[Title 7 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2004 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
7
Parts 1 to 26
Revised as of January 1, 2004
Agriculture
Containing a codification of documents of general
applicability and future effect
As of January 1, 2004
With Ancillaries
Published by
Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 2004
For sale by the Superintendent of Documents, U.S. Government Printing
Office
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 7:
Subtitle A--Office of the Secretary of Agriculture 3
Finding Aids:
Material Approved for Incorporation by Reference........ 507
Table of CFR Titles and Chapters........................ 509
Alphabetical List of Agencies Appearing in the CFR...... 527
List of CFR Sections Affected........................... 537
[[Page iv]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 7 CFR 1.1 refers to
title 7, part 1, 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
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Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative
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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
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those instances where a regulation published in the Federal Register
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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
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register. The NARA site also contains links to GPO Access.
Raymond A. Mosley,
Director,
Office of the Federal Register.
January 1, 2004.
[[Page ix]]
THIS TITLE
Title 7--Agriculture is composed of fifteen volumes. The parts in
these volumes are arranged in the following order: parts 1-26, 27-52,
53-209, 210-299, 300-399, 400-699, 700-899, 900-999, 1000-1199, 1200-
1599, 1600-1899, 1900-1939, 1940-1949, 1950-1999, and part 2000 to end.
The contents of these volumes represent all current regulations codified
under this title of the CFR as of January 1, 2004.
The Food and Nutrition Service current regulations in the volume
containing parts 210-299, include the Child Nutrition Programs and the
Food Stamp Program. The regulations of the Federal Crop Insurance
Corporation are found in the volume containing parts 400-699.
All marketing agreements and orders for fruits, vegetables and nuts
appear in the one volume containing parts 900-999. All marketing
agreements and orders for milk appear in the volume containing parts
1000-1199. Part 900--General Regulations is carried as a note in the
volume containing parts 1000-1199, as a convenience to the user.
Redesignation tables appear in the Finding Aids section of the
volumes containing parts 210-299 and parts 1600-1899.
[[Page x]]
[[Page 1]]
TITLE 7--AGRICULTURE
(This book contains parts 1 to 26)
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Part
SUBTITLE A--Office of the Secretary of Agriculture.......... 1
Cross References: Animal and Plant Health Inspection Service, Department
of Agriculture, see 7 CFR chapter III; 9 CFR chapter I.
Commodity Futures Trading Commission, see 17 CFR chapter I.
Commodity Credit Corporation, Department of Agriculture, see 7 CFR
chapter XIV.
Customs Service, Department of the Treasury, see 19 CFR chapter I.
Farm Credit Administration, see 12 CFR chapter VI.
Federal Crop Insurance Corporation, Department of Agriculture, see 7
CFR chapter IV.
Fish and Wildlife Service, Department of the Interior, see 50 CFR
chapters I and IV.
Food and Drug Administration, Department of Health and Human Services,
see 21 CFR chapter I.
Food Safety and Inspection Service, Meat and Poultry Inspection,
Department of Agriculture, see 9 CFR chapter III.
Forest Service, Department of Agriculture, see 36 CFR chapter II.
United States International Trade Commission, see 19 CFR chapter II.
Note: Other regulations issued by the Department of Agriculture appear
in chapters I to XLII of title 7, and chapter 4 of title 48.
[[Page 3]]
Subtitle A--Office of the Secretary of Agriculture
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Part Page
1 Administrative regulations.................. 5
1a Law enforcement authorities................. 97
1b National Environmental Policy Act........... 98
1c Protection of human subjects................ 100
2 Delegations of authority by the Secretary of
Agriculture and general officers of the
Department.............................. 111
3 Debt management............................. 258
4 [Reserved]
5 Determination of parity prices.............. 278
6 Import quotas and fees...................... 283
7 Selection and functions of Agricultural
Stabilization and Conservation State,
county and community committees......... 302
8 4-H Club name and emblem.................... 315
9-10 [Reserved]
11 National Appeals Division................... 318
12 Highly erodible land and wetland
conservation............................ 329
13 [Reserved]
14 Determining the primary purpose of certain
payments for Federal tax purposes....... 352
15 Nondiscrimination........................... 355
15a Education programs or activities receiving
or benefitting from Federal financial
assistance.............................. 381
15b Nondiscrimination on the basis of handicap
in programs or activities receiving
Federal financial assistance............ 397
15d Nondiscrimination in programs or activities
conducted by the United States
Department of Agriculture............... 420
15e Enforcement of nondiscrimination on the
basis of handicap in programs or
activities conducted by the United
States Department of Agriculture........ 421
15f Adjudications under section 741............. 427
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16 [Reserved]
17 Sales of agricultural commodities made
available under Title 1 of the
Agricultural Trade Development and
Assistance Act of 1954, as amended...... 436
18 Equal employment opportunity in the State
Cooperative Extension Services.......... 453
19 [Reserved]
20 Export sales reporting requirements......... 456
21 Uniform relocation assistance and real
property acquisition for Federal and
federally assisted programs............. 463
22 Rural development coordination.............. 463
23 State and regional annual plans of work..... 469
24 Board of Contract Appeals, Department of
Agriculture............................. 473
25 Rural empowerment zones and enterprise
communities............................. 485
26 [Reserved]
[[Page 5]]
PART 1_ADMINISTRATIVE REGULATIONS--Table of Contents
Subpart A_Official Records
Sec.
1.1 Purpose and scope.
1.2 Policy.
1.3 Agency implementing regulations.
1.4 Public access to certain materials.
1.5 Requests for records.
1.6 Aggregating requests.
1.7 Agency response to requests for records.
1.8 Multitrack processing.
1.9 Expedited processing.
1.10 Search services.
1.11 Review services.
1.12 Handling information from a private business.
1.13 Date of receipt of requests or appeals.
1.14 Appeals.
1.15 General provisions respecting release of records.
1.16 Extension of administrative deadlines.
1.17 Failure to meet administrative deadlines.
1.18 Fee schedule.
1.19 Exemptions and discretionary release.
1.20 Annual report.
1.21 Compilation of new records.
1.22 Authentication.
1.23 Records in formal adjudication proceedings.
1.24 Preservation of records.
1.25 Implementing regulations for the Office of the Secretary and the
Office of Communications.
