[Title 28 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2003 Edition]
[From the U.S. Government Printing Office]



[[Page 1]]



                    28


          Parts 0 to 42

                         Revised as of July 1, 2003

Judicial Administration





          Containing a codification of documents of general 
          applicability and future effect
          As of July 1, 2003
          With Ancillaries
          Published by
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register



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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2003



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[[Page iii]]




                            Table of Contents



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

  Title 28:
          Chapter I--Department of Justice                           3
  Finding Aids:
      Material Approved for Incorporation by Reference........     831
      Table of CFR Titles and Chapters........................     833
      Alphabetical List of Agencies Appearing in the CFR......     851
      List of CFR Sections Affected...........................     861



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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, 2003), 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, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in 11 separate 
volumes. For the period beginning January 1, 2001, 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) 741-6010.

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 202-741-6000 
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

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Government Manual, the Federal Register, Public Laws, Public Papers, 
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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.archives.gov/federal--
register. The NARA site also contains links to GPO Access.

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

July 1, 2003.



[[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, 2003.

[[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

[[Page 3]]



                    CHAPTER I--DEPARTMENT OF JUSTICE




  --------------------------------------------------------------------
Part                                                                Page
0               Organization of the Department of Justice...           7
1               Executive clemency..........................         101
2               Parole, release, supervision and 
                    recommitment of prisoners, youth 
                    offenders, and juvenile delinquents.....         103
3               Gambling devices............................         207
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..         207
5               Administration and enforcement of Foreign 
                    Agents Registration Act of 1938, as 
                    amended.................................         212
6               Traffic in contraband articles in Federal 
                    penal and correctional institutions.....         224
7               Rewards for capture of escaped Federal 
                    prisoners...............................         224
8               FBI forfeiture authority for certain 
                    statutes................................         225
9               Regulations governing the remission or 
                    mitigation of civil and criminal 
                    forfeitures.............................         228
10              Registration of certain organizations 
                    carrying on activities within the United 
                    States..................................         240
11              Debt collection.............................         242
12              Registration of certain persons having 
                    knowledge of foreign espionage, 
                    counterespionage, or sabotage matters 
                    under the Act of August 1, 1956.........         254
13              Atomic weapons and special nuclear materials 
                    rewards regulations.....................         257
14              Administrative claims under Federal Tort 
                    Claims Act..............................         259
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.......         266
16              Production or disclosure of material or 
                    information.............................         268

[[Page 4]]

17              Classified National Security Information and 
                    access to classified information........         382
18              Office of Justice Programs hearing and 
                    appeal procedures.......................         398
19              Use of penalty mail in the location and 
                    recovery of missing children............         403
20              Criminal justice information systems........         406
21              Witness fees................................         420
22              Confidentiality of identifiable research and 
                    statistical information.................         424
23              Criminal intelligence systems operating 
                    policies................................         428
24              Implementation of the Equal Access to 
                    Justice Act in Department of Justice 
                    administrative proceedings..............         432
25              Department of Justice information systems...         437
26              Implementation of death sentences in Federal 
                    cases...................................         445
27              Whistleblower protection for Federal Bureau 
                    of Investigation employees..............         447
28              DNA identification system...................         451
29              Motor Vehicle Theft Prevention Act 
                    regulations.............................         452
30              Intergovernmental review of Department of 
                    Justice programs and activities.........         454
31              OJJDP grant programs........................         458
32              Public safety officers' death and disability 
                    benefits................................         479
33              Bureau of Justice Assistance grant programs.         496
34              OJJDP competition and peer review procedures         513
35              Nondiscrimination on the basis of disability 
                    in state and local government services..         518
36              Nondiscrimination on the basis of disability 
                    by public accommodations and in 
                    commercial facilities...................         557
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..............         733
39              Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Department 
                    of Justice..............................         739
40              Standards for inmate grievance procedures...         762
41              Implementation of Executive Order 12250, 
                    nondiscrimination on the basis of 
                    handicap in federally assisted programs.         767
42              Nondiscrimination; equal employment 
                    opportunity; policies and procedures....         774

[[Page 5]]


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

  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.

Supplementary 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.
0.111B  Witness Security Program.
0.112  Special deputation.
0.113  Redelegation of authority.
0.114  Fees for services.

           Subpart U--Executive Office for Immigration Review

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--Bureau of Alcohol, Tobacco, Firearms, and Explosives

0.130  General functions.
0.131  Specific functions.
0.132  Delegation respecting claims against the Bureau of Alcohol, 
          Tobacco, Firearms, and Explosives.
0.133  Transition and continuity of regulations.

  Subpart W-1--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

0.135  Functions common to heads of organizational units.
0.136  Designation of Acting United States Attorneys.
0.137  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

0.138  Federal Bureau of Investigation, Drug Enforcement Administration, 
          Bureau of Alcohol, Tobacco, Firearms, and Explosives, 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.

[[Page 10]]

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.
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.

[[Page 11]]

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.
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.
Bureau of Alcohol, Tobacco, Firearms, and Explosives

                                 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; Order No. 2650-2003, 68 FR 4926, Jan. 31, 2003]



                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,

[[Page 12]]

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 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,

[[Page 13]]

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 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.

[[Page 14]]

    (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 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.

[[Page 15]]

    (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 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

[[Page 16]]

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.
    (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

[[Page 17]]

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)).
    (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]

[[Page 18]]



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:
    (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

[[Page 19]]

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
    (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

[[Page 20]]

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 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.

[[Page 21]]

    (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]



              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 
criminal wrongdoing or serious administrative misconduct by Department 
employees shall be reported to the OIG, or to a supervisor or a 
Department component's internal affairs office for referral to the OIG, 
except as provided in paragraph (b) 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

[[Page 22]]

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 by the OIG 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 by the OIG to the FBI-OPR except 
as provided in Sec. 0.29d of this subpart, or to the Deputy Attorney 
General.

[Order No. 2167-98, 63 FR 36847, July 8, 1998, as amended by Order No. 
2492-2001, 66 FR 37903, July 20, 2001]



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 
when they are reported as provided in Sec. 27.1 of this chapter. Any 
office or official (other than the OIG or DOJ-OPR) receiving a protected 
disclosure shall promptly report such disclosure to the OIG or DOJ-OPR. 
The OIG or DOJ-OPR may 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.

[Order No. 2167-98, 63 FR 36847, July 8, 1998, as amended by Order No. 
2492-2001, 66 FR 37903, July 20, 2001]



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 allegations of misconduct within DOJ-
OPR's jurisdiction and may refer to another component the investigation 
of an allegation of misconduct on the part of an employee of that 
component;
    (2) The OIG may refer to a Department component's internal affairs 
office allegations of misconduct within that office's jurisdiction or 
may investigate such allegations on its own;
    (3) DOJ-OPR refers to the OIG 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.
    (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) All Department components report to the OIG all non-frivolous 
allegations of criminal wrongdoing and serious administrative 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 DOJ-OPR. In such instances, the OIG shall either:
    (i) Notify DOJ-OPR 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 DOJ-OPR 
shall undertake

[[Page 23]]

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, as amended by Order No. 2492-2001, 66 FR 37903, July 20, 2001]



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 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 criminal 
wrongdoing and administrative misconduct of Department employees and 
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;

[[Page 24]]

    (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.

[Order No. 2167-98, 63 FR 36847, July 8, 1998, as amended by Order No. 
2492-2001, 66 FR 37903, July 20, 2001]



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 
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.

[[Page 25]]



          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 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

[[Page 26]]

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.
    (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]

[[Page 27]]



        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 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.

[[Page 28]]

    (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
    (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.

[[Page 29]]



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 
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

[[Page 30]]

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 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

[[Page 31]]

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]

  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

[[Page 32]]

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.
    (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

[[Page 33]]

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, 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

[[Page 34]]

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, 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

[[Page 35]]

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 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, which appears in the Finding Aids 
section of the printed volume and on GPO Access.

[[Page 36]]



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.).
    (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;

[[Page 37]]

    (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 of Part 0

                          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.

                               [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)

[[Page 38]]

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 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.

[[Page 39]]

    (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, which appears in the Finding Aids 
section of the printed volume and on GPO Access.



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 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

[[Page 40]]

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 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]

[[Page 41]]



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 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

[[Page 42]]

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 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 of Part 0

                            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

[[Page 43]]

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 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

[[Page 44]]

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 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

[[Page 45]]

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:
    (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

[[Page 46]]

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 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

[[Page 47]]

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 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

[[Page 48]]

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.
    (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)).

[[Page 49]]

    (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).
    (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 Federal Register citations affecting Sec. 0.76, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.



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:

[[Page 50]]

    (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 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

[[Page 51]]

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 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.

[[Page 52]]

    (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.
    (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, which appears in the Finding Aids 
section of the printed volume and on GPO Access.

[[Page 53]]



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 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 $50,000 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; Order No. 2314-
2000, 65 FR 44683, July 19, 2000]



      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,

[[Page 54]]

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 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:

[[Page 55]]

    (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 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

[[Page 56]]

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.
    (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

[[Page 57]]

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.
    (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

[[Page 58]]

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 of Part 0--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 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, and 
except where functions under 21 U.S.C. 878(a)(5) do not relate to, arise 
from, or supplement investigations of matters concerning drugs, 
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

[[Page 59]]

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; Order No. 2666-
2003, 68 FR 14899, Mar. 27, 2003]



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. 
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 or demands 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, as amended by Order No. 
2614-2002, 67 FR 58990, Sept. 19, 2002]

[[Page 60]]



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 of Part 0--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, the DEA Deputy Administrator, 
Assistant Administrators and Office Heads, and the FBI Executive 
Assistant Directors, Assistant Directors, Deputy Assistant Directors, 
and Section Chiefs, are authorized to release information pursuant to 28 
CFR 0.103(a)(1) and (2) that is obtained by the DEA and the FBI, and to 
authorize the testimony of DEA and FBI officials in response to 
prosecution subpoenas or demands 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) that is obtained by a DEA laboratory, and to 
authorize the testimony of DEA laboratory personnel in response to 
prosecution subpoenas or demands 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 Inspectors and Associate Deputy Chief Inspectors of the 
Office of Inspections and 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; FBI 
Supervisory Senior Resident Agents; DEA Special Agent Group Supervisors; 
and those FBI Special Agent Squad Supervisors who have management 
responsibility over Organized Crime/Drug Program Investigations, are 
authorized to sign and issue subpoenas with respect to controlled 
substances, listed chemicals, tableting machines 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 and the Director of DEA's 
Mid-Atlantic Laboratory are authorized to execute any certification 
required to authenticate any documents pursuant to 28 CFR 0.146. The 
Chief

[[Page 61]]

Counsel is also authorized 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 DEA 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 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, Investigative Support Section, Office of Operations 
Management, 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, Investigative Support Section, Office of Operations Management, 
Operations Division is authorized

[[Page 62]]

to exercise all necessary functions with respect to the cross-
designation of Federal law enforcement officers to undertake title 21 
drug investigations under supervision of the DEA pursuant to 21 U.S.C. 
873(b).
    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; 
Order No 2614-2002, 67 FR 58990, September 19, 2002]



            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, 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.

[[Page 63]]

    (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. 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

[[Page 64]]

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.
    (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

[[Page 65]]

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. 0.111B  Witness Security Program.

    (a) In connection with the protection of a witness, a potential 
witness, or an immediate family member or close associate of a witness 
or potential witness, the Director of the United States Marshals Service 
and officers of the United States Marshals Service designated by the 
Director may:
    (1) Provide suitable documents to enable the person to establish a 
new identity or otherwise protect the person;
    (2) Provide housing for the person;
    (3) Provide for the transportation of household furniture and other 
personal property to a new residence of the person;
    (4) Provide to the person a payment to meet basic living expenses in 
a sum established in accordance with regulations issued by the Director, 
for such time as the Attorney General determines to be warranted;
    (5) Assist the person in obtaining employment;
    (6) Provide other services necessary to assist the person in 
becoming self-sustaining;
    (7) Protect the confidentiality of the identify and location of 
persons subject to registration requirements as convicted offenders 
under Federal or State law, including prescribing alternative procedures 
to those otherwise provided by Federal or State law for registration and 
tracking of such persons; and
    (8) Exempt procurement for services, materials, and supplies, and 
the renovation and construction of safe sites within existing buildings 
from other provision of law as may be required to maintain the security 
of protective witnesses and the integrity of the Witness Security 
Program.
    (b) The identity or location or any other information concerning a 
person receiving protection under 18 U.S.C. 3521 et seq., or any other 
matter concerning the person or the Program, shall not be disclosed 
except at the direction of the Attorney General, the Assistant Attorney 
General in charge of the Criminal Division, or the Director of the 
Witness Security Program. However, upon request of State or local law 
enforcement officials, the Director shall, without undue delay, disclose 
to such officials the identity, location, criminal records, and 
fingerprints relating to the person relocated or protected when the 
Director knows or the request indicates that the person is under 
investigation for or has been arrested for or charged with an offense 
that is punishable by more than one year in prison or that is a crime of 
violence.

[Order No. 2511-2001, 66 FR 47383, Sept. 12, 2001]



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

[[Page 66]]

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]



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 from one U.S. Marshals Service 
Office or suboffice to another--$8 per item forwarded;
    (2) For process served by mail--$8 per item mailed;
    (3) For process served or executed personally--$45 per hour (or 
portion thereof) for each item served by one U.S. Marshals Service 
employee, agent, or contractor, plus travel costs and any other out-of-
pocket expenses. For each additional U.S. Marshals Service employee, 
agent, or contractor who is needed to serve process--$45 per person per 
hour for each item served, plus travel costs and any other out-of-pocket 
expenses.
    (4) For copies at the request of any party--$.10 per page;
    (5) For preparing notice of sale, bill of sale, or U.S. Marshal 
deed--$20 per item;
    (6) For keeping and advertisement of property attached-- actual 
expenses incurred in seizing, maintaining, and disposing of property.
    (b) Out-of-pocket expenses include, but are not limited to, 
advertising, inventorying, storage, moving, insurance, guard hire, 
prisoner transportation and housing, and any other third-party 
expenditure incurred in executing process.
    (c) Travel costs, including mileage, shall be calculated according 
to 5 U.S.C. chapter 57.
    (d) ``Item'' is defined as all documents issued in one action which 
are served simultaneously on one person or organization.
    (e) ``Process'' is defined to include, but is not limited to, a 
summons and complaint, subpoena, writ, orders, and the execution of 
court-ordered injunctions, and civil commitments on behalf of a 
requesting party. Process may also include the execution of ancillary 
court orders (other than subpoenas issued on behalf of indigent 
defendants and arrest warrants) in criminal cases.
    (f) 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.
    (g) 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.
    (h) 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, as amended by Order No. 2316-2000, 65 FR 
47862, Aug. 4, 2000]



           Subpart U--Executive Office for Immigration Review

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



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.

[[Page 67]]

    (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 twenty 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; Order No. 2511-2001, 66 FR 47380, 
Sept. 12, 2001]



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.



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;

[[Page 68]]

    (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, 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--Bureau of Alcohol, Tobacco, Firearms, and Explosives

    Source: Order No. 2650-2003, 68 FR 4926, Jan. 31, 2003, unless 
otherwise noted.



Sec. 0.130  General functions.

    Subject to the direction of the Attorney General and the Deputy 
Attorney General, the Director of the Bureau of

[[Page 69]]

Alcohol, Tobacco, Firearms, and Explosives shall:
    (a) Investigate, administer, and enforce the laws related to 
alcohol, tobacco, firearms, explosives, and arson, and perform other 
duties as assigned by the Attorney General, including exercising the 
functions and powers of the Attorney General under the following 
provisions of law:
    (1) 18 U.S.C. chapters 40 (related to explosives), 44 (related to 
firearms), 59 (related to liquor trafficking), and 114 (related to 
trafficking in contraband cigarettes);
    (2) Chapter 53 of the Internal Revenue Code of 1986, 26 U.S.C. 
chapter 53 (related to certain firearms and destructive devices);
    (3) Chapters 61 through 80, inclusive, of the Internal Revenue Code 
of 1986, 26 U.S.C. chapters 61--80, insofar as they relate to activities 
administered and enforced with respect to chapter 53 of the Internal 
Revenue Code of 1986, 26 U.S.C. chapter 53;
    (4) 18 U.S.C. 1952 and 3667, insofar as they relate to liquor 
trafficking;
    (5) 49 U.S.C. 80303 and 80304, insofar as they relate to contraband 
described in section 80302(a)(2) or 80302(a)(5); and
    (6) 18 U.S.C. 1956 and 1957, insofar as they involve violations of:
    (i) 18 U.S.C. 844(f) or (i) (relating to explosives or arson),
    (ii) 18 U.S.C. 922(l) (relating to the illegal importation of 
firearms),
    (iii) 18 U.S.C. 924(n) (relating to illegal firearms trafficking),
    (iv) 18 U.S.C. 1952 (relating to traveling in interstate commerce in 
aid of racketeering enterprises insofar as they concern liquor on which 
Federal excise tax has not been paid);
    (v) 18 U.S.C. 2341--2346 (trafficking in contraband cigarettes);
    (vi) Section 38 of the Arms Export Control Act, as added by Public 
Law 94-329, section 212(a)(1), as amended, 22 U.S.C. 2778 (relating to 
the importation of items on the U.S. Munitious Import List), except 
violations relating to exportation, in transit, temporary import, or 
temporary export transactions;
    (vii) 18 U.S.C. 1961 insofar as the offense is an act or threat 
involving arson that is chargeable under State law and punishable by 
imprisonment for more than one year; and
    (viii) Any offense relating to the primary jurisdiction of Bureau of 
Alcohol, Tobacco, Firearms, and Explosives that the United States would 
be obligated by a multilateral treaty either to extradite the alleged 
offender or to submit the case for prosecution if the offender were 
found within the territory of the United States;
    (b) Investigate, seize, and forfeit property involved in a violation 
or attempted violation within the investigative jurisdiction set out in 
paragraph (a), under 18 U.S.C. 981 and 982;
    (c) Subject to the limitations of 3 U.S.C. 301, exercise the 
authorities of the Attorney General under section 38 of the Arms Export 
Control Act, 22 U.S.C. 2778, relating to the importation of defense 
articles and defense services, including those authorities set forth in 
27 CFR part 47; and
    (d) Perform any other function related to the investigation of 
violent crime or domestic terrorism as may be delegated to the Bureau of 
Alcohol, Tobacco, Firearms, and Explosives by the Attorney General.



Sec. 0.131  Specific functions.

    The Director of the Bureau of Alcohol, Tobacco, Firearms, and 
Explosives shall:
    (a) Operate laboratories in support of Bureau activities; provide, 
with or without cost, technical and scientific assistance, including 
expert testimony, to Federal, State, or local agencies; and make 
available the services of the laboratories to foreign law enforcement 
agencies and courts under procedures agreed upon by the Secretary of 
State and the Attorney General;
    (b) Operate the National Explosives Licensing Center to review 
applications for explosives licenses and permits; determine the 
eligibility of applicants; issue licenses and permits on approved 
explosives applications; coordinate with field offices the inspection of 
applicants, licensees, and permittees; and maintain an explosives 
license and permit database;
    (c) Operate the National Firearms Licensing Center to review 
applications for firearms licenses; determine the eligibility of 
applicants; issue licenses on approved firearms applications; coordinate 
with field offices the inspection of

[[Page 70]]

applicants and licensees; and maintain a firearms license database;
    (d) Maintain and operate the National Firearms Registration and 
Transfer Record (NFRTR), pursuant to section 5841 of the Internal 
Revenue Code of 1986, 26 U.S.C. 5841, as a registry of all National 
Firearms Act (NFA) firearms in the United States that are not in the 
possession or under the control of the United States;
    (e) Maintain and operate the Arson and Explosives National 
Repository, a national repository of information on incidents involving 
arson and the suspected criminal misuse of explosives, under 18 U.S.C. 
846(b);
    (f) Maintain and operate the National Tracing Center to process 
requests from Federal, State, local, and foreign law enforcement 
agencies for the tracing of crime guns; and collect and analyze trace 
data, out-of-business records, reports of firearms stolen or lost from 
the inventories of licensees or interstate shipments, and multiple sales 
reports contained in the Firearms Tracing System (FTS), under 18 U.S.C. 
chapter 44;
    (g) Establish, maintain and operate an Explosives Training and 
Research Facility to train Federal, State, and local law enforcement 
officers to investigate bombings and explosions, properly handle, 
utilize, and dispose of explosives materials and devices, train canines 
as explosives detection canines, and conduct research on explosives, as 
authorized by section 1114 of the Homeland Security Act of 2002;
    (h) Pay awards for information or assistance and pay for the 
purchase of evidence or information as authorized by 28 U.S.C. 524;
    (i) Subject to applicable statutory restrictions on the disclosure 
of records of information:
    (1) Release information obtained by the Bureau and Bureau 
investigative reports to Federal, State, and local officials engaged in 
the enforcement of laws related to alcohol, tobacco, arson, firearms, 
and explosives offenses;
    (2) Release information obtained by Bureau and Bureau 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 alcohol, tobacco, arson, firearms 
and explosives offenses;
    (3) Authorize the testimony of Bureau officials in response to 
subpoenas or demands issued by the prosecution in Federal, State, or 
local criminal cases involving offenses under the jurisdiction of the 
Bureau; and
    (4) Except as provided in paragraph (i)(1) of this section, 
authorize all other production of information or testimony of Bureau 
officials in response to subpoenas or demands of courts or other 
authorities as governed by subpart B of part 16 of this chapter.



Sec. 0.132  Delegation respecting claims against the Bureau of Alcohol, Tobacco, Firearms, and Explosives.

