 
and the Justice Employee Data Service for all other employees of the 
Department.
    (r) Salary offset coordination officer means an official designated 
by an organization head who is responsible for coordinating the debt 
collection activities of that organization.



Sec. 11.7  Salary adjustments.

    Any negative adjustment to pay arising out of an employee's election 
of coverage, or a change in coverage, under a Federal benefits program 
requiring periodic deductions from pay shall not be considered 
collection of a ``debt'' for the purposes of this subpart if the amount 
to be recovered was accumulated over four pay periods or less. In such 
cases, the Department need not comply with Sec. 11.8, but it will 
endeavor to provide a clear and concise statement in the employee's 
earnings statement advising the employee of the previous overpayment at 
the time the adjustment is made.



Sec. 11.8  Salary offset.

    (a) Notice requirements before offset. Deductions under the 
authority of 5 U.S.C. 5514 will not be made unless the creditor agency 
provides the employee with a written Notice of Intent to Offset a 
minimum of 30 calendar days before salary offset is initiated. When the 
Department is the creditor agency, this

[[Page 207]]

Notice of Intent shall be hand-delivered or sent by certified mail to 
the Assistant Director, Justice Employee Data Service, or to the Section 
Chief, Voucher and Payroll Section, Administrative Services Division, 
FBI, who shall then transmit the Notice of Intent to the debtor-
employee. The Notice of Intent shall state:
    (1) That the organization head has reviewed the records relating to 
the claim and has determined that a debt is owed, including the amount 
of the debt and the facts giving rise to the debt;
    (2) The organization head's intention to collect the debt by means 
of deduction from the employee's current disposable pay account until 
the debt and all accumulated interest is paid in full;
    (3) A repayment schedule that includes the amount, frequency, 
proposed beginning date, and duration of the intended deductions;
    (4) The opportunity for the employee to propose an alternative 
written schedule for the voluntary repayment of the debt, in lieu of 
offset, on terms acceptable to the Department. The employee shall 
include a justification in the request for the alternative schedule. The 
schedule shall be agreed to and signed by both the employee and the 
organization head;
    (5) An explanation of the Department's policy concerning interest, 
penalties, and administrative costs, including a statement that such 
assessments must be made unless excused in accordance with the Federal 
Claims Collection Standards;
    (6) The employee's right to inspect and copy all records of the 
Department pertaining to the debt claimed or to receive copies of such 
records if the debtor is unable personally to inspect the records, due 
to geographical or other constraints;
    (7) The name, address, and telephone number of an officer or 
employee of the Department to whom requests for access to Department 
records relating to the debt must be sent;
    (8) The employee's right to a hearing conducted by an impartial 
hearing official (an administrative law judge or other hearing official 
not under the supervision or control of the Attorney General) with 
respect to the existence and amount of the debt claimed or the repayment 
schedule (i.e., the percentage of disposable pay to be deducted each pay 
period), so long as a petition is filed by the employee as prescribed in 
paragraph (c)(1) of this section.
    (9) The name, address, and telephone number of the officer or 
employee of the Department to whom a proposal for voluntary repayment 
must be sent; and the name, address, and telephone number of an officer 
or employee of the Department who may be contacted concerning procedures 
for requesting a hearing;
    (10) The method and deadline for requesting a hearing;
    (11) That the timely filing of a petition for a hearing on or before 
the 15th calendar day following receipt of the Notice of Intent will 
stay the commencement of collection proceedings;
    (12) The name and address of the office to which the petition should 
be sent;
    (13) That the Department will initiate certification procedures to 
implement a salary offset not less than 30 days from the date of receipt 
of the Notice of Intent to Offset, unless the employee files a timely 
petition for a hearing;
    (14) That a final decision on whether a hearing will be held (if one 
is requested) will be issued at the earliest practical date, but not 
later than 60 days after the filing of the petition requesting the 
hearing;
    (15) That any knowingly false or frivolous statements, 
representations, or evidence may subject the employee to:
    (i) Disciplinary procedures appropriate under 5 U.S.C. chapter 75, 5 
CFR part 752, or any other applicable statutes or regulations;
    (ii) Penalties under the False Claims Act, 31 U.S.C. 3729-3731, or 
under any other applicable statutory authority; or
    (iii) Criminal penalties under 18 U.S.C. 286, 287, 1001, and 1002 or 
under any other applicable statutory authority;
    (16) Any other rights and remedies available to the employee under 
statutes or regulations governing the program for which the collection 
is being made;

[[Page 208]]

    (17) That unless there are applicable contractual or statutory 
provisions to the contrary, amounts paid on or deducted from debts that 
are later waived or found not to be owed to the United States will be 
promptly refunded to the employee, and
    (i) Interest shall be paid on any amount paid on or deducted from a 
debt that is found not to be owed to the United States; and
    (ii) Interest shall not be paid on any amount paid on or deducted 
from a debt that is later waived; and
    (18) That proceedings with respect to such debt are governed by 5 
U.S.C. 5514.
    (b) Review of Departmental records related to the debt. (1) An 
employee who desires to inspect or copy Department records related to 
the debt must send a letter to the official designated in the Notice of 
Intent requesting access to the relevant records. The letter must be 
received in the office of the salary offset coordination official within 
15 days after the employee's receipt of the Notice of Intent.
    (2) In response to a timely request submitted by the debtor, the 
designated salary offset coordination official will notify the employee 
of the location and time when the employee may inspect and copy records 
related to the debt.
    (3) If the employee is unable personally to inspect the records, due 
to geographical or other constraints, the salary offset coordination 
official shall arrange to send copies of such records to the employee.
    (c) Opportunity for a hearing where the Department is the creditor 
agency. (1) Request for a hearing. (i) An employee who requests a 
hearing on the existence or amount of the debt held by the Department or 
on the offset schedule proposed by the Department must send such request 
to the office designated in the Notice of Intent. The request or 
petition for a hearing must be received by the designated office on or 
before the 15th calendar day following receipt by the employer of the 
notice.
    (ii) The employee must specify whether an oral hearing is requested. 
If an oral hearing is desired, the request should explain why the matter 
cannot be resolved by review of the documentary evidence alone. The 
request must be signed by the employee and must fully identify and 
explain with reasonable specificity all the facts, evidence, and 
witnesses, if any, that the employee believes support his or her 
position.
    (2) Failure to timely submit. If the employee files a request or 
petition for hearing after the expiration of the 15-calendar-day period 
provided for in paragraph (c)(1) of this section, the organization head 
may accept the request if the employee can show that the delay was the 
result of circumstances beyond his or her control or that he or she 
failed to receive actual notice of the filing deadline.
    (3) Obtaining the services of hearing official. (i) When the debtor 
is not a Department employee and the Department cannot provide a prompt 
and appropriate hearing before an administrative law judge or other 
hearing official, the Department may request a hearing official from an 
agent of the paying agency, as designated in 5 CFR part 581, appendix A, 
or as otherwise designated by the paying agency.
    (ii) When the debtor is a Department employee, the Department may 
contact any agent of another agency, as designated in 5 CFR part 581, 
appendix A, or as otherwise designated by the agency, to request a 
hearing official.
    (4) Procedure--(i) Notice. After the employee requests a hearing, 
the hearing official shall notify the employee of the form of the 
hearing to be provided. If the hearing will be oral, the notice shall 
set forth the date, time, and location of the hearing, which must occur 
no more than 30 days after the request is received. If the hearing will 
be conducted by examination of documents, the employee shall be notified 
within 30 days that he or she should submit evidence and arguments in 
writing to the hearing official.
    (ii) Oral hearing. An employee who requests an oral hearing shall be 
provided an oral hearing if the hearing official determines that the 
matter cannot be resolved by review of documentary evidence alone (e.g., 
when an issue of credibility or veracity is involved). The hearing need 
not be an adversarial adjudication, and rules of evidence need not 
apply. Oral hearings may take the form of, but are not limited to:

[[Page 209]]

    (A) Informal conferences with the hearing official in which the 
employee and agency representative are given full opportunity to present 
evidence, witnesses, and argument;
    (B) Informal meetings in which the hearing examiner interviews the 
employee; or
    (C) Formal written submissions followed by an opportunity for oral 
presentation.

Witnesses who testify in oral hearings shall do so under oath or 
affirmation.
    (iii) Documentary hearing. If the hearing official determines that 
an oral hearing is not necessary, he or she shall make the determination 
based upon a review of the written record.
    (iv) Record. The hearing official shall maintain a summary record of 
any hearing conducted under this section.
    (5) Date of decision. The hearing official shall issue a written 
opinion stating his or her decision, based upon all evidence and 
information developed at the hearing, as soon as practicable after the 
hearing, but not later than 60 days after the date on which the petition 
was received by the Department, unless the hearing was delayed at the 
request of the employee, in which case the 60 day decision period shall 
be extended by the number of days by which the hearing was postponed. 
Decisions not timely rendered shall result in the waiver of penalty and 
interest costs. The decision of the hearing official shall be final.
    (6) Content of decision. The written decision shall include:
    (i) A summary of the facts concerning the origin, nature, and amount 
of the debt;
    (ii) The hearing official's findings, analysis, and conclusions; and
    (iii) The terms of any repayment schedules, if applicable.
    (7) Failure to appear. If, in the absence of good cause shown (e.g., 
illness), the employee or the representative of the Department fails to 
appear, the hearing official shall proceed with the hearing as 
scheduled, and make his or her determination based upon the oral 
testimony presented and the documentation submitted by both parties. At 
the request of both parties, the hearing official may schedule a new 
hearing date. Both parties shall be given reasonable notice of the time 
and place of this new hearing.
    (d) Certification where the Department is the creditor agency. (1) 
The salary offset coordination officer shall provide a certification to 
the appropriate payroll office in all cases where:
    (i) The hearing official determines that a debt exists; or
    (ii) The employee admits the existence and amount of the debt by 
failing to request a hearing.
    (2) The certification must be in writing and must state:
    (i) That the employee owes the debt;
    (ii) The amount and basis of the debt;
    (iii) The date the government's right to collect the debt first 
accrued;
    (iv) That the Department's regulations have been approved by OPM 
pursuant to 5 CFR part 550, subpart K;
    (v) If the collection is to be made by lump-sum payment, the amount 
and data such payment will be collected;
    (vi) If the collection is to be made in installments, the number of 
installments to be collected, the amount of each installment, and the 
commencing date of the first installment, if a date other than the next 
officially established pay period; and
    (vii) The date the employee was notified of the debt, the action(s) 
taken under 5 U.S.C. 5514(a), and the dates such actions were taken.
    (e) Voluntary repayment agreements as alternative to salary offset 
where the Department is the creditor agency. (1) In response to a Notice 
of Intent, an employee may propose to repay the debt in accordance with 
scheduled installment payments. Any employee who wishes to repay a debt 
without salary offset shall submit in writing a proposed agreement to 
repay the debt. The proposal shall set forth a proposed repayment 
schedule. Any proposal under this subsection must be received by the 
office of the official designated in the notice within 15 calendar days 
after receipt of the Notice of Intent.
    (2) In response to a timely proposal by the debtor, the organization 
head shall notify the employee whether the employee's proposed written 
agreement for repayment is acceptable. It is within the organization 
head's discretion to accept or reject a repayment agreement.

[[Page 210]]

    (3) If the organization head decides that the proposed repayment 
agreement is unacceptable, the employee shall have 15 days from the date 
he or she received notice of the decision in which to file a petition 
for a hearing.
    (4) If the organization head decides that the proposed repayment 
agreement is acceptable, the arrangement shall be put in writing and 
signed by both the employee and the organization head.
    (f) Special review where the Department is the creditor agency. (1) 
An employee subject to salary offset or a voluntary repayment agreement 
may, at any time, request a special review by the Department of the 
amount of the salary offset or voluntary payment, based on materially 
changed circumstances, including but not limited to catastrophic 
illness, divorce, death, or disability.
    (2) In determining whether, as a result of materially changed 
circumstances, an offset would prevent the employee from meeting 
essential subsistence expenses (costs incurred for food, housing, 
clothing, transportation, and medical care), the employee shall submit a 
detailed statement and supporting documents for the employee, his or her 
spouse, and dependents indicating:
    (i) Income for all sources;
    (ii) Assets;
    (iii) Liabilities;
    (iv) Number of dependents;
    (v) Expenses for food, housing, clothing, and transportation;
    (vi) Medical expenses; and
    (vii) Exceptional expenses, if any.
    (3) If the employee requests a special review under this paragraph, 
the employee shall file an alternative proposed offset or payment 
schedule and a statement, with supporting documents, showing why the 
current salary offset or payments result in an extreme financial 
hardship to the employee.
    (4) The organization head shall evaluate the statement and 
supporting documents and determine whether the original offset or 
repayment schedule imposes an extreme financial hardship on the 
employee. The organization head shall notify the employee in writing 
within 30 days of such determination, including, if appropriate, his or 
her acceptance of a revised offset or payment schedule.
    (5) If the special review results in a revised offset or repayment 
schedule, the salary offset coordination officer shall provide a new 
certification to the paying agency.
    (g) Notice of salary offset where the Department is the paying 
agency. (1) Upon receipt of proper certification from the creditor 
agency, the applicable payroll office shall send the employee a written 
notice of salary offset. Such notice shall advise the employee that:
    (i) The certification has been received from the creditor agency; 
and
    (ii) Salary offset will be initiated at the next officially 
established pay interval.
    (2) The applicable payroll office shall provide a copy of the notice 
to the creditor agency and advise such agency of the dollar amount to be 
offset and the pay period when the offset will begin.
    (h) Procedures for salary offset where the Department is the paying 
agency--(1) Generally. (i) The salary offset coordination officer shall 
coordinate salary deductions under this section.
    (ii) The applicable payroll office shall determine the amount of an 
employee's disposable pay and offset salary.
    (iii) Deductions shall begin the pay period following receipt by the 
applicable payroll office of the certification or as soon thereafter as 
possible.
    (2) Types of collection--(i) Lump-sum payment. If the amount of the 
debt is equal to or less than 15 percent of the employee's disposable 
pay, such debt ordinarily will be collected in one lump-sum payment.
    (ii) Installment deductions. Installment deductions will be made 
over a period not greater than the anticipated period of employment. The 
size and frequency of installment deductions will bear a reasonable 
relation to the size of the debt and the employee's ability to pay. 
However, the amount deducted from any period will not exceed 15 percent 
of the disposable pay from which the deduction is made unless the 
employee has agreed in writing to the deduction of a greater amount. The 
installment payment should normally be sufficient in size and frequency 
to liquidate the debt in no more than three