Appendix A to Subpart A--Fee Schedule
Subpart B_Departmental Proceedings
1.26 Representation before the Department of Agriculture.
1.27 Rulemaking and other notice procedures.
1.28 Petitions.
1.29 Subpoenas relating to investigations under statutes administered by
the Secretary of Agriculture.
Subpart C_Judicial Proceedings
1.41 Service of process.
Subpart D_Claims
1.51 Claims based on negligence, wrongful act or omission.
Subpart E_Cooperative Production of Television Films
1.71 Purpose.
1.72 Policy.
1.73 Responsibility.
1.74 Basis for special working relationships.
1.75 General stipulations.
1.76 Department cooperation.
1.77 Assignment of priorities.
1.78 Development of special working relationships.
1.79 Credits.
Subpart G_Privacy Act Regulations
1.110 Purpose and scope.
1.111 Definitions.
1.112 Procedures for requests pertaining to individual records in a
record system.
1.113 Times, places, and requirements for identification of individuals
making requests.
1.114 Disclosure of requested information to individuals.
1.115 Special procedures: Medical records.
1.116 Request for correction or amendment to record.
1.117 Agency review of request for correction or amendment of record.
1.118 Appeal of initial adverse agency determination on correction or
amendment.
1.119 Disclosure of record to person other than the individual to whom
it pertains.
1.120 Fees.
1.121 Penalties.
1.122 General exemptions.
1.123 Specific exemptions.
Appendix A to Subpart G--Internal Directives
Subpart H_Rules of Practice Governing Formal Adjudicatory Proceedings
Instituted by the Secretary Under Various Statutes
1.130 Meaning of words.
1.131 Scope and applicability of this subpart.
1.132 Definitions.
1.133 Institution of proceedings.
1.134 Docket number.
1.135 Contents of complaint or petition for review.
1.136 Answer.
1.137 Amendment of complaint, petition for review, or answer; joinder of
related matters.
1.138 Consent decision.
1.139 Procedure upon failure to file an answer or admission of facts.
1.140 Conferences and procedure.
1.141 Procedure for hearing.
1.142 Post-hearing procedure.
1.143 Motions and requests.
1.144 Judges.
1.145 Appeal to Judicial Officer.
1.146 Petitions for reopening hearing; for rehearing or reargument of
proceeding; or for reconsideration of the decision of the
Judicial Officer.
1.147 Filing; service; extensions of time; and computation of time.
1.148 Depositions.
1.149 Subpoenas.
[[Page 6]]
1.150 Fees of witnesses.
1.151 Ex parte communications.
Subpart I_Rules of Practice Governing Cease and Desist Proceedings Under
Section 2 of the Capper-Volstead Act
1.160 Scope and applicability of rules in this part.
1.161 Definitions.
1.162 Institution of proceedings.
1.163 The complaint.
1.164 Answer.
1.165 Amendments.
1.166 Consent order.
1.167 Conference.
1.168 Procedure for hearing.
1.169 Post-hearing procedure and decision.
1.170 Appeal to the Judicial Officer.
1.171 Intervention.
1.172 Motions and requests.
1.173 Judges.
1.174 Filing; service; extensions of time; and computation of time.
1.175 Procedure following entry of cease and desist order.
Subpart J_Procedures Relating to Awards Under the Equal Access to
Justice Act in Proceedings Before the Department
General Provisions
Sec.
1.180 Definitions.
1.181 Purpose of these rules.
1.182 When EAJA applies.
1.183 Proceedings covered.
1.184 Eligibility of applicants.
1.185 Standards for awards.
1.186 Allowable fees and expenses.
1.187 Rulemaking on maximum rates for attorney fees.
1.188 Awards against other agencies.
1.189 Delegations of authority.
Information Required From Applicants
1.190 Contents of application.
1.191 Net worth exhibit.
1.192 Documentation of fees and expenses.
1.193 Time for filing application.
Procedures for Considering Applications
1.194 Filing and service of documents.
1.195 Answer to application.
1.196 Reply.
1.197 Comments by other parties.
1.198 Settlement.
1.199 Further proceedings.
1.200 Decision.
1.201 Department review.
1.202 Judicial review.
1.203 Payment of award.
Subpart K_Appearance of USDA Employees as Witnesses in Judicial or
Administrative Proceedings
1.210 Purpose.
1.211 Definitions.
1.212 General.
1.213 Appearance as a witness on behalf of the United States.
1.214 Appearance as a witness on behalf of a party other than the United
States where the United States is not a party.
1.215 Subpoenas duces tecum for USDA records in judicial or
administrative proceedings in which the United States is not a
party.
1.216 Appearance as a witness or production of documents on behalf of a
party other than the United States where the United States is
a party.
1.217 Witness fees and travel expenses.
1.218 Penalty.
1.219 Delegations.
Subpart L_Procedures Related to Administrative Hearings Under the
Program Fraud Civil Remedies Act of 1986
1.301 Basis, purpose and scope.
1.302 Definitions.
1.303 Basis for civil penalties and assessments.
1.304 Investigation.
1.305 Review by the reviewing official.
1.306 Prerequisites for issuing a complaint.
1.307 Complaint.
1.308 Service of complaint and notice of hearing.
1.309 Answer and request for hearing.
1.310 Default upon failure to file an answer.
1.311 Referral of complaint and answer to the ALJ.
1.312 Procedure where respondent does not request a hearing.
1.313 Procedure where respondent requests a hearing; notice of hearing.
1.314 Parties to the hearing.
1.315 Separation of functions.
1.316 Ex parte contacts.
1.317 Disqualification of reviewing official or ALJ.
1.318 Rights of parties.
1.319 Authority of the ALJ.
1.320 Prehearing conferences.
1.321 Disclosure of documents.
1.322 Discovery.
1.323 Subpoenas for attendance at hearing.
1.324 Fees.
1.325 Form, filing and service of papers.
1.326 Computation of time.
1.327 Motions.
1.328 Sanctions.
1.329 The hearing and burden of proof.
1.330 Location of hearing.
1.331 Witnesses.
[[Page 7]]
1.332 Evidence.
1.333 The record.
1.334 Post-hearing briefs.
1.335 Determining the amount of penalties and assessments.
1.336 Initial decision of the ALJ.
1.337 Reconsideration of initial decision.
1.338 Appeal to the judicial officer.
1.339 Stays ordered by the Department of Justice.
1.340 Stay pending appeal.
1.341 Judicial review.
1.342 Collection of civil penalties and assessments.
1.343 Right to administrative offset.
1.344 Deposit to Treasury of the United States.
1.345 Settlement.
1.346 Limitation.
Subpart M_Rules of Practice Governing Adjudication of Sourcing Area
Applications and Formal Review of Sourcing Areas Pursuant to the Forest
Resources Conservation and Shortage Relief Act of 1990 (16 U.S.C. 620 et
seq.)