    (a) The Director of the Bureau of Alcohol, Tobacco, Firearms, and 
Explosives is authorized to exercise the power and authority vested in 
the Attorney General under 28 U.S.C. 2672 to consider, ascertain, 
adjust, determine, compromise and settle any claim thereunder not 
exceeding $50,000 in any one case caused by the negligent or wrongful 
act or omission of any employee of the Bureau of Alcohol, Tobacco, 
Firearms, and Explosives.
    (b) The Director of the Bureau of Alcohol, Tobacco, Firearms, and 
Explosives is authorized to exercise the power and authority vested in 
the Attorney General under 31 U.S.C. 3724, with regard to claims arising 
out of the lawful activities of Bureau of Alcohol, Tobacco, Firearms, 
and Explosives personnel in an amount not to exceed $50,000 in any one 
case.
    (c) The Director of the Bureau of Alcohol, Tobacco, Firearms, and 
Explosives is authorized to redelegate the power and authority vested in 
him in paragraph (b) of this section to the Chief Counsel of the Bureau 
of Alcohol, Tobacco, Firearms, and Explosives 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.



Sec. 0.133  Transition and continuity of regulations.

    (a) Except as otherwise provided in this section, and to the extent 
applicable to the functions transferred to the

[[Page 71]]

Department of Justice by the Homeland Security Act of 2002:
    (1) The regulations contained in 27 CFR part 46, subpart F 
(Distribution of Cigarettes), part 47 (Importation of Arms, Ammunition 
and Implements of War), part 55 (Commerce in Explosives), part 178 
(Commerce in Firearms and Ammunition), and part 179 (Machine Guns, 
Destructive Devices, and Certain Other Firearms) as in effect on January 
23, 2003 (see 27 CFR chapter I, revised as of July 1, 2002), shall 
continue in effect with respect to the operations of the Bureau of 
Alcohol, Tobacco, Firearms, and Explosives according to their terms 
until amended, modified, superseded, terminated, set aside, or revoked 
in accordance with law.
    (2) The regulations promulgated by the Department of the Treasury 
relating to the Bureau of Alcohol, Tobacco and Firearms, or by the 
Bureau of Alcohol, Tobacco and Firearms of the Department of the 
Treasury, in effect as of January 23, 2003, shall continue to apply to 
the operations of the Bureau of Alcohol, Tobacco, Firearms, and 
Explosives until amended, modified, superseded, terminated, set aside, 
or revoked in accordance with law, unless the application of such 
regulations would be inconsistent with statutes or regulations 
applicable to the Department of Justice.
    (3) All orders, delegations, determinations, rules, personnel 
actions, permits, agreements, grants, contracts, certificates, licenses, 
registrations, and privileges of the Bureau of Alcohol, Tobacco and 
Firearms completed or in effect as of January 23, 2003, and all matters 
and proceedings pending therein on January 23, 2003, shall continue in 
effect according to their terms, to the extent that they relate to the 
authorities or functions transferred to the Department of Justice 
pursuant to the Homeland Security Act of 2002, until amended, modified, 
superseded, terminated, set aside, or revoked in accordance with law, 
unless such application would be inconsistent with statutes or 
regulations applicable to the Department of Justice.
    (4) References in such regulations, orders, delegations, 
determinations, rules, personnel actions, permits, agreements, grants, 
contracts, certificates, licenses, registrations, and privileges to the 
Secretary of Treasury, the Department of Treasury, the Director of the 
Bureau of Alcohol, Tobacco and Firearms, or the Bureau of Alcohol, 
Tobacco and Firearms or its officers, employees, agents or 
organizational units or functions shall be deemed to refer, as 
appropriate, on and after January 24, 2003, to the Attorney General, the 
Department of Justice, the Director of the Bureau of Alcohol, Tobacco, 
Firearms, and Explosives, the Bureau of Alcohol, Tobacco, Firearms, and 
Explosives or to its officers, employees, or agents or its corresponding 
organizational units or functions, respectively.
    (b) Exceptions. Notwithstanding the provisions of paragraph (a) of 
this section, 27 CFR part 72, and 27 CFR 46.155, 178.152 and 179.182 as 
in effect on January 23, 2003, shall not be deemed applicable to the 
Bureau of Alcohol, Tobacco, Firearms, and Explosives.



  Subpart W-1--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. 0.135  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.

[[Page 72]]

    (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. Redesignated by Order No. 2650-2003, 68 FR 4926, Jan. 31, 
2003]



Sec. 0.136  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. Redesignated by Order No. 
2650-2003, 68 FR 4926, Jan. 31, 2003]



Sec. 0.137  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. Redesignated by Order No. 2650-2003, 68 
FR 4926, Jan. 31, 2003]

[[Page 73]]



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




Sec. 0.138  Federal Bureau of Investigation, Drug Enforcement Administration, 
Bureau of Alcohol, Tobacco, Firearms, and Explosives, 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 Alcohol, Tobacco, Firearms, and Explosives, 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 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, as amended by Order No. 
2650-2003, 68 FR 4927, Jan. 31, 2003]



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 Bureau of 
Alcohol, Tobacco, Firearms, and Explosives, 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; Order No. 2650-
2003, 68 FR 4927, Jan. 31, 2003]



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, the Director of

[[Page 74]]

the Bureau of Alcohol, Tobacco, Firearms, and Explosives, 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; Order No. 2650-2003, 68 FR 4927, Jan. 31, 2003]



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 Bureau of Alcohol, 
Tobacco, Firearms, and Explosives, 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 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, the 
Director of the Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
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; Order No. 2650-2003, 68 FR 4927, Jan. 31, 
2003]



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 Bureau of 
Alcohol, Tobacco, Firearms, and Explosives, the Director of the Office 
of Justice Assistance, Research and Statistics, the Director of the 
Executive Office for U.S.

[[Page 75]]

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; Order No. 2650-2003, 68 FR 4927, Jan. 31, 
2003]



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 
Bureau of Alcohol, Tobacco, Firearms, and Explosives, Director of the 
Office of Justice Assistance, Research and Statistics, Director of the 
Executive Office for United 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, as amended by Order No. 
2650-2003, 68 FR 4928, Jan. 31, 2003]



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 Bureau of 
Alcohol, Tobacco, Firearms, and Explosives, 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; Order No. 2650-
2003, 68 FR 4928, Jan. 31, 2003]



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 Bureau of Alcohol, Tobacco, 
Firearms, and Explosives, 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

[[Page 76]]

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; Order No. 2650-
2003, 68 FR 4928, Jan. 31, 2003]



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 Bureau of Alcohol, Tobacco, Firearms, and 
Explosives, the Assistant Director, 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, as amended by Order No. 
2650-2003, 68 FR 4928, Jan. 31, 2003]



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 Commissioner of the Immigration and Naturalization 
Service, the Administrator of the Drug Enforcement Administration, the 
Director of the Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
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, as amended by Order No. 
2650-2003, 68 FR 4928, Jan. 31, 2003]



Sec. 0.149  Cash payments.

    (a) 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 Director of the Bureau of Alcohol, Tobacco, 
Firearms, and Explosives, 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:
    (1) Request Department of the Treasury designation of disbursing 
employees (including cashiers),
    (2) Approve waivers of the Department of the Treasury maximum 
limitation on routine payments of cash from imprest funds, and
    (3) Approve requests to place imprest funds in depositary cash 
demand withdrawal accounts and establish the maximum amount of each 
account.
    (b) 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, as amended by Order No. 
2650-2003, 68 FR 4928, Jan. 31, 2003]



Sec. 0.150  Collection of erroneous payments.

    The Director of the Federal Bureau of Investigation for the FBI and 
the

[[Page 77]]

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 Bureau of 
Alcohol, Tobacco, Firearms, and Explosives, 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; Order No. 2650-2003, 68 FR 4928, Jan. 31, 
2003]



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, the Director of the Bureau of Alcohol, Tobacco, 
Firearms, and Explosives, 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 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; Order No. 2650-2003, 68 FR 4928, Jan. 31, 2003]



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 Bureau of Alcohol, Tobacco, Firearms, and Explosives, 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, as amended by Order No. 
2650-2003, 68 FR 4928, Jan. 31, 2003]



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

[[Page 78]]

Enforcement Administration, the Director of the Bureau of Alcohol, 
Tobacco, Firearms, and Explosives, 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; Order No. 2650-
2003, 68 FR 4928, Jan. 31, 2003]



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, the Director of the Bureau of 
Alcohol, Tobacco, Firearms, and Explosives, 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; Order No. 2650-2003, 68 FR 4928, Jan. 31, 2003]



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.



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]

[[Page 79]]



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 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

[[Page 80]]

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 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

[[Page 81]]

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 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''.

    (a) The phrase gross amount of the original claim as used in this 
subpart Y and as applied to any civil fraud claim

[[Page 82]]

described in Sec. 0.45(d), shall mean the amount of single damages 
involved.
    (b) 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. 2343-2000, 65 FR 78414, Dec. 15, 2000]



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 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).

[[Page 83]]

    (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 the Immigration and 
Naturalization Service, 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 United States Marshals 
Service, and the Drug Enforcement Administration, respectively, under 
section 2672 of title 28, United States Code, relating to the 
administrative settlement of Federal tort claims, if the amount of a 
proposed adjustment, compromise, settlement, or award does not exceed 
$50,000. When, in the opinion of one of those officials, 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 before taking action on the claim.
    (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; Order No. 2328-2000, 65 FR 60100, Oct. 
10, 2000]

     Appendix to Subpart Y of Part 0--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.

[[Page 84]]

                          [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 $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

[[Page 85]]

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 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.

[[Page 86]]

    (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 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

[[Page 87]]

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 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.

[[Page 88]]

                  [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 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]

[[Page 89]]

                   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 
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

[[Page 90]]

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 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

[[Page 91]]

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.
    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

[[Page 92]]

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 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]

[[Page 93]]

                            [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 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.

[[Page 94]]

    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.

                           [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.

[[Page 95]]

                           [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 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

[[Page 96]]

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 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

[[Page 97]]

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 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

[[Page 98]]

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 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]

[[Page 99]]



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 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

[[Page 100]]

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 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

[[Page 101]]

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; notification of victims; 
          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  Procedures applicable to prisoners under a sentence of death 
          imposed by a United States District Court.
1.11  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 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.

[[Page 102]]



Sec. 1.6  Consideration of petitions; notification of victims; 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 or 
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)(1) When a person requests clemency (in the form of either a 
commutation of a sentence or a pardon after serving a sentence) for a 
conviction of a felony offense for which there was a victim, and the 
Attorney General concludes from the information developed in the 
clemency case that investigation of the clemency case warrants 
contacting the victim, the Attorney General shall cause reasonable 
effort to be made to notify the victim or victims of the crime for which 
clemency is sought:
    (i) That a clemency petition has been filed;
    (ii) That the victim may submit comments regarding clemency; and
    (iii) Whether the clemency request ultimately is granted or denied 
by the President.
    (2) In determining whether contacting the victim is warranted, the 
Attorney General shall consider the seriousness and recency of the 
offense, the nature and extent of the harm to the victim, the 
defendant's overall criminal history and history of violent behavior, 
and the likelihood that clemency could be recommended in the case.
    (3) For the purposes of this paragraph (b), ``victim'' means an 
individual who:
    (i) Has suffered direct or threatened physical, emotional, or 
pecuniary harm as a result of the commission of the crime for which 
clemency is sought (or, in the case of an individual who died or was 
rendered incompetent as a direct and proximate result of the commission 
of the crime for which clemency is sought, one of the following 
relatives of the victim (in order of preference): the spouse; an adult 
offspring; or a parent); and
    (ii) Has on file with the Federal Bureau of Prisons a request to be 
notified pursuant to 28 CFR 551.152 of the offender's release from 
custody.
    (4) For the purposes of this paragraph (b), ``reasonable effort'' is 
satisfied by mailing to the last-known address reported by the victim to 
the Federal Bureau of Prisons under 28 CFR 551.152.
    (5) The provisions of this paragraph (b) apply to clemency cases 
filed on or after September 28, 2000.
    (c) 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.

[Order No. 2323-2000, 65 FR 58223, Sept. 28, 2000]



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

[[Page 103]]

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  Procedures applicable to prisoners under a sentence of death imposed by a United States District Court.

    The following procedures shall apply with respect to any request for 
clemency by a person under a sentence of death imposed by a United 
States District Court for an offense against the United States. Other 
provisions set forth in this part shall also apply to the extent they 
are not inconsistent with this section.
    (a) Clemency in the form of reprieve or commutation of a death 
sentence imposed by a United States District Court shall be requested by 
the person under the sentence of death or by the person's attorney 
acting with the person's written and signed authorization.
    (b) No petition for reprieve or commutation of a death sentence 
should be filed before proceedings on the petitioner's direct appeal of 
the judgment of conviction and first petition under 28 U.S.C. 2255 have 
terminated. A petition for commutation of sentence should be filed no 
later than 30 days after the petitioner has received notification from 
the Bureau of Prisons of the scheduled date of execution. All papers in 
support of a petition for commutation of sentence should be filed no 
later than 15 days after the filing of the petition itself. Papers filed 
by the petitioner more than 15 days after the commutation petition has 
been filed may be excluded from consideration.
    (c) The petitioner's clemency counsel may request to make an oral 
presentation of reasonable duration to the Office of the Pardon Attorney 
in support of the clemency petition. The presentation should be 
requested at the time the clemency petition is filed. The family or 
families of any victim of an offense for which the petitioner was 
sentenced to death may, with the assistance of the prosecuting office, 
request to make an oral presentation of reasonable duration to the 
Office of the Pardon Attorney.
    (d) Clemency proceedings may be suspended if a court orders a stay 
of execution for any reason other than to allow completion of the 
clemency proceeding.
    (e) Only one request for commutation of a death sentence will be 
processed to completion, absent a clear showing of exceptional 
circumstances.
    (f) The provisions of this Sec. 1.10 apply to any person under a 
sentence of death imposed by a United States District Court for whom an 
execution date is set on or after August 1, 2000.

[Order No. 2317-2000, 65 FR 48381, August 8, 2000]



Sec. 1.11  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.

[Order No. 1798-93, 58 FR 53658, Oct. 18, 1993. Redesignated by Order 
No. 2317-2000, 65 FR 48381, August 8, 2000]



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.
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.

[[Page 104]]

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.
2.91  Supervision responsibility.
2.92  Jurisdiction of the Commission.
2.93  Travel approval.
2.94  Supervision reports to Commission.
2.95  Release from active supervision.
2.96  Order of release.
2.97  Withdrawal of order of release.
2.98  Summons to appear or warrant for retaking of parolee.
2.99  Execution of warrant and service of summons.
2.100  Warrant placed as detainer and dispositional review.
2.101  Probable cause hearing and determination.
2.102  Place of revocation hearing.
2.103  Revocation hearing procedure.
2.104  Issuance of subpoena for appearance of witnesses or production of 
          documents.
2.105  Revocation decisions.
2.106  Youth Rehabilitation Act.
2.107  Interstate Compact.

[[Page 105]]

        Subpart D--District of Columbia Code Supervised Releasees

2.200  Authority, jurisdiction, and functions of the U.S. Parole 
          Commission with respect to offenders serving terms of 
          supervised release imposed by the Superior Court of the 
          District of Columbia.
2.201  Period of supervised release.
2.202  Prerelease procedures.
2.203  Certificate of supervised release.
2.204  Conditions of supervised release.
2.205  Confidentiality of supervised release records.
2.206  Travel approval and transfers of supervision.
2.207  Supervision reports to Commission.
2.208  Termination of a term of supervised release.
2.209  Order of termination.
2.210  Extension of term.
2.211  Summons to appear or warrant for retaking releasee.
2.212  Execution of warrant and service of summons.
2.213  Warrant placed as detainer and dispositional review.
2.214  Probable cause hearing and determination.
2.215  Place of revocation hearing.
2.216  Revocation hearing procedure.
2.217  Issuance of subpoena for appearance of witnesses or production of 
          documents.
2.218  Revocation decisions.
2.219  Maximum terms of imprisonment and supervised release.

    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.
    (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

[[Page 106]]

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 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

[[Page 107]]

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 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]

[[Page 108]]



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 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]

[[Page 109]]



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 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:

[[Page 110]]

    (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:
    (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

[[Page 111]]

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
    (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:

[[Page 112]]

    (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). 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.

[[Page 113]]

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.
    (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
                                                     1998)
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.................................   [lE]=4   [lE]=8     8-12    12-16
  2.................................   [lE]=6  [lE]=10    12-16    16-22
  3.................................  [lE]=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

[[Page 114]]

 
  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
    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

[[Page 115]]

    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 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

[[Page 116]]

    (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;
    (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.

[[Page 117]]

                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.
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.

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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;
    (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

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    (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) [lE] 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.
    (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.

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                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.

             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

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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.

    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;

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    (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 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.

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                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 $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.

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                       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 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.

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    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.
    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

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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.
    (a) 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.
    (b) Convictions for prior offenses that are not separated from each 
other by an intervening arrest (e.g., two burglaries followed by an 
arrest for both offenses) are counted as a single prior conviction. 
Prior offenses that are separated by an intervening arrest are counted 
separately (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 the 
four offenses were adjudicated together).
    (c) 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;
    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, or 
a District of Columbia juvenile consent decree) is not to be counted in 
scoring this item. However, an instance of criminal behavior resulting 
in a judicial determination 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

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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 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.
    A.14   Juvenile Consent Decree (District of Columbia). A juvenile 
consent decree in the District of Columbia is a diversionary disposition 
not requiring an admission or finding of guilt. Therefore, it is not to 
be used in scoring this item.

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

[[Page 128]]

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, community corrections centers, and other residential 
treatment centers (e.g., halfway houses and community treatment 
centers). It does not include foster home placement. Count confinement 
in a community corrections center (CCC) or other residential treatment 
center only when it is part of a committed sentence. Do not count 
confinement in a community corrections center or other residential 
treatment center 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 than 30 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 three-year prison term, 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 of sentence). Example: An 
offender is sentenced to a three-year prison term, escapes, and commits 
the current offense. Count as a previous commitment under Items B, D, 
and E.
    (d) District of Columbia Juvenile Commitment to Department of Human 
Services. In the District of Columbia, juvenile offenders may be 
committed to the Department of Human Services for placement ranging from 
a foster home to a secure juvenile facility. Such a commitment is 
counted only if it can be established that the juvenile was actually 
committed for more than 30 days to a secure juvenile institution or 
residential treatment center rather than a foster home.

ITEM C. AGE AT COMMENCEMENT OF THE CURRENT OFFENSE/PRIOR COMMITMENTS OF 
          MORE THAN THIRTY DAYS (ADULT OR JUVENILE)

    C.1 Score 3 if the subject was 26 years of age or more at the 
commencement of the current offense and has three or fewer prior 
commitments.
    C.2 Score 2 if the subject was 26 years of age or more at the 
commencement of the current offense and has four prior commitments.
    C.3 Score 1 if the subject was 26 years of age or more at the 
commencement of the current offense and has five or more prior 
commitments.
    C.4 Score 2 if the subject was 22-25 years of age at the 
commencement of the current offense and has three or fewer prior 
commitments.
    C.5 Score 1 if the subject was 22-25 years of age at the 
commencement of the current offense and has four prior commitments.
    C.6 Score 0 if the subject was 22-25 years of age at the 
commencement of the current offense and has five or more prior 
commitments.
    C.7 Score 1 if the subject was 20-21 years of age at the 
commencement of the current offense and has three or fewer prior 
commitments.
    C.8 Score 0 if the subject was 20-21 years of age at the 
commencement of the current offense and has four prior commitments.
    C.9 Score 0 if the subject was 19 years of age or less at the 
commencement of the current offense with any number of prior 
commitments.
    C.10  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.

[[Page 129]]

    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, 
supervised release, 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 corrections 
center or other residential treatment center confinement (when such 
confinement is counted as a commitment under Item B), or escape from any 
of the above.

    Item F. Older Offenders.

    F.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-E 
is 9 or less.
    F.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-E 
is 10.

           Special Instructions--Probation Violator This Time

Item A  Count the original conviction that led to the sentence of 
probation as a prior conviction. Do not count the 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 person placed on unsupervised probation (other than for 
deportation) would not lose credit for this item.
    Item F  Use the age at commencement of the probation violation, not 
the original offense.

  Special Instructions--Parole or Supervised Release Violator This Time

    Item A  The conviction from which paroled or placed on supervised 
release counts as a prior conviction.
    Item B  The commitment from which paroled or released to supervised 
release (including a prison term ordered for a prior supervised release 
revocation), counts as a prior commitment.
    Item C  Use the age at commencement of the violation behavior 
(including new criminal behavior).
    Item D  Count backwards three years from the commencement of the 
violation behavior (including new criminal behavior).
    Item E  By definition, no point is credited for this item.
    Item F  Use the age at commencement of the violation behavior 
(including new criminal behavior).

   Special Instructions--Confinement/Escape Status Violator With New 
              Criminal Behavior in the Community This Time

    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.

[[Page 130]]

    Item F  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, which appears in the Finding Aids 
section of the printed volume and on GPO Access.



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. Notwithstanding the provisions of Secs. 2.48 through 
2.51, Secs. 2.101 through 2.104, and Secs. 2.214 through 2.217, there is 
also delegated to hearing examiners the authority necessary to make a 
probable cause finding, to determine the location of a revocation 
hearing, and to determine the witnesses who will attend the hearing, 
including the authority to issue subpoenas for witnesses and evidence.
    (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 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.

[[Page 131]]

    (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; 66 FR 51302, Oct. 9, 
2001]



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 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.

[[Page 132]]

    (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]



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

[[Page 133]]

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]



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.