[[Page 211]]

years. Installment payments of less than $50 should be accepted only in 
the most unusual circumstances.
    (iii) Lump-sum deductions from final check. A lump-sum deduction 
exceeding 15 percent of disposable pay may be made pursuant to 31 U.S.C. 
3716 from any final salary payment due a former employee in order to 
liquidate a debt, whether the former employee was separated voluntarily 
or involuntarily.
    (iv) Lump-sum deductions from other sources. Whenever an employee 
subject to salary offset is separated from the Department, and the 
balance of the debt cannot be liquidated by offset of the final salary 
check, the Department, pursuant to 31 U.S.C. 3716, may offset any later 
payments of any kind against the balance of the debt.
    (3) Multiple debts. Where two or more creditor agencies are seeking 
salary offset, or where two or more debts are owed to a single creditor 
agency, the applicable payroll office may, at its discretion, determine 
whether one or more debts should be offset simultaneously within the 15 
percent limitation. The best interests of the government shall be the 
primary consideration in the determination by the payroll office of the 
order of the debt collection.
    (4) Precedence of salary deductions by the Department. (i) For 
Department employees, debts owed shall be paid out of disposable pay in 
the following order of precedence:
    (A) Indebtedness due the Department.
    (B) Indebtedness due other agencies.
    (C) Garnishments for alimony and child support payments.
    (D) Court-ordered bankruptcy payments under the Bankruptcy Code.
    (E) Optional life insurance premiums.
    (F) Other voluntary deductions including allotments and assignments, 
in the order determined by the paying agency.
    (ii) In the event that a debt to the Department is certified while 
an employee is subject to salary offset to repay another agency, the 
applicable payroll office may decide whether the debt to the other 
agency should be repaid in full before collecting the Department's claim 
or whether changes should be made in the salary deduction being sent to 
the other agency. If debts owed to the Department can be collected in 
one pay period, the payroll office may suspend the salary offset to the 
other agency for that pay period in order to liquidate the Department's 
debt.
    (i) Coordinating salary offset with other agencies--(1) 
Responsibility of the Department as the creditor agency. (i) The salary 
offset coordination officer shall be responsible for:
    (A) Arranging for hearing upon proper petition by a federal 
employee;
    (B) Preparing the Notice of Intent to Offset consistent with the 
requirements of paragraph (a) of this section;
    (C) Obtaining hearing officials from other agencies pursuant to 
paragraph (c)(3) of this section; and
    (D) Ensuring that each certification of debt is sent to a paying 
agency pursuant to paragraph (d)(2) of this section.
    (ii) Upon completion of the procedures established in paragraphs (a) 
through (f) of this section, the salary offset coordination officer 
shall submit a debt claim and an installment agreement or other 
instruction on the payment schedule, if applicable, to the employee's 
paying agency.
    (iii) If the employee is in the process of separating from 
government employment, the Department shall submit its debt claim to the 
employee's paying agency for collection by lump-sum deductions from the 
employee's final check. The paying agency shall certify the total amount 
of its collection and furnish a copy of the certification to the 
Department and to the employee.
    (iv) If the employee is already separated and all payments due from 
his or her former paying agency have been paid, the Department may, 
unless otherwise prohibited, request that money due and payable to the 
employee from the federal government be administratively offset to 
collect the debt.
    (v) When an employee transfers to another paying agency, the 
Department shall not repeat the procedures described in paragraphs (a) 
through (f) of this section in order to resume collecting the debt. 
Instead, the Department shall review the debt upon receiving the former 
paying agency's notice

[[Page 212]]

of the employee's transfer and shall ensure the collection is resumed by 
the new paying agency.
    (2) Responsibility of the Department as the paying agency--(i) 
Complete claim. When the Department receives a certified claim from a 
creditor agency, the employee shall be given written notice of the 
certification, the date salary offset will begin, and the amount of the 
periodic deductions. Deductions shall be scheduled to begin at the next 
officially established pay interval or as soon thereafter as possible.
    (ii) Incomplete claim. When the Department receives an incomplete 
certification of debt from a creditor agency, the Department shall 
return the debt claim with notice that procedures under 5 U.S.C. 5514 
and 5 CFR 550.1104 must be followed and that a properly certified debt 
claim must be received before action will be taken to collect from the 
employee's current pay account.
    (iii) Review. The Department is not authorized to review the merits 
of the creditor agency's determination with respect to the amount or 
validity of the debt certified by the creditor agency.
    (iv) Employees who transfer from one paying agency to another. If, 
after the creditor agency has submitted the debt claim to the 
Department, the employee transfers to an agency outside the Department 
before the debt is collected in full, the Department must certify the 
total amount collected on the debt. One copy of the certification shall 
be furnished to the employee and one copy shall be sent to the creditor 
agency along with notice of the employee's transfer.
    (j) Interest, penalties, and administrative costs. Where the 
Department is the creditor agency, it shall assess interest, penalties, 
and administrative costs pursuant to 31 U.S.C. 3717 and 4 CFR 102.13.
    (k) Refunds. (1) Where the Department is the creditor agency, it 
shall promptly refund any amount deducted under the authority of 5 
U.S.C. 5514 when:
    (i) The debt is compromised or otherwise found not to be owing to 
the United States; or
    (ii) An administrative or judicial order directs the Department to 
make a refund.
    (2) Unless required by law or contract, refunds under this paragraph 
(k) shall not bear interest.
    (l) Request from a creditor agency for the services of a hearing 
official. (1) The Department may provide a hearing official upon request 
of the creditor agency when the debtor is employed by the Department and 
the creditor agency cannot provide a prompt and appropriate hearing 
before a hearing official furnished pursuant to another lawful 
arrangement.
    (2) The Department may provide a hearing offical upon request of a 
creditor agency when the debtor works for the creditor agency and that 
agency cannot arrange for a hearing official.
    (3) The salary offset coordination officer shall arrange for 
qualified personnel to serve as hearing officials.
    (4) Services rendered under this paragraph (l) shall be provided on 
a fully reimbursable basis pursuant to 31 U.S.C. 1535.
    (m) Non-waiver of rights by payments. A debtor's payment, whether 
voluntary or involuntary, of all or any portion of a debt being 
collected pursuant to this section shall not be construed as a waiver of 
any rights that the debtor may have under any statute, regulation, or 
contract except as otherwise provided by law or contract.



Sec. 11.9  Administrative offset.

    (a) Collection. The organization head may collect a claim pursuant 
to 31 U.S.C. 3716 from a person, organization, or entity other than an 
agency of the United States Government by administrative offset of 
monies other than salaries payable by the government. Collection by 
administrative offset shall be undertaken where the claim is certain in 
amount, where offset is feasible and desirable and not otherwise 
prohibited, where the applicable statute of limitations has not expired, 
and where the offset is in the best interest of the United States.
    (b) Withholding of payment. Prior to the completion of the 
procedures described in paragraph (c) of this section, the Department 
may withhold a payment to be made to a debtor, if:

[[Page 213]]

    (1) Failure to withhold payment would substantially prejudice the 
Department's ability to collect the debt; and
    (2) The time before the payment is to be made does not reasonably 
permit completion of the procedures described in paragraph (c) of this 
section. Such prior withholding shall be followed promptly by the 
completion of the procedures described in paragraph (c) of this section.
    (c) Debtor's rights. Unless the procedures described in paragraph 
(b) of this section are used, prior to collecting any claim by 
administrative offset, the organization head shall provide the debtor 
with the following:
    (1) Written notification of the nature and amount of the claim, the 
intention of the organization head to collect the claim through 
administrative offset, and a statement of the rights of the debtor under 
this paragraph;
    (2) An opportunity to inspect and copy the records of the Department 
with respect to the claim;
    (3) An opportunity to have the Department's determination of 
indebtedness reviewed by the organization head. Any request for review 
by the debtor shall be in writing and be submitted to the Department 
within 30 days of the date of the notice of the offset. The organization 
head may waive the time limit for requesting review for good cause shown 
by the debtor; and
    (4) An opportunity to enter into a written agreement for the 
repayment of the amount of the claim at the discretion of the 
Department.

If the procedures described in paragraph (b) of this section are 
employed, the procedures described in this paragraph shall be effected 
after offset.
    (d) Interest. The Department is authorized to assess interest and 
related charges on debts that are not subject to 31 U.S.C. 3717 to the 
extent authorized under the common law or other applicable statutory 
authority.



   Subpart C--IRS Tax Refund Offset Provisions for Collection of Debts

    Source: Order No. 1792-93, 58 FR 51223, Oct. 1, 1993, unless 
otherwise noted.



Sec. 11.10  Scope.

    The provisions of 26 U.S.C. 6402(d) and 31 U.S.C. 3720A authorize 
the Secretary of the Treasury, acting through the Internal Revenue 
Service (IRS), to offset a delinquent debt owed to the United States 
Government from the tax refund due a taxpayer when other collection 
efforts have failed to recover the amount due. The purpose of these 
statutes is to improve the ability of the Government to collect money 
owed it while granting the debtor notice and certain other protections. 
This subpart authorizes the collection of debts owed to the United 
States Government by persons, organizations, and entities by means of 
offsetting any tax refunds due to the debtor by the IRS. It allows 
referral to the IRS for collection of debts that are past due and 
legally enforceable but not reduced to judgment and debts that have been 
reduced to judgment.



Sec. 11.11  Definitions.

    (a) Debt. Debt means money owed by an individual, organization or 
entity from sources which include loans insured or guaranteed by the 
United States and all other amounts due the United States from fees, 
leases, services, overpayments, civil and criminal penalties, damages, 
interest, fines, administrative costs, and all other similar sources. A 
debt becomes eligible for tax refund offset procedures if it cannot 
currently be collected pursuant to the salary offset procedures of 5 
U.S.C. 5514(a)(1) and is ineligible for administrative offset under 31 
U.S.C. 3716(a) by reason of 31 U.S.C. 3716(c)(2), or cannot currently be 
collected by administrative offset under 31 U.S.C. 3716(a) against 
amounts payable to the debtor by the Department of Justice. A non-
judgment debt is eligible for tax refund offset procedures if the 
Department's or the referring agency's right of action accrued more than 
three months but less than ten years before the offset is made. Judgment 
debts are eligible for referral at any time. Debts that have been 
referred to the Department of Justice by other agencies for collection 
are included in this definition.
    (b) Past due. All accelerated debts and all judgment debts are past 
due for

[[Page 214]]

purposes of this section. Such debts remain past due until paid in full. 
An accelerated debt is past due if, at the time of the notice required 
by Sec. 11.12(b), any part of the debt had been due, but not paid, for 
at least 90 days. Such an unaccelerated debt remains past due until paid 
to the current amount of indebtedness.
    (c) Notice. Notice means the information sent to the debtor pursuant 
to Sec. 11.12(b). The date of the notice is the date shown on the notice 
letter as its date of issuance.
    (d) Dispute. A dispute is a written statement supported by 
documentation or other evidence that all or part of an alleged debt is 
not past due or legally enforceable, that the amount is not the amount 
currently owed, that the outstanding debt has been satisfied, or, in the 
case of a debt reduced to judgment, that the judgment has been satisfied 
or stayed.



Sec. 11.12  Procedures.

    (a) The Department may refer any past due, legally enforceable non-
judgment debt of an individual, organization or entity to the IRS for 
offset if the Department's or the referring agency's rights of action 
accrued more than three months but less than ten years before the offset 
is made. Debts reduced to judgment may be referred at any time. Debts in 
amounts lower than $25.00 are not subject to referral.
    (b) The Department will provide the debtor with written notice of 
its intent to offset before initiating the offset. Notice will be mailed 
to the debtor at the current address of the debtor, as determined from 
information obtained from the IRS pursuant to 26 U.S.C. 6103(m)(2), (4), 
(5) or from information regarding the debt maintained by the Department 
of Justice. The notice sent to the debtor will state the amount of the 
debt and inform the debtor that:
    (1) The debt is past due;
    (2) The Department intends to refer the debt to the IRS for offset 
from tax refunds that may be due to the taxpayer;
    (3) The Department intends to provide information concerning the 
delinquent debt exceeding $100 to a consumer reporting bureau (credit 
bureau) unless such debt has already been disclosed; and
    (4) The debtor has 65 days from the date of notice in which to 
present evidence that all or part of the debt is not past due, that the 
amount is not the amount currently owed, that the outstanding debt has 
been satisfied, or, if a judgment debt, that the debt has been 
satisfied, or stayed, before the debt is reported to a consumer 
reporting agency, if applicable, and referred to the IRS for offset from 
tax refunds.
    (c) If the debtor neither pays the amount due nor presents evidence 
that the amount is not past due or is satisfied or stayed, the 
Department will report the debt to a consumer reporting agency at the 
end of the notice period, if applicable, and refer the debt to the IRS 
for offset from the taxpayer's federal tax refund.
    (d) A debtor may request a review by the Department if the debtor 
believes that all or part of the debt is not past due or is not legally 
enforceable, or, in the case of a judgment debt, that the debt has been 
stayed or the amount satisfied, as follows:
    (1) The debtor must send a written request for review to the address 
provided in the notice.
    (2) The request must state the amount disputed and the reasons why 
the debtor believes that the debt is not past due, is not legally 
enforceable, has been satisfied, or, if a judgment debt, has been 
satisfied or stayed.
    (3) The request must include any documents that the debtor wishes to 
be considered or state that additional information will be submitted 
within the time permitted.
    (4) If the debtor wishes to inspect records establishing the nature 
and amount of the debt, the debtor must request an opportunity for such 
an inspection in writing. The office holding the relevant records shall 
make them available for inspection during normal business hours.
    (5) The request for review and any additional information submitted 
pursuant to the request must be received by the Department at the 
address stated in the notice within 65 days of the date of issuance of 
the notice.
    (6) The Department will review disputes and shall consider its 
records and

[[Page 215]]

any documentation and arguments submitted by the debtor. The 
Department's decision to refer to the IRS any disputed portion of the 
debt shall be made by the Assistant Attorney General for Administration 
of his designee, who shall hold a position at least one supervisory 
level above the person who made the decision to offset the debt. The 
Department shall send a written notice of its decision to the debtor. 
There is no administrative appeal of this decision.
    (7) If the evidence presented by the debtor is considered by a non-
Departmental agent or other entities or persons acting on the 
Department's behalf, the debtor will be accorded at least 30 days from 
the date the agent or other entity or person determines that all or part 
of the debt is past-due and legally enforceable to request review by an 
officer or employee of the Department of any unresolved dispute.
    (8) Any debt that previously has been reviewed pursuant to this 
section or any other section of this part, or that has been reduced to a 
judgment, may not be disputed except on the grounds of payments made or 
events occurring subsequent to the previous review of judgment.
    (e) The Department will notify the IRS of any change in the amount 
due promptly after receipt of payments or notice of other reductions.
    (f) In the event that more than one debt is owed, the IRS refund 
offset procedure will be applied in the order in which the debts became 
past due.



PART 12--REGISTRATION OF CERTAIN PERSONS HAVING KNOWLEDGE OF FOREIGN ESPIONAGE, COUNTERESPIONAGE, OR SABOTAGE MATTERS UNDER THE ACT OF AUGUST 1, 1956--Table of Contents




Sec.
12.1  Definitions.
12.2  Administration of act.
12.3  Prior registration with the Foreign Agents Registration Unit.
12.4  Inquiries concerning application of act.
12.20  Filing of registration statement.
12.21  Time within which registration statement must be filed.
12.22  Material contents of registration statement.
12.23  Deficient registration statement.
12.24  Forms.
12.25  Amended registration statement.
12.30  Burden of establishing availability of exemptions.
12.40  Public examination.
12.41  Photocopies.
12.70  Partial compliance not deemed compliance.

    Authority: Sec. 5, 70 Stat. 900; 50 US.C. 854.

    Cross Reference: For Organization Statement, Internal Security 
Section, see subpart K of part 0 of this chapter.

    Source: 21 FR 5928, Aug. 8, 1956, unless otherwise noted.



Sec. 12.1  Definitions.

    As used in this part, unless the context otherwise requires:
    (a) The term act means the act of August 1, 1956, Public Law 893, 
84th Congress, 2d Session, requiring the registration of certain persons 
who have knowledge of, or have received instruction or assignment in the 
espionage, counterespionage, or sabotage service or tactics of a foreign 
government or foreign political party.
    (b) The term Attorney General means the Attorney General of the 
United States.
    (c) The term rules and regulations refers to all rules, regulations, 
registration forms, and instruction to forms made and prescribed by the 
Attorney General pursuant to the act.
    (d) The term registration statement means the registration required 
to be filed with the Attorney General under section 2 of the act.
    (e) The term registrant means the person by whom a registration 
statement is filed pursuant to the provisions of the act.



Sec. 12.2  Administration of act.

    The administration of the act is assigned to the Registration Unit 
of the Internal Security Section, Criminal Division, Department of 
Justice. Communications with respect to the act shall be addressed to 
the Registration Unit Internal Security Section, Criminal Division, 
Department of Justice, Washington, DC 20530. Copies of the act, the 
regulations contained in this part, including the forms mentioned 
therein, may be obtained upon request without charge.

[Order No. 524-73, 38 FR 18235, July 9, 1973]

[[Page 216]]



Sec. 12.3  Prior registration with the Foreign Agents Registration Unit.

    No person who has filed a registration statement under the terms of 
the Foreign Agents Registration Act of 1938, as amended by section 20(a) 
of the Internal Security Act of 1950, shall be required to file a 
registration statement under the act, unless otherwise determined by the 
Chief, Registration Unit.

[21 FR 5928, Aug. 8, 1956, as amended by Order No. 524-73, 38 FR 18235, 
July 9, 1973; Order No. 960-81, 46 FR 52355, Oct. 27, 1981]



Sec. 12.4  Inquiries concerning application of act.