1.410 Meaning of words.
1.411 Definitions.
1.412 Institution of proceedings.
1.413 Submission of a sourcing area application.
1.414 Docket number.
1.415 Notification of proceedings.
1.416 Comment period.
1.417 Review period.
1.418 Procedure upon no request for hearing.
1.419 Amendment of a sourcing area application.
1.420 Consent recommendation.
1.421 Prehearing conferences and procedures.
1.422 Conduct of the hearing.
1.423 Post-hearing procedure.
1.424 Motions and requests.
1.425 Judges.
1.426 Appeal to Judicial Officer.
1.427 Filing; identification of parties of record; service; and
computation of time.
1.428 Depositions.
1.429 Ex parte communications.
Authority: 5 U.S.C. 301, unless otherwise noted.
Subpart A_Official Records
Authority: 5 U.S.C. 301, 552; 7 U.S.C. 3125a; 31 U.S.C. 9701; and 7
CFR 2.28(b)(7)(viii).
Sec. 1.1 Purpose and scope.
This subpart establishes policy, procedures, requirements, and
responsibilities for administration and coordination of the Freedom of
Information Act (``FOIA''), 5 U.S.C. 552, pursuant to which any person
may obtain official records. It also provides rules pertaining to the
disclosure of records pursuant to compulsory process. This subpart also
serves as the implementing regulations (referred to in Sec. 1.3,
``Agency implementing regulations'') for the Office of the Secretary
(the immediate offices of the Secretary, Deputy Secretary, Under
Secretaries and Assistant Secretaries) and for the Office of
Communications. The Office of Communications has the primary
responsibility for implementation of the FOIA in the Department of
Agriculture (``USDA'' or ``Department''). The term ``agency'' or
``agencies'' is used throughout this subpart to include both USDA
program agencies and staff offices.
[65 FR 46336, July 28, 2000]
Sec. 1.2 Policy.
(a) Agencies of USDA shall comply with the time limits set forth in
the FOIA and in this subpart for responding to and processing requests
and appeals for agency records, unless there are unusual circumstances
within the meaning of 5 U.S.C. 552(a)(6)(B) and Sec. 1.16(b). An agency
shall notify a requester in writing whenever it is unable to respond to
or process a request or appeal within the time limits established by the
FOIA.
(b) All agencies of the Department shall comply with the fee
schedule provided as appendix A to this subpart, with regard to the
charging of fees for providing copies of records and related services to
requesters.
[65 FR 46337, July 28, 2000]
Sec. 1.3 Agency implementing regulations.
Each agency of the Department shall promulgate regulations setting
forth the following:
(a) The location and hours of operation of the agency office or
offices where members of the public may gain access to those materials
required by 5 U.S.C. 552(a)(2) and Sec. 1.4 to be made available for
public inspection and copying.
[[Page 8]]
(b) Information regarding the publication and distribution (by sale
or otherwise) of indexes and supplements to indexes that are maintained
in accordance with the requirements of 5 U.S.C. 552(a)(2) and Sec.
1.4(c);
(c) The title and mailing address of the official or officials of
the agency authorized to receive requests for records submitted in
accordance with Sec. 1.5(a), and to make determinations regarding
whether to grant or deny such requests. Authority to make such
determinations includes authority to:
(1) Extend the 20 working day administrative deadline for reply
pursuant to Sec. 1.16;
(2) Make discretionary releases pursuant to Sec. 1.19(b);
(3) Make determinations regarding the charging of fees pursuant to
appendix A to this subpart;
(d) The title and mailing address of the agency official who is
authorized to receive appeals submitted in accordance with Sec. 1.14
and to make determinations regarding whether to grant or deny such
appeals. Authority to determine appeals includes authority to:
(1) Extend the 20 working day administrative deadline for reply
pursuant to Sec. 1.16 (to the extent the maximum extension authorized
by Sec. 1.16(c) was not used with regard to the initial request;
(2) Make discretionary releases pursuant to Sec. 1.19(b);
(3) Make determinations regarding the charging of fees pursuant to
appendix A to this subpart; and
(e) Other information which would be of concern to a person wishing
to request records from that agency in accordance with this subpart.
[65 FR 46337, July 28, 2000]
Sec. 1.4 Public access to certain materials.
(a) In accordance with 5 U.S.C. 552(a)(2), each agency within the
Department shall make the following materials available for public
inspection and copying (unless they are promptly published and copies
offered for sale):
(1) Final opinions, including concurring and dissenting opinions, as
well as orders, made in the adjudication of cases;
(2) Those statements of policy and interpretation which have been
adopted by the agency and are not published in the Federal Register;
(3) Administrative staff manuals and instructions to staff that
affect a member of the public;
(4) Copies of all records, regardless of form or format, which have
been released pursuant to a FOIA request under 5 U.S.C. 552(a)(3), and
which because of the nature of their subject matter, have become or are
likely to become the subject of subsequent requests for substantially
the same records. Agencies shall decide on a case by case basis whether
records fall into this category, based on the following factors:
(i) Previous experience with similar records;
(ii) The particular characteristics of the records involved,
including their nature and the type of information contained in them;
and
(iii) The identity and number of requesters and whether there is
widespread media, historical, academic, or commercial interest in the
records.
(5) A general index of the records referred to in paragraph (a)(4)
of this section.
(b) Records encompassed within paragraphs (a)(1) through (a)(5) of
this section created on or after November 1, 1996, shall be made
available to the public by computer telecommunications or, if computer
telecommunications means have not been established by the agency, by
other electronic means.
(c) Each agency of the Department shall maintain and make available
for public inspection and copying current indexes providing identifying
information regarding any matter issued, adopted or promulgated after
July 4, 1967, and required by paragraph (a) of this section to be make
available or published. Each agency shall publish and make available for
distribution copies of such indexes and supplements to such indexes at
least quarterly, unless it determines by notice published in the Federal
Register that publication would be unnecessary and impracticable. After
issuance of such notice, each agency shall provide copies of any index
upon request at a cost not to exceed the direct cost of duplication.