[[Page 134]]

    (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, 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

[[Page 135]]

    (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 136]]



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.
    (d) If the Commission orders a military prisoner who is under the 
Commission's jurisdiction for an offense committed after August 15, 2001 
continued to the expiration of his sentence (or otherwise does not grant 
parole), the Commission shall place such prisoner on mandatory 
supervision after release if the Commission determines that such 
supervision is appropriate to provide an orderly transition to civilian 
life for the prisoner and to protect the community into which such 
prisoner is released. The Commission shall presume that mandatory 
supervision is appropriate for all such prisoners unless case-specific 
factors indicate that supervision is inappropriate. A prisoner who is 
placed on mandatory supervision shall be deemed to be released as if on 
parole, and shall be subject to the conditions of release at Sec. 2.40 
until the expiration of the maximum term for which he was sentenced, 
unless the prisoner's sentence is terminated early by the appropriate 
military clemency board.

[42 FR 39809, Aug. 5, 1977, as amended at 50 FR 46283, Nov. 7, 1985; 67 
FR 67792, Nov. 7, 2002; 68 FR 16720, Apr. 7, 2003]



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

[[Page 137]]

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--[lE] 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).
    (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;

[[Page 138]]

    (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 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,

[[Page 139]]

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.

    (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.

[[Page 140]]

    (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 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.

[[Page 141]]

    (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 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

[[Page 142]]

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 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

[[Page 143]]

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.



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

[[Page 144]]

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.
    (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

[[Page 145]]

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 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,

[[Page 146]]

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 
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

[[Page 147]]

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 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

[[Page 148]]

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 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,

[[Page 149]]

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 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

[[Page 150]]

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 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

[[Page 151]]

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 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.

[[Page 152]]

    (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 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;

[[Page 153]]

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.
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

[[Page 154]]

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 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

[[Page 155]]

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 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

[[Page 156]]

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 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.

[[Page 157]]

    (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 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

[[Page 158]]

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, 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.

[[Page 159]]

    (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 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

[[Page 160]]

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. 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

[[Page 161]]

    (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 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

[[Page 162]]

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 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 5D1.3(a) and (c) 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

[[Page 163]]

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, 
and amended at 67 FR 70694, Nov. 26, 2002]



Sec. 2.69  [Reserved]



      Subpart C--District of Columbia Code: Prisoners and Parolees

    Source: 65 FR 45888, July 26, 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 shall constitute the 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

[[Page 164]]

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 
scheduled 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 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 
(including federal contract facilities) may have a representative 
pursuant to Sec. 2.13(b). A prisoner appearing for a parole hearing in 
any other 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 pursuant to Sec. 2.55 
will be available to prisoners and their representatives only in the 
case of prisoners confined in federal facilities (including federal 
contract facilities).
    (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

[[Page 165]]

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 expressly 
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 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 for 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. A final decision releasing a 
parolee from active supervision shall also be based on the concurrence 
of two Commissioner votes. All other decisions may be based on a single 
Commissioner vote, except as expressly provided in these rules.



Sec. 2.75  Reconsideration proceedings.

    (a)(1) Following an initial or subsequent hearing, the Commission 
may--
    (i) Set an effective date of parole within nine months of the date 
of the hearing;
    (ii) Set a presumptive parole date at least ten months but not more 
than three years from the date of the hearing;
    (iii) Continue the prisoner to the expiration of sentence if the 
prisoner's mandatory release date is within three years of the date of 
the hearing;
    (iv) Schedule a reconsideration hearing at three years from the 
month of the hearing; or
    (v) Remand the case for a rehearing on the next available docket 
(but no later than 180 days from the date of the hearing) for the 
consideration of additional information.
    (2) Exceptions. (i) With respect to the rule on three-year 
reconsideration hearings. If the prisoner's current offense behavior 
resulted in the death of a victim and, at the time of the hearing, the 
prisoner must serve more than three years before reaching the minimum of 
the applicable guideline range, the Commission may schedule a 
reconsideration hearing at a date up to five years from the month of the 
last hearing, but not beyond the minimum of the applicable guideline 
range.

[[Page 166]]

    (ii) With respect to youth offenders. Regardless of whether a 
presumptive parole date has been set, a reconsideration hearing shall be 
conducted every twelve months for a youth offender, and on the next 
available docket after the Commission is informed that the prisoner has 
completed his program plan.
    (b) When a rehearing is scheduled, 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.
    (c) At a reconsideration hearing, the Commission may take any action 
that it could take at an initial hearing. The scheduling of a 
reconsideration hearing does not imply that parole will be granted at 
such hearing.
    (d) Prior to a parole reconsideration hearing, 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 
hearing, the Commission may 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.

[65 FR 70664, Nov. 27, 2000, as amended at 67 FR 57945, Sept. 13, 2002]



Sec. 2.76  Reduction in minimum sentence.

    (a) A prisoner who has served three 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 special 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 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

[[Page 167]]

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 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.

[[Page 168]]

    (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 outweigh the seriousness of the prisoner's 
misconduct.



Sec. 2.80  Guidelines for D.C. Code offenders.

    (a)(1) Applicability in general. Except as provided below, the 
guidelines in paragraphs (b)-(n) of this section apply at an initial 
hearing or rehearing conducted for any prisoner.
    (2) Reparole decisions. Reparole decisions shall be made in 
accordance with Sec. 2.81.
    (3) Youth offenders. A prisoner sentenced under the Youth 
Rehabilitation Act shall be considered for parole under these guidelines 
pursuant to paragraph (a)(1) of this section, except that the prisoner 
shall be given rehearings in accordance with the schedule at 
Sec. 2.75(a)(2)(ii) and the prisoner's program achievements shall be 
considered in the parole release decision in accordance with Sec. 2.106. 
The guidelines at paragraphs (k)-(m) of this section for awarding 
superior program achievement and subtracting the award in determining 
the total guideline range shall not apply.
    (4) Prisoners considered under the guidelines of the former District 
of Columbia Board of Parole. For a prisoner whose initial hearing was 
held before August 5, 1998, the Commission shall render its decision by 
reference to the guidelines of the former D.C. Board of Parole in effect 
on August 4, 1998. 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 of Sec. 2.80. The Commission may also 
correct any error in the calculation of the D.C. Board's guidelines.
    (5) Prisoners given initial hearings under the guidelines in effect 
from August 5, 1998 through December 3, 2000 (the guidelines formerly 
found in 28 CFR 2.80, Appendix to Sec. 2.80 (2000)). For a prisoner 
given an initial hearing under the Sec. 2.80 guidelines in effect from 
August 5, 1998 through December 3, 2000, the guidelines in paragraphs 
(b)-(n) of this section shall be applied retroactively subject to the 
provisions of paragraph (o) of this section.
    (b) Guidelines. 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 pre-and post-
incarceration factors. Decisions outside the guidelines may be made, 
where warranted, pursuant to paragraph (n) of this section.
    (c) 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.

[[Page 169]]

    (d) Disciplinary infractions. The Commission shall assess whether 
the prisoner has been found guilty of committing significant 
disciplinary infractions while under confinement for the current 
offense.
    (e) Program achievement. (1) 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. Superior program achievement means 
program achievement that is beyond the level that the prisoner might 
ordinarily be expected to accomplish. Credit for program achievement may 
be granted regardless of whether the guidelines for disciplinary 
infractions have been applied for misconduct during the same period. The 
guidelines in this section presume that the prisoner will have ordinary 
program achievement.
    (2) In the case of a prisoner who has declined to participate in 
institutional programming, a decision in the upper half of the 
applicable guideline range generally will be warranted, except that in 
the case of a prisoner who has a base point score of 3 or less, or who 
has a criminal record involving violence or sexual offenses and who has 
not participated in available programming to address a potential for 
criminal behavior of a violent or sexual nature, a decision above the 
guidelines may be warranted.
    (f) Base point score. Add the applicable points from Categories I-
III of the Point Assignment Table to determine the base point score.

                         Point Assignment Table
------------------------------------------------------------------------
                          Categories                             Points
------------------------------------------------------------------------
          CATEGORY I: RISK OF RECIDIVISM (Salient Factor Score)
------------------------------------------------------------------------
 
10-8 (Very Good Risk)........................................         +0
7-6 (Good Risk)..............................................         +1
5-4 (Fair Risk)..............................................         +2
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 violence in            +4
 two or more prior offenses..................................
B. Violence in current offense, and any felony violence in            +3
 one prior offense...........................................
C. Violence in current offense...............................         +2
D. No violence in current offense and any felony violence in          +2
 two or more prior offenses..................................
E. Possession of firearm in current offense if current                +2
 offense is not scored as a crime of violence................
F. No violence in current offense and any felony violence in          +1
 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 involved violence (high level violence or          +3
 other violence) with death of victim resulting..............
B. Current offense involved attempted murder, conspiracy to           +2
 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 (other than           +1
 the behaviors described above)
------------------------------------------------------------------------
              BASE POINT SCORE (Total of Categories I-III)
------------------------------------------------------------------------

    (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;

[[Page 170]]

    (x) Any offense defined as other violence in paragraph (g)(4) of 
this section in 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 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;
    (vi) Involuntary manslaughter (excluding negligent homicide).
    (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 his probation commenced
    (7) Category IIE applies whenever a firearm is possessed by the 
offender during, or is 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.
    (h) Determining the base guideline range. Determine the base 
guideline range for adult prisoners from the following table:

------------------------------------------------------------------------
                                                                 Base
                                                              guideline
                      Base point score                          range
                                                               (months)
------------------------------------------------------------------------
3 or less..................................................            0
4..........................................................        12-18
5..........................................................        18-24
6..........................................................        36-48
7..........................................................        54-72
8..........................................................        72-96
9..........................................................      110-140
10.........................................................      156-192
------------------------------------------------------------------------

    (i) Months to parole eligibility. Determine the total number of 
months until parole eligibility.
    (j) Guideline range for disciplinary infractions. Determine the 
applicable guideline range from Sec. 2.36 for any significant 
disciplinary infractions since the beginning of confinement on the 
current offense in the case of an initial hearing, and since the last 
hearing in the case of a rehearing. If there are no significant 
disciplinary infractions, this step is not applicable.
    (k) Guidelines for superior program achievement. If superior program 
achievement is found, the award for superior program achievement shall 
be one-third of the number of months during which the prisoner 
demonstrated superior program achievement. The award is determined on 
the basis of all time in confinement on the current offense in the case 
of an initial hearing, and on the basis of time in confinement since the 
last hearing in the case of a rehearing. If superior program achievement 
is not found, this step is not applicable.
    Note: When superior program achievement is found, it is presumed 
that the award will be based on the total number of months since the 
beginning of confinement on the current offense in the case of an 
initial hearing, or since the last hearing in the case of a rehearing. 
Where, however, the Commission determines that the prisoner did not have 
superior program achievement during the entire period, it may base its 
decision solely on the number of months during

[[Page 171]]

which the prisoner had superior program achievement.
    (l) Determining the total guideline range at an initial hearing. At 
an initial hearing
    (1) Add together the minimum of the base point guideline range (from 
paragraph (h) of this section), the number of months required by the 
prisoner's parole eligibility date (from (i) of this section), and the 
minimum of the guideline range for disciplinary infractions, if 
applicable (from paragraph (j) of this section). Then subtract the award 
for superior program achievement, if applicable (from paragraph (k) of 
this section). The result is the minimum of the Total Guideline Range.
    (2) Add together the maximum of the base point guideline range (from 
paragraph (h) of this section), the number of months required by the 
prisoner's parole eligibility date (from paragraph (i) of this section), 
and the maximum of the guideline range for disciplinary infractions, if 
applicable (from paragraph (j) of this section). Then subtract the award 
for superior program achievement, if applicable (from paragraph (k) of 
this section). The result is the maximum of the Total Guideline Range.
    (m) Determining the total guideline range at a reconsideration 
hearing. At a reconsideration hearing--
    (1) Add together the minimum of the Total Guideline Range from the 
previous hearing, and the minimum of the guideline range for 
disciplinary infractions since the previous hearing, if applicable (from 
paragraph (j) of this section). Then subtract the award for superior 
program achievement, if applicable (from paragraph (k) of this section). 
The result is the minimum of the Total Guideline Range for the current 
hearing.
    (2) Add together the maximum of the Total Guideline Range from the 
previous hearing, and the maximum of the guideline range for 
disciplinary infractions since the previous hearing, if applicable (from 
paragraph (j) of this section). Then subtract the award for superior 
program achievement since the previous hearing, if applicable (from 
paragraph (k) of this section). The result is the maximum of the Total 
Guideline Range for the current hearing.
    (n) Decisions outside the guidelines.
    (1) The Commission may, in unusual circumstances, grant or deny 
parole to a prisoner notwithstanding the guidelines. 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. 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 and 
rehearing decisions as if the prisoner had that higher Base Point Score. 
It is to be noted that, in some cases, 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.
    (2) 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,

[[Page 172]]

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.
    (3) 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 (n)(3) of this section; or
    (C) Clearly exceptional program achievement.
    (o) Conversion rules for retroactive application of the Sec. 2.80 
guidelines. When the guidelines of this section are retroactively 
applied, the following conversion rules shall be used.
    (1) If the prisoner previously had any points added for negative 
institutional behavior under the guidelines formerly found in the 
Appendix to Sec. 2.80 (2000) (i.e., the guidelines in effect from August 
5, 1998 through December 3, 2000), the total guideline range shall be 
increased by the lesser of:
    (i) The guideline range from Sec. 2.36 found to apply to the prior 
misconduct; or
    (ii) The range of months obtained when the number of points 
previously added for negative institutional behavior is multiplied by 
the rehearing range applicable under the guidelines in the former 
Appendix to Sec. 2.80 (e.g., if two points previously were added for 
misconduct and the applicable rehearing range was 18-24 months, then 36-
48 months (2 x 18-24) would be added).
    (2) If negative institutional behavior previously was sanctioned by 
the application of a guideline range at Sec. 2.36, the total guideline 
range shall be increased by that range for that behavior.
    (3) If the prisoner previously had an extra point deducted for 
superior program achievement (as opposed to ordinary program 
achievement) under the guidelines in the former Appendix to Sec. 2.80, 
the total guideline range shall be decreased by the rehearing guideline 
range applicable under the Appendix to Sec. 2.80 guidelines (e.g., if an 
extra point previously was subtracted for superior (not ordinary) 
program achievement and the applicable rehearing range was 18-24 months, 
then 18-24 months would be subtracted).
    (4) Misconduct or superior program achievement since the last 
hearing shall be considered in accordance with the guidelines of this 
section.

[65 FR 70665, Nov. 27, 2000, as amended at 67 FR 67946, Sept. 13, 2002]



Sec. 2.81  Reparole decisions.

    (a) If the prisoner is not serving a new, parolable D.C. Code 
sentence, the Commission's decision to grant or deny reparole on the 
parole violation term shall be made by reference to the reparole 
guidelines at Sec. 2.21. The Commission shall establish a presumptive or 
effective release date pursuant to Sec. 2.12(b), and conduct interim 
hearings pursuant to Sec. 2.14.
    (b) If the prisoner is eligible for parole on a new D.C. Code felony 
sentence

[[Page 173]]

that has been aggregated with the prisoner's parole violation term, the 
Commission shall make a decision to grant or deny parole on the basis of 
the aggregate sentence, and in accordance with the guidelines at 
Sec. 2.80.
    (c) If the prisoner is eligible for parole on a new D.C. Code felony 
sentence but the prisoner's parole violation term has not commenced 
(i.e., the warrant has not been executed), the Commission shall make a 
single parole/reparole decision by applying the guidelines at Sec. 2.80. 
The Commission shall establish an appropriate date for the execution of 
the outstanding warrant in order for the guidelines at Sec. 2.80 to be 
satisfied. In cases where the execution of the warrant will not result 
in the aggregation of the new sentence and the parole violation term, 
the Commission shall make parole and reparole decisions that are 
consistent with the guidelines at Sec. 2.80.
    (d) All reparole hearings shall be conducted according to the 
procedures set forth in Sec. 2.72, and may be combined with the holding 
of a revocation hearing if the prisoner's parole has not previously been 
revoked. If the prisoner is serving a period of imprisonment imposed 
upon revocation of his parole by the D.C. Board of Parole, the 
Commission shall consider all available and relevant information 
concerning the prisoner's conduct while on parole, including any 
allegations of criminal or administrative violations left unresolved by 
the Board, pursuant to the procedures applicable to initial hearings 
under Sec. 2.72 and Sec. 2.19(c). The same procedures shall apply in the 
case of any new information concerning criminal or administrative 
violations of parole presented to the Commission for the first time 
following the conclusion of a revocation proceeding that resulted in the 
revocation of parole and the return of the offender to prison.

[65 FR 45888, July 26, 2000, as amended at 66 FR 37137, July 17, 2001]



Sec. 2.82  Effective date of parole.

    (a) An effective date of parole may be granted up to nine 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.

[65 FR 45888, July 26, 2000, as amended at 67 FR 57946, Sept. 13, 2002]



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 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:

[[Page 174]]

    (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 prisoner 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 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 Supervision 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 his Supervision Officer.
    (4) The parolee shall notify his 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 Supervision Officer between 
the first and third day of each month. He shall also report to his 
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 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 
Supervision Officer, and support his legal dependents, if any, to the 
best of his ability. He shall report within two days to his 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 Supervision Officer.
    (11) The parole shall not possess a firearm or other dangerous 
weapon.
    (12) The parolee shall permit visits by his Supervision Officer to 
his residence and to his place of business or occupation. He shall 
permit confiscation by his 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

[[Page 175]]

for so doing is presented, modify the conditions of parole to require 
the parolee to permit the 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 
Supervision Officer that is relevant to the payment of the obligation. 
If unable to pay the obligation in one sum, the parolee shall cooperate 
with his Supervision Officer in establishing an installment payment 
schedule.
    (14) The parolee shall submit to a drug test whenever ordered by his 
Supervision Officer.
    (15) If released to the District of Columbia, the parolee shall 
submit to the sanctions imposed by his Supervision Officer (within the 
limits established by the approved Schedule of Accountability Through 
Graduated Sanctions), if the Supervision Officer finds that the parolee 
has tested positive for illegal drugs or that he has committed any non-
criminal violation of the conditions of his parole. Graduated sanctions 
may include community service, curfew with electronic monitoring, and/or 
a period of time in a community treatment center. The parolee's failure 
to cooperate with a graduated sanction imposed by his Supervision 
Officer will subject the parolee to the issuance of a summons or warrant 
by the Commission, and a revocation hearing at which the parolee will be 
afforded the opportunity to contest the violation charge(s) upon which 
the sanction was based. If the Commission finds that the parolee has 
violated parole as alleged, the parolee will also be found to have 
violated this condition. In addition, the Commission may override the 
imposition of a graduated sanction at any time and issue a warrant or 
summons if it finds that the parolee is a risk to the public safety or 
that he is not complying with this condition in good faith.
    (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
    (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.

[[Page 176]]

    (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 Supervision Officers before engaging in any conduct 
that may constitute a violation thereof. 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 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 Sec. 2.83(d).
    (c) If a parole effective date is rescinded for disciplinary 
infractions, an appropriate sanction shall be determined by reference to 
Sec. 2.36.
    (d) 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.
    (e) 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.

[65 FR 70669, Nov. 27, 2000, as amended at 67 FR 57946, Sept. 13, 2002]



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

[[Page 177]]

conviction was committed before April 11, 1987, such expiration date 
shall be less one hundred eighty (180) days. Every provision of these 
rules 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) Information other than as described in Sec. 2.37 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)) and 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:

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)
2.23  (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)
2.62  (Rewarding assistance in the prosecution of other offenders: 
criteria and guidelines)
2.65  (Paroling policy for prisoners serving aggregated U.S. and D.C. 
Code sentences)



Sec. 2.90  Prior orders of the Board of Parole.

    Any 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.



Sec. 2.91  Supervision responsibility.

    (a) Pursuant to D.C. Code 24-1233(c) and 4203(b)(4), the District of 
Columbia Court Services and Offender Supervision Agency (CSOSA) shall 
provide supervision, through qualified Supervision Officers, for all 
D.C. Code parolees and mandatory releasees under the jurisdiction of the 
Commission who are released to the District of Columbia. Individuals 
under the jurisdiction of the Commission who are released to districts 
outside the D.C. metropolitan area, or who are serving mixed U.S. and 
D.C. Code sentences, shall be supervised by a U.S. Probation Officer 
pursuant to 18 U.S.C. 3655.
    (b) A parolee or mandatory releasee may be transferred to a new 
district of supervision with the permission of the supervision offices 
of both the transferring and receiving district, provided such transfer 
is not contrary to instructions from the Commission.



Sec. 2.92  Jurisdiction of the Commission.

    (a) Pursuant to D.C. Code 24-431(a), the jurisdiction of the 
Commission over a parolee shall expire on the date of expiration of the 
maximum term or terms for which he was sentenced, subject to the 
provisions of this subpart relating to warrant issuance, time in 
absconder status, and the forfeiture of credit for time on parole in the 
case of revocation.
    (b) The parole of any parolee shall run concurrently with the period 
of parole, probation, or supervised release under any other Federal, 
State, or local sentence.
    (c) Upon the expiration of the parolee's maximum term as specified 
in the release certificate, the parolee's Supervision Officer shall 
issue a certificate of discharge to such parolee and to such other 
agencies as may be appropriate.
    (d) A termination of parole pursuant to an order of revocation shall 
not affect the Commission's jurisdiction to grant and enforce any 
further periods of parole, up to the expiration of the offender's 
maximum term.

[[Page 178]]



Sec. 2.93  Travel approval.