    Inquiries concerning the application of the act must be accompanied 
by a detailed statement of all facts necessary for a determination of 
the question submitted, including the identity of the person on whose 
behalf the inquiry is made, the facts which may bring such person within 
the registration provisions of the act, and the identity of the foreign 
government or foreign political party concerned.



Sec. 12.20  Filing of registration statement.

    Registration statements shall be filed in duplicate with the 
Registration Unit, Internal Security Section, Criminal Division, 
Department of Justice, Washington, DC 20530. Filing may be made in 
person or by mail, and shall be deemed to have taken place upon the 
receipt thereof by the Registration Unit.

[Order No. 524-73, 38 FR 18235, July 9, 1973]



Sec. 12.21  Time within which registration statement must be filed.

    Every person who is or becomes subject to the registration 
provisions of the act after its effective date shall file a registration 
statement within fifteen days after the obligation to register arises.



Sec. 12.22  Material contents of registration statement.

    The registration statement shall include the following, all of which 
shall be regarded as material for the purposes of the act:
    (a) The registrant's name, principal business address, and all other 
business addresses in the United States or elsewhere, and all residence 
addresses.
    (b) The registrant's citizenship status and how such status was 
acquired.
    (c) A detailed statement setting forth the nature of the 
registrant's knowledge of the espionage, counterespionage, or sabotage 
service or tactics of a foreign government or foreign political party, 
and the manner in which, place where, and date when such knowledge was 
obtained.
    (d) A detailed statement as to any instruction or training received 
by the registrant in the espionage, counterespionage, or sabotage 
service or tactics of a foreign government or foreign political party, 
including a description of the type of instruction or training received, 
a description of any courses taken, the dates when such courses 
commenced and when they ceased, and the name and official title of the 
instructor or instructors under whose supervision the courses were 
received as well as the name and location of schools and other 
institutions attended, the dates of such attendance, and the names of 
the directors of the schools and institutions attended.
    (e) A detailed statement describing any assignment received in the 
espionage, counterespionage, or sabotage service or tactics of a foreign 
government or foreign political party, including the type of assignment, 
the date when each assignment began, the date of completion of each 
assignment, name and title of the person or persons under whose 
supervision the assignment was executed, and a complete description of 
the nature of the assignment and the execution thereof.
    (f) A detailed statement of any relationship which may exist at the 
time of registration, other than through employment, between the 
registrant and any foreign government or foreign political party.
    (g) Such other statements, information, or documents pertinent to 
the purposes and objectives of the act as the Attorney General, having 
due regard for the national security and the public interest, may 
require by this part or amendments thereto.

[[Page 217]]



Sec. 12.23  Deficient registration statement.

    A registration statement which is determined to be incomplete, 
inaccurate, misleading, or false, by the Chief Registration Unit, may be 
returned by him to the registrant as being unacceptable for filing under 
the terms of the act.

[21 FR 5928, Aug. 8, 1956, as amended by Order No. 524-73, 38 FR 18235, 
July 9, 1973]



Sec. 12.24  Forms.

    (a) Every person required to register under the act shall file a 
registration statement on Form GA-1, and such other forms as may from 
time to time be prescribed by the Attorney General.
    (b) Matter contained in any part of the registration statement or 
other document may not be incorporated by reference as answer, or 
partial answer, to any other item in the registration statement required 
to be filed under the act.
    (c) Except as specifically provided otherwise, if any item on the 
form is inapplicable, or the answer is ``None,'' an express statement to 
such effect shall be made.
    (d) Every statement, amendment, and every duplicate thereof, shall 
be executed under oath and shall be sworn to before a notary public or 
other officer authorized to administer oaths.
    (e) A registration statement or amendment thereof required to be 
filed shall, if possible, be typewritten, but will be regarded as in 
substantial compliance with this regulation if written legibly in black 
ink.
    (f) Riders shall not be used. If the space on the registration 
statement or other form is insufficient for any answer, reference shall 
be made in the appropriate space to a full insert page or pages on which 
the item number and item shall be restated and the complete answer 
given.



Sec. 12.25  Amended registration statement.

    (a) An amended registration statement may be required by the Chief, 
Registration Unit, of any person subject to the registration provisions 
of the act whose original registration statement filed pursuant thereto 
is deemed to be incomplete, inaccurate, false, or misleading.
    (b) Amendments shall conform in all respects to the regulations 
herein prescribed governing execution and filing of original 
registration statements.
    (c) Amendments shall in every case make appropriate reference by 
number or otherwise to the items in original registration statements to 
which they relate.
    (d) Amendments shall be deemed to have been filed upon the receipt 
thereof by the Registration Unit.
    (e) Failure of the Chief, Registration Unit, to request any person 
described in section 2 of the act to file an amended registration 
statement shall not preclude prosecution of such person for a wilfully 
false statement of a material fact, the wilful omission of a material 
fact, or the wilful omission of a material fact necessary to make the 
statements therein not misleading, in an original registration 
statement.

[21 FR 5928, Aug. 8, 1956, as amended by Order No. 524-73, 38 FR 18235, 
July 9, 1973]



Sec. 12.30  Burden of establishing availability of exemptions.

    In all matters pertaining to exemptions, the burden of establishing 
the availability of the exemption shall rest with the person for whose 
benefit the exemption is claimed.



Sec. 12.40  Public examination.

    Registration statements shall be available for public examination at 
the offices of the Registration Unit, Department of Justice, Washington, 
DC, from 10 a.m. to 4 p.m. on each official business day, except to the 
extent that the Attorney General having due regard for national security 
and public interest may withdraw such statements from public 
examination.

[Order No. 524-73, 38 FR 18235, July 9, 1973]



Sec. 12.41  Photocopies.

    (a) Photocopies of registration statements filed in accordance with 
section 2 of the act are available to the public upon payment of fifty 
cents per photocopy of each page, whether several copies of a single 
original page or one or more copies of several original pages are 
ordered.

[[Page 218]]

    (b) Estimates as to prices for photocopies and the time required for 
their preparation will be furnished upon request addressed to the 
Registration Unit, Internal Security Section, Criminal Division, 
Department of Justice, Washington, DC 20530.
    (c) Payment shall accompany the order for photocopies and shall be 
made in cash, or by United States money order, or by certified bank 
check payable to the Treasurer of the United States. Postage stamps will 
not be accepted.

[21 FR 5928, Aug. 8, 1956, as amended by Order No. 524-73, 38 FR 18235, 
July 9, 1973]



Sec. 12.70  Partial compliance not deemed compliance.

    The fact that a registration statement has been filed shall not 
necessarily be deemed a full compliance with the act on the part of the 
registrant; nor shall it preclude prosecution, as provided for in the 
act, for willful failure to file a registration statement, or for a 
willfully false statement of a material fact therein, or for the willful 
omission of a material fact required to be stated therein.



PART 13--ATOMIC WEAPONS AND SPECIAL NUCLEAR MATERIALS REWARDS REGULATIONS--Table of Contents




Sec.
13.1  Purpose.
13.2  Policy.
13.3  Definitions.
13.4  Procedures: Responsibilities of the Attorney General.
13.5  Procedures: Responsibilities of the intra-departmental committee.
13.6  Criteria for reward.
13.7  Judicial review.

    Authority: 50 U.S.C. 47d.

    Source: Order No. 974-82, 47 FR 11516, Mar. 17, 1982, unless 
otherwise noted.



Sec. 13.1  Purpose.

    This part implements the responsibility given to the Attorney 
General under the Atomic Weapons and Special Nuclear Materials Rewards 
Act, 50 U.S.C. 47a-47f, for determining what persons are entitled to a 
reward for furnishing certain original information to the United States 
pertaining to atomic weapons and special nuclear material.



Sec. 13.2  Policy.

    This program is intended to reward the provision of original 
information regarding situations involving an illegal diversion, an 
attempted illegal diversion, or a conspiracy to divert special nuclear 
material or atomic weapons. The broad scope of this program is to help 
guard against the loss or diversion of such material and to prevent any 
use or disposition thereof inimical to the common defense and security.



Sec. 13.3  Definitions.

    Atomic energy means all forms of energy released in the course of 
nuclear fission or nuclear transformation.
    Atomic weapon means any device utilizing atomic energy, exclusive of 
the means for transporting or propelling the device (where such means is 
a separable and divisible part of the device), the principal purpose of 
which is for use as, or for development of, a weapon, a weapon 
prototype, or a weapon test device.
    Original information means information first supplied to the Federal 
government by the applicant, which was created or compiled through his 
own skill and judgment.
    Special nuclear material means plutonium, or uranium enriched in the 
isotope 233 or in the isotope 235, or any other material which is found 
to be special nuclear material pursuant to the provisions of the Atomic 
Energy Act of 1954, 42 U.S.C. 2011 et seq.
    United States, when used in a geographical sense, includes Puerto 
Rico, all Territories and possessions of the United States and the Canal 
Zone except in Sec. 13.4(a)(4). In Sec. 13.4(a)(4), United States, when 
used in a geographical sense, means the continental United States, 
Alaska, Hawaii, Puerto Rico, Guam, and the Virgin Islands of the United 
States.



Sec. 13.4  Procedures: Responsibilities of the Attorney General.

    When a submission is made to the Department of Justice for a reward 
under the Atomic Weapons and Special Nuclear Materials Rewards Act, the 
Attorney General shall:
    (a) Refer such submission for review to an intra-departmental 
committee composed of the Assistant Attorneys

[[Page 219]]

General for the Land and Natural Resources Division, the Criminal 
Division, and the Office of Legal Counsel or their delegates;
    (b) Review the proposed finding of the review committee and 
determine whether a reward is justified and the amount of same;
    (c) Secure the approval of the President for any reward over 
$50,000;
    (d) Jointly determine (along with the Secretary of State and the 
Director of Central Intelligence), if the award is to go to an alien, 
whether the entry of such alien into the United States is in the public 
interest and whether that alien and members of his immediate family may 
receive immigrant visas and be admitted to the United States for 
permanent residence, notwithstanding the requirements of the Immigration 
and Nationality Act;
    (e) Notify any person claiming an award of the determination 
regarding the claim and the amount of the reward, if any. If no reward 
is determined to be justified, state the reasons, consistent with 
national security, for the denial;
    (f) Certify and transmit, along with the approval of the President 
if necessary, any award to be made to the Director of Central 
Intelligence for payment out of funds appropriated or available for the 
administration of the National Security Act of 1947, as amended, 50 
U.S.C. 401 et seq;
    (g) Not certify any amount over $500,000.



Sec. 13.5  Procedures: Responsibilities of the intra-departmental committee.

    When the Attorney General refers a submission for a reward to the 
intra-departmental committee, this committee:
    (a) Shall consult with the Nuclear Regulatory Commission and the 
Department of Energy regarding the reward;
    (b) May consult with the Central Intelligence Agency and any other 
departments or agencies it deems appropriate to aid in the determination 
of whether a reward should be given and the proper amount of the reward;
    (c) May hold hearings for the purpose of securing and evaluating 
information; a full hearing on the record with oral presentation and 
cross-examination is not required;
    (d) Shall determine whether the information submitted fits one or 
more of the rewardable categories outlined in Sec. 13.6;
    (e) Shall determine whether the applicant is eligible for the 
reward. Federal employees and military personnel whose duties include 
investigating activities covered by this Act are not eligible for a 
reward for information acquired in the course of their investigation;
    (f) Shall submit to the Attorney General a proposed finding as to 
eligibility and a recommendation for the amount of the reward within 60 
days of the date of referral from the Attorney General, unless good 
cause is shown for extending the time of review.



Sec. 13.6  Criteria for reward.

    (a) Information provided by any person to the United States for a 
reward under the Atomic Weapons and Special Nuclear Materials Rewards 
Act must be original, and must concern the unlawful:
    (1) Introduction, manufacture or acquisition, or
    (2) Attempted introduction, manufacture or acquisition of, or
    (3) Export or attempt to export, or
    (4) Conspiracy to introduce, manufacture, acquire or export special 
nuclear material or atomic weapons, or
    (5) Loss, diversion or disposal or special nuclear material or 
atomic weapons.
    (b) The amount of the reward shall depend on:
    (1) The amount of the material recovered or potentially recoverable, 
and the role the information played in the recovery, and
    (2) The danger the material posed or poses to the common defense and 
security or public health and welfare, and
    (3) The difficulty in ascertaining the information submitted to 
claim the reward, and the quality of the information, and
    (4) Any other considerations which the Attorney General or the 
intra-departmental committee deems necessary or helpful to the 
individual determination.

[[Page 220]]



Sec. 13.7  Judicial review.

    The decision of the Attorney General is final and conclusive and no 
court shall have power or jurisdiction to review it.



PART 14--ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT--Table of Contents




Sec.
14.1  Scope of regulations.
14.2  Administrative claim; when presented.
14.3  Administrative claim; who may file.
14.4  Administrative claims; evidence and information to be submitted.
14.5  Review by legal officers.
14.6  Dispute resolution techniques and limitations on agency authority.
14.7  [Reserved]
14.8  Investigation and examination.
14.9  Final denial of claim.
14.10  Action on approved claims.
14.11  Supplementing regulations.

Appendix to Part 14--Delegations of Settlement Authority

    Authority: 5 U.S.C. 301; 28 U.S.C. 509, 510, 2672; 38 U.S.C. 224(a).

    Source: Order No. 371-66, 31 FR 16616, Dec. 29, 1966, unless 
otherwise noted.



Sec. 14.1  Scope of regulations.

    These regulations shall apply only to claims asserted under the 
Federal Tort Claims Act. The terms Federal agency and agency, as used in 
this part, include the executive departments, the military departments, 
independent establishments of the United States, and corporations 
primarily acting as instrumentalities or agencies of the United States 
but do not include any contractor with the United States.

[Order No. 960-81, 46 FR 52355, Oct. 27, 1981]



Sec. 14.2  Administrative claim; when presented.

    (a) For purposes of the provisions of 28 U.S.C. 2401(b), 2672, and 
2675, a claim shall be deemed to have been presented when a Federal 
agency receives from a claimant, his duly authorized agent or legal 
representative, an executed Standard Form 95 or other written 
notification of an incident, accompanied by a claim for money damages in 
a sum certain for injury to or loss of property, personal injury, or 
death alleged to have occurred by reason of the incident; and the title 
or legal capacity of the person signing, and is accompanied by evidence 
of his authority to present a claim on behalf of the claimant as agent, 
executor, administrator, parent, guardian, or other representative.
    (b)(1) A claim shall be presented to the Federal agency whose 
activities gave rise to the claim. When a claim is presented to any 
other Federal agency, that agency shall transfer it forthwith to the 
appropriate agency, if the proper agency can be identified from the 
claim, and advise the claimant of the transfer. If transfer is not 
feasible the claim shall be returned to the claimant. The fact of 
transfer shall not, in itself, preclude further transfer, return of the 
claim to the claimant or other appropriate disposition of the claim. A 
claim shall be presented as required by 28 U.S.C. 2401(b) as of the date 
it is received by the appropriate agency.
    (2) When more than one Federal agency is or may be involved in the 
events giving rise to the claim, an agency with which the claim is filed 
shall contact all other affected agencies in order to designate the 
single agency which will thereafter investigate and decide the merits of 
the claim. In the event that an agreed upon designation cannot be made 
by the affected agencies, the Department of Justice shall be consulted 
and will thereafter designate an agency to investigate and decide the 
merits of the claim. Once a determination has been made, the designated 
agency shall notify the claimant that all future correspondence 
concerning the claim shall be directed to that Federal agency. All 
involved Federal agencies may agree either to conduct their own 
administrative reviews and to coordinate the results or to have the 
investigations conducted by the designated Federal agency, but, in 
either event, the designated Federal agency will be responsible for the 
final determination of the claim.
    (3) A claimant presenting a claim arising from an incident to more 
than one agency should identify each agency to which the claim is 
submitted at the time each claim is presented. Where a claim arising 
from an incident is presented to more than one Federal agency without 
any indication that more than one agency is involved, and any

[[Page 221]]

one of the concerned Federal agencies takes final action on that claim, 
the final action thus taken is conclusive on the claims presented to the 
other agencies in regard to the time required for filing suit set forth 
in 28 U.S.C. 2401(b). However, if a second involved Federal agency 
subsequently desires to take further action with a view towards settling 
the claim the second Federal agency may treat the matter as a request 
for reconsideration of the final denial under 28 CFR 14.9(b), unless 
suit has been filed in the interim, and so advise the claimant.
    (4) If, after an agency final denial, the claimant files a claim 
arising out of the same incident with a different Federal agency, the 
new submission of the claim will not toll the requirement of 28 U.S.C. 
2401(b) that suit must be filed within six months of the final denial by 
the first agency, unless the second agency specifically and explicitly 
treats the second submission as a request for reconsideration under 28 
CFR 14.9(b) and so advises the claimant.
    (c) A claim presented in compliance with paragraph (a) of this 
section may be amended by the claimant at any time prior to final agency 
action or prior to the exercise of the claimant's option under 28 U.S.C. 
2675(a). Amendments shall be submitted in writing and signed by the 
claimant or his duly authorized agent or legal representative. Upon the 
timely filing of an amendment to a pending claim, the agency shall have 
six months in which to make a final disposition of the claim as amended 
and the claimant's option under 28 U.S.C. 2675(a) shall not accrue until 
six months after the filing of an amendment.