[[Page 9]]
(d) Each agency is responsible for preparing reference material or a
guide for requesting records or information from that agency. This guide
shall also include an index of all major information systems, and a
description of major information and record locator systems.
(e) Each agency shall also prepare a handbook for obtaining
information from that agency. The handbook should be a short, simple
explanation to the public of what the FOIA is designed to do, and how a
member of the public can use it to access government records. The
handbook should be available on paper and through electronic means, and
it should identify how a requester can access agency Freedom of
Information Act annual reports. Similarly, the annual reports should
refer to the handbook and how to obtain it.
(f) It is appropriate to make frequently requested records available
in accordance with paragraph (a)(4) of this section in situations where
public access in a timely manner is important, and it is not intended to
apply where there may be a limited number of requests over a short
period of time from a few requesters. Agencies may remove a record from
this access medium when the appropriate official determines that it is
unlikely there will be substantial further requests for that document.
[65 FR 46337, July 28, 2000]
Sec. 1.5 Requests for records.
(a) Any person who wishes to inspect or obtain copies of any record
of any agency of the Department shall submit a request in writing and
address the request to the official designated in regulations
promulgated by that agency. The requester may ask for a fee waiver. All
such requests for records shall be deemed to have been made pursuant to
the Freedom of Information Act, regardless of whether the request
specifically mentions the Freedom of Information Act. To facilitate
processing of a request, the requester should place the phrase ``FOIA
REQUEST'' in capital letters on the front of the envelope or on the
cover sheet of the facsimile transmittal.
(b) A request must reasonably describe the records to enable agency
personnel to locate them with reasonable effort. Where possible, a
requester should supply specific information regarding dates, titles,
names of individuals, names of offices, and names of agencies or other
organizations that may help identify the records. If the request relates
to a matter in pending litigation, the requester should identify the
court and its location.
(c) If an agency determines that a request does not reasonably
describe the records, the agency shall inform the requester of this fact
and extend the requester an opportunity to clarify the request or to
confer promptly with knowledgeable agency personnel to attempt to
identify the records the requester is seeking. The ``date of receipt''
in such instances, for purposes of Sec. 1.13, shall be the date of
receipt of the amended or clarified request.
(d) If a request for records or a fee waiver made under this subpart
is denied, the requester shall have the right to appeal the denial.
Requesters also may appeal agency determinations of a requester's status
for purposes of fee levels under sec. 5 of appendix A to this subpart.
All appeals must be in writing and addressed to the official designated
in regulations promulgated by the agency which denied the request. To
facilitate processing of an appeal, the requester should place the
phrase ``FOIA APPEAL'' in capital letters on the front of the envelope
or on the cover sheet of the fax transmittal.
(e) Requests that are not addressed to a specific agency in USDA, or
which pertain to more than one USDA agency, or which are sent to the
wrong agency of USDA, should be forwarded to the Department's FOIA
Officer in the Office of Communications, U.S. Department of Agriculture,
Washington, DC 20250.
(f) The Department FOIA Officer will determine which agency or
agencies should process the request, and, where necessary, refer the
request to the appropriate agency or agencies. The Department FOIA
Officer will also notify the requester of the referral and of the name
of each agency to which the request has been referred.
(g) A request will be properly received when it is in the possession
of
[[Page 10]]
the component agency that has responsibility for maintaining the
requested records.
(h) Each agency shall develop and maintain a record of all written
requests and appeals received in that agency. The record shall include
the names of the requester; a brief summary of the information
requested; whether the request or appeal was granted, denied, or
partially denied; the exemption from mandatory disclosure under 5 U.S.C.
552(b) upon which any denial was based; and the amount of any fees
associated with the request or appeal.
[65 FR 46337, July 28, 2000]
Sec. 1.6 Aggregating requests.
When an agency reasonably believes that a requester, or a group of
requesters acting in concert, is attempting to break a request down into
a series of requests for the purpose of evading the assessment of fees,
the agency may aggregate any such requests and charge accordingly. One
element that may be considered in determining whether such a belief
would be reasonable is the brevity of the time period during which the
requests have been made.
[65 FR 46338, July 28, 2000]
Sec. 1.7 Agency response to requests for records.
(a) 5 U.S.C. 552(a)(6)(A)(i) provides that each agency of the
Department to which a request for records is submitted in accordance
with Sec. 1.5(a) shall inform the requester of its determination
concerning that request within 20 working days of its date of receipt
(excepting Saturdays, Sundays, and legal public holidays), plus any
extension authorized under Sec. 1.16. If the agency determines to grant
the request, it shall inform the requester of any conditions surrounding
the granting of the request (e.g., payment of fees) and the approximate
date upon which the agency will provide the requested records. If the
agency grants only a portion of the request, it shall treat the portion
not granted as a denial, and make a reasonable effort to estimate the
volume of the records denied and provide this estimate to the requester,
unless providing such an estimate would harm an interest protected by an
exemption of the FOIA. If the agency determines to deny the request in
part or in whole, it shall immediately inform the requester of that
decision and provide the following:
(1) The reasons for the denial;
(2) The name and title or position of each person responsible for
denial of the request;
(3) The requester's right to appeal such denial and the title and
address of the official to whom such appeal is to be addressed; and
(4) The requirement that such appeal be made within 45 days of the
date of the denial.
(b) If the reason for not fulfilling a request is that the records
requested are in the custody of another agency outside USDA, other than
in the permanent custody of the National Archives and Records
Administration (``NARA''), the agency shall inform the requester of this
fact and shall forward the request to that agency or Department for
processing in accordance with its regulations. If the records are in the
permanent custody of NARA, the agency shall so inform the requester.
Information about obtaining access to records at NARA may be obtained
through the NARA Archival Information Locator (NAIL) Database at http://
www/nara.gov/nara.nail.html, or by calling NARA at (301) 713-6800. If
the agency has no knowledge of requested records or if no records exist,
the agency shall notify the requester of that fact.
[65 FR 46338, July 28, 2000]
Sec. 1.8 Multitrack processing.
(a) When an agency has a significant number of requests, the nature
of which precludes a determination within 20 working days, the requests
may be processed in a multitrack processing system, based on the date of
receipt, the amount of work and time involved in processing the request,
and whether the request qualifies for expedited processing.