    (a) A parolee's Supervision Officer may approve travel outside the 
district of supervision 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, and vacation travel outside the district of 
supervision 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 Commission prohibiting 
certain travel shall apply instead of any general rules relating to 
travel as set forth in paragraph (a) of this section.
    (d) The district of supervision for a parolee under the supervision 
of the D.C. Community Supervision Office of CSOSA shall be the District 
of Columbia, except that for the purpose of travel permission under this 
section the district of supervision will include the D.C. metropolitan 
area as defined in the certificate of parole.



Sec. 2.94  Supervision reports to Commission.

    An initial supervision report to confirm the satisfactory initial 
progress of the parolee shall be submitted to the Commission 90 days 
after the parolee's release from prison, by the officer responsible for 
the parolee's supervision. A regular supervision report shall be 
submitted to the Commission by the officer responsible for the 
supervision of the parolee after the completion of 12 months of 
continuous community supervision and annually thereafter. The 
Supervision Officer shall submit such additional reports and information 
concerning both the parolee, and the enforcement of the conditions of 
the parolee's supervision, as the Commission may direct. All reports 
shall be submitted according to the format established by the 
Commission.

    Editorial Note: At 67 FR 57946, Sept. 13, 2002, the first sentence 
of paragraph (a) of Sec. 2.94 was removed. However, paragraph (a) of 
Sec. 2.94 did not exist in the 2001 Edition of that volume.



Sec. 2.95  Release from active supervision.

    (a) The Commission, in its discretion, may release a parolee or 
mandatory releasee from further supervision prior to the expiration of 
the maximum term or terms for which he or she was sentenced.
    (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 shall also be conducted whenever release 
from supervision is specially recommended by the parolee's Supervision 
Officer.
    (c) In determining whether to grant release from supervision, the 
Commission shall apply the following guidelines, provided that case-
specific factors do not indicate a need for continued supervision:
    (1) For a parolee originally classified in the very good risk 
category and whose current offense did not involve violence, release 
from supervision may be ordered after two continuous years of incident-
free parole in the community;
    (2) For a parolee originally classified in the very good risk 
category and whose current offense involved violence other than high 
level violence, release from supervision may be ordered after three 
continuous years of incident-free parole in the community;
    (3) For a parolee originally classified in the very good risk 
category and whose current offense involved high level violence (without 
death of victim resulting), release from supervision may be ordered 
after four continuous years of incident-free parole in the community;

[[Page 179]]

    (4) For a parolee originally classified in other than the very good 
risk category, whose current offense did not involve violence, and whose 
prior record includes not more than one episode of felony violence, 
release from supervision may be ordered after three continuous years of 
incident-free parole in the community;
    (5) For a parolee originally classified in other than the very good 
risk category, and whose current offense involved violence other than 
high level violence, or whose prior record includes two or more episodes 
of felony violence, release from supervision may be ordered after four 
continuous years of incident-free parole in the community;
    (6) For a parolee who was originally classified in other than the 
very good risk category and whose current offense involved high level 
violence (without death of victim resulting), release from supervision 
may be ordered after five continuous years of incident-free parole in 
the community;
    (7) For any parolee whose current offense involved high level 
violence with death of victim resulting, release from supervision may be 
ordered only upon a case-specific finding that, by reason of age, 
infirmity, or other compelling factors, the parolee is unlikely to be a 
threat to the public safety.
    (d) Decisions to release from supervision prior to completion of the 
periods specified in this section may be made where it appears that the 
parolee is a better risk than indicated by the salient factor score (if 
originally classified in other than the very good risk category), or a 
less serious risk than indicated by a violent current offense or prior 
record (if any). However, release from supervision prior to the 
completion of two years of incident-free supervision will not be granted 
in any case unless case-specific factors clearly indicate that continued 
supervision would be counterproductive to the parolee's rehabilitation.
    (e) Except as provided in Sec. 2.99(c), cases with pending criminal 
charge(s) shall not be released from supervision until the disposition 
of such charge(s) is known. The term ``incident-free'' parole shall 
include both any reported violations, and any arrest or law enforcement 
investigation that raises a reasonable doubt as to whether the parolee 
has been able to refrain from law violations while on parole.



Sec. 2.96  Order of release.

    (a) When the Commission approves a recommendation for release from 
active supervision, a written order of release from supervision shall be 
issued and a copy thereof shall be delivered to the releasee.
    (b) Each order of release shall state that the conditions of the 
releasee's parole are waived, except that it shall remain a condition 
that the releasee shall not violate any law or engage in any conduct 
that might bring discredit to the parole system, under penalty of 
possible withdrawal of the order of release or revocation of parole.
    (c) An order of release from supervision shall not release the 
parolee from the custody of the Attorney General or from the 
jurisdiction of the Commission before the expiration of the term or 
terms being served.



Sec. 2.97  Withdrawal of order of release.

    If, after an order of release from supervision has been issued by 
the Commission, and prior to the expiration date of the sentence(s) 
being served, the parolee commits any new criminal offense or engages in 
any conduct that might bring discredit to the parole system, the 
Commission may, in its discretion, do any of the following:
    (a) Issue a summons or warrant to commence the revocation process;
    (b) Withdraw the order of release from supervision and return the 
parolee to active supervision; or
    (c) Impose any special conditions to the order of release from 
supervision.



Sec. 2.98  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 probable 
cause hearing or local revocation hearing; or
    (2) Issue a warrant for the apprehension and return of the offender 
to custody.

[[Page 180]]

    (b) A summons or warrant under paragraph (a)(1) of this section may 
be issued or withdrawn only by the Commission, or a member thereof.
    (c) 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 the 
violations, in the opinion of the Commission, requires such issuance. In 
the case of any parolee who is charged with a criminal offense and who 
is awaiting disposition of such charge, issuance of a summons or warrant 
may be:
    (1) Temporarily withheld;
    (2) Issued by the Commission and held in abeyance;
    (3) Issued by the Commission and a detainer lodged with the 
custodial authority; or
    (4) Issued for the retaking of the parolee.
    (d) A summons or warrant may be issued only within the prisoner's 
maximum term or terms, except that in the case of a prisoner who has 
been mandatorily released from a sentence imposed for an offense 
committed before April 11, 1987, 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 appropriate law 
enforcement authority.
    (e) 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 the revocation of parole and the forfeiture of time pursuant to 
D.C. Code 24-206(a).
    (f) A summons or warrant issued pursuant to this section shall be 
accompanied by a warrant application (or other notice) stating:
    (1) The charges against the parolee;
    (2) The specific reports and other documents upon which the 
Commission intends to rely in determining whether a violation occurred 
and whether to revoke parole;
    (3) Notice of the Commission's intent, if the parolee is arrested 
within the District of Columbia, to hold a probable cause hearing within 
five days of the parolee's arrest;
    (4) A statement of the purpose of the probable cause hearing;
    (5) The days of the week on which the Commission regularly holds its 
dockets of probable cause hearings at the Central Detention Facility;
    (6) The parolee's procedural rights in the revocation process; and
    (7) The possible actions that the Commission may take.
    (g) Every warrant issued by the Board of Parole of the District of 
Columbia prior to August 5, 2000, shall be deemed to be a valid warrant 
of the U.S. Parole Commission unless withdrawn by the Commission. Such 
warrant shall be executed as provided in Sec. 2.99, and every offender 
retaken upon such warrant shall be treated for all purposes as if 
retaken upon a warrant issued by the Commission.

[65 FR 45888, July 26, 2000, as amended at 67 FR 2569, Jan. 18, 2002]



Sec. 2.99  Execution of warrant and service of summons.

    (a) Any officer of any Federal or District of Columbia correctional 
institution, any Federal Officer authorized to serve criminal process, 
or any officer or designated civilian employee of the Metropolitan 
Police Department of the District of Columbia, 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) Upon the arrest of the parolee, the officer executing the 
warrant shall deliver to the parolee a copy of the warrant application 
(or other notice provided by the Commission) containing the information 
described in Sec. 2.98 (f).
    (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 Supervision Officer 
until the normal expiration of the sentence, or until

[[Page 181]]

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) If any other warrant for the arrest of the parolee has been 
executed or is outstanding at the time the Commission's warrant is 
executed, the arresting officer may, within 72 hours of executing the 
Commission's warrant, release the parolee to such other warrant and 
lodge the Commission's warrant as a detainer, voiding the execution 
thereof, if such action is consistent with the instructions of the 
Commission. In other cases, a parolee may be released from an executed 
warrant whenever the Commission finds such action necessary to serve the 
ends of justice.
    (e) A summons to appear at a probable cause hearing or revocation 
hearing shall be served upon the parolee in person by delivering to the 
parolee a copy of the summons and the application therefor. Service 
shall be made by any Federal or District of Columbia officer authorized 
to serve criminal process and certification of such service shall be 
returned to the Commission.
    (f) Official notification of the issuance of a Commission warrant 
shall authorize any law enforcement officer within the United States to 
hold the parolee in custody until the warrant can be executed in 
accordance with paragraph (a) of this section.

[ 65 FR 45888, July 26, 2000, as amended at 67 FR 2569, Jan. 18, 2002]



Sec. 2.100  Warrant placed as detainer and dispositional review.

    (a) When a parolee is in the custody of other law enforcement 
authorities, or is serving a new sentence of imprisonment imposed for a 
crime committed while on parole or for a violation of some other form of 
community supervision, a parole violation warrant may be lodged against 
him as a detainer.
    (b) If the parolee is serving a new sentence of imprisonment, and is 
eligible and has applied for parole under the Commission's jurisdiction, 
a dispositional revocation hearing shall be scheduled simultaneously 
with the initial hearing on the new sentence. In such cases, the warrant 
shall not be executed except upon final order of the Commission 
following such hearing, as provided in Sec. 2.81(c). In any other cases, 
the detainer shall be reviewed on the record pursuant to paragraph (c) 
of this section.
    (c) If the parolee is serving a new sentence of imprisonment that 
does not include eligibility for parole under the Commission's 
jurisdiction, the Commission shall review the detainer upon the request 
of the parolee. Following such review, the Commission 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 dispositional revocation hearing to be conducted by a 
hearing examiner or an official designated by the Commission at the 
institution in which the parolee is confined. In such case, the warrant 
shall not be executed except upon final order of the Commission 
following such hearing.
    (3) Let the detainer stand until the new sentence is completed. 
Following the release of the parolee, and the execution of the 
Commission's warrant, an institutional revocation hearing shall be 
conducted after the parolee is returned to federal custody.
    (d) Dispositional revocation hearings pursuant to this section shall 
be conducted in accordance with the provisions at Sec. 2.103 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 Commission. 
Following a revocation hearing conducted pursuant to this section, the 
Commission may take any action specified in Sec. 2.105.
    (1) The date the violation term commences is the date the 
Commission's warrant is executed. It shall be the policy of the 
Commission that the parolee's violation term (i.e., the unexpired term 
that remained to be served at the time the parolee was last released on 
parole) shall start to run only upon his release from the confinement 
portion of the sentence for the new offense, or the date of reparole 
granted pursuant to this subpart, whichever comes first.
    (2) A parole violator whose parole is revoked shall be given credit 
for all

[[Page 182]]

time in confinement resulting from any new offense or violation that is 
considered by the Commission as a basis for revocation, but solely for 
the limited purpose of satisfying the time ranges in the reparole 
guidelines at Sec. 2.81. The computation of the prisoner's sentence, and 
forfeiture of time on parole pursuant to D.C. Code 24-206(a), is not 
affected by such guideline credit.



Sec. 2.101  Probable cause hearing and determination.

    (a) Hearing. A parolee who is retaken and held in custody in the 
District of Columbia on a warrant issued by the Commission, and who has 
not been convicted of a new crime, shall be given a probable cause 
hearing by an examiner of the Commission no later than five days from 
the date of such retaking. A parolee who is retaken and held in custody 
outside the District of Columbia, but within the Washington DC 
metropolitan area, and who has not been convicted of a new crime, shall 
be given a probable cause hearing by an examiner of the Commission 
within five days of the parolee's arrival at a facility where probable 
cause hearings are conducted. The purpose of a probable cause hearing is 
to determine whether there is probable cause to believe that the parolee 
has violated parole as charged, and if so, whether a local or 
institutional revocation hearing should be conducted. If the examiner 
finds probable cause, the examiner shall schedule a final revocation 
hearing to be held within 65 days of such parolee's arrest.
    (b) Notice and opportunity to postpone hearing. Prior to the 
commencement of each docket of probable cause hearings in the District 
of Columbia, a list of the parolees who are scheduled for probable cause 
hearings, together with a copy of the warrant application for each 
parolee, shall be sent to the D.C. Public Defender Service. At or before 
the probable cause hearing, the parolee (or the parolee's attorney) may 
submit a written request that the hearing be postponed for any period up 
to thirty days, and the Commission shall ordinarily grant such requests. 
Prior to the commencement of the probable cause hearing, the examiner 
shall advise the parolee that the parolee may accept representation by 
the attorney from the D.C. Public Defender Service who is assigned to 
that docket, waive the assistance of an attorney at the probable cause 
hearing, or have the probable cause hearing postponed in order to obtain 
another attorney and/or witnesses on his behalf. In addition, the 
parolee may request the Commission to require the attendance of adverse 
witnesses (i.e., witnesses who have given information upon which 
revocation may be based) at a postponed probable cause hearing. Such 
adverse witnesses may be required to attend either a postponed probable 
cause hearing, or a combined postponed probable cause and local 
revocation hearing, provided the parolee meets the requirements of 
Sec. 2.102(a) for a local revocation hearing. The parolee shall also be 
given notice of the time and place of any postponed probable cause 
hearing.
    (c) Review of the charges. At the beginning of the probable cause 
hearing, the examiner shall ascertain that the notice required by 
Sec. 2.99 (b) has been given to the parolee. The examiner shall then 
review the violation charges with the parolee and shall apprise the 
parolee of the evidence that has been submitted in support of the 
charges. The examiner shall ascertain whether the parolee admits or 
denies each charge listed on the warrant application (or other notice of 
charges), and shall offer the parolee an opportunity to rebut or explain 
the allegations contained in the evidence giving rise to each charge. 
The examiner shall also receive the statements of any witnesses and 
documentary evidence that may be presented by the parolee. At a 
postponed probable cause hearing, the examiner shall also permit the 
parolee to confront and cross-examine any adverse witnesses in 
attendance, unless good cause is found for not allowing confrontation. 
Whenever a probable cause hearing is postponed to secure the appearance 
of adverse witnesses, the Commission will ordinarily order a combined 
probable cause and local revocation hearing as provided in paragraph (i) 
of this section.
    (d) Probable cause determination. At the conclusion of the probable 
cause hearing, the examiner shall determine

[[Page 183]]

whether probable cause exists to believe that the parolee has violated 
parole as charged, and shall so inform the parolee. The examiner shall 
then take either of the following actions:
    (1) If the examiner determines that no probable cause exists for any 
violation charge, the examiner shall order that the parolee be released 
from the custody of the warrant and either reinstated to parole, or 
discharged from supervision if the parolee's sentence has expired.
    (2) If the hearing examiner determines that probable cause exists on 
any violation charge, and the parolee has requested (and is eligible 
for) a local revocation hearing in the District of Columbia as provided 
by Sec. 2.102 (a), the examiner shall schedule a local revocation 
hearing for a date that is within 65 days of the parolee's arrest. After 
the probable cause hearing, the parolee (or the parolee's attorney) may 
submit a written request for a postponement. Such postponements will 
normally be granted if the request is received no later than fifteen 
days before the date of the revocation hearing. A request for a 
postponement that is received by the Commission less than fifteen days 
before the scheduled date of the revocation hearing will be granted only 
for a compelling reason. The parolee (or the parolee's attorney) may 
also request, in writing, a hearing date that is earlier than the date 
scheduled by the examiner, and the Commission will accommodate such 
request if practicable.
    (e) Institutional revocation hearing. If the parolee is not eligible 
for a local revocation hearing as provided by Sec. 2.102 (a), or has 
requested to be transferred to an institution for his revocation 
hearing, the Commission will request the Bureau of Prisons to designate 
the parolee to an appropriate institution, and an institutional 
revocation hearing shall be scheduled for a date that is within ninety 
days of the parolee's retaking.
    (f) Digest of the probable cause hearing. At the conclusion of the 
probable cause hearing, the examiner shall prepare a digest summarizing 
the evidence presented at the hearing, the responses of the parolee, and 
the examiner's findings as to probable cause.
    (g) Release notwithstanding probable cause. Notwithstanding a 
finding of probable cause, the Commission may order the parolee's 
reinstatement to supervision or release pending further proceedings, if 
it determines that:
    (1) Continuation of revocation proceedings is not warranted despite 
the finding of probable cause; or
    (2) Incarceration pending further revocation proceedings is not 
warranted by the frequency or seriousness of the alleged violation(s), 
and the parolee is neither likely to fail to appear for further 
proceedings, nor is a danger to himself or others.
    (h) Conviction as probable cause. Conviction of any crime committed 
subsequent to release by a parolee shall constitute probable cause for 
the purposes of this section, and no probable cause hearing shall be 
conducted unless a hearing is needed to consider additional violation 
charges that may be determinative of the Commission's decision whether 
to revoke parole.
    (i) Combined probable cause and local revocation hearing. A 
postponed probable cause hearing may be conducted as a combined probable 
cause and local revocation hearing, provided such hearing is conducted 
within 65 days of the parolee's arrest and the parolee has been notified 
that the postponed probable cause hearing will constitute his final 
revocation hearing. The Commission's policy is to conduct a combined 
probable cause and local revocation hearing whenever adverse witnesses 
are required to appear and give testimony with respect to contested 
charges.
    (j) Late received charges. If the Commission is notified of an 
additional charge after probable cause has been found to proceed with a 
revocation hearing, the Commission may:
    (1) Remand the case for a supplemental probable cause hearing if the 
new charge may be contested by the parolee and possibly result in the 
appearance of witness(es) at the revocation hearing;
    (2) Notify the parolee that the additional charge will be considered 
at the revocation hearing without conducting a supplemental probable 
cause hearing; or

[[Page 184]]

    (3) Determine that the new charge shall not be considered at the 
revocation hearing.

[67 FR 2569, Jan. 18, 2002, as amended at 68 FR 3390, Jan. 24, 2003]



Sec. 2.102  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, with the opportunity to contest the charges 
against him, 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 all charges against him.
    (b) The parolee shall also be given a local revocation hearing if he 
admits (or has been convicted of) one or more charged violations, but 
denies at least one unadjudicated charge that may be determinative of 
the Commission's decision regarding revocation and/or reparole, and 
requests the presence of one or more adverse witnesses regarding that 
contested charge. If the appearance of such witness at the hearing is 
precluded by the Commission for good cause, a local revocation hearing 
shall not be ordered.
    (c) If there are two or more contested charges, a local revocation 
hearing may be conducted near the place of the violation chiefly relied 
upon by the Commission as a basis for the issuance of the warrant or 
summons.
    (d) A parolee who voluntarily waives his right to a local revocation 
hearing, or who admits one or more charged violations without contesting 
any unadjudicated charge that may be determinative of the Commission's 
decision regarding revocation and/or reparole, or who is retaken 
following release from a sentence of imprisonment for a new crime, shall 
be given an institutional revocation hearing upon his return or 
recommitment to an institution. An institutional revocation hearing may 
also be conducted in the District of Columbia jail or prison facility in 
which the parolee is being held. (However, a Commissioner may, on his 
own motion, designate any such case for a local revocation hearing 
instead.) The difference in procedures between a ``local revocation 
hearing'' and an ``institutional revocation hearing'' is set forth in 
Sec. 2.103.
    (e) A parolee retaken on a warrant issued by the Commission shall be 
retained in custody until final action relative to revocation of his 
parole, unless otherwise ordered by the Commission under 
Sec. 2.101(e)(3). A parolee who has been given a revocation hearing 
pursuant to the issuance of a summons shall remain on supervision 
pending the decision of the Commission, unless the Commission has 
provided otherwise.
    (f) A local revocation hearing shall be held not later than sixty-
five days from the retaking of the parolee on the parole violation 
warrant. An institutional revocation hearing shall be held within ninety 
days of the retaking of the parolee on the parole violation warrant. If 
the parolee requests and receives any postponement, or consents to any 
postponement, or by his actions otherwise precludes the prompt 
completion of revocation proceedings in his case, the above-stated time 
limits shall be correspondingly extended.

[65 FR 45888, July 26, 2000, as amended at 67 FR 2570, Jan. 18, 2002]



Sec. 2.103  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) At a local revocation hearing, the alleged violator may present 
voluntary witnesses and documentary evidence in his behalf. The alleged 
violator may also seek the compulsory attendance of any adverse 
witnesses for cross-examination, and any relevant favorable witnesses 
who have not volunteered to attend. At an institutional revocation 
hearing, the alleged violator may present voluntary witnesses and 
documentary evidence in his behalf, but may not request the Commission 
to secure the attendance of any adverse or favorable witness. At any 
hearing, the presiding hearing officer or examiner may limit or exclude 
any irrelevant or repetitious statement or documentary evidence, and may 
prohibit the parolee from contesting matters already adjudicated against 
him in other forums.