[Order No. 870-79, 45 FR 2650, Jan. 14, 1980, as amended by Order No. 
960-81, 46 FR 52355, Oct. 27, 1981; Order No. 1179-87, 52 FR 7411, Mar. 
11, 1987]



Sec. 14.3  Administrative claim; who may file.

    (a) A claim for injury to or loss of property may be presented by 
the owner of the property, his duly authorized agent or legal 
representative.
    (b) A claim for personal injury may be presented by the injured 
person, his duly authorized agent, or legal representative.
    (c) A claim based on death may be presented by the executor or 
administrator of the decendent's estate, or by any other person legally 
entitled to assert such a claim in accordance with applicable State law.
    (d) A claim for loss wholly compensated by an insurer with the 
rights of a subrogee may be presented by the insurer. A claim for loss 
partially compensated by an insurer with the rights of a subrogee may be 
presented by the parties individually as their respective interests 
appear, or jointly.

[Order No. 371-66, 31 FR 16616, Dec. 29, 1966, as amended by Order No. 
1179-87, 52 FR 7412, Mar. 11, 1987]



Sec. 14.4  Administrative claims; evidence and information to be submitted.

    (a) Death. In support of a claim based on death, the claimant may be 
required to submit the following evidence or information:
    (1) An authenticated death certificate or other competent evidence 
showing cause of death, date of death, and age of the decedent.
    (2) Decedent's employment or occupation at time of death, including 
his monthly or yearly salary or earnings (if any), and the duration of 
his last employment or occupation.
    (3) Full names, addresses, birth dates, kinship, and marital status 
of the decedent's survivors, including identification of those survivors 
who were dependent for support upon the decedent at the time of his 
death.
    (4) Degree of support afforded by the decedent to each survivor 
dependent upon him for support at the time of his death.
    (5) Decedent's general physical and mental condition before death.
    (6) Itemized bills for medical and burial expenses incurred by 
reason of the incident causing death, or itemized receipts of payment 
for such expenses.
    (7) If damages for pain and suffering prior to death are claimed, a 
physician's detailed statement specifying the injuries suffered, 
duration of pain and suffering, any drugs administered for pain, and the 
decedent's physical condition in the interval between injury and death.
    (8) Any other evidence or information which may have a bearing on 
either the

[[Page 222]]

responsibility of the United States for the death or the damages 
claimed.
    (b) Personal injury. In support of a claim for personal injury, 
including pain and suffering, the claimant may be required to submit the 
following evidence or information:
    (1) A written report by his attending physician or dentist setting 
forth the nature and extent of the injury, nature and extent of 
treatment, any degree of temporary or permanent disability, the 
prognosis, period of hospitalization, and any diminished earning 
capacity. In addition, the claimant may be required to submit to a 
physical or mental examination by a physician employed by the agency or 
another Federal agency. A copy of the report of the examining physician 
shall be made available to the claimant upon the claimant's written 
request provided that he has, upon request, furnished the report 
referred to in the first sentence of this paragraph and has made or 
agrees to make available to the agency any other physician's reports 
previously or thereafter made of the physical or mental condition which 
is the subject matter of his claim.
    (2) Itemized bills for medical, dental, and hospital expenses 
incurred, or itemized receipts of payment for such expenses.
    (3) If the prognosis reveals the necessity for future treatment, a 
statement of expected expenses for such treatment.
    (4) If a claim is made for loss of time from employment, a written 
statement from his employer showing actual time lost from employment, 
whether he is a full or part-time employee, and wages or salary actually 
lost.
    (5) If a claim is made for loss of income and the claimant is self-
employed, documentary evidence showing the amounts of earnings actually 
lost.
    (6) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the personal injury 
or the damages claimed.
    (c) Property damage. In support of a claim for injury to or loss of 
property, real or personal, the claimant may be required to submit the 
following evidence or information:
    (1) Proof of ownership.
    (2) A detailed statement of the amount claimed with respect to each 
item of property.
    (3) An itemized receipt of payment for necessary repairs or itemized 
written estimates of the cost of such repairs.
    (4) A statement listing date of purchase, purchase price and salvage 
value, where repair is not economical.
    (5) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the injury to or loss 
of property or the damages claimed.



Sec. 14.5  Review by legal officers.

    The authority to adjust, determine, compromise, and settle a claim 
under the provisions of section 2672 of title 28, United States Code, 
shall, if the amount of a proposed compromise, settlement, or award 
exceeds $5,000, be exercised by the head of an agency or his designee 
only after review by a legal officer of the agency.

[Order No. 371-66, 31 FR 16616, Dec. 29, 1966, as amended by Order No. 
757-77, 42 FR 62001, Dec. 8, 1977; Order No. 960-81, 46 FR 52355, Oct. 
27, 1981]



Sec. 14.6  Dispute resolution techniques and limitations on agency authority.

    (a) Guidance regarding dispute resolution. The administrative 
process established pursuant to 28 U.S.C. 2672 and this part 14 is 
intended to serve as an efficient effective forum for rapidly resolving 
tort claims with low costs to all participants. This guidance is 
provided to agencies to improve their use of this administrative process 
and to maximize the benefit achieved through application of prompt, 
fair, and efficient techniques that achieve an informal resolution of 
administrative tort claims without burdening claimants or the agency. 
This section provides guidance to agencies only and does not create or 
establish any right to enforce any provision of this part on behalf of 
any claimant against the United States, its agencies, its officers, or 
any other person. This section also does not require any agency to use 
any dispute resolution technique or process.

[[Page 223]]

    (1) Whenever feasible, administrative claims should be resolved 
through informal discussions, negotiations, and settlements rather than 
through the use of any formal or structured process. At the same time, 
agency personnel processing administrative tort claims should be trained 
in dispute resolution techniques and skills that can contribute to the 
prompt, fair, and efficient resolution of administrative claims.
    (2) An agency may resolve disputed factual questions regarding 
claims against the United States under the FTCA, including 28 U.S.C. 
2671-2680, through the use of any alternative dispute resolution 
technique or process if the agency specifically agrees to employ the 
technique or process, and reserves to itself the discretion to accept or 
reject the determinations made through the use of such technique or 
process.
    (3) Alternative dispute resolution techniques or processes should 
not be adopted arbitrarily but rather should be based upon a 
determination that use of a particular technique is warranted in the 
context of a particular claim or claims, and that such use will 
materially contribute to the prompt, fair, and efficient resolution of 
the claims. If alternative dispute resolution techniques will not 
materially contribute to the prompt, fair, and efficient resolution of 
claims, the dispute resolution processes otherwise used pursuant to 
these regulations shall be the preferred means of seeking resolution of 
such claims.
    (b) Alternative dispute resolution--(1) Case-by-case. In order to 
use, and before using, any alternative dispute resolution technique or 
process to facilitate the prompt resolution of disputes that are in 
excess of the agency's delegated authority, an agency may use the 
following procedure to obtain written approval from the Attorney 
General, or his or her designee, to compromise a claim or series of 
related claims.
    (i) A request for settlement authority under paragraph (b)(1) of 
this section shall be directed to the Director, Torts Branch, Civil 
Division, Department of Justice, (``Director'') and shall contain 
information justifying the request, including:
    (A) The basis for concluding that liability exists under the FTCA;
    (B) A description of the proposed alternative dispute resolution 
technique or process and a statement regarding why this proposed form of 
alternative dispute resolution is suitable for the claim or claims;
    (C) A statement reflecting the claimant's or claimants' consent to 
use of the proposed form of alternative dispute resolution, indicating 
the proportion of any additional cost to the United States from use of 
the proposed alternative dispute resolution technique or process that 
shall be borne by the claimant or claimants, and specifying the manner 
and timing of payment of that proportion to be borne by the claimant or 
claimants;
    (D) A statement of how the requested action would facilitate use of 
an alternative dispute resolution technique or process;
    (E) An explanation of the extent to which the decision rendered in 
the alternative dispute resolution proceeding would be made binding upon 
claimants; and,
    (F) An estimate of the potential range of possible settlements 
resulting from use of the proposed alternative dispute resolution 
technique.
    (ii) The Director shall forward a request for expedited settlement 
action under paragraph (b)(1)(i) of this section, along with the 
Director's recommendation as to what action should be taken, to the 
Department of Justice official who has authority to authorize settlement 
of the claim or related claims. If that official approves the request, a 
written authorization shall be promptly forwarded to the requesting 
agency.
    (2) Delegation of authority. Pursuant to, and within the limits of, 
28 U.S.C. 2672, the head of an agency or his or her designee may request 
delegations of authority to make any award, compromise, or settlement 
without the prior written approval of the Attorney General or his or her 
designee in excess of the agency's authority. In considering whether to 
delegate authority pursuant to 28 U.S.C. 2672 in excess of previous 
authority conferred upon the agency, consideration shall be given to:

[[Page 224]]

    (i) The extent to which the agency has established an office whose 
responsibilities expressly include the administrative resolution of 
claims presented pursuant to the Federal Tort Claims Act;
    (ii) The agency's experience with the resolution of administrative 
claims presented pursuant to 28 U.S.C. 2672;
    (iii) The Department of Justice's experiences with regard to 
administrative resolution of tort claims arising out of the agency's 
activities.
    (c) Monetary authority. An award, compromise, or settlement of a 
claim by an agency under 28 U.S.C. 2672, in excess of $25,000 or in 
excess of the authority delegated to the agency by the Attorney General 
pursuant to 28 U.S.C. 2672, whichever is greater, shall be effected only 
with the prior written approval of the Attorney General or his or her 
designee. For purposes of this paragraph, a principal claim and any 
derivative or subrogated claim shall be treated as a single claim.
    (d) Limitations on settlement authority--(1) Policy. An 
administrative claim may be adjusted, determined, compromised, or 
settled by an agency under 28 U.S.C. 2672 only after consultation with 
the Department of Justice when, in the opinion of the agency:
    (i) A new precedent or a new point of law is involved; or
    (ii) A question of policy is or may be involved; or
    (iii) The United States is or may be entitled to indemnity or 
contribution from a third party and the agency is unable to adjust the 
third party claim; or
    (iv) The compromise of a particular claim, as a practical matter, 
will or may control the disposition of a related claim in which the 
amount to be paid may exceed $25,000 or may exceed the authority 
delegated to the agency by the Attorney General pursuant to 28 U.S.C. 
2672, whichever is greater.
    (2) Litigation arising from the same incident. An administrative 
claim may be adjusted, determined, compromised, or settled by an agency 
under 28 U.S.C. 2672 only after consultation with the Department of 
Justice when the agency is informed or is otherwise aware that the 
United States or an employee, agent, or cost-plus contractor of the 
United States is involved in litigation based on a claim arising out of 
the same incident or transaction.
    (e) Procedure. When Department of Justice approval or consultation 
is required, or the advice of the Department of Justice is otherwise to 
be requested, under this section, the written referral or request of the 
Federal agency shall be directed to the Director at any time after 
presentment of a claim to the Federal agency, and shall contain:
    (1) A short and concise statement of the facts and of the reasons 
for the referral or request;
    (2) Copies of relevant portions of the agency's claim file; and
    (3) A statement of the recommendations or views of the agency.

[Order No. 1591-92, 57 FR 21738, May 22, 1992]



Sec. 14.7  [Reserved]



Sec. 14.8  Investigation and examination.

    A Federal agency may request any other Federal agency to investigate 
a claim filed under section 2672, title 28, U.S. Code, or to conduct a 
physical examination of a claimant and provide a report of the physical 
examination. Compliance with such requests may be conditioned by a 
Federal agency upon reimbursement by the requesting agency of the 
expense of investigation or examination where reimbursement is 
authorized, as well as where it is required, by statute or regulation.



Sec. 14.9  Final denial of claim.

    (a) Final denial of an administrative claim shall be in writing and 
sent to the claimant, his attorney, or legal representative by certified 
or registered mail. The notification of final denial may include a 
statement of the reasons for the denial and shall include a statement 
that, if the claimant is dissatisfied with the agency action, he may 
file suit in an appropriate U.S. District Court not later than 6 months 
after the date of mailing of the notification.
    (b) Prior to the commencement of suit and prior to the expiration of 
the 6-month period provided in 28 U.S.C. 2401(b), a claimant, his duly 
authorized agent, or legal representative, may file a written request 
with the agency for reconsideration of a final denial of a

[[Page 225]]

claim under paragraph (a) of this section. Upon the timely filing of a 
request for reconsideration the agency shall have 6 months from the date 
of filing in which to make a final disposition of the claim and the 
claimant's option under 28 U.S.C. 2675(a) shall not accrue until 6 
months after the filing of a request for reconsideration. Final agency 
action on a request for reconsideration shall be effected in accordance 
with the provisions of paragraph (a) of this section.

[Order No. 371-66, 31 FR 16616, Dec. 29, 1966, as amended by Order No. 
422-69, 35 FR 315, Jan. 8, 1970]



Sec. 14.10  Action on approved claims.

    (a) Any award, compromise, or settlement in an amount of $2,500 or 
less made pursuant to 28 U.S.C. 2672 shall be paid by the head of the 
Federal agency concerned out of the appropriations available to that 
agency. Payment of an award, compromise, or settlement in excess of 
$2,500 shall be obtained by the agency by forwarding Standard Form 1145 
to the Claims Division, General Accounting Office. When an award is in 
excess of $25,000, or in excess of the authority delegated to the agency 
by the Attorney General pursuant to 28 U.S.C. 2672, whichever is 
greater, Standard Form 1145 must be accompanied by evidence that the 
award, compromise, or settlement has been approved by the Attorney 
General or his designee. When the use of Standard Form 1145 is required, 
it shall be executed by the claimant, or it shall be accompanied by 
either a claims settlement agreement or a Standard Form 95 executed by 
the claimant. When a claimant is represented by an attorney, the voucher 
for payment shall designate both the claimant and his attorney as 
payees; the check shall be delivered to the attorney, whose address 
shall appear on the voucher.
    (b) Acceptance by the claimant, his agent, or legal representative, 
of any award, compromise or settlement made pursuant to the provisions 
of section 2672 or 2677 of title 28, United States Code, shall be final 
and conclusive on the claimant, his agent or legal representative and 
any other person on whose behalf or for whose benefit the claim has been 
presented, and shall constitute a complete release of any claim against 
the United States and against any employee of the Government whose act 
or omission gave rise to the claim, by reason of the same subject 
matter.

[Order No. 371-66, 31 FR 16616, Dec. 29, 1966, as amended by Order No. 
834-79, 44 FR 33399, June 11, 1979; Order No. 1591-92, 57 FR 21740, May 
22, 1992]



Sec. 14.11  Supplementing regulations.

    Each agency is authorized to issue regulations and establish 
procedures consistent with the regulations in this part.

        Appendix to Part 14--Delegations of Settlement Authority

      Delegation of Authority to the Secretary of Veterans Affairs

             Section 1. Authority to compromise tort claims.