(b) Agencies may establish as many processing tracks as appropriate;
processing within each track shall be based on a first-in, first-out
concept, and rank-ordered by the date of receipt of the request.
[[Page 11]]
(c) Agencies may provide a requester whose request does not qualify
for the fastest track an opportunity to limit the scope of the request
in order to qualify for a faster track. This multitrack processing
system does not lessen agency responsibility to exercise due diligence
in processing requests in the most expeditious manner possible.
(d) Agencies shall process requests in each track on a ``first-in,
first-out'' basis, unless there are unusual circumstances as set forth
in Sec. 1.16, or the requester is entitled to expedited processing as
set forth in Sec. 1.9.
[65 FR 46338, July 28, 2000]
Sec. 1.9 Expedited processing.
(a) A requester may apply for expedited processing at the time of
the initial request for records. Within ten calendar days of its receipt
of a request for expedited processing, an agency shall decide whether to
grant it, and shall notify the requester of the decision. Once the
determination has been made to grant expedited processing, an agency
shall process the request as soon as practicable. If a request for
expedited processing is denied, the agency shall act expeditiously on
any appeal of that decision.
(b) A request or appeal will be taken out of order and given
expedited treatment whenever the agency determines that the requester
has established either of the following criteria:
(1) Circumstances in which the lack of expedited treatment could
reasonably be expected to pose an imminent threat to the life or
physical safety of an individual; or
(2) An urgency to inform the public about an actual or alleged
federal government activity, if made by an individual primarily engaged
in disseminating information. Representatives of the news media would
normally qualify as individuals primarily engaged in disseminating
information; however, other requesters must demonstrate that their
primary activity involves publishing or otherwise disseminating
information to the public as a whole, and not just a particular segment
or group. ``Urgency'' contemplates that the information has a particular
value that will be lost if not disseminated quickly. Ordinarily this
means a breaking news story of general public interest. Information of
historical interest only or information sought for litigation or
commercial activities would not meet the test of urgency, nor would a
news media publication or broadcast deadline unrelated to the news
breaking nature of the information.
(c) A requester who seeks expedited processing must provide a
written statement that the requester has certified to be true and
correct to the best of the requester's knowledge, explaining in detail
the basis for requesting expedited processing. The agency will not
consider the request to have been received unless accompanied by a
written, certified statement, and will be under no obligation to
consider the request for expedited processing until it receives such a
written, certified statement.
(d) the same procedures apply to requests for expedited processing
of administrative appeals.
[65 FR 46338, July 28, 2000]
Sec. 1.10 Search services.
Search services are services of agency personnel--clerical or
professional--used in trying to find the records, that are responsive to
a request. Search services includes both manual and electronic searches
and time spent examining records for the purpose of finding information
that is within the scope of the request. Search services also include
services to transport personnel to places of record storage, or records
to the location of personnel for the purpose of the search, if such
services are reasonably necessary.
[65 FR 46339, July 28, 2000]
Sec. 1.11 Review services.
(a) Review services are services of agency personnel--clerical or
professional--in examining records, both paper and electronic, located
in response to a request that is for a commercial use (as specified in
sec. 6 of appendix A to this subpart) to determine whether any portion
of any record located is exempt from mandatory disclosure.
(b) Review services include processing any records for disclosure
e.g.,
[[Page 12]]
doing all that is necessary to redact exempt portions and otherwise
prepare records for release.
(c) Review services do not include the time spent resolving general
legal or policy issues regarding the application of exemptions.
[65 FR 46339, July 28, 2000]
Sec. 1.12 Handling information from a private business.
Each USDA agency is responsible for making the final determination
with regard to the disclosure or nondisclosure of information in agency
records that has been submitted by a business. When, in the course of
responding to an FOIA request, an agency cannot readily determine
whether the information obtained from a person is privileged or
confidential business information, the policy of USDA is to obtain and
consider the views of the submitter of the information and to provide
the submitter an opportunity to object to any decision to disclose the
information. If a request (including a subpoena duces tecum as described
in Sec. 1.215) is received in USDA for information that has been
submitted by a business, the agency shall:
(a) Provide the business information submitter with prompt
notification of a request for that information (unless it is readily
determined by the agency that the information requested should not be
disclosed or, on the other hand, that the information is not exempt by
law from disclosure). Afford business information submitter reasonable
time in which to object to the disclosure of any specified portion of
the information. The submitter must explain fully all grounds upon which
disclosure is opposed. For example, if the submitter maintains that
disclosure is likely to cause substantial harm to it competitive
position, the submitter must explain item-by-item why disclosure would
cause such harm. Information provided by a business submitter pursuant
to this paragraph may itself be subject to disclosure under FOIA;
(b) Notify the requester of the need to inform the submitter of a
request for submitted business information;
(c) Determine whether the requested records are exempt from
disclosure or must be released;
(d) Provide business information submitters with notice of any
determination to disclose such records prior to the disclosure date, in
order that the matter may be considered for possible judicial
intervention; and
(e) Notify business information submitters promptly of all instances
in which FOIA requesters bring suit seeking to compel disclosure of
submitted information.
[65 FR 46339, July 28, 2000]
Sec. 1.13 Date of receipt of requests or appeals.
The date of receipt of a request or appeal shall be the date it is
received in the agency and office responsible for the administrative
processing of FOIA requests or appeals.
[65 FR 46339, July 28, 2000]
Sec. 1.14 Appeals.
(a) Requesters seeking administrative appeal of a denial of a
request for records or denial of a fee waiver must ensure that the
appeal is received by the agency within 45 days of the date of the
denial letter.
(b) Each agency shall provide for review of appeals by an official
different from the official or officials designated to make initial
denials.
(c) 5 U.S.C. 552(a)(6)(A)(ii) provides that each agency in the
Department to which an appeal of a denial is submitted shall inform the
requester of its determination concerning that appeal within 20 working
days (excepting Saturdays, Sundays, and legal public holidays), plus any
extension authorized by Sec. 1.16, of its date of receipt. If the
agency determines to grant the appeal, it shall inform the requester of
any conditions surrounding the granting of the request (e.g., payment of
fees) and the approximate date upon which compliance will be effected.