[[Page 185]]

    (c) At a local revocation hearing, the Commission shall, on the 
request of the alleged violator, require the attendance of any adverse 
witnesses who have given statements upon which revocation may be based. 
The adverse witnesses who are present shall be made available for 
questioning and cross-examination in the presence of the alleged 
violator. The Commission may also require the attendance of adverse 
witnesses on its own motion, and may excuse any requested adverse 
witness from appearing at the hearing (or from appearing in the presence 
of the alleged violator) if it finds good cause for so doing. A finding 
of good cause for the non-appearance of a requested adverse witness may 
be based, for example, on a significant possibility of harm to the 
witness, the witness not being reasonably available, and/or the 
availability of documentary evidence that is an adequate substitute for 
live testimony.
    (d) All evidence upon which a finding of violation may be based 
shall be disclosed to the alleged violator before the revocation 
hearing. Such evidence shall include the Community Supervision Officer's 
letter summarizing the parolee's adjustment to parole and requesting the 
warrant, all other documents describing the charged violation or 
violations of parole, and any additional evidence upon which the 
Commission intends to rely in determining whether the charged violation 
or violations, if sustained, would warrant revocation of parole. If the 
parolee is represented by an attorney, the attorney shall be provided, 
prior to the revocation hearing, with a copy of the parolee's 
presentence investigation report, if such report is available to the 
Commission. If disclosure of any information would reveal the identity 
of a confidential informant or result in harm to any person, that 
information may be withheld from disclosure, in which case a summary of 
the withheld information shall be disclosed to the parolee prior to the 
revocation hearing.
    (e) An alleged violator may be represented by an attorney at either 
a local or an institutional revocation hearing. In lieu of an attorney, 
an alleged violator may be represented at any 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. Only licensed attorneys shall be permitted to 
question witnesses, make objections, and otherwise provide legal 
representation for parolees, except in the case of law students 
appearing before the Commission as part of a court-approved clinical 
practice program, with the consent of the alleged violator, and under 
the personal direction of a lawyer or law professor who is physically 
present at the hearing.
    (f) At a local revocation hearing, the Commission shall secure the 
presence of the parolee's Community Supervision Officer, or a substitute 
Community Supervision Officer, who shall bring the parolee's supervision 
file, if the parolee's Community Supervision Officer is not available. 
At the request of the hearing examiner, such officer shall provide 
testimony at the hearing concerning the parolee's adjustment to parole.
    (g) After the revocation hearing, the hearing examiner shall prepare 
a summary of the hearing that includes a description of the evidence 
against the parolee and the evidence submitted by the parolee in defense 
or mitigation of the charges, a summary of the arguments against 
revocation presented by the parolee, and the examiner's recommended 
decision. The hearing examiner's summary, together with the parolee's 
file (including any documentary evidence and letters submitted on behalf 
of the parolee), shall be given to another examiner for review. When two 
hearing examiners concur in a recommended disposition, that 
recommendation, together with the parolee's file and the hearing 
examiner's summary of the hearing, shall be submitted to the Commission 
for decision.

[65 FR 45888, July 26, 2000, as amended at 67 FR 2570, Jan. 18, 2002]



Sec. 2.104  Issuance of subpoena for appearance of witnesses or production of documents.

    (a)(1) If any adverse witness (i.e., a person who has given 
information upon which revocation may be based) refuses, upon request by 
the Commission, to appear at a probable cause hearing

[[Page 186]]

or local revocation hearing, a Commissioner may issue a subpoena for the 
appearance of such witness. Such subpoena may also be issued at the 
discretion of a Commissioner in the event such adverse witness is judged 
unlikely to appear as requested.
    (2) In addition, a Commissioner may, 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) Such subpoenas may also be issued at the discretion of a 
Commissioner if deemed necessary for the orderly processing of the case.
    (b) A subpoena issued pursuant to paragraph (a) of this section 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 named therein is commanded to appear, and shall 
specify any documents required to be produced.
    (c) A subpoena may be served by any Federal or District of Columbia 
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 a person.
    (d) If a person refuses to obey such subpoena, the Commission may 
petition a court of the United States for the judicial district on 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. 
If the court issues an order requiring such person to appear before the 
Commission, failure to obey such an order is punishable as contempt. 18 
U.S.C. 4214 (1976).

[65 FR 45888, July 26, 2000, as amended at 67 FR 2571, Jan. 18, 2002]



Sec. 2.105  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 one or more conditions of parole, the Commission may take 
any of the following actions:
    (1) Restore the parolee to supervision, including where appropriate:
    (i) Reprimand the parolee;
    (ii) Modify the parolee's conditions of release; or
    (iii) Refer the parolee 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 whether immediate reparole is warranted or whether 
parole should be terminated pursuant to D.C. Code 24-206(a). Termination 
of parole shall return the parolee to prison. If the parolee is returned 
to prison, the Commission shall also determine a presumptive release 
date pursuant to Sec. 2.81.
    (c) Decisions under this section shall be made upon the concurrence 
of two Commissioner votes, except that a decision to override an 
examiner panel recommendation shall require the concurrence of three 
Commissioner votes. The final decision following a local revocation 
hearing shall be issued within 86 days of the retaking of the parolee on 
the parole violation warrant. The final decision following an 
institutional revocation hearing shall be issued within 21 days of the 
hearing, excluding weekends and holidays.
    (d) Pursuant to D.C. Code 24-206(a), a parolee whose parole is 
revoked by the Commission shall receive no credit toward his sentence 
for time spent on parole, including any time the parolee may have spent 
in confinement on other sentences (or in a halfway house as a condition 
of parole) prior to the execution of the Commission's warrant.
    (e) Notwithstanding paragraphs (a) through (d) of this section, 
prisoners committed under the Federal Youth Corrections Act shall not be 
subject to forfeiture of time on parole, but shall serve uninterrupted 
sentences from the date of conviction except as provided in Sec. 2.10(b) 
and (c). This exception from D.C. Code 24-206(a) does not apply to

[[Page 187]]

prisoners serving sentences under the D.C. Youth Rehabilitation Act, to 
which D.C. Code 24-206(a) is fully applicable.
    (f) In determining whether to revoke parole for non-compliance with 
a condition requiring payment of a fine, restitution, court costs or 
assessment, and/or court ordered child support or alimony payment, the 
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.

[65 FR 45888, July 26, 2000, as amended at 67 FR 2571, Jan. 18, 2002



Sec. 2.106  Youth Rehabilitation Act.

    (a) Regulations governing YRA offenders and D.C. Code FYCA 
offenders. The provisions of this section shall apply to an offender 
sentenced pursuant to the Youth Rehabilitation Act of 1985 (D.C. Code 
24-801 et seq.) (YRA) who committed his offense before August 5, 2000, 
and a D.C. Code offender sentenced under the former Federal Youth 
Corrections Act (former 18 U.S.C. 5005 et seq.) (FYCA). An offender 
sentenced under the YRA who committed his offense on or after August 5, 
2000 is not eligible for parole or unconditional discharge from 
supervision, but may be terminated from a term of supervised release 
before the expiration of the term. See D.C. Code 24-804(c) and 24-
806(c).
    (b) Application of this subpart to YRA offenders. All provisions of 
this subpart that apply to adult offenders also apply to YRA offenders 
unless a specific exception is made for YRA (or youth) offenders.
    (c) No further benefit finding. If there is a finding that a YRA 
offender will derive no further benefit from treatment, such prisoner 
shall be considered for parole, and for any other action, exclusively 
under the provisions of this subpart that are applicable to adult 
offenders. Such a finding may be made pursuant to D.C. Code 24-805 by 
the Department of Corrections or by the Bureau of Prisons, and shall be 
promptly forwarded to the Commission. However, if the finding is 
appealed to the sentencing judge, the prisoner will continue to be 
treated under the provisions pertaining to YRA offenders until the judge 
makes a final decision denying the appeal.
    (d)(1) Program plans and using program achievement to set the parole 
date. At a YRA prisoner's initial parole hearing, a program plan for the 
prisoner's treatment shall be submitted by institutional staff and 
reviewed by the hearing examiner. Any proposed modifications to the plan 
shall be discussed at the hearing, although further relevant information 
may be presented and considered after the hearing. The plan shall 
adequately account for the risk implications of the prisoner's current 
offense and criminal history and shall address the prisoner's need for 
rehabilitational training. The program plan shall also include an 
estimated date of completion. The criteria at Sec. 2.64(d) for 
successful response to treatment programs shall be considered by the 
Commission in determining whether the proposed program plan would 
effectively reduce the risk to the public welfare.
    (2) The youth offender's response to treatment programs and program 
achievement shall be considered with other relevant factors, such as the 
offense and parole prognosis, in determining when the youth offender 
should be conditionally released under supervision. See Sec. 2.64(e). 
The guidelines at Sec. 2.80(k)-(m) on awarding superior program 
achievement and the subtraction of any award in determining the total 
guideline range shall not be used in the decision.
    (e) Parole violators. A YRA parolee who has had his parole revoked 
shall be scheduled for a rehearing within six months of the revocation 
hearing to review the new program plan prepared by institutional staff, 
unless a parole effective date is granted after the revocation hearing. 
Such program plan shall reflect a thorough reassessment of the 
prisoner's rehabilitational needs in light of the prisoner's failure on 
parole. Decisions on reparole shall be made using the guidelines at 
Sec. 2.80. If a YRA parolee is sentenced to a new prison term of one 
year or more for a crime

[[Page 188]]

committed while on parole, the case shall be referred to correctional 
authorities for consideration of a ``no further benefit'' finding.
    (f) Unconditional discharge from supervision. (1) A YRA parolee may 
be unconditionally discharged from supervision after service of one year 
on parole supervision if the Commission finds that supervision is no 
longer needed to protect the public safety. A review of the parolee's 
file shall be conducted after the conclusion of each year of supervision 
upon receipt of an annual progress report, and upon receipt of a final 
report to be submitted by the supervision officer six months prior to 
the sentence expiration date.
    (2) In making a decision concerning unconditional discharge, the 
Commission shall consider the facts and circumstances of each case, 
focusing on the risk the parolee poses to the public and the benefit he 
may obtain from further supervision. The decision shall be made after an 
analysis of case-specific factors, including, but not limited to, the 
parolee's prior criminal history, the offense behavior that led to his 
conviction, record of drug or alcohol dependence, employment history, 
stability of residence and family relationships, and the number and 
nature of any incidents while under supervision (including new arrests, 
alleged parole violations, and criminal investigations).
    (3) An order of unconditional discharge from supervision terminates 
the YRA offender's sentence. Whenever a YRA offender is unconditionally 
discharged from supervision, the Commission shall issue a certificate 
setting aside the offender's conviction. If the YRA offender is not 
unconditionally discharged from supervision prior to the expiration of 
his sentence, a certificate setting aside the conviction may be issued 
nunc pro tunc if the Commission finds that the failure to issue the 
decision on time was due to administrative delay or error, or that the 
Supervision Officer failed to present the Commission with a progress 
report before the end of the supervision term, and the offender's own 
actions did not contribute to the absence of the final report. However, 
the offender must have deserved to be unconditionally discharged from 
supervision before the end of his supervision term for a nunc pro tunc 
certificate to issue.

[65 FR 45888, July 26, 2000, as amended at 67 FR 57946, Sept. 13, 2002]



Sec. 2.107  Interstate Compact.

    (a) Pursuant to D.C. Code 24-1233(b)(2)(G), the Director of the 
Court Services and Offender Supervision Agency (CSOSA), or his designee, 
shall be the Compact Administrator with regard to the following 
individuals on parole supervision pursuant to the Interstate Parole and 
Probation Compact authorized by D.C. Code 24-251:
    (1) All D.C. Code parolees who are under the supervision of agencies 
in jurisdictions outside the District of Columbia; and
    (2) All parolees from other jurisdictions who are under the 
supervision of CSOSA within the District of Columbia.
    (b) Transfers of supervision pursuant to the Interstate Compact, 
where appropriate, may be arranged by the Compact Administrator, or his 
designee, and carried out with the approval of the Parole Commission. A 
D.C. Code parolee who is under the Parole Commission's jurisdiction will 
ordinarily be released or transferred to the supervision of a U.S. 
Probation Office outside the District of Columbia.
    (c) Upon receipt of a report that a D.C. Code parolee, who is under 
supervision pursuant to the Interstate Compact in a jurisdiction outside 
the District of Columbia, has violated his or her parole, the Commission 
may issue a warrant pursuant to the procedures of Sec. 2.98. The warrant 
may be executed as provided as in Sec. 2.99. A parolee who is arrested 
on such a warrant shall be considered to be a prisoner in federal 
custody, and may be returned to the District of Columbia or designated 
to a facility of the Bureau of Prisons at the request of the Commission.
    (d) If a parolee from another jurisdiction, who is under the 
supervision of CSOSA pursuant to the Interstate Compact, is alleged to 
have violated his or her parole, the Compact Administrator or his 
designee may issue a temporary warrant to secure the arrest of the 
parolee pending issuance of a

[[Page 189]]

warrant by the original paroling agency. If so requested, the Commission 
will conduct a courtesy revocation hearing on behalf of the original 
paroling agency whenever a revocation hearing within the District of 
Columbia is required.
    (e) The term ``D.C. Code parolee'' shall include any felony offender 
who is serving a period of parole or mandatory release supervision 
pursuant to a sentence of imprisonment imposed under the District of 
Columbia Code.



        Subpart D--District of Columbia Code Supervised Releasees

    Source: 65 FR 70467, Nov. 24, 2000, unless otherwise noted.



Sec. 2.200  Authority, jurisdiction, and functions of the U.S. Parole Commission with respect to offenders serving terms of supervised release imposed by the 
          Superior Court of the District of Columbia.

    (a) The U.S. Parole Commission has jurisdiction, pursuant to D.C. 
Code 24-1233(c)(2), over all offenders serving terms of supervised 
release imposed by the Superior Court of the District of Columbia under 
the Sentencing Reform Amendment Act of 2000.
    (b) The U.S. Parole Commission shall have and exercise the same 
authority with respect to a term of supervised release as is vested in 
the United States district courts by 18 U.S.C. 3583(d) through(i), 
except that:
    (1) The procedures followed by the Commission in exercising that 
authority shall be those set forth with respect to offenders on federal 
parole at 18 U.S.C. 4209 through 4215 (Chapter 311 of 18 United States 
Code); and
    (2) An extension of a term of supervised release under subsection 
(e)(2) of 18 U.S.C. 3583 may only be ordered by the Superior Court upon 
motion from the Commission.
    (c) Within the District of Columbia, supervision of offenders on 
terms of supervised release under the Commission's jurisdiction is 
carried out by the Community Supervision Officers of the Court Services 
and Offender Supervision Agency (CSOSA), pursuant to D.C. Code 24-
1233(c)(2). Outside the District of Columbia, supervision is carried out 
by United States Probation Officers pursuant to 18 U.S.C. 3655. For the 
purpose of this subpart, any reference to a ``Supervision Officer'' 
shall include both a Community Supervision Officer of CSOSA and a United 
States Probation Officer in the case of a releasee who is under 
supervision outside the District of Columbia.



Sec. 2.201  Period of supervised release.

    A period of supervised release that is subject to the Commission's 
jurisdiction begins to run on the day the offender is released from 
prison and continues to the expiration of the full term imposed by the 
Superior Court, unless early termination is granted by the Commission. 
In the case of multiple terms of supervised release imposed by the 
Superior Court, all terms are deemed to be absorbed by the longest term 
imposed, which shall be the controlling term for all purposes under this 
part, including the calculation of the maximum authorized penalties that 
may be imposed if supervised release is revoked. A term of supervised 
release shall run concurrently with any federal, state, or local term of 
probation, parole or supervised release for another offense, but does 
not run while the offender is imprisoned in connection with a conviction 
for a federal, state, or local crime unless the period of imprisonment 
is less than 30 days. Such interruption of the term of supervised 
release is automatic, and is not dependent upon the issuance of a 
warrant or an order of revocation by the Commission.



Sec. 2.202  Prerelease procedures.

    (a) At least three months, but not more than six months, prior to 
the release of a prisoner who has been sentenced to a term or terms of 
supervised release by the Superior Court, the responsible prison 
officials shall have the prisoner's release plan forwarded to CSOSA (or 
to the appropriate U.S. Probation Office) for investigation. If the 
CSOSA Supervision Officer (or U.S. Probation Officer) believes that any 
special condition of supervised release should be imposed prior to the 
release of the prisoner, he shall forward a request for such condition 
to the Commission. The Commission may, upon

[[Page 190]]

such request or of its own accord, impose any special condition in 
addition to the standard conditions specified in Sec. 2.204, which shall 
take effect on the day the prisoner is released.
    (b) Upon the release of the prisoner, the responsible prison 
officials shall instruct the prisoner, in writing, to report to his 
assigned Supervision Officer within 72 hours, and shall inform the 
prisoner that failure to report on time shall constitute a violation of 
supervised release. If the prisoner is released to the custody of other 
authorities, the prisoner shall report to his Supervision Officer within 
72 hours after his release from the physical custody of such 
authorities. If he is outside the District of Columbia and is unable to 
report to the Supervision Officer to whom he is assigned within 72 
hours, he shall report instead to the nearest U.S. Probation Office.



Sec. 2.203  Certificate of supervised release.

    When an offender who has been released from prison to serve a term 
of supervised release imposed by the Superior Court reports to his 
Supervision Officer for the first time, the Supervision Officer shall 
deliver to the releasee a certificate bearing the conditions of 
supervised release imposed by the Commission and shall explain the 
conditions to the releasee.



Sec. 2.204  Conditions of supervised release.

    (a) The following conditions shall apply to every term of supervised 
release, and are deemed by the Commission to be necessary to provide 
adequate supervision and to protect the public from further crimes of 
the releasee:
    (1) The releasee shall not commit any federal, state, or local crime 
during the term of supervision, nor shall he associate with persons 
engaged in criminal activity. The releasee shall report within two days 
to his Supervision Officer if he is arrested or questioned by any law 
enforcement officer.
    (2) The releasee shall not drink alcoholic beverages to excess. He 
shall not purchase, possess, use or administer any controlled substance 
unless prescribed for the releasee by a physician. The releasee shall 
not frequent places where such controlled substances are illegally sold, 
dispensed, used, or given away.
    (3) The releasee shall submit to a drug urinalysis test, within 15 
days of being placed on supervision, and to at least two periodic drug 
tests thereafter, as ordered by his Supervision Officer. The Commission 
may modify or suspend this condition if the record indicates that there 
is a low risk of future substance abuse by the releasee.
    (4) The releasee shall submit to a drug or alcohol test at any time 
during the term of supervision, whenever such testing is ordered by his 
Supervision Officer.
    (5) The releasee shall not leave the limits fixed by his certificate 
of supervised release without permission from his Supervision Officer.
    (6) The releasee shall notify his Supervision Officer of the address 
where he will reside and of any change in his place of residence within 
two days of such change.
    (7) The releasee shall make a complete and truthful written report 
(on a form provided for that purpose) to his Supervision Officer between 
the first and third day of each month. He shall also report to his 
Supervision Officer at other times as the officer directs, providing 
complete and truthful information.
    (8) The releasee shall not enter into any agreement to act as an 
informant or special agent for any law-enforcement agency without prior 
authorization from the Commission.
    (9) The releasee shall work regularly unless excused by his 
Supervision Officer, and shall support his legal dependants, if any, to 
the best of his ability. He shall report within two days to his 
Supervision Officer any changes in his employment or employment status.
    (10) The releasee shall not associate with persons who have a 
criminal record without the permission of his Supervision Officer.
    (11) The releasee shall not possess a firearm or other dangerous 
weapon.
    (12) The releasee shall permit visits by his Supervision Officer to 
his residence and to his place of business or occupation. He shall 
permit confiscation by his Supervision Officer of any

[[Page 191]]

material which the officer believes may constitute contraband in the 
releasee's residence, place of business or occupation, vehicle, or on 
his person. The Commission may also, when a reasonable basis for so 
doing is presented, modify the conditions of supervised release to 
require the releasee to permit his Supervision Officer to conduct 
searches and seizures of concealed contraband on the releasee's person, 
and in any building, vehicle, or other area under the releasee's 
control, at such times as the officer shall decide.
    (13) The releasee 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 
Supervision Officer that is relevant to the payment of the obligation. 
If unable to pay the obligation in one sum, the releasee shall cooperate 
with his Supervision Officer in establishing an installment payment 
schedule. In determining whether to revoke supervised release for non-
compliance with this condition, the Commission shall consider the 
releasee'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 releasee is found to be 
deliberately evading or refusing compliance.
    (14) If released to the District of Columbia, the releasee shall 
submit to the sanctions imposed by his Community Supervision Officer 
(within the limits established by the CSOSA Administrative Sanctions 
Schedule) if the Community Supervision Officer finds that the releasee 
has tested positive for illegal drugs or that he has committed any non-
criminal violation of the conditions of supervised release. Graduated 
sanctions may include community service, curfew with electronic 
monitoring, and/or a period of time in a community corrections center. 
The releasee's failure to cooperate with a graduated sanction imposed by 
his Supervision Officer will subject the releasee to the issuance of a 
summons or warrant by the Commission, and a revocation hearing at which 
the releasee will be afforded the opportunity to contest the allegations 
upon which the sanction was based. In addition, the Commission may 
override the imposition of a graduated sanction at any time and issue a 
warrant or summons if it believes that the releasee is a risk to the 
public safety or that he is not complying with this condition in good 
faith.
    (b) The Commission or a member thereof may at any time modify the 
conditions of supervised release, which may include imposing additional 
conditions. In so doing, the Commission shall consider the factors 
referenced in 18 U.S.C. 3583(d). The releasee 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 
the ten day period, the Commission shall have 21 days, exclusive of 
holidays, to modify the conditions of supervised release. The ten-day 
notice requirement shall not apply to a modification of the conditions 
of release in the following circumstances:
    (1) Following a revocation hearing;
    (2) Upon a finding that immediate modification of the conditions of 
release is required to prevent harm to the releasee or to the public; or
    (3) In response to a request by the releasee.
    (c) The Commission may, as a condition of supervised release, 
require the releasee to reside in a community corrections center, or to 
participate in the program of a residential treatment center, or both, 
for all or part of the period of supervised release, as part of a 
program of treatment.
    (d) The Commission may require the releasee to remain at his place 
of residence during non-working 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) The Commission may require a releasee, 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

[[Page 192]]

the releasee abstain from the use of alcohol and/or all other 
intoxicants during and after the course of treatment.
    (f) The Commission may require a releasee, 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 releasee has reverted to the use of drugs 
(including alcohol). In such a case, the Commission will require that 
the releasee abstain from the use of alcohol and/or all other 
intoxicants during and after the course of treatment.
    (g) If the conviction resulting in the term of supervised release is 
the releasee's first conviction for a crime of domestic violence as 
defined in 18 U.S.C. 3561(b), the releasee shall, at the direction of 
his Supervision Officer, attend a public, private, or private nonprofit 
offender rehabilitation program that has been approved by CSOSA (or the 
U.S. Probation Office), in consultation with a State Coalition Against 
Domestic Violence or other appropriate experts, if such an approved 
program is readily available within a 50-mile radius of the legal 
residence of the releasee. For the purposes of this condition, a ``court 
of the United States'' in 18 U.S.C. 3561(b) shall include the District 
of Columbia Superior Court. The Commission shall not be limited by this 
requirement from imposing any appropriate condition with respect to a 
repeat offender.
    (h) A releasee who has committed an offense for which sex offender 
registration is required under D.C. Code 24-1121 et seq., shall comply 
with the registration requirements of Chapter 11 of Title 24, D.C. Code, 
and with the sex offender registration laws of any state in which the 
releasee resides, works, or attends school.
    (i) Any releasee who absconds from supervision has effectively 
prevented his term of supervised release from expiring. Therefore, the 
releasee 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 originally scheduled expiration 
date of the term of supervised release, may be charged as a basis for 
revocation. In such a case, the warrant may be supplemented at any time.
    (j) Releasees are expected by the Commission to understand the 
conditions of supervision according to their plain meaning, and to seek 
the guidance of their Supervision Officers before engaging in any 
conduct that may constitute a violation thereof. Supervision Officers 
may issue instructions to releasees to refrain from particular conduct 
that would violate supervised release, or to take specific steps to 
avoid or correct a violation thereof, as well as such other directives 
as may be authorized by the conditions imposed by the Commission.