    (a) The Secretary of Veterans Affairs shall have the authority to 
adjust, determine, compromise and settle a claim involving the United 
States Department of Veterans Affairs under section 2672 of title 28, 
United States Code, relating to the administrative settlement of federal 
tort claims, if the amount of the proposed adjustment, compromise, or 
award does not exceed $200,000. When the Secretary of Veterans Affairs 
believes a claim pending before him presents a novel question of law or 
of policy, he shall obtain the advice of the Assistant Attorney General 
in charge of the Civil Division.
    (b) The Secretary of Veterans Affairs may redelegate in writing the 
settlement authority delegated to him under this section.

                         Section 2. Memorandum.

    Whenever the Secretary of Veterans Affairs settles any 
administrative claim pursuant to the authority granted by section 1 for 
an amount in excess of $100,000 and within the amount delegated to him 
under section 1, a memorandum fully explaining the basis for the action 
taken shall be executed. A copy of this memorandum shall be sent to the 
Director, FTC Staff, Torts Branch of the Civil Division.

            Delegation of Authority to the Postmaster General

             Section 1. Authority to compromise tort claims.

    (a) The Postmaster General shall have the authority to adjust, 
determine, compromise and settle a claim involving the Postal Service 
under section 2672 of title 28, United

[[Page 226]]

States Code, relating to the administrative settlement of federal tort 
claims, if the amount of the proposed adjustment, compromise, or award 
does not exceed $200,000. When the Postmaster General believes a claim 
pending before him presents a novel question of law or of policy, he 
shall obtain the advice of the Assistant Attorney General in charge of 
the Civil Division.
    (b) The Postmaster General may redelegate in writing the settlement 
authority delegated to him under this section.

                         Section 2. Memorandum.

    Whenever the Postmaster General settles any administrative claim 
pursuant to the authority granted by section 1 for an amount in excess 
of $100,000 and within the amount delegated to him under section 1, a 
memorandum fully explaining the basis for the action taken shall be 
executed. A copy of this memorandum shall be sent to the Director, FTCA 
Staff, Torts Branch of the Civil Division.

           Delegation of Authority to the Secretary of Defense

             Section 1. Authority to compromise tort claims.

    (a) The Secretary of Defense shall have the authority to adjust, 
determine, compromise and settle a claim involving the United States 
Department of Defense under section 2672 of title 28, United States 
Code, relating to the administrative settlement of federal tort claims, 
if the amount of the proposed adjustment, compromise, or award does not 
exceed $200,000. When the Secretary of Defense believes a claim pending 
before him presents a novel question of law or of policy, he shall 
obtain the advice of the Assistant Attorney General in charge of the 
Civil Division.
    (b) The Secretary of Defense may redelegate in writing the 
settlement authority delegated to him under this section.

                         Section 2. Memorandum.

    Whenever the Secretary of Defense settles any administrative claim 
pursuant to the authority granted by section 1 for an amount in excess 
of $100,000 and within the amount delegated to him under section 1, a 
memorandum fully explaining the basis for the action taken shall be 
executed. A copy of this memorandum shall be sent to the Director, FTCA 
Staff, Torts Branch of the Civil Division.

       Delegation of Authority to the Secretary of Transportation

             Section 1. Authority to compromise tort claims.

    (a) The Secretary of Transportation shall have the authority to 
adjust, determine, compromise and settle a claim involving the United 
States Department of Transportation under section 2672 of title 28, 
United States Code, relating to the administrative settlement of federal 
tort claims, if the amount of the proposed adjustment, compromise, or 
award does not exceed $100,000. When the Secretary of Transportation 
believes a claim pending before him presents a novel question of law or 
of policy, he shall obtain the advice of the Assistant Attorney General 
in charge of the Civil Division.
    (b) The Secretary of Transportation may redelegate in writing the 
settlement authority delegated to him under this section.

                         Section 2. Memorandum.

    Whenever the Secretary of Transportation settles any administrative 
claim pursuant to the authority granted by section 1 for an amount in 
excess of $50,000 and within the amount delegated to him under section 
1, a memorandum fully explaining the basis for the action taken shall be 
executed. A copy of this memorandum shall be sent to the Director, FTCA 
Staff, Torts Branch of the Civil Division.

[Order No. 1302-88, 53 FR 37753, Sept. 28, 1988, as amended by Order No. 
1471-91, 56 FR 4943, Feb. 7, 1991; Order No. 1482-91, 56 FR 12846, Mar. 
28, 1991; Order No. 1583-92, 57 FR 13320, Apr. 16, 1992; 58 FR 36867, 
July 9, 1993; 61 FR 66220, Dec. 17, 1996]

[[Page 227]]



 PART 15--DEFENSE OF CERTAIN SUITS AGAINST FEDERAL EMPLOYEES: CERTIFICATION AND DEFENSE OF CERTAIN SUITS AGAINST PROGRAM PARTICIPANTS UNDER THE NATIONAL SWINE 

 FLU IMMUNIZATION PROGRAM OF 1976, AND CERTIFICATION AND DECERTIFICATION OF CERTAIN SUITS BASED UPON ACTS OR OMISSIONS OF CONTRACTORS IN CARRYING OUT AN ATOMIC 
WEAPONS TESTING PROGRAM UNDER A CONTRACT WITH THE UNITED STATES--Table of Contents




Sec.
15.1  Expeditious delivery of process and pleadings.
15.2  Providing data bearing upon scope of employment or program 
          participant status.
15.3  Removal and defense of suits.

Appendix to Part 15

    Authority: 5 U.S.C. 301; 10 U.S.C. 1089; 22 U.S.C. 817; 28 U.S.C. 
509, 510 and 2679; 38 U.S.C. 4116; 42 U.S.C. 233, 247b and 2458a, and 
the Department of Defense Authorization Act of 1985.

    Cross Reference: For Organization Statement, Civil Division, see 
subpart I of part 0 of this chapter.



Sec. 15.1  Expeditious delivery of process and pleadings.

    (a) Any Federal employee against whom a civil action or proceeding 
is brought for damages to property, or for personal injury or death, on 
account of the employee's operation of a motor vehicle in the scope of 
his office or employment with the Federal Government or on account of 
the employee's performance of medical care, treatment, or investigation 
in the scope of his office or employment with the Public Health Service 
or the Veterans Administration Department of Medicine and Surgery, the 
Department of State (including the Agency for International 
Development), the Armed Forces, the Department of Defense, the Central 
Intelligence Agency, or the National Aeronautics and Space 
Administration shall promptly deliver all process and pleadings served 
upon the employee, or an attested true copy thereof, to the employee's 
immediate superior or to whoever is designated by the head of the 
employee's department or agency to receive such papers. If the action is 
brought against an employee's estate this procedure shall apply to the 
employee's personal representative. In addition, upon the employee's 
receipt of such process or pleadings, or any prior information regarding 
the commencement of such a civil action or proceeding, he shall 
immediately so advise his superior or the designee thereof by telephone 
or telegraph. The superior or designee shall furnish the U.S. Attorney 
for the district embracing the place wherein the action or proceeding is 
brought and the Branch Director of the Torts Branch, Civil Division, 
Department of Justice, information concerning the commencement of such 
action or proceeding, and copies of all process and pleadings therein.
    (b) Any program participant as that term is defined in 42 U.S.C. 
247b(k)(2)(B) against whom a civil action or proceeding is brought for 
damages for personal injury or wrongful death on account of the 
administration of swine flu vaccine under the National Swine Flu 
Immunization Program of 1976 (or the personal representative or 
successor of such program participant, if the action is brought against 
the estate or successor of such program participant) shall promptly 
deliver all process and pleadings served upon such program participant, 
or an attested true copy thereof, to the Branch Director, Torts Branch, 
Civil Division, U.S. Department of Justice, Washington, DC 20530, and to 
the Department Claims Officer, Office of the General Counsel, Department 
of Health, Education and Welfare, Washington, DC 20201. The Branch 
Director shall promptly furnish copies of the papers to the U.S. 
Attorney for the district embracing the place wherein the action or 
proceeding is brought.
    (c) Any person against whom an action for injury, loss of property, 
personal injury, or death has been brought due to exposure to radiation 
based on acts or omissions by a contractor, as defined in section 
1631(d) of the Department of Defense Authorization Act of 1985, in 
carrying out an atomic weapons testing program under a contract with the 
United States, shall promptly

[[Page 228]]

deliver all process and pleadings served upon such person, or an 
attested true copy thereof, to the Branch Director, Torts Branch, Civil 
Division, U.S. Department of Justice, Washington, DC 20530.

[42 FR 15409, Mar. 22, 1977; 42 FR 17111, Mar. 31, 1977, as amended at 
46 FR 52355, Oct. 27, 1981; Order No. 1074-84, 49 FR 44995, Nov. 14, 
1984]



Sec. 15.2  Providing data bearing upon scope of employment or program participant status.

    (a) The employee's employing Federal agency shall submit a report 
containing all data bearing upon the question whether the employee was 
acting within the scope of his office or employment with the Federal 
Government, at the time of the incident out of which the suit arose, to 
the United States Attorney for the district embracing the place wherein 
the civil action or proceeding is brought, with a copy of the report to 
the Branch Director of the Torts Branch, Civil Division, Department of 
Justice, at the earliest possible date, or within such time as shall be 
fixed by the U.S. Attorney upon request.
    (b) A program participant as that term is defined in 42 U.S.C. 
247b(k)(2)(B) shall deliver all information in the participant's 
possession or reasonably available to the participant concerning the 
participant's status as a program participant to the Branch Director, 
Torts Branch, Civil Division, U.S. Department of Justice, Washington, DC 
20530, upon request and within such time as shall be fixed.
    (c) A person against whom an action has been brought for injury, 
loss of property, personal injury, or death due to exposure to radiation 
based on acts or omissions by a contractor, as defined in section 
1631(d) of the Department of Defense Authorization Act of 1985, in 
carrying out an atomic weapons testing program under a contract with the 
United States, shall deliver all information in the person's possession 
or reasonably available to the person concerning (1) the person's status 
as a contractor within the meaning of section 1631(d) of the Department 
of Defense Authorization Act of 1985; (2) the relation, if any, of the 
civil action or injury, loss of property, personal injury, or death due 
to exposure to radiation to acts or omissions by a contractor in 
carrying out an atomic weapons testing program under a contract with the 
United States; and (3) the subject matter of the action to the Branch 
Director, Torts Branch, Civil Division, U.S. Department of Justice, 
Washington, DC 20530, upon request within such time as shall be fixed 
and shall cooperate with the Justice Department in defense of said 
action upon request following certification of an action pursuant to 
section 1631(b) of the Department of Defense Authorization Act of 1985.

[Order No. 254-61, 26 FR 11420, Dec. 2, 1961, as amended at 42 FR 15410, 
Mar. 22, 1977; Order No. 960-81, 46 FR 52355, Oct. 27, 1981; Order No. 
1074-84, 49 FR 44995, Nov. 14, 1984]



Sec. 15.3  Removal and defense of suits.

    (a) The U.S. Attorneys are authorized to make the certifications 
provided for in 10 U.S.C. 1089(c), 22 U.S.C. 817(c), 28 U.S.C. 2679(d), 
38 U.S.C. 4116(c), and 42 U.S.C. 233(c) and 2458a(c) with respect to 
civil actions or proceedings brought against Federal employees in their 
respective districts. Such a certification may be withdrawn if a further 
evaluation of the relevant facts or the consideration of new or 
additional evidence calls for such action. The making, withholding, or 
withdrawing of certifications, and the removal and defense of, or the 
refusal to remove and defend, such civil actions or proceedings by the 
U.S. Attorneys shall be subject to the instructions and supervision of 
the Assistant Attorney General in charge of the Civil Division.
    (b) The Assistant Attorney General in charge of the Civil Division 
is authorized:
    (1) To make the certification provided for in 42 U.S.C. 247b(k)(5) 
with respect to civil actions or proceedings brought against program 
participants in various courts of law;
    (2) To withdraw that certification if further evaluation of the 
relevant facts or the consideration of new or additional evidence calls 
for such action;
    (3) To move to revoke such certification pursuant to 42 U.S.C. 
247b(k)(6) should the facts warrant; and

[[Page 229]]

    (4) To redelegate to subordinate division officials the authority 
delegated by this paragraph, provided that such redelegation shall be in 
writing and shall be approved by the Associate Attorney General before 
becoming effective.
    (c) The Assistant Attorney General in charge of the Civil Division 
is authorized:
    (1) To make the certification provided for in section 1631(b) of the 
Department of Defense Authorization Act of 1985, with respect to civil 
actions or proceedings brought against persons for injury, loss of 
property, personal injury or death due to exposure to radiation based on 
acts or omissions by a contractor, as defined in section 1631(d) of the 
Department of Defense Authorization Act of 1985, in carrying out an 
atomic weapons testing program under a contract with the United States 
in any court or other tribunal;
    (2) To withdraw that certification if further evaluation of the 
relevant facts or the consideration of new or additional information 
calls for such action, in the exercise of his sole discretion; and
    (3) To redelegate to subordinate Division officials the authority 
delegated by this paragraph, provided that such redelegation shall be in 
writing and shall be approved by me before becoming effective.

[42 FR 15410, Mar. 22, 1977, as amended by Order No. 1074-84, 49 FR 
44995, Nov. 14, 1984]

                           Appendix to Part 15

                             Civil Division

                          [Directive No. 90-77]

    Editorial Note: At 44 FR 9379, Feb. 13, 1979, Civil Division, 
Directive No. 90-77 was revoked.

 Delegation of Authority of the Assistant Attorney General of the Civil 
Division To Make Certifications, To Withdraw Certifications, and To File 
                           Appropriate Motions

                             Civil Division

                          [Directive No. 90-79]

    1. By virtue of the authority vested in me by part 15 of title 28 of 
the Code of Federal Regulations, particularly Sec. 15.3(b), it is hereby 
ordered as follows:
    2. The authority delegated to the Assistant Attorney General in 
charge of the Civil Division to make the certifications provided for in 
10 U.S.C. 1089(c), 22 U.S.C. 817(c), 28 U.S.C. 2679(d), 38 U.S.C. 
4116(c), and 42 U.S.C. 233(c) and 2458a(c) with respect to civil actions 
or proceedings brought against Federal employees and to certify the 
status of program participants under the National Swine Flu Immunization 
Program of 1976, as that term is defined in 42 U.S.C. 247b(k)(2)(B), and 
as required under 42 U.S.C. 247b(k)(4)-(5), is hereby delegated to any 
Deputy Assistant Attorney General of the Civil Division and to any 
Director of the Torts Branch, any one of whom may individually exercise 
the authority in any given instance. This delegation also includes the 
authority to withdraw the certification and file appropriate motions as 
set forth in Sec. 15.3(b) of title 28 of the Code of Federal 
Regulations.
    3. Civil Division Directive No. 90-77 is hereby revoked.

[44 FR 9379, Feb. 13, 1979]



PART 16--PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION--Table of Contents




  Subpart A--Procedures for Disclosure of Records Under the Freedom of 
                             Information Act

Sec.
16.1  General provisions.
16.2  Public reading rooms.
16.3  Requirements for making requests.
16.4  Responsibility for responding to requests.
16.5  Timing of responses to requests.
16.6  Responses to requests.
16.7  Classified information.
16.8  Business information.
16.9  Appeals.
16.10  Preservation of records.
16.11  Fees.
16.12  Other rights and services.

  Subpart B--Production or Disclosure in Federal and State Proceedings

16.21  Purpose and scope.
16.22  General prohibition of production or disclosure in Federal and 
          State proceedings in which the United States is not a party.
16.23  General disclosure authority in Federal and State proceedings in 
          which the United States is a party.
16.24  Procedure in the event of a demand where disclosure is not 
          otherwise authorized.
16.25  Final action by the Deputy or Associate Attorney General.

[[Page 230]]

16.26  Considerations in determining whether production or disclosure 
          should be made pursuant to a demand.
16.27  Procedure in the event a department decision concerning a demand 
          is not made prior to the time a response to the demand is 
          required.
16.28  Procedure in the event of an adverse ruling.
16.29  Delegation by Assistant Attorneys General.