If the agency grants only a portion of the appeal, it shall treat the
portion not granted as a denial. If it determines to deny the appeal
either in part or in whole, it shall inform the requester of that
decision and of the following:
(1) The reasons for denial;
(2) The name and title or position of each person responsible for
denial of the appeal; and
[[Page 13]]
(3) The right to judicial review of the denial in accordance with 5
U.S.C. 552(a)(4).
(d) Each agency, upon a determination that it wishes to deny an
appeal, shall send a copy of the records requested and of all
correspondence relating to the request to the Assistant General Counsel,
General Law Division, Office of the General Counsel (``Assistant General
Counsel''). When the volume of records is so large as to make sending a
copy impracticable, the agency shall enclose an informative summary of
those records. The agency shall not deny an appeal until it receives
concurrence from the Assistant General Counsel
(e) The Assistant General Counsel shall promptly review the matter
(including necessary coordination with the agency) and render all
necessary assistance to enable the agency to respond to the appeal
within the administrative deadline or any extension of the
administrative deadline.
[65 FR 46339, July 28, 2000]
Sec. 1.15 General provisions respecting release of records.
(a) When releasing documents, agencies shall provide the record in
any form or format the requester specifies, if the record is readily
reproducible in that form of format. Agencies shall make reasonable
efforts to maintain their records in forms or formats that are
reproducible. In responding to requests for records, agencies shall make
reasonable efforts to search for records in electronic form or format,
except when such efforts would significantly interfere with the
operation of an agency's automated information system. Such
determinations shall be made on a case-by-case basis.
(b) In the event a requested record contains some portions that are
exempt from mandatory disclosure and others that are not, the official
responding to the request shall ensure that all reasonably segregable
nonexempt portions are disclosed, and that all exempt portions are
identified according to the specific exemption or exemptions which are
applicable. The amount of deleted information shall be indicated on the
released portion of paper records. Deletions may be marked by use of
brackets or darkened areas indicating removal of information, or by any
other method that would reasonable demonstrate the extent of the
deletion. In the case of electronic deletion, or deletion in audiovisual
or microfiche records, if technically feasible, the amount of redacted
information shall be indicated at the place in the records, if
technically feasible, the amount of redacted information shall be
indicated at the place in the record where such deletion was made. This
may be done by use of brackets, shaded areas, or some other identifiable
technique which will clearly show the limits of the deleted information.
(c) If, in connection with a request or an appeal, a charge is to be
made in accordance with sec. 8 of appendix A to this subpart, agencies
shall inform the requester of the fee amount and of the basis for the
charge. Each agency, in accordance with sec. 8 of appendix A to this
subpart, may require payment of the entire fee, or a portion of the fee,
before it provides the requested records. An agency shall require full
payment of any delinquent fee owed by the requester plus any applicable
interest prior to releasing records on a subsequent request or appeal.
If a requester refuses to remit payment in advance, an agency may refuse
to process the request or appeal with written notice to that effect
forwarded to the requester. The ``date of receipt'' appeal for which
advance payment has been required shall be the date that payment is
received.
(d) In the event compliance with the request or appeal involves
inspection of records by the requester rather than providing copies of
the records, the agency response shall include the name, mailing
address, and telephone number of the person to be contacted to arrange a
mutually convenient time for such inspection.
(e) Whenever duplication fees, or search fees for unsuccessful
searches (see sec. 4(f) of appendix A to this subpart), are anticipated
to exceed $25.00, and the requester has not indicated, in advance, a
willingness to pay fees as high as those anticipated, agencies shall
notify the requester of the
[[Page 14]]
amount of the anticipated fee. If an extensive and therefore costly
successful search is anticipated, agencies also should notify requesters
of the anticipated fees. The notification shall offer the requester the
opportunity to confer with agency personnel to reform the request to
meet the requester's needs at a lower fee. In appropriate cases, an
advance deposit in accordance with sec. 8 of appendix A to this subpart
may be required.
[65 FR 46340, July 28, 2000]
Sec. 1.16 Extension of administrative deadlines.
(a) In unusual circumstances as specified in this section, when
additional time is needed to respond to the initial request or to an
appeal, agencies shall acknowledge the request or the appeal in writing
within the 20 working day time period, describe the unusual
circumstances requiring the delay, and indicate the anticipated date for
a substantive response that may not exceed 10 additional working days,
except as provided in the following:
(1) In instances in which the agency, with respect to a particular
request, has extended the response date by 10 additional working days,
if the agency finds that it cannot make a response determination within
the additional 10 working day period, the agency shall notify the
requester and provide the requester an opportunity to limit the scope of
the request to allow the agency to process the request within the
extended time limit, or an alternative time frame for processing the
request or a modified request.
(2) If the requester refuses to reasonably modify the request or
arrange for an alternative time frame for processing the request, the
FOIA provides that such refusal shall be considered as a factor in
determining whether there are exceptional circumstances that warrant
granting additional time for the agency to complete its review of the
records, as set forth in 5 U.S.C. 552(a)(6)(C)(iii). The term
``exceptional circumstances'' does not include a delay that results from
a predictable agency backlog, unless the agency demonstrates reasonable
progress in reducing its backlog of pending requests.
(b) As used in this section, ``unusual circumstances'' that may
justify delay are:
(1) The need to search for and collect the requested records from
field facilities or other establishments that are separate from the
office processing the request;
(2) The need to search for, collect, and appropriately examine a
voluminous amount of separate and distinct records which are demanded in
a single request; or
(3) The need for consultation, which shall be conducted with all
practicable speed, with another Department or agency having a
substantial interest in the determination of the request or among two or
more components of agency having substantial subject-matter interest in
the request.
Note to paragraph (b): Consultation regarding policy or legal issues
between an agency and the Office of the General Counsel, Office of
Communications, or the Department of Justice is not a basis for
extension under this section.
(c) The 10-day extension authorized by this section may be divided
between the initial and appellate reviews, but in no event shall the
total extension exceed 10 working days.
(d) Nothing in this section shall preclude the agency and the
requester from agreeing to an extension of time. Any such agreement
should be confirmed in writing and should specify clearly the total time
agreed upon.
[65 FR 46340, July 28, 2000]
Sec. 1.17 Failure to meet administrative deadlines.
In the event an agency fails to meet the administrative deadlines
set forth in Sec. Sec. 1.7 or 1.14, plus any extension authorized by
Sec. 1.16, it shall notify the requester, state the reasons for the
delay, and the date by which it expects to dispatch a determination.