Sec. 2.205  Confidentiality of supervised release records.

    (a) Consistent with the Privacy Act of 1974 (5 U.S.C. 552a(b)), the 
contents of supervised release records shall be confidential and shall 
not be disclosed outside the Commission and CSOSA (or the U.S. Probation 
Office) except as provided in paragraphs (b) and (c) of this section.
    (b) Information pertaining to a releasee may be disclosed to the 
general public, without the consent of the releasee, as authorized by 
Sec. 2.37.
    (c) Information other than as described in Sec. 2.37 may be 
disclosed without the consent of the releasee only pursuant to the 
provisions of the Privacy Act of 1974 (5 U.S.C. 552a(b)) and the 
implementing rules of the Commission or CSOSA, as applicable.



Sec. 2.206  Travel approval and transfers of supervision.

    (a) A releasee's Supervision Officer may approve travel outside the 
district of supervision without approval of the Commission in the 
following situations:
    (1) Trips not to exceed thirty days for family emergencies, 
vacations, and similar personal reasons;
    (2) Trips, not to exceed thirty days, to investigate reasonably 
certain employment possibilities; and
    (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

[[Page 193]]

travel, employment requiring recurring travel more than fifty miles 
outside the district, and vacation travel outside the district of 
supervision 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 Commission prohibiting 
certain travel shall apply instead of any general rules relating to 
travel as set forth in paragraph (a) of this section.
    (d) The district of supervision for a releasee under the supervision 
of CSOSA shall be the District of Columbia, except that for the purpose 
of travel permission under this section, the district of supervision 
shall include the D.C. metropolitan area as defined in the certificate 
of supervised release.
    (e) A supervised releasee who is under the jurisdiction of the 
Commission, and who is released or transfers to a district outside the 
District of Columbia, shall be supervised by a U.S. Probation Officer 
pursuant to 18 U.S.C. 3655.
    (f) A supervised releasee may be transferred to a new district of 
supervision with the permission of the supervision offices of both the 
transferring and receiving district, provided such transfer is not 
contrary to instructions from the Commission.



Sec. 2.207  Supervision reports to Commission.

    An initial supervision report to confirm the satisfactory initial 
progress of the releasee shall be submitted to the Commission 90 days 
after the offender's release from prison, by the Supervision Officer 
responsible for the releasee's supervision. A regular supervision report 
shall be submitted to the Commission by the officer responsible for the 
supervision of the releasee after the completion of 12 months of 
continuous community supervision and annually thereafter. The 
Supervision Officer shall submit such additional reports and information 
concerning both the releasee, and the enforcement of the conditions of 
supervised release, as the Commission may direct. All reports shall be 
submitted according to the format established by the Commission.

    Editorial Note: At 67 FR 57947, Sept. 13, 2002, the first sentence 
of paragraph (a) of Sec. 2.207 was removed. However, paragraph (a) of 
Sec. 2.207 did not exist in the 2001 Edition of that volume.



Sec. 2.208  Termination of a term of supervised release.

    (a) The Commission, in its discretion, may terminate a term of 
supervised release and discharge the releasee from further supervision 
at any time after the expiration of one year of supervised release, if 
the Commission is satisfied that such action is warranted by the conduct 
of the releasee and the interest of justice.
    (b) Two years after release on supervision, and at least annually 
thereafter, the Commission shall review the status of each releasee to 
determine the need for continued supervision. In calculating such two-
year period there shall not be included any period of release prior to 
the most recent release, nor any period served in confinement on any 
other sentence. A review shall also be conducted whenever termination of 
supervision is specially recommended by the releasee's Supervision 
Officer. If the term of supervised release imposed by the court is two 
years or less, termination of supervision shall be considered only if 
specially recommended by the releasee's Supervision Officer.
    (c) In determining whether to grant early termination of 
supervision, the Commission shall calculate for the releasee a Salient 
Factor Score under Sec. 2.20, and shall apply the following early 
termination guidelines, provided that case-specific factors do not 
indicate a need for continued supervision:
    (1) For a releasee classified in the very good risk category and 
whose current offense did not involve violence, termination of 
supervision may be ordered after two continuous years of incident-free 
supervision in the community.
    (2) For a releasee classified in the very good risk category and 
whose current offense involved violence other than high level violence, 
termination of supervision may be ordered after three continuous years 
of incident-free supervision in the community.

[[Page 194]]

    (3) For a releasee classified in the very good risk category and 
whose current offense involved high level violence (without death of 
victim resulting), termination of supervision may be ordered after four 
continuous years of incident-free supervision in the community.
    (4) For a releasee classified in other than the very good risk 
category, whose current offense did not involve violence, and whose 
prior record includes not more than one episode of felony violence, 
termination of supervision may be ordered after three continuous years 
of incident-free supervision in the community.
    (5) For a releasee classified in other than the very good risk 
category whose current offense involved violence other than high level 
violence, or whose current offense did not involve violence but his 
prior record includes two or more episodes of felony violence, 
termination of supervision may be ordered after four continuous years 
incident-free supervision in the community.
    (6) For releasees in the following categories, release from 
supervision prior to five years may be ordered only upon a case-specific 
finding that, by reason of age, infirmity, or other compelling factors, 
the releasee is unlikely to be a threat to the public safety:
    (i) A releasee in other than the very good risk category whose 
current offense involved high level violence;
    (ii) A releasee whose current offense involved high level violence 
with death of victim resulting; and
    (iii) A releasee who is a sex offender serving a term of supervised 
release that exceeds five years.
    (7) The terms ``violence'' and ``high level violence'' are defined 
in Sec. 2.80. The term ``incident-free supervision'' means that the 
releasee has had no reported violations, and has not been the subject of 
any arrest or law enforcement investigation that raises a reasonable 
doubt as to whether the releasee has been able to refrain from law 
violations while under supervision.
    (d) Except in the case of a releasee covered by paragraph (c)(6) of 
this section, a decision to terminate supervision below the guidelines 
may be made if it appears that the releasee is a better risk than 
indicated by the salient factor score (if classified in other than the 
very good risk category), or is a less serious risk to the public safety 
than indicated by a violent current offense or prior record. However, 
termination of supervision prior to the completion of two years of 
incident-free supervision will not be granted in any case unless case-
specific factors clearly indicate that continued supervision would be 
counterproductive to the releasee's rehabilitation.
    (e) A releasee with a pending criminal charge who is otherwise 
eligible for an early termination from supervision shall not be 
discharged from supervision until the disposition of such charge is 
known.
    (f) Decisions on the early termination of a term of supervised 
release for an offender sentenced under the YRA shall be made in 
accordance with the provisions of this section. If the Commission 
terminates the term of supervised release before the expiration of the 
term, the youth offender's conviction is automatically set aside and the 
Commission shall issue a certificate setting aside the conviction. See 
D.C. Code 24-806 (c), (d). The set-aside certificate shall be issued in 
lieu of the certificate of discharge described in Sec. 2.209.

[65 FR 70467, Nov. 24, 2000, as amended at 67 FR 57947, Sept. 13, 2002]



Sec. 2.209  Order of termination.

    When the Commission orders the termination of a term of supervised 
release, it shall issue a certificate to the releasee granting the 
releasee a full discharge from his term of supervised release. The 
termination and discharge shall take effect only upon the actual 
delivery of the certificate of discharge to the releasee by his 
Supervision Officer, and may be rescinded for good cause at any time 
prior to such delivery.



Sec. 2.210  Extension of term.

    (a) At any time during service of a term of supervised release, the 
Commission may move the Superior Court to extend the term of supervised 
release to the maximum term authorized by law, if less than the maximum 
authorized term was originally imposed.

[[Page 195]]

If the Superior Court grants the Commission's motion prior to the 
expiration of the term originally imposed, the extension ordered by the 
Court shall take effect upon its issuance.
    (b) The Commission may move the Superior Court for an extension of a 
term of supervised release if, for any reason, it finds that the 
rehabilitation of the releasee, and/or the protection of the public 
safety, is likely to require a longer period of supervision than the 
Court originally contemplated. The Commission's grounds for making such 
a finding shall be stated in the motion filed with the Court.
    (c) The provisions of this section shall not apply to the 
Commission's determination of an appropriate period of further 
supervised release following revocation of a term of supervised release.



Sec. 2.211  Summons to appear or warrant for retaking releasee.

    (a) If a releasee is alleged to have violated the conditions of his 
release, and satisfactory evidence thereof is presented, a Commissioner 
may:
    (1) Issue a summons requiring the releasee to appear for a probable 
cause hearing or local revocation hearing; or
    (2) Issue a warrant for the apprehension and return of the releasee 
to custody.
    (b) A summons or warrant under paragraph (a) of this section may be 
issued or withdrawn only by a Commissioner.
    (c) 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 the 
violations, in the opinion of a Commissioner, requires such issuance. In 
the case of any releasee who is charged with a criminal offense and who 
is awaiting disposition of such charge, issuance of a summons or warrant 
may be:
    (1) Temporarily withheld;
    (2) Issued by the Commission and held in abeyance;
    (3) Issued by the Commission and a detainer lodged with the 
custodial authority; or
    (4) Issued for the retaking of the releasee.
    (d) A summons or warrant may be issued only within the maximum term 
or terms of the period of supervised release being served by the 
releasee, except as provided for an absconder from supervision in 
Sec. 2.204(i). 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 appropriate law 
enforcement authority.
    (e) The issuance of a warrant under this section operates to bar the 
expiration of the term of supervised release. Such warrant maintains the 
Commission's jurisdiction to retake the releasee either before or after 
the normal expiration date of his term, and for such time as may be 
reasonably necessary for the Commission to reach a final decision as to 
revocation of the term of supervised release.
    (f) A summons or warrant issued pursuant to this section shall be 
accompanied by a warrant application (or other notice) stating:
    (1) The charges against the releasee;
    (2) The specific reports and other documents upon which the 
Commission intends to rely in determining whether a violation of 
supervised release has occurred and whether to revoke supervised 
release;
    (3) Notice of the Commission's intent, if the releasee is arrested 
within the District of Columbia, to hold a probable cause hearing within 
five days of the releasee's arrest;
    (4) A statement of the purpose of the probable cause hearing;
    (5) The days of the week on which the Commission regularly holds its 
dockets of probable cause hearings at the Central Detention Facility;
    (6) The releasee's procedural rights in the revocation process; and
    (7) The possible actions that the Commission may take.

[65 FR 70467, Nov. 24, 2000, as amended at 68 FR 3390, Jan. 24, 2003]



Sec. 2.212  Execution of warrant and service of summons.

    (a) Any officer of any Federal or District of Columbia correctional 
institution, any Federal Officer authorized to

[[Page 196]]

serve criminal process, or any officer or designated civilian employee 
of the Metropolitan Police Department of the District of Columbia, to 
whom a warrant is delivered, shall execute such warrant by taking the 
releasee and returning him to the custody of the Attorney General.
    (b) Upon the arrest of the releasee, the officer executing the 
warrant shall deliver to the releasee a copy of the warrant application 
(or other notice provided by the Commission) containing the information 
described in Sec. 2.211(f).
    (c) If execution of the warrant is delayed pending disposition of 
local charges, for further investigation, or for some other purpose, the 
releasee is to be continued under supervision by the Supervision 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 releasee must continue to abide by all the conditions 
of release.
    (d) If any other warrant for the arrest of the releasee has been 
executed or is outstanding at the time the Commission's warrant is 
executed, the arresting officer may, within 72 hours of executing the 
Commission's warrant, release the arrestee to such other warrant and 
lodge the Commission's warrant as a detainer, voiding the execution 
thereof, provided such action is consistent with the instructions of the 
Commission. In other cases, the arrestee may be released from an 
executed warrant whenever the Commission finds such action necessary to 
serve the ends of justice.
    (e) A summons to appear at a probable cause hearing or revocation 
hearing shall be served upon the releasee in person by delivering to the 
releasee a copy of the summons and the application therefore. Service 
shall be made by any Federal or District of Columbia officer authorized 
to serve criminal process and certification of such service shall be 
returned to the Commission.
    (f) Official notification of the issuance of a Commission warrant 
shall authorize any law enforcement officer within the United States to 
hold the releasee in custody until the warrant can be executed in 
accordance with paragraph (a) of this section.

[65 FR 70467, Nov. 24, 2000, as amended at 68 FR 3390, Jan. 24, 2003]



Sec. 2.213  Warrant placed as detainer and dispositional review.

    (a) When a releasee is a prisoner in the custody of other law 
enforcement authorities, or is serving a new sentence of imprisonment 
imposed for a crime (or for a violation of some other form of community 
supervision) committed while on supervised release, a violation warrant 
may be lodged against him as a detainer.
    (b) The Commission shall review the detainer upon the request of the 
prisoner pursuant to the procedure set forth in Sec. 2.47(a)(2). 
Following such review, the Commission may:
    (1) Withdraw the detainer and order reinstatement of the prisoner to 
supervision upon release from custody;
    (2) Order a dispositional revocation hearing to be conducted at the 
institution in which the prisoner is confined; or
    (3) Let the detainer stand until the new sentence is completed. 
Following the execution of the Commission's warrant, and the transfer of 
the prisoner to an appropriate federal facility, an institutional 
revocation hearing shall be conducted.
    (c) Dispositional revocation hearings pursuant to this section shall 
be conducted in accordance with the provisions at Sec. 2.216 governing 
institutional revocation hearings. A hearing conducted at a state or 
local facility may be conducted either by a hearing examiner or by any 
federal, state, or local official designated by a Commissioner. 
Following a revocation hearing conducted pursuant to this section, the 
Commission may take any action authorized by Sec. 2.218 and 2.219.
    (d) The date the violation term commences is the date the 
Commission's warrant is executed. A releasee's violation term (i.e., the 
term of imprisonment and/or further term of supervised release that the 
Commission may require the releasee to serve after revocation) shall 
start to run only upon the offender's release from the confinement 
portion of the intervening sentence.

[[Page 197]]

    (e) An offender whose supervised release is revoked shall be given 
credit for all time in confinement resulting from any new offense or 
violation that is considered by the Commission as a basis for 
revocation, but solely for the purpose of satisfying the time ranges in 
the reparole guidelines at Sec. 2.21. The computation of the offender's 
sentence, and the forfeiture of time on supervised release, are not 
affected by such guideline credit.



Sec. 2.214  Probable cause hearing and determination.

    (a) Hearing. A supervised releasee who is retaken and held in 
custody in the District of Columbia on a warrant issued by the 
Commission, and who has not been convicted of a new crime, shall be 
given a probable cause hearing by an examiner of the Commission no later 
than five days from the date of such retaking. A releasee who is retaken 
and held in custody outside the District of Columbia, but within the 
Washington D.C. metropolitan area, and who has not been convicted of a 
new crime, shall be given a probable cause hearing by an examiner of the 
Commission within five days of the releasee's arrival at a facility 
where probable cause hearings are conducted. The purpose of a probable 
cause hearing is to determine whether there is probable cause to believe 
that the releasee has violated the conditions of supervised release as 
charged, and if so, whether a local or institutional revocation hearing 
should be conducted. If the examiner finds probable cause, the examiner 
shall schedule a final revocation hearing to be held within 65 days of 
the releasee's arrest.
    (b) Notice and opportunity to postpone hearing. Prior to the 
commencement of each docket of probable cause hearings in the District 
of Columbia, a list of the releasees who are scheduled for probable 
cause hearings, together with a copy of the warrant application for each 
releasee, shall be sent to the D.C. Public Defender Service. At or 
before the probable cause hearing, the releasee (or the releasee's 
attorney) may submit a written request that the hearing be postponed for 
any period up to thirty days, and the Commission shall ordinarily grant 
such requests. Prior to the commencement of the probable cause hearing, 
the examiner shall advise the releasee that the releasee may accept 
representation by the attorney from the D.C. Public Defender Service who 
is assigned to that docket, waive the assistance of an attorney at the 
probable cause hearing, or have the probable cause hearing postponed in 
order to obtain another attorney and/or witnesses on his behalf. In 
addition, the releasee may request the Commission to require the 
attendance of adverse witnesses (i.e., witnesses who have given 
information upon which revocation may be based) at a postponed probable 
cause hearing. Such adverse witnesses may be required to attend either a 
postponed probable cause hearing, or a combined postponed probable cause 
and local revocation hearing, provided the releasee meets the 
requirements of Sec. 2.215(a) for a local revocation hearing. The 
releasee shall also be given notice of the time and place of any 
postponed probable cause hearing.
    (c) Review of the charges. At the beginning of the probable cause 
hearing, the examiner shall ascertain that the notice required by 
Sec. 2.212(b) has been given to the releasee. The examiner shall then 
review the violation charges with the releasee and shall apprise the 
releasee of the evidence that has been submitted in support of the 
charges. The examiner shall ascertain whether the releasee admits or 
denies each charge listed on the warrant application (or other notice of 
charges), and shall offer the releasee an opportunity to rebut or 
explain the allegations contained in the evidence giving rise to each 
charge. The examiner shall also receive the statements of any witnesses 
and documentary evidence that may be presented by the releasee. At a 
postponed probable cause hearing, the examiner shall also permit the 
releasee to confront and cross-examine any adverse witnesses in 
attendance, unless good cause is found for not allowing confrontation. 
Whenever a probable cause hearing is postponed to secure the appearance 
of adverse witnesses (or counsel in the case of a probable cause hearing 
conducted outside the District of Columbia), the Commission will 
ordinarily order a combined probable

[[Page 198]]

cause and local revocation hearing as provided in paragraph (i) of this 
section.
    (d) Probable cause determination. At the conclusion of the probable 
cause hearing, the examiner shall determine whether probable cause 
exists to believe that the releasee has violated the conditions of 
release as charged, and shall so inform the releasee. The examiner shall 
then take either of the following actions:
    (1) If the examiner determines that no probable cause exists for any 
violation charge, the examiner shall order that the releasee be released 
from the custody of the warrant and either reinstated to supervision, or 
discharged from supervision if the term of supervised release has 
expired.
    (2) If the hearing examiner determines that probable cause exists on 
any violation charge, and the releasee has requested (and is eligible 
for) a local revocation hearing in the District of Columbia as provided 
by Sec. 2.215 (a), the examiner shall schedule a local revocation 
hearing for a date that is within 65 days of the releasee's arrest. 
After the probable cause hearing, the releasee (or the releasee's 
attorney) may submit a written request for a postponement. Such 
postponements will normally be granted if the request is received no 
later than fifteen days before the date of the revocation hearing. A 
request for a postponement that is received by the Commission less than 
fifteen days before the scheduled date of the revocation hearing will be 
granted only for a compelling reason. The releasee (or the releasee's 
attorney) may also request, in writing, a hearing date that is earlier 
than the date scheduled by the examiner, and the Commission will 
accommodate such request if practicable.
    (e) Institutional revocation hearing. If the releasee is not 
eligible for a local revocation hearing as provided by Sec. 2.215 (a), 
or has requested to be transferred to an institution for his revocation 
hearing, the Commission will request the Bureau of Prisons to designate 
the releasee to an appropriate institution, and an institutional 
revocation hearing shall be scheduled for a date that is within ninety 
days of the releasee's retaking.
    (f) Digest of the probable cause hearing. At the conclusion of the 
probable cause hearing, the examiner shall prepare a digest summarizing 
the evidence presented at the hearing, the responses of the releasee, 
and the examiner's findings as to probable cause.
    (g) Release notwithstanding probable cause. Notwithstanding a 
finding of probable cause, the Commission may order the releasee's 
reinstatement to supervision or release pending further proceedings, if 
it determines that:
    (1) Continuation of revocation proceedings is not warranted despite 
the finding of probable cause; or
    (2) Incarceration pending further revocation proceedings is not 
warranted by the frequency or seriousness of the alleged violation(s), 
and the releasee is neither likely to fail to appear for further 
proceedings, nor is a danger to himself or others.
    (h) Conviction as probable cause. Conviction of any crime committed 
subsequent to the commencement of a term of supervised release shall 
constitute probable cause for the purposes of this section, and no 
probable cause hearing shall be conducted unless a hearing is needed to 
consider additional violation charges that may be determinative of the 
Commission's decision whether to revoke supervised release.
    (i) Combined probable cause and local revocation hearing. A 
postponed probable cause hearing may be conducted as a combined probable 
cause and local revocation hearing, provided such hearing is conducted 
within 65 days of the releasee's arrest and the releasee has been 
notified that the postponed probable cause hearing will constitute his 
final revocation hearing. The Commission's policy is to conduct a 
combined probable cause and local revocation hearing whenever adverse 
witnesses are required to appear and give testimony with respect to 
contested charges.
    (j) Late received charges. If the Commission is notified of an 
additional charge after probable cause has been found to proceed with a 
revocation hearing, the Commission may:
    (1) Remand the case for a supplemental probable cause hearing if the 
new charge may be contested by the

[[Page 199]]

releasee and possibly result in the appearance of witness(es) at the 
revocation hearing;
    (2) Notify the releasee that the additional charge will be 
considered at the revocation hearing without conducting a supplemental 
probable cause hearing; or
    (3) Determine that the new charge shall not be considered at the 
revocation hearing.