Appendix to Subpart B--Redelegation of Authority to the Deputy Assistant 
          Attorney General for Litigation, Antitrust Division, To 
          Authorize Production or Disclosure of Material or Information

   Subpart C--Production of FBI Identification Records in Response to 
                  Written Requests by Subjects Thereof

16.30  Purpose and scope.
16.31  Definition of identification record.
16.32  Procedure to obtain an identification record.
16.33  Fee for production of identification record.
16.34  Procedure to obtain change, correction or updating of 
          identification records.

Subpart D--Protection of Privacy and Access to Individual Records Under 
                         the Privacy Act of 1974

16.40  General provisions.
16.41  Requests for access to records.
16.42  Responsibility for responding to requests for access to records.
16.43  Responses to requests for access to records.
16.44  Classified information.
16.45  Appeals from denials of requests for access to records.
16.46  Requests for amendment or correction of records.
16.47  Requests for an accounting of record disclosures.
16.48  Preservation of records.
16.49  Fees.
16.50  Notice of court-ordered and emergency disclosures.
16.51  Security of systems of records.
16.52  Contracts for the operation of record systems.
16.53  Use and collection of social security numbers.
16.54  Employee standards of conduct.
16.55  Other rights and services.

      Subpart E--Exemption of Records Systems Under the Privacy Act

16.70  Exemption of the Office of the Attorney General System--limited 
          access.
16.71  Exemption of the Office of the Deputy Attorney General System--
          limited access.
16.72  Exemption of Office of the Associate Attorney General System--
          limited access.
16.73  Exemption of Office of Legal Policy System--limited access.
16.74  Exemption of Office of Intelligence Policy and Review Systems--
          limited access.
16.75  Exemption of the Office of the Inspector General Systems/Limited 
          Access.
16.76  Exemption of Justice Management Division.
16.77  Exemption of U.S. Trustee Program System--limited access.
16.78  Exemption of the Special Counsel for Immigration-Related, Unfair 
          Employment Practices Systems.
16.79  Exemption of Pardon Attorney Systems.
16.80  Exemption of Office of Professional Responsibility System--
          limited access.
16.81  Exemption of United States Attorneys Systems--limited access.
16.82  Exemption of the National Drug Intelligence Center Data Base--
          limited access.
16.83  Exemption of the Executive Office for Immigration Review System--
          limited access.
16.84  Exemption of Immigration Appeals System.
16.85  Exemption of U.S. Parole Commission--limited access.
16.88  Exemption of Antitrust Division Systems--limited access.
16.89  Exemption of Civil Division Systems--limited access.
16.90  Exemption of Civil Rights Division Systems.
16.91  Exemption of Criminal Division Systems--limited access, as 
          indicated.
16.92  Exemption of Land and Natural Resources Division System--limited 
          access, as indicated.
16.93  Exemption of Tax Division Systems--limited access.
16.96  Exemption of Federal Bureau of Investigation Systems--limited 
          access.
16.97  Exemption of Bureau of Prisons Systems--limited access.
16.98  Exemption of the Drug Enforcement Administration (DEA)--limited 
          access.
16.99  Exemption of the Immigration and Naturalization Service Systems-
          limited access.
16.100  Exemption of Office of Justice Programs--limited access.
16.101  Exemption of U.S. Marshals Service Systems--limited access, as 
          indicated.
16.102  Exemption of Drug Enforcement Administration and Immigration and 
          Naturalization Service Joint System of Records.

[[Page 231]]

16.103  Exemption of the INTERPOL-United States National Central Bureau 
          (INTERPOL-USNCB) System.

       Subpart F--Public Observation of Parole Commission Meetings

16.200  Definitions.
16.201  Voting by the Commissioners without joint deliberation.
16.202  Open meetings.
16.203  Closed meetings--Formal procedure.
16.204  Public notice.
16.205  Closed meetings--Informal procedures.
16.206  Transcripts, minutes, and miscellaneous documents concerning 
          Commission meetings.
16.207  Public access to nonexempt transcripts and minutes of closed 
          Commission meetings--Documents used at meetings--Record 
          retention.
16.208  Annual report.

Appendix I to Part 16--Components of the Department of Justice

    Authority: 5 U.S.C. 301, 552, 552a, 552b(g), 553; 18 U.S.C. 
4203(a)(1); 28 U.S.C. 509, 510, 534; 31 U.S.C. 3717, 9701.



  Subpart A--Procedures for Disclosure of Records Under the Freedom of 
                             Information Act

    Source: Order No. 2156-98, 63 FR 29593, June 1, 1998, unless 
otherwise noted.



Sec. 16.1  General provisions.

    (a) This subpart contains the rules that the Department of Justice 
follows in processing requests for records under the Freedom of 
Information Act (FOIA), 5 U.S.C. 552. These rules should be read 
together with the FOIA, which provides additional information about 
access to records maintained by the Department. Requests made by 
individuals for records about themselves under the Privacy Act of 1974, 
5 U.S.C. 552a, which are processed under subpart D of this part, are 
processed under this subpart also. Information routinely provided to the 
public as part of a regular Department activity (for example, press 
releases issued by the Office of Public Affairs) may be provided to the 
public without following this subpart. As a matter of policy, the 
Department makes discretionary disclosures of records or information 
exempt from disclosure under the FOIA whenever disclosure would not 
foreseeably harm an interest protected by a FOIA exemption, but this 
policy does not create any right enforceable in court.
    (b) As used in this subpart, component means each separate bureau, 
office, board, division, commission, service, or administration of the 
Department of Justice.



Sec. 16.2  Public reading rooms.

    (a) The Department maintains public reading rooms that contain the 
records that the FOIA requires to be made regularly available for public 
inspection and copying. Each Department component is responsible for 
determining which of the records it generates are required to be made 
available in this way and for making those records available either in 
its own reading room or in the Department's central reading room. Each 
component shall maintain and make available for public inspection and 
copying a current subject-matter index of its reading room records. Each 
index shall be updated regularly, at least quarterly, with respect to 
newly included records.
    (b) The Department maintains public reading rooms or areas at the 
locations listed below:
    (1) Bureau of Prisons--on the Seventh Floor, 500 First Street, NW., 
Washington, DC;
    (2) Civil Rights Division--in Room 930, 320 First Street, NW., 
Washington, DC;
    (3) Community Relations Service--in Suite 2000, 600 E Street, NW., 
Washington, DC;
    (4) Drug Enforcement Administration--in Room W-7216, 700 Army Navy 
Drive, Arlington, Virginia;
    (5) Executive Office for Immigration Review (Board of Immigration 
Appeals)--in Suite 2400, 5107 Leesburg Pike, Falls Church, Virginia;
    (6) Federal Bureau of Investigation--at the J. Edgar Hoover 
Building, 935 Pennsylvania Avenue, NW., Washington, DC;
    (7) Foreign Claims Settlement Commission--in Room 6002, 600 E 
Street, NW., Washington, DC;
    (8) Immigration and Naturalization Service--425 I Street, NW., 
Washington, DC;

[[Page 232]]

    (9) Office of Justice Programs--in Room 5430, 810 Seventh Street, 
NW., Washington, DC;
    (10) Pardon Attorney--on the Fourth Floor, 500 First Street, NW., 
Washington, DC;
    (11) United States Attorneys and United States Marshals--at the 
principal offices of the United States Attorneys and the United States 
Marshals, which are listed in most telephone books; and
    (12) All other components of the Department of Justice--in Room 6505 
at the Main Justice Building, 950 Pennsylvania Avenue, NW., Washington, 
DC.
    (c) Components shall also make reading room records created by the 
Department on or after November 1, 1996, available electronically at the 
Department's World Wide Web site (which can be found at http://
www.usdoj.gov), through use of the Department's ``Freedom of Information 
Act Home Page.'' This includes each component's index of its reading 
room records, which will indicate which records are available 
electronically.

[Order No. 2156-98, 63 FR 29593, June 1, 1998; 63 FR 51401, Sept. 25, 
1998]



Sec. 16.3  Requirements for making requests.

    (a) How made and addressed. You may make a request for records of 
the Department of Justice by writing directly to the Department 
component that maintains those records. You may find the Department's 
``Freedom of Information Act Reference Guide''--which is available 
electronically at the Department's World Wide Web site, and is available 
in paper form as well--helpful in making your request. For additional 
information about the FOIA, you may refer directly to the statute. If 
you are making a request for records about yourself, see Sec. 16.41(d) 
for additional requirements. If you are making a request for records 
about another individual, either a written authorization signed by that 
individual permitting disclosure of those records to you or proof that 
that individual is deceased (for example, a copy of a death certificate 
or an obituary) will help the processing of your request. Your request 
should be sent to the component's FOIA office at the address listed in 
appendix I to part 16. In most cases, your FOIA request should be sent 
to a component's central FOIA office. For records held by a field office 
of the Federal Bureau of Investigation (FBI) or the Immigration and 
Naturalization Service (INS), however, you must write directly to that 
FBI or INS field office address, which can be found in most telephone 
books or by calling the component's central FOIA office. (The functions 
of each component are summarized in part 0 of this title and in the 
description of the Department and its components in the ``United States 
Government Manual,'' which is issued annually and is available in most 
libraries, as well as for sale from the Government Printing Office's 
Superintendent of Documents. This manual also can be accessed 
electronically at the Government Printing Office's World Wide Web site 
(which can be found at http://www.access.gpo.gov/su__docs).) If you 
cannot determine where within the Department to send your request, you 
may send it to the FOIA/PA Mail Referral Unit, Justice Management 
Division, U.S. Department of Justice, 950 Pennsylvania Avenue, NW., 
Washington, DC 20530-0001. That office will forward your request to the 
component(s) it believes most likely to have the records that you want. 
Your request will be considered received as of the date it is received 
by the proper component's FOIA office. For the quickest possible 
handling, you should mark both your request letter and the envelope 
``Freedom of Information Act Request.''
    (b) Description of records sought. You must describe the records 
that you seek in enough detail to enable Department personnel to locate 
them with a reasonable amount of effort. Whenever possible, your request 
should include specific information about each record sought, such as 
the date, title or name, author, recipient, and subject matter of the 
record. In addition, if you want records about a court case, you should 
provide the title of the case, the court in which the case was filed, 
and the nature of the case. If known, you should include any file 
designations or descriptions for the records that you want. As a general 
rule, the more specific you are about the records or type

[[Page 233]]

of records that you want, the more likely the Department will be able to 
locate those records in response to your request. If a component 
determines that your request does not reasonably describe records, it 
shall tell you either what additional information is needed or why your 
request is otherwise insufficient. The component also shall give you an 
opportunity to discuss your request so that you may modify it to meet 
the requirements of this section. If your request does not reasonably 
describe the records you seek, the agency's response to your request may 
be delayed.
    (c) Agreement to pay fees. If you make a FOIA request, it shall be 
considered an agreement by you to pay all applicable fees charged under 
Sec. 16.11, up to $25.00, unless you seek a waiver of fees. The 
component responsible for responding to your request ordinarily will 
confirm this agreement in an acknowledgement letter. When making a 
request, you may specify a willingness to pay a greater or lesser 
amount.

[Order No. 2156-98, 63 FR 29593, June 1, 1998; 63 FR 51401, Sept. 25, 
1998]



Sec. 16.4  Responsibility for responding to requests.

    (a) In general. Except as stated in paragraphs (c), (d), and (e) of 
this section, the component that first receives a request for a record 
and has possession of that record is the component responsible for 
responding to the request. In determining which records are responsive 
to a request, a component ordinarily will include only records in its 
possession as of the date the component begins its search for them. If 
any other date is used, the component shall inform the requester of that 
date.
    (b) Authority to grant or deny requests. The head of a component, or 
the component head's designee, is authorized to grant or deny any 
request for a record of that component.
    (c) Consultations and referrals. When a component receives a request 
for a record in its possession, it shall determine whether another 
component, or another agency of the Federal Government, is better able 
to determine whether the record is exempt from disclosure under the FOIA 
and, if so, whether it should be disclosed as a matter of administrative 
discretion. If the receiving component determines that it is best able 
to process the record in response to the request, then it shall do so. 
If the receiving component determines that it is not best able to 
process the record, then it shall either:
    (1) Respond to the request regarding that record, after consulting 
with the component or agency best able to determine whether to disclose 
it and with any other component or agency that has a substantial 
interest in it; or
    (2) Refer the responsibility for responding to the request regarding 
that record to the component best able to determine whether to disclose 
it, or to another agency that originated the record (but only if that 
agency is subject to the FOIA). Ordinarily, the component or agency that 
originated a record will be presumed to be best able to determine 
whether to disclose it.
    (d) Law enforcement information. Whenever a request is made for a 
record containing information that relates to an investigation of a 
possible violation of law and was originated by another component or 
agency, the receiving component shall either refer the responsibility 
for responding to the request regarding that information to that other 
component or agency or consult with that other component or agency.
    (e) Classified information. Whenever a request is made for a record 
containing information that has been classified, or may be appropriate 
for classification, by another component or agency under Executive Order 
12958 or any other executive order concerning the classification of 
records, the receiving component shall refer the responsibility for 
responding to the request regarding that information to the component or 
agency that classified the information, should consider the information 
for classification, or has the primary interest in it, as appropriate. 
Whenever a record contains information that has been derivatively 
classified by a component because it contains information classified by 
another component or agency, the component shall refer the 
responsibility for responding to the request regarding that information 
to

[[Page 234]]

the component or agency that classified the underlying information.
    (f) Notice of referral. Whenever a component refers all or any part 
of the responsibility for responding to a request to another component 
or agency, it ordinarily shall notify the requester of the referral and 
inform the requester of the name of each component or agency to which 
the request has been referred and of the part of the request that has 
been referred.
    (g) Timing of responses to consultations and referrals. All 
consultations and referrals will be handled according to the date the 
FOIA request initially was received by the first component or agency, 
not any later date.
    (h) Agreements regarding consultations and referrals. Components may 
make agreements with other components or agencies to eliminate the need 
for consultations or referrals for particular types of records.



Sec. 16.5  Timing of responses to requests.

    (a) In general. Components ordinarily shall respond to requests 
according to their order of receipt.
    (b) Multitrack processing. (1) A component may use two or more 
processing tracks by distinguishing between simple and more complex 
requests based on the amount of work and/or time needed to process the 
request, including through limits based on the number of pages involved. 
If a component does so, it shall advise requesters in its slower 
track(s) of the limits of its faster track(s).
    (2) A component using multitrack processing may provide requesters 
in its slower track(s) with an opportunity to limit the scope of their 
requests in order to qualify for faster processing within the specified 
limits of the component's faster track(s). A component doing so will 
contact the requester either by telephone or by letter, whichever is 
more efficient in each case.
    (c) Unusual circumstances. (1) Where the statutory time limits for 
processing a request cannot be met because of ``unusual circumstances,'' 
as defined in the FOIA, and the component determines to extend the time 
limits on that basis, the component shall as soon as practicable notify 
the requester in writing of the unusual circumstances and of the date by 
which processing of the request can be expected to be completed. Where 
the extension is for more than ten working days, the component shall 
provide the requester with an opportunity either to modify the request 
so that it may be processed within the time limits or to arrange an 
alternative time period with the component for processing the request or 
a modified request.
    (2) Where a component reasonably believes that multiple requests 
submitted by a requester, or by a group of requesters acting in concert, 
constitute a single request that would otherwise involve unusual 
circumstances, and the requests involve clearly related matters, they 
may be aggregated. Multiple requests involving unrelated matters will 
not be aggregated.
    (d) Expedited processing. (1) Requests and appeals will be taken out 
of order and given expedited treatment whenever it is determined that 
they involve:
    (i) Circumstances in which the lack of expedited treatment could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual;
    (ii) An urgency to inform the public about an actual or alleged 
federal government activity, if made by a person primarily engaged in 
disseminating information;
    (iii) The loss of substantial due process rights; or
    (iv) A matter of widespread and exceptional media interest in which 
there exist possible questions about the government's integrity which 
affect public confidence.
    (2) A request for expedited processing may be made at the time of 
the initial request for records or at any later time. For a prompt 
determination, a request for expedited processing must be received by 
the proper component. Requests based on the categories in paragraphs 
(d)(1)(i), (ii), and (iii) of this section must be submitted to the 
component that maintains the records requested. Requests based on the 
category in paragraph (d)(1)(iv) of this section must be submitted to 
the Director of Public Affairs, whose address is: Office of Public 
Affairs, U.S. Department of Justice, Room 1128, 950 Pennsylvania Avenue, 
NW., Washington DC 20530-

[[Page 235]]

0001. A component that receives a request that must be handled by the 
Office of Public Affairs shall forward it immediately to that office by 
hand-delivery or fax.
    (3) A requester who seeks expedited processing must submit a 
statement, certified to be true and correct to the best of that person's 
knowledge and belief, explaining in detail the basis for requesting 
expedited processing. For example, a requester within the category in 
paragraph (d)(1)(ii) of this section, if not a full-time member of the 
news media, must establish that he or she is a person whose main 
professional activity or occupation is information dissemination, though 
it need not be his or her sole occupation. A requester within the 
category in paragraph (d)(1)(ii) of this section also must establish a 
particular urgency to inform the public about the government activity 
involved in the request, beyond the public's right to know about 
government activity generally. The formality of certification may be 
waived as a matter of administrative discretion.
    (4) Within ten calendar days of its receipt of a request for 
expedited processing, the proper component shall decide whether to grant 
it and shall notify the requester of the decision. If a request for 
expedited treatment is granted, the request shall be given priority and 
shall be processed as soon as practicable. If a request for expedited 
processing is denied, any appeal of that decision shall be acted on 
expeditiously.