Although the requester may be deemed to have exhausted his or her
administrative remedies under 5 U.S.C. 552(a)(6)(C), the agency shall
continue processing the request as expeditiously as possible and
dispatch the determination when it is reached in the same manner and
form
[[Page 15]]
as if it had been reached within the applicable deadline.
[65 FR 46341, July 28, 2000]
Sec. 1.18 Fee schedule.
Pursuant to Sec. 2.28 of this title, the Chief Financial Officer is
delegated authority to promulgate regulations providing for a uniform
fee schedule applicable to all agencies of the Department regarding
requests for records under this subpart. The regulations providing for a
uniform fee schedule are found in appendix A to this subpart.
[65 FR 46341, July 28, 2000]
Sec. 1.19 Exemptions and discretionary release.
(a) All agency records, except those specifically exempted from
mandatory disclosure by one or more provisions of 5 U.S.C. 552(b), shall
be made promptly available to any person submitting a request under this
subpart.
(b) Agencies are authorized, in their sole discretion, to make
discretionary releases when such release is not otherwise specifically
prohibited by Executive Order, statute, or regulation.
[65 FR 46341, July 28, 2000]
Sec. 1.20 Annual report.
(a) Each agency of the Department shall compile the following
Freedom of Information Act statistics on a fiscal year basis beginning
October 1, 1997, and report the following information to the Office of
Communications no later than November 30 following the fiscal year's
close:
(1) The number of requests for records received and the number of
requests which were processed;
(2) The number of determinations made not to comply with initial
requests for records made to it under Sec. 1.5(a), and the reasons for
each such determinations;
(3) The number of appeals made by persons under Sec. 1.14(b), the
result of such appeals, and the reason for the action upon each appeal
that results in a denial of information.
(4) A complete list of all statutes that the agency relies upon to
authorize the agency to withhold information under 5 U.S.C. 552(b)(3), a
description of whether a court has upheld the decision of the agency to
withhold information under each such statute, and a concise description
of the scope of any information withheld;
(5) The number of requests for records pending before the agency as
of September 30 of the preceding year, and the median number of days
that such requests had been pending before the agency as of that date:
(6) The median number of days taken by the agency to process
different types of requests;
(7) The total amount of fees collected by the agency for processing
requests;
(8) The number of full-time staff of the agency devoted to
processing requests for records under this section, and the total amount
expended by the agency for processing such requests.
(b) Each agency shall compile the information required by paragraph
(a) of this section for the preceding fiscal year into a report and
submit this report to the Director of Communications, Office of
Communications, no later than November 30 following the fiscal year's
close.
(c) The Director of Communications, Office of Communications, shall
combine the reports from all the agencies within USDA into a
Departmental report, and shall submit to the Attorney General on or
before February 1 of each year in accordance with 5 U.S.C. 552(e).
(d) Each agency shall make the report available to the public
including by computer telecommunications, or if computer
telecommunications means have not been established by the agency, by
other electronic means.
[65 FR 46341, July 28, 2000]
Sec. 1.21 Compilation of new records.
Nothing in 5 U.S.C. 552 or this subpart requires that any agency
create a new record in order to fulfill a request for records. However,
an agency is required to provide a record in a form or format specified
by a requester, if the record is readily reproducible by the agency in
the form or format requested. Creation of records may be undertaken
voluntarily if the agency determines this action to be in the public
interest or the interest of USDA.
[65 FR 46341, July 28, 2000]
[[Page 16]]
Sec. 1.22 Authentication.
When a request is received for an authenticated copy of a document
which the agency determines to make available to the requesting party,
the agency shall cause a correct copy to be prepared and sent to the
Office of the General Counsel which shall certify the same and cause the
seal of the Department to be affixed, except that the Hearing Clerk in
the Office of Administrative Law Judges may authenticate copies of
documents in the records of the Hearing Clerk and that the Director of
the National Appeals Division may authenticate copies of documents in
the records of the National Appeals Division.
[65 FR 46341, July 28, 2000]
Sec. 1.23 Records in formal adjudication proceedings.
Records in formal adjudication proceedings are on file in the
Hearing Clerk's office, Office of Administrative Law Judges, U.S.
Department of Agriculture, Washington, DC 20250, and shall be made
available to the public.
[65 FR 46341, July 28, 2000]
Sec. 1.24 Preservation of records.
Agencies shall preserve all correspondence relating to the requests
it receives under this subpart, and all records processed pursuant to
such requests, until such time as the destruction of such correspondence
and records is authorized pursuant to Title 44 of the United States
Code, and appropriate records disposition authority granted by NARA.
Under no circumstances shall records be sent to a Federal Records
Center, transferred to the permanent custody of NARA, or destroyed while
they are the subject of a pending request, appeal, or civil action under
the FOIA.
[65 FR 46341, July 28, 2000]
Sec. 1.25 Implementing regulations for the Office of the Secretary
and the Office of Communications.
(a) For the Office of the Secretary and for the Office of
Communications, the regulations required by Sec. 1.3 are as follows:
(1) Records available for public inspection and copying may be
obtained in Room 536-A, Jamie L. Whitten Federal Building, USDA,
Washington, DC 20250 during the hours of 9 a.m. to 5 p.m. by prior
appointment;
(2) Any indexes and supplements which are maintained in accordance
with the requirements of 5 U.S.C. 552(a)(2) and Sec. 1.5(b) will also
be available in Room 536-A, Jamie L. Whitten Federal Building, USDA,
Washington, DC 20250 during the hours of 9 a.m. to 5 p.m.;
(3) The person authorized to receive Freedom of Information Act
requests and to determine whether to grant or deny such requests is the
FOIA Officer, Office of Communications, USDA, Washington, DC 20250;
(4) The official authorized to receive appeals from denial of FOIA
requests and to determine whether to grant or deny such appeals is the
Director of Communications, Office of Communications, USDA, Washington,
DC 20250.
(b) The organization and functions of the Office of the Secretary
and the Office of Communications is as follows:
(1) The Office of the Secretary provides the overall policy guidance
and direction of the activities of the Department of Agriculture.
Department-wide policy statements and announcements are made from this
office.
(2) The Office of the Secretary consists of the Secretary, Deputy
Secretary, Under Secretaries, Assistant Secretaries, and other staff
members.
(3) In the absence of the Secretary and the Deputy Secretary,
responsibility for the operation of the Department of Agriculture is as
delegated at part 2, subpart A, of this title.