[68 FR 3390, Jan. 24, 2003]



Sec. 2.215  Place of revocation hearing.

    (a) If the releasee requests a local revocation hearing, he shall be 
given a revocation hearing reasonably near the place of the alleged 
violation(s) or arrest, with the opportunity to contest the charges 
against him, if the following conditions are met:
    (1) The releasee has not been convicted of a crime committed while 
under supervision; and
    (2) The releasee denies all charges against him.
    (b) The releasee shall also be given a local revocation hearing if 
he admits (or has been convicted of) one or more charged violations, but 
denies at least one unadjudicated charge that may be determinative of 
the Commission's decision regarding revocation or the length of any new 
term of imprisonment, and the releasee requests the presence of one or 
more adverse witnesses regarding that contested charge. If the 
appearance of such witnesses at the hearing is precluded by the 
Commission for good cause, a local revocation hearing shall not be 
ordered.
    (c) If there are two or more contested charges, a local revocation 
hearing may be conducted near the place of the violation chiefly relied 
upon by the Commission as a basis for the issuance of the warrant or 
summons.
    (d) A releasee who voluntarily waives his right to a local 
revocation hearing, or who admits one or more charged violations without 
contesting any unadjudicated charge that may be determinative of the 
Commission's decision regarding revocation and/or imposition of a new 
term of imprisonment, or who is retaken following completion of a 
sentence of imprisonment for a new crime, shall be given an 
institutional revocation hearing upon his return or recommitment to an 
institution. An institutional revocation hearing may also be conducted 
in the District of Columbia jail or prison facility in which the 
releasee is being held. (However, a Commissioner may, on his own motion, 
designate any such case for a local revocation hearing instead.) The 
difference in procedures between a ``local revocation hearing'' and an 
``institutional revocation hearing'' is set forth in Sec. 2.216(b).
    (e) A releasee who is retaken on a warrant issued by the Commission 
shall remain in custody until final action relative to the revocation of 
his term of supervised release, unless otherwise ordered by the 
Commission under Sec. 2.214(d)(3). A releasee who has been given a 
revocation hearing pursuant to the issuance of a summons shall remain on 
supervision pending the decision of the Commission, unless the 
Commission has ordered otherwise.
    (f) A local revocation hearing shall be held not later than sixty-
five days from the retaking of the releasee on a supervised release 
violation warrant. An institutional revocation hearing shall be held 
within ninety days of the retaking of the releasee on a supervised 
release violation warrant. If the releasee requests and receives any 
postponement, or consents to any postponement, or by his actions 
otherwise precludes the prompt completion of revocation proceedings in 
his case, the above-stated time limits shall be correspondingly 
extended.
    (g) A local revocation hearing may be conducted by a hearing 
examiner or by any federal, state, or local official who is designated 
by a Commissioner to be the presiding hearing officer. An institutional 
revocation hearing may be conducted by an examiner of the Commission.

[65 FR 70467, Nov. 24, 2000, as amended at 68 FR 3392, Jan. 24, 2003]



Sec. 2.216  Revocation hearing procedure.

    (a) The purpose of the revocation hearing shall be to determine 
whether the releasee has violated the conditions of his supervised 
release, and, if so, whether his release should be revoked or 
reinstated.
    (b) At a local revocation hearing, the alleged violator may present 
voluntary

[[Page 200]]

witnesses and documentary evidence in his behalf. The alleged violator 
may also request the Commission to compel the attendance of any adverse 
witnesses for cross-examination, and any other relevant witnesses who 
have not volunteered to attend. At an institutional revocation hearing, 
the alleged violator may present voluntary witnesses and documentary 
evidence in his behalf, but may not request the Commission to secure the 
attendance of any adverse or favorable witness. At any hearing, the 
presiding hearing officer may limit or exclude any irrelevant or 
repetitious statement or documentary evidence, and may prohibit the 
releasee from contesting matters already adjudicated against him in 
other forums.
    (c) At a local revocation hearing, the Commission shall, on the 
request of the alleged violator, require the attendance of any adverse 
witnesses who have given statements upon which revocation may be based, 
subject to a finding of good cause as described in paragraph (d) of this 
section. The adverse witnesses who are present shall be made available 
for questioning and cross-examination in the presence of the alleged 
violator. The Commission may also require the attendance of adverse 
witnesses on its own motion.
    (d) The Commission may excuse any requested adverse witness from 
appearing at the hearing (or from appearing in the presence of the 
alleged violator) if it finds good cause for so doing. A finding of good 
cause for the non-appearance of a requested adverse witness may be 
based, for example, on a significant possibility of harm to the witness, 
or the witness not being reasonably available when the Commission has 
documentary evidence that is an adequate substitute for live testimony.
    (e) All evidence upon which a finding of violation may be based 
shall be disclosed to the alleged violator before the revocation 
hearing. Such evidence shall include the Community Supervision Officer's 
letter summarizing the releasee's adjustment to supervision and 
requesting the warrant, all other documents describing the charged 
violation or violations, and any additional evidence upon which the 
Commission intends to rely in determining whether the charged violation 
or violations, if sustained, would warrant revocation of supervised 
release. If the releasee is represented by an attorney, the attorney 
shall be provided, prior to the revocation hearing, with a copy of the 
releasee's presentence investigation report, if such report is available 
to the Commission. If disclosure of any information would reveal the 
identity of a confidential informant or result in harm to any person, 
that information may be withheld from disclosure, in which case a 
summary of the withheld information shall be disclosed to the releasee 
prior to the revocation hearing.
    (f) An alleged violator may be represented by an attorney at either 
a local or an institutional revocation hearing. In lieu of an attorney, 
an alleged violator may be represented at any 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. Only licensed attorneys shall be permitted to 
question witnesses, make objections, and otherwise provide legal 
representation for supervised releasees, except in the case of law 
students appearing before the Commission as part of a court-approved 
clinical practice program. Such law students must be under the personal 
direction of a lawyer or law professor who is physically present at the 
hearing, and the examiner shall ascertain that the releasee consents to 
the procedure.
    (g) At a local revocation hearing, the Commission shall secure the 
presence of the releasee's Community Supervision Officer, or a 
substitute Community Supervision Officer who shall bring the releasee's 
supervision file if the releasee's Community Supervision Officer is not 
available. At the request of the hearing examiner, such officer shall 
provide testimony at the hearing concerning the releasee's adjustment to 
supervision.
    (h) After the revocation hearing, the hearing examiner shall prepare 
a summary of the hearing that includes a description of the evidence 
against the releasee and the evidence submitted by the releasee in 
defense or mitigation of

[[Page 201]]

the charges, a summary of the arguments against revocation presented by 
the releasee, and the examiner's recommended decision. The hearing 
examiner's summary, together with the releasee's file (including any 
documentary evidence and letters submitted on behalf of the releasee), 
shall be given to another examiner for review. When two hearing 
examiners concur in a recommended disposition, that recommendation, 
together with the releasee's file and the hearing examiner's summary of 
the hearing, shall be submitted to the Commission for decision.

[65 FR 70467, Nov. 24, 2000, as amended at 68 FR 3392, Jan. 24, 2003]



Sec. 2.217  Issuance of subpoena for appearance of witnesses or production of documents.

    (a)(1) If any adverse witness (i.e., a person who has given 
information upon which revocation may be based) refuses, upon request by 
the Commission, to appear at a probable cause hearing or local 
revocation hearing, a Commissioner may issue a subpoena for the 
appearance of such witness.
    (2) In addition, a Commissioner may, upon a showing by the releasee 
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) A subpoena may also be issued at the discretion of a 
Commissioner if an adverse witness is judged unlikely to appear as 
requested, or if the subpoena is deemed necessary for the orderly 
processing of the case.
    (b) A subpoena 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 named therein is commanded to 
appear, and shall specify any documents required to be produced.
    (c) A subpoena may be served by any Federal or District of Columbia 
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 a 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 revocation proceeding is being conducted, or in which such person 
may be found, to require such person to appear, testify, or produce 
evidence. If the court issues an order requiring such person to appear 
before the Commission, failure to obey such an order is punishable as 
contempt, as provided in 18 U.S.C. 4214(a)(2).

[65 FR 70467, Nov. 24, 2000, as amended at 68 FR 3392, Jan. 24, 2003]



Sec. 2.218  Revocation decisions.

    (a) Whenever a releasee is summoned or retaken by the Commission, 
and the Commission finds by a preponderance of the evidence that the 
releasee has violated one or more conditions of his supervised release, 
the Commission may take any of the following actions:
    (1) Restore the releasee to supervision, and where appropriate:
    (i) Reprimand the releasee;
    (ii) Modify the releasee's conditions of release;
    (iii) Refer the releasee to a residential community corrections 
center for all or part of the remainder of his term of supervised 
release; or
    (2) Revoke the term of supervised release.
    (b) If supervised release is revoked, the Commission shall determine 
whether the releasee shall be returned to prison to serve a new term of 
imprisonment, and the length of that term, or whether a new term of 
imprisonment shall be imposed but limited to time served. If the 
Commission imposes a new term of imprisonment that is less than the 
applicable maximum term authorized by law, the Commission shall also 
determine whether to impose a further term of supervised release to 
commence after the new term of imprisonment has been served. If the new 
term of imprisonment is limited to time served, any further term of 
supervised release shall commence upon the

[[Page 202]]

issuance of the Commission's order. Notwithstanding the above, if a 
releasee is serving another term of imprisonment of 30 days or more for 
any federal, state, or local crime, any further term of supervised 
release imposed by the Commission shall not commence until that term of 
imprisonment has been served.
    (c) A releasee whose term of supervised release is revoked by the 
Commission shall receive no credit for time spent on supervised release, 
including any time spent in confinement on other sentences (or in a 
halfway house as a condition of supervised release) prior to the 
execution of the Commission's warrant.
    (d) The Commission's decision regarding the imposition of a term of 
imprisonment following revocation of supervised release, and any further 
term of supervised release, shall be made pursuant to the limitations 
set forth in Sec. 2.219. Within those limitations, the appropriate 
length of any term of imprisonment shall be determined by reference to 
the guidelines at Sec. 2.21.
    (e) Whenever the Commission imposes a term of imprisonment upon 
revocation of supervised release that is less than the authorized 
maximum term, it shall be the Commission's general policy to impose a 
further term of supervised release that is the maximum permitted by 
Sec. 2.219. If the Commission imposes a new term of imprisonment that is 
equal to the maximum term authorized by law (or in the case of a 
subsequent revocation, that uses up the remainder of the maximum term of 
imprisonment authorized by law), the Commission may not impose a further 
term of supervised release.
    (f) Where deemed appropriate, the Commission may depart from the 
guidelines at Sec. 2.21 (with respect to the imposition of a new term of 
imprisonment) in order to permit the imposition of a further term of 
supervised release.
    (g) Decisions under this section shall be made upon the concurrence 
of two Commissioner votes, except that a decision to override an 
examiner panel recommendation shall require the concurrence of three 
Commissioner votes. The final decision following a local revocation 
hearing shall be issued within 86 days of the retaking of the releasee 
on a supervised release violation warrant. The final decision following 
an institutional revocation hearing shall be issued within 21 days of 
the hearing, excluding weekends and holidays.

[65 FR 70467, Nov. 24, 2000, as amended at 68 FR 3392, Jan. 24, 2003]



Sec. 2.219  Maximum terms of imprisonment and supervised release.

    (a) Imprisonment; first revocation. When a term of supervised 
release is revoked, the maximum authorized term of imprisonment that the 
Commission may require the offender to serve, in accordance with D.C. 
Code Sec. 24-203.1(b)(7), shall be:
    (1) Five years, if the maximum term of imprisonment authorized for 
the offense is life, or if the offense is statutorily designated as a 
Class A felony;
    (2) Three years, if the maximum term of imprisonment authorized for 
the offense is 25 years or more, but less than life, and the offense is 
not statutorily designated as a Class A felony;
    (3) Two years, if the maximum term of imprisonment authorized for 
the offense is 5 years or more, but less than 25 years; or
    (4) One year, if the maximum term of imprisonment authorized for the 
offense is less than 5 years.
    (b) Further term of supervised release; first revocation.--(1) When 
a term of supervised release is revoked, and the Commission imposes less 
than the maximum term of imprisonment authorized by paragraph (a) of 
this section, the Commission may also impose a further term of 
supervised release after imprisonment.
    (2) The maximum authorized length of such further term of supervised 
release shall be the original maximum term of supervised release that 
the sentencing court was authorized to impose, less the term of 
imprisonment imposed by the Commission upon revocation of supervised 
release. The original maximum authorized term of supervised release is 
as follows:
    (i) Five years if the maximum term of imprisonment authorized for 
the offense of conviction is 25 years or more;

[[Page 203]]

    (ii) Three years if the maximum term of imprisonment authorized for 
the offense of conviction is more than one year but less than 25 years; 
and
    (iii) Life if the person is required to register for life, and 10 
years in any other case, if the offender has been sentenced for an 
offense for which registration is required by the Sex Offender 
Registration Act of 1999.
    (3) For example, in the case of a five-year term of supervised 
release carrying a maximum period of imprisonment of three years, the 
Commission may impose a three-year term of imprisonment with no 
supervised release to follow, or any term of imprisonment of less than 
three years with a further term of supervised release of five years 
minus the term of imprisonment actually imposed (such as a one-year term 
of imprisonment followed by a four-year term of supervised release, or a 
two-year term of imprisonment followed by a three-year term of 
supervised release).
    (c) Reference table. The following table may be used in most cases 
as a reference to determine both the maximum authorized term of 
imprisonment and the original maximum authorized term of supervised 
release:

----------------------------------------------------------------------------------------------------------------
                                                                    Original authorized
   D.C. Code reference  (original        Offense description        term of supervised    Maximum authorized new
            conviction)                                                   release          term of imprisonment
----------------------------------------------------------------------------------------------------------------
                                                    Title 22
----------------------------------------------------------------------------------------------------------------
22-103, 23-1331....................  Attempted crime of violence  3 years...............  2 years.
22-104(a)..........................  1 prior....................  various...............  various.
                                     2+ priors..................  various...............  various.
22-104a(a)(1)......................  Three strikes for felonies*  5 years...............  5 years.
22-104a(a)(2)......................  Three strikes for violent    5 years...............  5 years.
                                      felonies*.
22-105.............................  Aiding & abetting..........  various...............  various.
22-105a(a).........................  Conspiracy.................  3 years...............  2 years.
                                     If underlying offense < 5..  3 years...............  1 year.
22-106.............................  Accessory after the fact...  various...............  various.
                                     Capital crimes.............  3 years...............  2 years.
22-107.............................  Offenses not covered by DC   3 years...............  2 years.
                                      Code.
22-401.............................  Arson......................  3 years...............  2 years
22-402.............................  Arson-own property.........  3 years...............  2 years.
22-403.............................  DP $200+...................  3 years...............  2 years.
22-501; see 24-203.1(e)............  Assault with intent to kill/ 3 years or not  period of SOR.
                                      deg., child sex abuse.
22-501, 3202.......................  Assault with intent to kill  5 years...............  5 years.
                                      etc. while armed.
22-502.............................  Assault with a Dangerous     3 years...............  2 years.
                                      Weapon.
22-503.............................  Assault with intent to       3 years...............  2 years.
                                      commit an offense other
                                      than those in Sec.  22 501.
22-504.............................  Stalking--2nd offense......  3 years...............  1 year.
                                     3rd+ offense...............  3 years...............  1 year.
22-504.1(a), 3202..................  Aggravated assault while     5 years...............  5 years.
                                      armed*.
22-504.1(b)........................  Aggravated assault.........  3 years...............  2 years.
22-504.1(c)........................  Attempted aggravated         3 years...............  2 years.
                                      assault.
22-505(a), 24-203.1(f).............  Assault on a police officer  3 years...............  2 years.
22-505(b)..........................  Assault on a police officer  3 years...............  2 years.
                                      while armed.
22-506.............................  Mayhem/malicious             3 years...............  2 years.
                                      disfigurement.
22-601.............................  Bigamy.....................  3 years...............  2 years.
22-704(a)..........................  Corrupt influence..........  3 years...............  2 years.
22-712(c)..........................  Bribery--Public Servant....  3 years...............  2 years.
22-713(c)..........................  Bribery--Witness...........  3 years...............  2 years.
22-722(b)..........................  Obstructing Justice *......  5 years...............  5 years.
22-723(b)..........................  Evidence Tampering.........  3 years...............  1 year.
22-752(b)(2).......................  Counterfeiting.............  3 years...............  1 year.
22-752(b)(3).......................  Counterfeiting.............  3 years...............  2 years.
22-901(a), (c)(1)..................  1  deg.Cruelty to Children.  3 years...............  2 years.
22-901(b), (c)(2)..................  2  deg.Cruelty to Children.  3 years...............  2 years.
22-1122(d).........................  Inciting riot w/injury.....  3 years...............  2 years.
22-1303............................  False impersonation........  3 years...............  2 years.
22-1304............................  Impersonating a public       3 years...............  1 year.
                                      official.
22-1410............................  Bad Checks $100+...........  3 years...............  1 year.
22-1501............................  Illegal lottery............  3 years...............  1 year.
22-1504............................  Gaming.....................  3 years...............  2 years.
22-1510, 1511......................  Bucketing--2nd+ offense....  3 years...............  2 years.
22-1513(a).........................  Corrupt influence--          3 years...............  2 years.
                                      Athletics.
22-1801(a).........................  1 deg. Burglary............  5 years...............  3 years.
22-1801(b).........................  2 deg. Burglary............  3 years...............  2 years.
22-1801, 3202......................  Burglary while armed *.....  5 years...............  5 years.

[[Page 204]]

 
22-1901............................  Incest.....................  3 years or not  period of SOR.
22-2001(e).........................  Obscenity 2nd+ offense.....  3 years or not  period of SOR.
22-2012, 2013......................  Sex performance w/minors--.  3 years or not  period of SOR.
                                     2nd offense................
22-2101............................  Kidnapping *...............  5 years...............  5 years.
22-2101, 3202......................  Kidnapping while armed *...  5 years...............  5 years.
22-2307............................  Felony Threats.............  3 years...............  2 years.
22-2401, 2404......................  Murder I *.................  5 years...............  5 years.
22-2401, 2402, 3202................  Murder I while armed *.....  5 years...............  5 years.
22-2402, 2402......................  Murder I--obstruction of     5 years...............  5 years.
                                      railway *.
22-2403, 2402......................  Murder II *................  5 years...............  5 years.
22-2403, 2402, 3202................  Murder II while armed *....  5 years...............  5 years.
22-2405............................  Manslaughter...............  5 years...............  3 years.
22-2405, 3202......................  Manslaughter while armed *.  5 years...............  5 years.
22-2406............................  Murder of Police Officer...  None (LWOR)...........
22-2511(b).........................  Perjury....................  3 years...............  2 years.
22-2512............................  Subornation of Perjury.....  3 years...............  2 years.
22-2513(b).........................  False Swearing.............  3 years...............  1 year.
22-2601(b).........................  Escape.....................  3 years...............  2 years.
22-2603............................  Introducing contraband into  3 years...............  2 years.
                                      prison.
22-2704............................  Child Prostitution:          3 years or not  period of SOR.
                                     Harboring..................
22-2705............................  Prostitution: Inducing.....  3 years or not  period of SOR (if
                                                                   child victim).
22-2706............................  Compelling.................
22-2707............................  Arranging..................
22-2709............................  Detaining..................
22-2710............................  Procuring..................
22-2711............................  Procuring..................
22-2712............................  Operating..................
22-2708............................  Prostitution, causing        3 years...............  2 years.
                                      spouse to.
22-2901............................  Robbery....................  3 years...............  2 years.
22-2901, 3202......................  Armed Robbery*.............  5 years...............  5 years.
22-2902............................  Attempted Robbery..........  3 years...............  1 year.
22-2903(a).........................  Carjacking.................  3 years...............  2 years.
22-2903(b).........................  Armed Carjacking*..........  5 years...............  5 years.
22-3103............................  Grave Robbing..............  3 years...............  1 year.
22-3105............................  Destruction of property by   3 years...............  2 years.
                                      explosives.
22-3118............................  Malicious water pollution..  3 years...............  1 year.
22-3119............................  Obstructing railways.......  3 years...............  2 years.
22-3202............................  Committing or attempting to  5 years...............  5 years.
                                      commit violent crime while
                                      armed.
22-3202.1..........................  Gun-free zone..............  various...............  various.
22-3203, 24-203.1(f)...............  Unlawful possession of a     3 years...............  2 years.
                                      pistol by a felon, etc.
                                      (UPP) 2nd+offense.
22-3204(a)(1)-(2)..................  Carrying a pistol without a  3 years...............  2 years.
                                      license.                    3 years...............  2 years.
                                     1st offense................
                                     2nd+offense  ..............
22-3204(b).........................  Possession of a firearm      3 years...............  2 years.
                                      while committing a crime
                                      of violence or dangerous
                                      crime (PFDCVDC).
22-3214............................  Possession of a prohibited   3 years...............  2 years.
                                      weapon (PPW).
                                     2nd+offense  ..............
22-3215a...........................  Molotov cocktails--1st       3 years...............  2 years.
                                      offense.
                                     2nd offense................  3 years...............  2 years.
                                     3rd* offense...............  5 years...............  5 years.
22-3427............................  B&E vending machines.......  3 years...............  1 year.
22-3601, 24-203.1(f)...............  Possessing Implements of     3 years...............  2 years.
                                      Crime 2nd+ offense.
22-3812............................  1 deg. Theft...............  3 years...............  2 years.
22-3814.1 (d)(2)...................  Deceptive Labeling.........  3 years...............  2 years.
22-3815(d)(1)......................  Unlawful use of a vehicle--  3 years...............  2 years.
                                      private.
22-3815(d)(2)......................  Unlawful use of a vehicle--  3 years...............  1 year.
                                      rental.
22-3821(a), 3822(a)................  1  deg.Fraud $250+.........  3 years...............  2 years.
22-3821(b), 3822(b)................  2  deg.Fraud $250+.........  3 years...............  1 year.
22-3823............................  Credit Card Fraud..........  3 years...............  2 years.
                                     $250+......................
22-3825.2, 3825.4(a)...............  1 deg. Insurance Fraud.....  3 years...............  2 years.
22-3825.3, 3825.4(b)...............  2 deg. Insurance Fraud.....