Sec. 16.6  Responses to requests.

    (a) Acknowledgements of requests. On receipt of a request, a 
component ordinarily shall send an acknowledgement letter to the 
requester which shall confirm the requester's agreement to pay fees 
under Sec. 16.3(c) and provide an assigned request number for further 
reference.
    (b) Grants of requests. Ordinarily, a component shall have twenty 
business days from when a request is received to determine whether to 
grant or deny the request. Once a component makes a determination to 
grant a request in whole or in part, it shall notify the requester in 
writing. The component shall inform the requester in the notice of any 
fee charged under Sec. 16.11 and shall disclose records to the requester 
promptly on payment of any applicable fee. Records disclosed in part 
shall be marked or annotated to show the amount of information deleted 
unless doing so would harm an interest protected by an applicable 
exemption. The location of the information deleted also shall be 
indicated on the record, if technically feasible.
    (c) Adverse determinations of requests. A component making an 
adverse determination denying a request in any respect shall notify the 
requester of that determination in writing. Adverse determinations, or 
denials of requests, consist of: a determination to withhold any 
requested record in whole or in part; a determination that a requested 
record does not exist or cannot be located; a determination that a 
record is not readily reproducible in the form or format sought by the 
requester; a determination that what has been requested is not a record 
subject to the FOIA; a determination on any disputed fee matter, 
including a denial of a request for a fee waiver; and a denial of a 
request for expedited treatment. The denial letter shall be signed by 
the head of the component, or the component head's designee, and shall 
include:
    (1) The name and title or position of the person responsible for the 
denial;
    (2) A brief statement of the reason(s) for the denial, including any 
FOIA exemption applied by the component in denying the request;
    (3) An estimate of the volume of records or information withheld, in 
number of pages or in some other reasonable form of estimation. This 
estimate does not need to be provided if the volume is otherwise 
indicated through deletions on records disclosed in part, or if 
providing an estimate would harm an interest protected by an applicable 
exemption; and
    (4) A statement that the denial may be appealed under Sec. 16.9(a) 
and a description of the requirements of Sec. 16.9(a).



Sec. 16.7  Classified information.

    In processing a request for information that is classified under 
Executive Order 12958 (3 CFR, 1996 Comp., p. 333)

[[Page 236]]

or any other executive order, the originating component shall review the 
information to determine whether it should remain classified. 
Information determined to no longer require classification shall not be 
withheld on the basis of Exemption 1 of the FOIA. On receipt of any 
appeal involving classified information, the Office of Information and 
Privacy shall take appropriate action to ensure compliance with part 17 
of this title.



Sec. 16.8  Business information.

    (a) In general. Business information obtained by the Department from 
a submitter will be disclosed under the FOIA only under this section.
    (b) Definitions. For purposes of this section:
    (1) Business information means commercial or financial information 
obtained by the Department from a submitter that may be protected from 
disclosure under Exemption 4 of the FOIA.
    (2) Submitter means any person or entity from whom the Department 
obtains business information, directly or indirectly. The term includes 
corporations; state, local, and tribal governments; and foreign 
governments.
    (c) Designation of business information. A submitter of business 
information will use good-faith efforts to designate, by appropriate 
markings, either at the time of submission or at a reasonable time 
thereafter, any portions of its submission that it considers to be 
protected from disclosure under Exemption 4. These designations will 
expire ten years after the date of the submission unless the submitter 
requests, and provides justification for, a longer designation period.
    (d) Notice to submitters. A component shall provide a submitter with 
prompt written notice of a FOIA request or administrative appeal that 
seeks its business information wherever required under paragraph (e) of 
this section, except as provided in paragraph (h) of this section, in 
order to give the submitter an opportunity to object to disclosure of 
any specified portion of that information under paragraph (f) of this 
section. The notice shall either describe the business information 
requested or include copies of the requested records or record portions 
containing the information. When notification of a voluminous number of 
submitters is required, notification may be made by posting or 
publishing the notice in a place reasonably likely to accomplish it.
    (e) Where notice is required. Notice shall be given to a submitter 
wherever:
    (1) The information has been designated in good faith by the 
submitter as information considered protected from disclosure under 
Exemption 4; or
    (2) The component has reason to believe that the information may be 
protected from disclosure under Exemption 4.
    (f) Opportunity to object to disclosure. A component will allow a 
submitter a reasonable time to respond to the notice described in 
paragraph (d) of this section and will specify that time period within 
the notice. If a submitter has any objection to disclosure, it is 
required to submit a detailed written statement. The statement must 
specify all grounds for withholding any portion of the information under 
any exemption of the FOIA and, in the case of Exemption 4, it must show 
why the information is a trade secret or commercial or financial 
information that is privileged or confidential. In the event that a 
submitter fails to respond to the notice within the time specified in 
it, the submitter will be considered to have no objection to disclosure 
of the information. Information provided by the submitter that is not 
received by the component until after its disclosure decision has been 
made shall not be considered by the component. Information provided by a 
submitter under this paragraph may itself be subject to disclosure under 
the FOIA.
    (g) Notice of intent to disclose. A component shall consider a 
submitter's objections and specific grounds for nondisclosure in 
deciding whether to disclose business information. Whenever a component 
decides to disclose business information over the objection of a 
submitter, the component shall give the submitter written notice, which 
shall include:
    (1) A statement of the reason(s) why each of the submitter's 
disclosure objections was not sustained;
    (2) A description of the business information to be disclosed; and

[[Page 237]]

    (3) A specified disclosure date, which shall be a reasonable time 
subsequent to the notice.
    (h) Exceptions to notice requirements. The notice requirements of 
paragraphs (d) and (g) of this section shall not apply if:
    (1) The component determines that the information should not be 
disclosed;
    (2) The information lawfully has been published or has been 
officially made available to the public;
    (3) Disclosure of the information is required by statute (other than 
the FOIA) or by a regulation issued in accordance with the requirements 
of Executive Order 12600 (3 CFR, 1988 Comp., p. 235); or
    (4) The designation made by the submitter under paragraph (c) of 
this section appears obviously frivolous--except that, in such a case, 
the component shall, within a reasonable time prior to a specified 
disclosure date, give the submitter written notice of any final decision 
to disclose the information.
    (i) Notice of FOIA lawsuit. Whenever a requester files a lawsuit 
seeking to compel the disclosure of business information, the component 
shall promptly notify the submitter.
    (j) Corresponding notice to requesters. Whenever a component 
provides a submitter with notice and an opportunity to object to 
disclosure under paragraph (d) of this section, the component shall also 
notify the requester(s). Whenever a component notifies a submitter of 
its intent to disclose requested information under paragraph (g) of this 
section, the component shall also notify the requester(s). Whenever a 
submitter files a lawsuit seeking to prevent the disclosure of business 
information, the component shall notify the requester(s).

[Order No. 2156-98, 63 FR 29593, June 1, 1998; 63 FR 51401, Sept. 25, 
1998]



Sec. 16.9  Appeals.

    (a) Appeals of adverse determinations. If you are dissatisfied with 
a component's response to your request, you may appeal an adverse 
determination denying your request, in any respect, to the Office of 
Information and Privacy, U.S. Department of Justice, Flag Building, 
Suite 570, Washington, DC 20530-0001. You must make your appeal in 
writing and it must be received by the Office of Information and Privacy 
within 60 days of the date of the letter denying your request. Your 
appeal letter may include as much or as little related information as 
you wish, as long as it clearly identifies the component determination 
(including the assigned request number, if known) that you are 
appealing. For the quickest possible handling, you should mark your 
appeal letter and the envelope ``Freedom of Information Act Appeal.'' 
Unless the Attorney General directs otherwise, a Director of the Office 
of Information and Privacy will act on behalf of the Attorney General on 
all appeals under this section, except that:
    (1) In the case of an adverse determination by the Deputy Attorney 
General or the Associate Attorney General, the Attorney General or the 
Attorney General's designee will act on the appeal;
    (2) An adverse determination by the Attorney General will be the 
final action of the Department; and
    (3) An appeal ordinarily will not be acted on if the request becomes 
a matter of FOIA litigation.
    (b) Responses to appeals. The decision on your appeal will be made 
in writing. A decision affirming an adverse determination in whole or in 
part shall contain a statement of the reason(s) for the affirmance, 
including any FOIA exemption(s) applied, and will inform you of the FOIA 
provisions for court review of the decision. If the adverse 
determination is reversed or modified on appeal, in whole or in part, 
you will be notified in a written decision and your request will be 
reprocessed in accordance with that appeal decision.
    (c) When appeal is required. If you wish to seek review by a court 
of any adverse determination, you must first appeal it under this 
section.



Sec. 16.10  Preservation of records.

    Each component shall preserve all correspondence pertaining to the 
requests that it receives under this subpart, as well as copies of all 
requested records, until disposition or destruction is authorized by 
title 44 of the

[[Page 238]]

United States Code or the National Archives and Records Administration's 
General Records Schedule 14. Records will not be disposed of while they 
are the subject of a pending request, appeal, or lawsuit under the FOIA.



Sec. 16.11  Fees.

    (a) In general. Components shall charge for processing requests 
under the FOIA in accordance with paragraph (c) of this section, except 
where fees are limited under paragraph (d) of this section or where a 
waiver or reduction of fees is granted under paragraph (k) of this 
section. A component ordinarily shall collect all applicable fees before 
sending copies of requested records to a requester. Requesters must pay 
fees by check or money order made payable to the Treasury of the United 
States.
    (b) Definitions. For purposes of this section:
    (1) Commercial use request means a request from or on behalf of a 
person who seeks information for a use or purpose that furthers his or 
her commercial, trade, or profit interests, which can include furthering 
those interests through litigation. Components shall determine, whenever 
reasonably possible, the use to which a requester will put the requested 
records. When it appears that the requester will put the records to a 
commercial use, either because of the nature of the request itself or 
because a component has reasonable cause to doubt a requester's stated 
use, the component shall provide the requester a reasonable opportunity 
to submit further clarification.
    (2) Direct costs means those expenses that an agency actually incurs 
in searching for and duplicating (and, in the case of commercial use 
requests, reviewing) records to respond to a FOIA request. Direct costs 
include, for example, the salary of the employee performing the work 
(the basic rate of pay for the employee, plus 16 percent of that rate to 
cover benefits) and the cost of operating duplication machinery. Not 
included in direct costs are overhead expenses such as the costs of 
space and heating or lighting of the facility in which the records are 
kept.
    (3) Duplication means the making of a copy of a record, or of the 
information contained in it, necessary to respond to a FOIA request. 
Copies can take the form of paper, microform, audiovisual materials, or 
electronic records (for example, magnetic tape or disk), among others. 
Components shall honor a requester's specified preference of form or 
format of disclosure if the record is readily reproducible with 
reasonable efforts in the requested form or format by the office 
responding to the request.
    (4) Educational institution means a preschool, a public or private 
elementary or secondary school, an institution of undergraduate higher 
education, an institution of graduate higher education, an institution 
of professional education, or an institution of vocational education, 
that operates a program of scholarly research. To be in this category, a 
requester must show that the request is authorized by and is made under 
the auspices of a qualifying institution and that the records are not 
sought for a commercial use but are sought to further scholarly 
research.
    (5) Noncommercial scientific institution means an institution that 
is not operated on a ``commercial'' basis, as that term is defined in 
paragraph (b)(1) of this section, and that is operated solely for the 
purpose of conducting scientific research the results of which are not 
intended to promote any particular product or industry. To be in this 
category, a requester must show that the request is authorized by and is 
made under the auspices of a qualifying institution and that the records 
are not sought for a commercial use but are sought to further scientific 
research.
    (6) Representative of the news media, or news media requester, means 
any person actively gathering news for an entity that is organized and 
operated to publish or broadcast news to the public. The term ``news'' 
means information that is about current events or that would be of 
current interest to the public. Examples of news media entities include 
television or radio stations broadcasting to the public at large and 
publishers of periodicals (but only in those instances where they can 
qualify as disseminators of ``news'') who make their products available 
for purchase or subscription by the general public. For ``freelance'' 
journalists to be regarded as working for a news organization, they must 
demonstrate a solid basis for

[[Page 239]]

expecting publication through that organization. A publication contract 
would be the clearest proof, but components shall also look to the past 
publication record of a requester in making this determination. To be in 
this category, a requester must not be seeking the requested records for 
a commercial use. However, a request for records supporting the news-
dissemination function of the requester shall not be considered to be 
for a commercial use.
    (7) Review means the examination of a record located in response to 
a request in order to determine whether any portion of it is exempt from 
disclosure. It also includes processing any record for disclosure--for 
example, doing all that is necessary to redact it and prepare it for 
disclosure. Review costs are recoverable even if a record ultimately is 
not disclosed. Review time includes time spent considering any formal 
objection to disclosure made by a business submitter under Sec. 16.8, 
but does not include time spent resolving general legal or policy issues 
regarding the application of exemptions.
    (8) Search means the process of looking for and retrieving records 
or information responsive to a request. It includes page-by-page or 
line-by-line identification of information within records and also 
includes reasonable efforts to locate and retrieve information from 
records maintained in electronic form or format. Components shall ensure 
that searches are done in the most efficient and least expensive manner 
reasonably possible. For example, components shall not search line-by-
line where duplicating an entire document would be quicker and less 
expensive.
    (c) Fees. In responding to FOIA requests, components shall charge 
the following fees unless a waiver or reduction of fees has been granted 
under paragraph (k) of this section:
    (1) Search. (i) Search fees shall be charged for all requests--other 
than requests made by educational institutions, noncommercial scientific 
institutions, or representatives of the news media--subject to the 
limitations of paragraph (d) of this section. Components may charge for 
time spent searching even if they do not locate any responsive record or 
if they withhold the record(s) located as entirely exempt from 
disclosure.
    (ii) For each quarter hour spent by clerical personnel in searching 
for and retrieving a requested record, the fee will be $4.00. Where a 
search and retrieval cannot be performed entirely by clerical 
personnel--for example, where the identification of records within the 
scope of a request requires the use of professional personnel--the fee 
will be $7.00 for each quarter hour of search time spent by professional 
personnel. Where the time of managerial personnel is required, the fee 
will be $10.25 for each quarter hour of time spent by those personnel.
    (iii) For computer searches of records, requesters will be charged 
the direct costs of conducting the search, although certain requesters 
(as provided in paragraph (d)(1) of this section) will be charged no 
search fee and certain other requesters (as provided in paragraph (d)(3) 
of this section) will be entitled to the cost equivalent of two hours of 
manual search time without charge. These direct costs will include the 
cost of operating a central processing unit for that portion of 
operating time that is directly attributable to searching for responsive 
records, as well as the costs of operator/programmer salary 
apportionable to the search.
    (2) Duplication. Duplication fees will be charged to all requesters, 
subject to the limitations of paragraph (d) of this section. For a paper 
photocopy of a record (no more than one copy of which need be supplied), 
the fee will be ten cents per page. For copies produced by computer, 
such as tapes or printouts, components will charge the direct costs, 
including operator time, of producing the copy. For other forms of 
duplication, components will charge the direct costs of that 
duplication.
    (3) Review. Review fees will be charged to requesters who make a 
commercial use request. Review fees will be charged only for the initial 
record review--in other words, the review done when a component 
determines whether an exemption applies to a particular record or record 
portion at the initial request level. No charge will be made for review 
at the administrative appeal level for an exemption already