[[Page 205]]

 
                                     1st offense................  3 years...............  2 years.
                                     2nd offense................  3 years...............  2 years.
22-3831(d).........................  Trafficking in stolen        3 years...............  2 years.
                                      property.
22-3832............................  Receiving stolen property    3 years...............  2 years.
                                      $250+.
22-3841, 3842......................  Forgery: Legal tender......  3 years...............  2 years.
                                     Token......................  3 years...............  2 years.
                                     Other......................  3 years...............  1 year.
22-3851(b).........................  Extortion..................  3 years...............  2 years.
22-3851(b), 3852(b), 3202..........  Armed extortion or           5 years...............  5 years.
                                      blackmail with threats of
                                      violence*.
22-3852(b).........................  Blackmail..................  3 years...............  2 years.
22-3901............................  Senior Citizen Victim......  various...............  various.
22-3902............................  Citizen Patrol Victim......  various...............  various.
22-4003............................  Bias-related crime.........  various...............  various.
22-4102, 24-203.1(e)...............  1 deg. Sex Abuse*..........  5 years or not  period of SOR.
22-4102, 3202......................  1 deg. Sex Abuse while       5 years or not  period of SOR.
22-4103, 24-203.1(e)...............  2 deg. Sex Abuse...........  3 years or not  period of SOR.
22-4103, 3202......................  2 deg. Sex Abuse while       5 years or not  period of SOR.
22-4104............................  3 deg. Sex Abuse...........  3 years or not  period of SOR.
2-4105.............................  4 deg. Sex Abuse...........  3 years or not  period of SOR.
2-4108, 24-203.1(e)................  1  deg.Child Sex Abuse*....  5 years or not  period of SOR.
22-4108, 3202......................  1  deg.Child Sex Abuse       5 years or not  period of SOR.
22-4109, 24-203.1(e)...............  2  deg.Child Sex Abuse.....  3 years or not  period of SOR.
22-4109, 3202......................  2  deg.Child Sex Abuse       5 years or not  period of SOR.
22-4110, 24-203.1(e)...............  Enticing a child...........  3 years or not  period of SOR.
2-4113.............................  1 deg. Sex Abuse Ward......  3 years or not  period of SOR.
2-4114.............................  2 deg. Sex Abuse Ward......  3 years or not  period of SOR.
2-4115.............................  1 deg. Sex Abuse Patient...  3 years or not  period of SOR.
2-4116.............................  2 deg. Sex Abuse Patient...  3 years or not  period of SOR.
2-4118.............................  Attempt 1 deg. Sex and 1     3 years or not  period of SOR.
                                     Attempt Other..............  various or not  period of SOR.
22-4120............................  Aggravated 1 deg. Sex and    5 years or not  period of SOR.
                                     Aggravated other...........  various or not  period of SOR.
----------------------------------------------------------------------------------------------------------------
                                                    Title 23
----------------------------------------------------------------------------------------------------------------
23-1327(a)(1)......................  Bail Reform Act............  3 years...............  2 years.
23-1328(a)(1)......................  Committing a felony on       3 years...............  2 years.
                                      release.
----------------------------------------------------------------------------------------------------------------
                                                    Title 24
----------------------------------------------------------------------------------------------------------------
24-1113............................  Sex offender failure to      3 years...............  2 years.
                                      register--2nd offense.
----------------------------------------------------------------------------------------------------------------
                                                    Title 33
----------------------------------------------------------------------------------------------------------------
33-541(a)-(b)......................  Manufacture, distribute, or  5 years...............  3 years.
                                      PWID I, II narcotics
                                      (heroin, cocaine, PCP).
                                     I, II, III non-narcotic....  3 years...............  2 years.
                                     IV.........................  3 years...............  1 year.
33-541 et seq., 22-3202............  Distribution or PWID drugs   5 years...............  5 years.
                                      while armed*.
33-543.............................  Drugs--Fraud...............  3 years...............  1 year.
33-543a............................  Drugs--Maintaining house...  3 years...............  3 years.
33-546.............................  Drugs--Distribution to       various...............  various.
                                      minors.

[[Page 206]]

 
33-547.............................  Drugs--Enlisting minors--    3 years...............  2 years.
                                      1st offense.
                                     2nd + offense..............  3 years...............  2 years.
33-547.1(b)........................  Drug-free zones............  various...............  various.
33-548.............................  Drugs--2nd + offense.......  various...............  various.
33-549.............................  Drugs--Attempt or            various...............  various.
                                      Conspiracy.
33-603(b)..........................  Possession of drug           3 years...............  1 year.
                                      paraphernalia w/intent to
                                      use it--2nd + offense.
33-603(c)..........................  Delivering drug              3 years...............  2 years.
                                      paraphernalia to a minor.
----------------------------------------------------------------------------------------------------------------
                                                    Title 40
----------------------------------------------------------------------------------------------------------------
40-713.............................  Negligent homicide           3 years...............  2 years.
                                      (vehicular).
40-718.............................  Smoke screens..............  3 years...............  2 years.
----------------------------------------------------------------------------------------------------------------
Notes: (1) An asterisk means that the offense is statutorily designated as a Class A felony.
(2) If the defendant is a sex offender subject to registration, the Original Authorized Term of Supervised
  Release is the maximum period of registration to which the sex offender is subject (ten years or life). Sex
  offender registration is required for crimes such as first degree sexual abuse, and such crimes are listed on
  this Table with the notation `` periods of SOR'' as the Original Authorized Term of Supervised
  Release. Sex offender registration, however, may also be required for numerous crimes (such as burglary or
  murder) if a sexual act or contact was involved or was the offender's purpose. In such cases, the offender's
  status will be determined by the presence of an order from the sentencing court pursuant to D.C. Code 24-1123
  certifying that the defendant is a sex offender.
(3) If the defendant committed his offense on or after August 5, 2000, but before August 11, 2000, the maximum
  authorized terms of imprisonment and further supervised release shall be determined by reference to 18 U.S.C.
  3583.

    (d) Imprisonment; successive revocations.--(1) When the Commission 
revokes a term of supervised release that was imposed by the Commission 
upon a previous revocation of supervised release, the maximum term of 
imprisonment is the maximum term authorized by paragraph (a) of this 
section, less the term or terms of imprisonment that were previously 
imposed by the Commission. In calculating such previously-imposed term 
or terms of imprisonment, the Commission shall use the term as imposed 
without deducting any good time credits that may have been earned by the 
offender prior to his release from prison. In no case shall the total of 
successive terms of imprisonment imposed by the Commission exceed the 
maximum term of imprisonment that the Commission was authorized to 
impose in the first revocation order.
    (2) For example, in the case of a five-year term of supervised 
release carrying a maximum term of imprisonment of three years, the 
Commission at the first revocation may have imposed a one-year term of 
imprisonment and a further four-year term of supervised release. At the 
second revocation, the maximum authorized term of imprisonment will be 
two years, which is the original maximum authorized term of imprisonment 
of three years minus the one-year term of imprisonment that was imposed 
at the first revocation.
    (e) Further term of supervised release; successive revocations.--(1) 
When the Commission revokes a term of supervised release that was 
imposed by the Commission following a previous revocation of supervised 
release, the Commission may also impose a further term of supervised 
release. The maximum authorized length of such a term of supervised 
release shall be the original maximum authorized term of supervised 
release as set forth in paragraph (b) of this section, less the total of 
the terms of imprisonment imposed by the Commission on the same sentence 
(including the term of imprisonment imposed in the current revocation).
    (2) For example, in the case of a five-year term of supervised 
release carrying a maximum period of imprisonment of three years, the 
Commission at the first revocation may have imposed a one-year term of 
imprisonment and a four-year further term of supervised release. If, at 
a second revocation, the Commission imposes another one-year term of 
imprisonment, the maximum authorized further term of supervised release 
will be three years (the original five-year period minus the total of 
two years imprisonment).
    (f) Effect of sentencing court imposing less than the maximum 
authorized term of supervised release. If the Commission has revoked 
supervised release,

[[Page 207]]

the maximum authorized period of further supervised release is 
determined by reference to the original maximum authorized term as a set 
forth in paragraph (b) of this section, even if the sentencing court did 
not originally impose the maximum authorized term.

[65 FR 70467, Nov. 24, 2000, as amended at 67 FR 57947, Sept. 13, 2002]



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).

[[Page 208]]


    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).
    (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

[[Page 209]]

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.
    (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.

[[Page 210]]



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 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

[[Page 211]]

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, 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-

[[Page 212]]

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]



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.
5.307  Exemption under 3(h) 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.

[[Page 213]]

    (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, 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

[[Page 214]]

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.
    (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;

[[Page 215]]

    (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
    (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]

    Effective Date Note: At 68 FR 33630, June 5, 2003, Sec. 5.5 was 
amended in paragraph (d)(10) by adding the words ``informational 
materials,'' following ``reports,'' and in paragraph (d)(11) by adding 
the words ``informational materials,'' following ``reports,'', effective 
July 7, 2003.



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

[[Page 216]]

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 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]

    Effective Date Note: At 68 FR 33630, June 5, 2003, Sec. 5.100 was 
amended in paragraph (c) by removing ``1(q),'', and in paragraph (d) by 
removing ``1(q),'', effective July 7, 2003.



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]

    Effective Date Note: At 68 FR 33630, June 5, 2003, Sec. 5.200 was 
amended in paragraph (b) by removing the words ``Form OBD-63'' and 
adding, in their place, the words ``a form provided by the Registration 
Unit'', effective July 7, 2003.



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)

[[Page 217]]

(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]

    Effective Date Note: At 68 FR 33630, June 5, 2003, Sec. 5.201 was 
amended in paragraph (a)(1) by removing the words ``Form OBD-67'' and 
adding, in their place, the words ``a form provided by the Registration 
Unit'', and in paragraph (a)(2) by removing the words ``Form OBD-65'' 
and adding, in their place, the words ``a form provided by the 
Registration Unit'', effective July 7, 2003.



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]

    Effective Date Note: At 68 FR 33630, June 5, 2003, Sec. 5.202 was 
amended in paragraph (b) by adding the word ``registrable'' before the 
word ``activity'', and in paragraph (e) by removing the words ``Form 
OBD-66'' and adding, in their place, the words ``a form provided by the 
Registration Unit'', effective July 7, 2003.



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

[[Page 218]]

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]

    Effective Date Note: At 68 FR 33630, June 5, 2003, Sec. 5.203 was 
amended in paragraph (a) by removing the words ``Form OBD-64'' and 
adding, in their place, the words ``a form provided by the Registration 
Unit'', effective July 7, 2003.



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]

    Effective Date Note: At 68 FR 33630, June 5, 2003, Sec. 5.204 was 
amended in paragraph (a) by removing the words ``Form OBD-68'' and 
adding, in their place, the words ``a form provided by the Registration 
Unit'', effective July 7, 2003.



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 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]

    Effective Date Note: At 68 FR 33630, June 5, 2003, Sec. 5.205 was 
amended in paragraph (a) by removing the words ``OBD-64'' and adding, in 
their place, the words ``the supplemental statement form'', effective 
July 7, 2003.



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.

    Effective Date Note: At 68 FR 33630, June 5, 2003, Sec. 5.206 was 
amended in paragraph (b) by adding the words ``, or if it is filed in an

[[Page 219]]

electronic format acceptable to the Registration Unit'' following the 
word ``ink'', effective July 7, 2003.



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.



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.

[[Page 220]]

    (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]

    Effective Date Note: At 68 FR 33630, June 5, 2003, Sec. 5.304 was 
amended by revising paragraph (c), effective July 7, 2003. For the 
convenience of the user, the revised text follows:

Sec. 5.304  Exemptions under section 3(d) and (e) of the Act.

                                * * * * *

    (c) For the purpose of section 3(d)(2) of the Act, a person engaged 
in political activities on behalf of a foreign corporation, even if 
owned in whole or in part by a foreign government, will not be serving 
predominantly a foreign interest where the political activities are 
directly in furtherance of the bona fide commercial, industrial, or 
financial operations of the foreign corporation, so long as the 
political activities are not directed by a foreign government or foreign 
political party and the political activities do not directly promote the 
public or political interests of a foreign government or of a foreign 
political party.

                                * * * * *



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 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]

    Effective Date Note: At 68 FR 33631, June 5, 2003, Sec. 5.306 was 
amended by revising paragraph (a), and in paragraph (b) by removing the 
word ``like'' and adding, in its place, the word ``fall'' effective July 
7, 2003. For the convenience of the user, the revised text follows:

Sec. 5.306  Exemption under section 3(g) of the Act.

                                * * * * *

[[Page 221]]

    (a) Attempts to influence or persuade agency personnel or officials 
other than in the course of judicial proceedings, criminal or civil law 
enforcement inquiries, investigations, or proceedings, or agency 
proceedings required by statute or regulation to be conducted on the 
record, 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

                                * * * * *



Sec. 5.307  Exemption under 3(h) of the Act.

    For the purpose of section 3(h) of the Act, the burden of 
establishing that registration under the Lobbying Disclosure Act of 
1995, 2 U.S.C. 1601 et seq. (LDA), has been made shall fall upon the 
person claiming the exemption. The Department of Justice will accept as 
prima facie evidence of registration a duly executed registration 
statement filed pursuant to the LDA. In no case where a foreign 
government or foreign political party is the principal beneficiary will 
the exemption under 3(h) be recognized.

    Effective Date Note: At 68 FR 33631, June 5, 2003, Sec. 5.307 was 
added, effective July 7, 2003.



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]

    Effective Date Note: At 68 FR 33631, June 5, 2003, Sec. 5.400 was 
amended as follows:
    a. The section heading of Sec. 5.400 is revised to read ``Filing of 
informational materials'';
    b. In paragraph (a) by removing the words ``two copies of each item 
of political propaganda'' and adding, in their place, the words 
``informational materials'', and by adding, before the period, the words 
``no later than 48 hours after the beginning of the transmittal of the 
informational materials'';
    c. In paragraph (b) by removing the words ``two copies of an item of 
political propaganda'' and adding, in their place, the words 
``informational materials'' and by removing the word ``material'' and 
adding, in its place, the word ``materials''; and
    d. In the first sentence of paragraph (c) by removing the words 
``two copies of a motion picture containing political propaganda'' and 
adding, in their place, the words ``a copy of a motion picture'', 
effective July 7, 2003.



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

[[Page 222]]

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]

    Effective Date Note: At 68 FR 33631, June 5, 2003, Sec. 5.401 was 
removed, effective July 7, 2003.5.402



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 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.

    Effective Date Note: At 68 FR 33631, June 5, 2003, Sec. 5.402 was 
amended as follows:
    a. The section heading of Sec. 5.402 is revised to read ``Labeling 
informational materials'';
    b. In paragraph (a) by removing the words ``political propaganda'' 
and adding, in their place, the words ``informational materials'', by 
removing the words ``it has'' and adding, in their place, the words 
``they have'', and by removing the word ``its'' and adding in its place, 
the word ``their'';
    c. In paragraph (b) by removing the words ``An item of political 
propaganda which is'' and adding, in their place, the words 
``Informational materials which are'', and by removing the word ``is'' 
from the phrase ``which is in the form of prints'' and adding, in its 
place, the word ``are'', and by removing the word ``item'' from the 
phrase ``such item'' and adding, in its place, the word ``materials'';
    d. In paragraph (c) by removing the words ``An item of political 
propaganda which is'' and adding, in their place, the words 
``Informational materials'', and by removing the word ``is'' from the 
phrase ``which is not in the form of prints'' and adding, in its place, 
the word ``are'';
    e. In paragraph (d) by removing the words ``Political propaganda as 
defined in section 1(j) of the Act which is'' and adding, in their 
place, the words ``Informational materials that are'', and by removing 
the word ``is'' before the word ``caused'' and adding, in its place, the 
word ``are'';
    f. In paragraph (e) by removing the words ``political propaganda as 
defined in section 1(j) of the Act'' and adding, in their place, the 
words ``informational materials''; and
    g. In paragraph (f) by removing the words ``political propaganda'' 
and adding, in their place, the words ``informational materials'', 
effective July 7, 2003.



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

[[Page 223]]

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.

    Effective Date Note: At 68 FR 33631, June 5, 2003, Sec. 5.500 was 
amended in paragraph (a)(4) by removing the words ``political propaganda 
has'' and adding, in their place, the words ``informational materials 
have'', effective July 7, 2003.



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.

    Effective Date Note: At 68 FR 33631, June 5, 2003, Sec. 5.600 was 
amended by adding the words ``informational materials,'' following the 
words ``Registration statements,'' and by removing the words ``from 10 
a.m. to 4 p.m.'' and adding, in their place, the words ``during the 
posted hours of operation.'', effective July 7, 2003.



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.
    (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

[[Page 224]]

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]

    Effective Date Note: At 68 FR 33631, June 5, 2003, Sec. 5.601 was 
amended in paragraph (a) by adding the words ``informational 
materials,'' following the word ``thereto,'', and in paragraph (b) by 
adding the words ``informational materials,'' following the word 
``thereto,'', effective July 7, 2003.



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 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.

[[Page 225]]

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 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]

[[Page 226]]



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]



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

[[Page 227]]

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 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,

[[Page 228]]

    (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.



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

[[Page 229]]

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; within the Bureau of 
Alcohol, Tobacco, Firearms, and Explosives, authority to grant remission 
and mitigation is delegated to the Director of the Bureau of Alcohol, 
Tobacco, Firearms, and Explosives; 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.

[Order No. 2064-96, 62 FR 316, Jan. 3, 1997, as amended by Order No. 
2650-2003, 68 FR 4928, Jan. 31, 2003]



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 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

[[Page 230]]

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 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

[[Page 231]]

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.
    (iii) Bureau of Alcohol, Tobacco, Firearms, and Explosives, Special 
Agent in Charge, Asset Forfeiture and Seized Property Branch, 650 
Massachusetts Avenue, NW., Washington, DC 20226.
    (iv) Immigration and Naturalization Service District Director, Chief 
Patrol Agent, or Regional Asset Forfeiture Office at location with 
jurisdiction over the forfeiture proceeding.

[[Page 232]]

    (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 of the date the 
property is sold or otherwise disposed of.

[Order No. 2064-96, 62 FR 316, Jan. 3, 1997, as amended by Order No. 
2650-2003, 68 FR 4928, Jan. 31, 2003]

[[Page 233]]



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, and except in Bureau of Alcohol, Tobacco, Firearms, 
and Explosives cases, where the copy shall be submitted to the Special 
Agent in Charge, Asset Forfeiture and Seized Property Branch, Bureau of 
Alcohol, Tobacco, Firearms, and Explosives, 650 Massachusetts Avenue, 
NW., Washington, DC 20226.
    (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

[[Page 234]]

whether the petition should be granted or denied.
    (g) Ruling. The Chief shall rule on the petition. No hearing shall 
be held. The 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)

[[Page 235]]

of this section within ninety (90) days of the date the property was 
sold or otherwise disposed of.

[Order No. 2064-96, 62 FR 316, Jan. 3, 1997, as amended by Order No. 
2650-2003, 68 FR 4928, Jan. 31, 2003]



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

[[Page 236]]

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 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

[[Page 237]]

property is located if the judgment was obtained outside the district.



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

[[Page 238]]

incident to the forfeiture and sale shall first be deducted, and the 
balance up to 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;

[[Page 239]]

    (2) The fact that a particular victim is suffering an extreme 
financial hardship;
    (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

[[Page 240]]

the Asset Forfeiture and Money Laundering Section, may use the services 
of a trustee, other government official, or 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.

[[Page 241]]

10.6  Necessity for further registration.
10.7  Cessation of activity.

                   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.
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    \1\ Filed as a part of the original document. Copies may be obtained 
from the Department of Justice.
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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 
in