[[Page 240]]

applied. However, records or record portions withheld under an exemption 
that is subsequently determined not to apply may be reviewed again to 
determine whether any other exemption not previously considered applies; 
the costs of that review are chargeable where it is made necessary by 
such a change of circumstances. Review fees will be charged at the same 
rates as those charged for a search under paragraph (c)(1)(ii) of this 
section.
    (d) Limitations on charging fees. (1) No search fee will be charged 
for requests by educational institutions, noncommercial scientific 
institutions, or representatives of the news media.
    (2) No search fee or review fee will be charged for a quarter-hour 
period unless more than half of that period is required for search or 
review.
    (3) Except for requesters seeking records for a commercial use, 
components will provide without charge:
    (i) The first 100 pages of duplication (or the cost equivalent); and
    (ii) The first two hours of search (or the cost equivalent).
    (4) Whenever a total fee calculated under paragraph (c) of this 
section is $14.00 or less for any request, no fee will be charged.
    (5) The provisions of paragraphs (d) (3) and (4) of this section 
work together. This means that for requesters other than those seeking 
records for a commercial use, no fee will be charged unless the cost of 
search in excess of two hours plus the cost of duplication in excess of 
100 pages totals more than $14.00.
    (e) Notice of anticipated fees in excess of $25.00. When a component 
determines or estimates that the fees to be charged under this section 
will amount to more than $25.00, the component shall notify the 
requester of the actual or estimated amount of the fees, unless the 
requester has indicated a willingness to pay fees as high as those 
anticipated. If only a portion of the fee can be estimated readily, the 
component shall advise the requester that the estimated fee may be only 
a portion of the total fee. In cases in which a requester has been 
notified that actual or estimated fees amount to more than $25.00, the 
request shall not be considered received and further work shall not be 
done on it until the requester agrees to pay the anticipated total fee. 
Any such agreement should be memorialized in writing. A notice under 
this paragraph will offer the requester an opportunity to discuss the 
matter with Department personnel in order to reformulate the request to 
meet the requester's needs at a lower cost.
    (f) Charges for other services. Apart from the other provisions of 
this section, when a component chooses as a matter of administrative 
discretion to provide a special service--such as certifying that records 
are true copies or sending them by other than ordinary mail--the direct 
costs of providing the service ordinarily will be charged.
    (g) Charging interest. Components may charge interest on any unpaid 
bill starting on the 31st day following the date of billing the 
requester. Interest charges will be assessed at the rate provided in 31 
U.S.C. 3717 and will accrue from the date of the billing until payment 
is received by the component. Components will follow the provisions of 
the Debt Collection Act of 1982 (Pub. L. 97-365, 96 Stat. 1749), as 
amended, and its administrative procedures, including the use of 
consumer reporting agencies, collection agencies, and offset.
    (h) Aggregating requests. Where a component reasonably believes that 
a requester or a group of requesters acting together is attempting to 
divide a request into a series of requests for the purpose of avoiding 
fees, the component may aggregate those requests and charge accordingly. 
Components may presume that multiple requests of this type made within a 
30-day period have been made in order to avoid fees. Where requests are 
separated by a longer period, components will aggregate them only where 
there exists a solid basis for determining that aggregation is warranted 
under all the circumstances involved. Multiple requests involving 
unrelated matters will not be aggregated.
    (i) Advance payments. (1) For requests other than those described in 
paragraphs (i)(2) and (3) of this section, a component shall not require 
the requester to make an advance payment--in other words, a payment made 
before

[[Page 241]]

work is begun or continued on a request. Payment owed for work already 
completed (i.e., a prepayment before copies are sent to a requester) is 
not an advance payment.
    (2) Where a component determines or estimates that a total fee to be 
charged under this section will be more than $250.00, it may require the 
requester to make an advance payment of an amount up to the amount of 
the entire anticipated fee before beginning to process the request, 
except where it receives a satisfactory assurance of full payment from a 
requester that has a history of prompt payment.
    (3) Where a requester has previously failed to pay a properly 
charged FOIA fee to any component or agency within 30 days of the date 
of billing, a component may require the requester to pay the full amount 
due, plus any applicable interest, and to make an advance payment of the 
full amount of any anticipated fee, before the component begins to 
process a new request or continues to process a pending request from 
that requester.
    (4) In cases in which a component requires advance payment or 
payment due under paragraph (i)(2) or (3) of this section, the request 
shall not be considered received and further work will not be done on it 
until the required payment is received.
    (j) Other statutes specifically providing for fees. The fee schedule 
of this section does not apply to fees charged under any statute that 
specifically requires an agency to set and collect fees for particular 
types of records. Where records responsive to requests are maintained 
for distribution by agencies operating such statutorily based fee 
schedule programs, components will inform requesters of the steps for 
obtaining records from those sources so that they may do so most 
economically.
    (k) Requirements for waiver or reduction of fees. (1) Records 
responsive to a request will be furnished without charge or at a charge 
reduced below that established under paragraph (c) of this section where 
a component determines, based on all available information, that the 
requester has demonstrated that:
    (i) Disclosure of the requested information is in the public 
interest because it is likely to contribute significantly to public 
understanding of the operations or activities of the government, and
    (ii) Disclosure of the information is not primarily in the 
commercial interest of the requester.
    (2) To determine whether the first fee waiver requirement is met, 
components will consider the following factors:
    (i) The subject of the request: Whether the subject of the requested 
records concerns ``the operations or activities of the government.'' The 
subject of the requested records must concern identifiable operations or 
activities of the federal government, with a connection that is direct 
and clear, not remote or attenuated.
    (ii) The informative value of the information to be disclosed: 
Whether the disclosure is ``likely to contribute'' to an understanding 
of government operations or activities. The disclosable portions of the 
requested records must be meaningfully informative about government 
operations or activities in order to be ``likely to contribute'' to an 
increased public understanding of those operations or activities. The 
disclosure of information that already is in the public domain, in 
either a duplicative or a substantially identical form, would not be as 
likely to contribute to such understanding where nothing new would be 
added to the public's understanding.
    (iii) The contribution to an understanding of the subject by the 
public likely to result from disclosure: Whether disclosure of the 
requested information will contribute to ``public understanding.'' The 
disclosure must contribute to the understanding of a reasonably broad 
audience of persons interested in the subject, as opposed to the 
individual understanding of the requester. A requester's expertise in 
the subject area and ability and intention to effectively convey 
information to the public shall be considered. It shall be presumed that 
a representative of the news media will satisfy this consideration.
    (iv) The significance of the contribution to public understanding: 
Whether the disclosure is likely to contribute ``significantly'' to 
public understanding of government operations or activities. The 
public's understanding of the subject in question, as compared to the 
level of

[[Page 242]]

public understanding existing prior to the disclosure, must be enhanced 
by the disclosure to a significant extent. Components shall not make 
value judgments about whether information that would contribute 
significantly to public understanding of the operations or activities of 
the government is ``important'' enough to be made public.
    (3) To determine whether the second fee waiver requirement is met, 
components will consider the following factors:
    (i) The existence and magnitude of a commercial interest: Whether 
the requester has a commercial interest that would be furthered by the 
requested disclosure. Components shall consider any commercial interest 
of the requester (with reference to the definition of ``commercial use'' 
in paragraph (b)(1) of this section), or of any person on whose behalf 
the requester may be acting, that would be furthered by the requested 
disclosure. Requesters shall be given an opportunity in the 
administrative process to provide explanatory information regarding this 
consideration.
    (ii) The primary interest in disclosure: Whether any identified 
commercial interest of the requester is sufficiently large, in 
comparison with the public interest in disclosure, that disclosure is 
``primarily in the commercial interest of the requester.'' A fee waiver 
or reduction is justified where the public interest standard is 
satisfied and that public interest is greater in magnitude than that of 
any identified commercial interest in disclosure. Components ordinarily 
shall presume that where a news media requester has satisfied the public 
interest standard, the public interest will be the interest primarily 
served by disclosure to that requester. Disclosure to data brokers or 
others who merely compile and market government information for direct 
economic return shall not be presumed to primarily serve the public 
interest.
    (4) Where only some of the records to be released satisfy the 
requirements for a waiver of fees, a waiver shall be granted for those 
records.
    (5) Requests for the waiver or reduction of fees should address the 
factors listed in paragraphs (k)(2) and (3) of this section, insofar as 
they apply to each request. Components will exercise their discretion to 
consider the cost-effectiveness of their investment of administrative 
resources in this decisionmaking process, however, in deciding to grant 
waivers or reductions of fees.

[Order No. 2156-98, 63 FR 29593, June 1, 1998; 63 FR 34965, June 26, 
1998; 63 FR 36295, July 2, 1998; 63 FR 51401, Sept. 25, 1998]



Sec. 16.12  Other rights and services.

    Nothing in this subpart shall be construed to entitle any person, as 
of right, to any service or to the disclosure of any record to which 
such person is not entitled under the FOIA.



  Subpart B--Production or Disclosure in Federal and State Proceedings

    Source: Order No. 919-80, 45 FR 83210, Dec. 18, 1980, unless 
otherwise noted.



Sec. 16.21  Purpose and scope.

    (a) This subpart sets forth procedures to be followed with respect 
to the production or disclosure of any material contained in the files 
of the Department, any information relating to material contained in the 
files of the Department, or any information acquired by any person while 
such person was an employee of the Department as a part of the 
performance of that person's official duties or because of that person's 
official status:
    (1) In all federal and state proceedings in which the United States 
is a party; and
    (2) In all federal and state proceedings in which the United States 
is not a party, including any proceedings in which the Department is 
representing a government employee solely in that employee's individual 
capacity, when a subpoena, order, or other demand (hereinafter 
collectively referred to as a ``demand'') of a court or other authority 
is issued for such material or information.
    (b) For purposes of this subpart, the term employee of the 
Department includes all officers and employees of the United States 
appointed by, or subject to the supervision, jurisdiction, or control of 
the Attorney General of the

[[Page 243]]

United States, including U.S. Attorneys, U.S. Marshals, U.S. Trustees 
and members of the staffs of those officials.
    (c) Nothing in this subpart is intended to impede the appropriate 
disclosure, in the absence of a demand, of information by Department law 
enforcement agencies to federal, state, local and foreign law 
enforcement, prosecutive, or regulatory agencies.
    (d) This subpart is intended only to provide guidance for the 
internal operations of the Department of Justice, and is not intended 
to, and does not, and may not be relied upon to create any right or 
benefit, substantive or procedural, enforceable at law by a party 
against the United States.



Sec. 16.22  General prohibition of production or disclosure in Federal and State proceedings in which the United States is not a party.

    (a) In any federal or state case or matter in which the United 
States is not a party, no employee or former employee of the Department 
of Justice shall, in response to a demand, produce any material 
contained in the files of the Department, or disclose any information 
relating to or based upon material contained in the files of the 
Department, or disclose any information or produce any material acquired 
as part of the performance of that person's official duties or because 
of that person's official status without prior approval of the proper 
Department official in accordance with Secs. 16.24 and 16.25 of this 
part.
    (b) Whenever a demand is made upon an employee or former employee as 
described in paragraph (a) of this section, the employee shall 
immediately notify the U.S. Attorney for the district where the issuing 
authority is located. The responsible United States Attorney shall 
follow procedures set forth in Sec. 16.24 of this part.
    (c) If oral testimony is sought by a demand in any case or matter in 
which the United States is not a party, an affidavit, or, if that is not 
feasible, a statement by the party seeking the testimony or by his 
attorney, setting forth a summary of the testimony sought and its 
relevance to the proceeding, must be furnished to the responsible U.S. 
Attorney. Any authorization for testimony by a present or former 
employee of the Department shall be limited to the scope of the demand 
as summarized in such statement.
    (d) When information other than oral testimony is sought by a 
demand, the responsible U.S. Attorney shall request a summary of the 
information sought and its relevance to the proceeding.



Sec. 16.23  General disclosure authority in Federal and State proceedings in which the United States is a party.

    (a) Every attorney in the Department of Justice in charge of any 
case or matter in which the United States is a party is authorized, 
after consultation with the ``originating component'' as defined in 
Sec. 16.24(a) of this part, to reveal and furnish to any person, 
including an actual or prospective witness, a grand jury, counsel, or a 
court, either during or preparatory to a proceeding, such testimony, and 
relevant unclassified material, documents, or information secured by any 
attorney, or investigator of the Department of Justice, as such attorney 
shall deem necessary or desirable to the discharge of the attorney's 
offical duties: Provided, Such an attorney shall consider, with respect 
to any disclosure, the factors set forth in Sec. 16.26(a) of this part: 
And further provided, An attorney shall not reveal or furnish any 
material, documents, testimony or information when, in the attorney's 
judgment, any of the factors specified in Sec. 16.26(b) exists, without 
the express prior approval by the Assistant Attorney General in charge 
of the division responsible for the case or proceeding, the Director of 
the Executive Office for United States Trustees (hereinafter referred to 
as ``the EOUST''), or such persons' designees.
    (b) An attorney may seek higher level review at any stage of a 
proceeding, including prior to the issuance of a court order, when the 
attorney determines that a factor specified in Sec. 16.26(b) exists or 
foresees that higher level approval will be required before disclosure 
of the information or testimony in question. Upon referral of a matter 
under this subsection, the responsible Assistant Attorney General,

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the Director of EOUST, or their designees shall follow procedures set 
forth in Sec. 16.24 of this part.
    (c) If oral testimony is sought by a demand in a case or matter in 
which the United States is a party, an affidavit, or, if that is not 
feasible, a statement by the party seeking the testimony or by the 
party's attorney setting forth a summary of the testimony sought must be 
furnished to the Department attorney handling the case or matter.



Sec. 16.24  Procedure in the event of a demand where disclosure is not otherwise authorized.

    (a) Whenever a matter is referred under Sec. 16.22 of this part to a 
U.S. Attorney or, under Sec. 16.23 of this part, to an Assistant 
Attorney General, the Director of the EOUST, or their designees 
(hereinafter collectively referred to as the ``responsible official''), 
the responsible official shall immediately advise the official in charge 
of the bureau, division, office, or agency of the Department that was 
responsible for the collection, assembly, or other preparation of the 
material demanded or that, at the time the person whose testimony was 
demanded acquired the information in question, employed such person 
(hereinafter collectively referred to as the ``originating component''), 
or that official's designee. In any instance in which the responsible 
official is also the official in charge of the originating component, 
the responsible official may perform all functions and make all 
determinations that this regulation vests in the originating component.
    (b) The responsible official, subject to the terms of paragraph (c) 
of this section, may authorize the appearance and testimony of a present 
or former Department employee, or the production of material from 
Department files if:
    (1) There is no objection after inquiry of the originating 
component;
    (2) The demanded disclosure, in the judgment of the responsible 
official, is appropriate under the factors specified in Sec. 16.26(a) of 
this part; and
    (3) None of the factors specified in Sec. 16.26(b) of this part 
exists with respect to the demanded disclosure.
    (c) It is Department policy that the responsible official shall, 
following any necessary consultation with the originating component, 
authorize testimony by a present or former employee of the Department or 
the production of material from Department files without further 
authorization from Department officials whenever possible: Provided, 
That, when information is collected, assembled, or prepared in 
connection with litigation or an investigation supervised by a division 
of the Department or by the EOUST, the Assistant Attorney General in 
charge of such a division or the Director of the EOUST may require that 
the originating component obtain the division's or the EOUST's approval 
before authorizing a responsible official to disclose such information. 
Prior to authorizing such testimony or production, however, the 
responsible official shall, through negotiation and, if necessary, 
appropriate motions, seek to limit the demand to information, the 
disclosure of which would not be inconsistent with the considerations 
specified in Sec. 16.26 of this part.
    (d)(1) In a case in which the United States is not a party, if the 
responsible U.S. attorney and the originating component disa