(4) The Office of Communications provides policy direction, review,
and coordination of public information programs of the Department of
Agriculture. The Office of Communications has responsibility for
maintaining the flow of information to the mass communications media,
various constituency groups, and the general public.
[[Page 17]]
(5) The Office of Communications is headed by the Director of
Communications. In the Director's absence, the Office of Communications
is headed by the Deputy Director.
[65 FR 46341, July 28, 2000]
Appendix A to Subpart A of Part 1--Fee Schedule
Section 1. General.
This schedule sets forth fees to be charged for providing copies of
records--including photographic reproductions, microfilm, maps and
mosaics, and related services--under the Freedom of Information Act
(FOIA). Records and related services are available at the locations
specified by agencies in their FOIA implementing regulations. The fees
set forth in this schedule are applicable to all agencies of the
Department of Agriculture, and are based upon guidelines prescribed by
the Office of Management and Budget (OMB) issued at 52 FR 10012 (March
27, 1987). No higher fees or charges in addition to those provided for
in this schedule may be charged a party requesting services under the
Freedom of Information Act.
Section 2. Types of services for which fees may be charged.
Subject to the criteria set forth in section 5 of this appendix,
fees may be assessed under the Freedom of Information Act on all
requests involving such services as record search, duplication, and
review. Fees may also be charged in situations involving special service
to a request, such as certifying that records requested are true copies,
or sending records by special methods such as express mail, etc. For
services not covered by the FOIA or by this appendix, agencies may set
their own fees in accordance with applicable law, or costs incurred will
be assessed the requester at the actual cost to the Government. For
example, where records are required to be shipped from one office to
another by commercial carrier in order to timely answer a request, the
actual freight charge will be assessed the requester.
Section 3. Instances in which fees will not be charged.
(a) Except for requests seeking records for a commercial use (as
specified in section 5 of this appendix), no charge shall be made for
either: (1) The first 100 pages of duplicated records (8\1/2\''x14'' or
smaller-size paper); or (2) The first two hours of manual search time,
or the equivalent value of computer search time as defined in section
4(e) of this appendix.
(b) No charge shall be made--even to commercial use requesters--if
the cost of collecting a fee would be equal to or greater than the fee
itself. For USDA, this figure has been calculated to be $25.00.
(c) Fees may not be charged for time spent by an agency employee in
resolving legal or policy issues, or in monitoring a requester's
inspection of agency records. No charge shall be made for normal postage
costs.
(d) Records shall also be furnished without charge under the
following conditions:
(1) When filling requests from other Departments or Government
agencies for official use, provided quantities requested are reasonable
in number;
(2) When members of the public provide their own copying equipment,
in which case no copying fee will be charged (although search and review
fees may still be assessed); or
(3) When any notices, decisions, orders, or other materials are
required by law to be served on a party in any proceeding or matter
before any Department agency.
Section 4. Fees for records and related services.
(a) The fee for photocopies of pages 8\1/2\''x14'' or smaller shall
be $0.20 per page (per individual side of sheet).
(b) The fee for photocopies larger than 8\1/2\''x14'' shall be $0.50
per linear foot of the longest side of the copy.
(c) The fee for other forms of duplicated records, such as
microform, audio-visual materials, or machine-readable documentation
(i.e., magnetic tape or disk), shall be the actual direct cost of
producing the records.
(d) Manual searches shall be charged for in one of the two following
manners in the given order:
(1) When feasible, at the salary rate of the employee conducting the
search, plus 16 percent of the employee's basic pay; or
(2) Where a homogeneous class of personnel is used exclusively, at
the rate of $10.00 per hour for clerical time, and $20.00 per hour for
supervisory or professional time. Charges should be computed to the
nearest quarter hour required for the search. A homogeneous class of
personnel, for purposes of conducting manual searches and where more
than one individual is involved, is a group of employees of like rank,
grade, pay or position. A heterogeneous class of personnel is a group of
employees of unlike rank, grade, pay, or position. If a heterogeneous
class of personnel is involved in a search then the search shall be
charged for at the salary rate of the individuals.
(e) Mainframe computer searches and services shall be charged for at
the rates established in the Users Manual or Handbook published by the
computer center at which the work will be performed. Where the rate has
not been established, the rate shall be $27.00 per minute. Searches
using computers other than mainframes shall be charged for at the manual
search rate.
[[Page 18]]
(1) Other rates are published and may be examined at the following
places:
Fort Collins Computer Center Users Manual
Fort Collins Computer Center, U.S. Department of Agriculture, 3825
East Mulberry Street (P.O. Box 1206), Fort Collins, Colo. 80521.
National Finance Center, Cost, Productivity & Analysis Section, U.S.
Department of Agriculture, 13800 Old Gentilly Road, New
Orleans, La. 70129.
Kansas City Computer Center Users Manual Kansas City Computer Center,
U.S. Department of Agriculture, 8930 Ward Parkway (P.O. Box
205), Kansas City, MO. 64141.
Washington Computer Center Users Handbook: Washington Computer Center,
U.S. Department of Agriculture, Room S-100, South Building,
12th Street and Independence Avenue, SW., Washington, DC
20250.
St. Louis Computer Center, U.S. Department of Agriculture, 1520 Market
Street, St. Louis, MO. 63103.
(f) Charges for unsuccessful searches, or searches which fail to
locate records or which locate records which are exempt from disclosure,
shall be assessed at the same fee rate as searches which result in
disclosure of records.
(g) The fee for providing review services shall be the hourly salary
rate (i.e., basic pay plus 16 percent) of the employee conducting the
review to determine whether any information is exempt from mandatory
disclosure.
(h) The fee for Certifications shall be $5.00 each; Authentications
under Department Seal (including aerial photographs), $10.00 each.
(i) All other costs incurred by USDA agencies will be assessed the
requester at the actual cost to the Government.
(j) The fees specified in paragraphs (a) through (g) of this section
apply to all requests for services under the FOIA, unless no fee is to
be charged, or the agency has determined to waive or reduce those fees
pursuant to section 6 of this appendix. No higher fees or charges in
addition to those provided for in this appendix may be charged for
services under the FOIA.
(k) The fees specified in paragraphs (h) and (i) of this section and
in section 17 of this appendix apply to requests for services other than
those subject to the FOIA. The authority for establishment of these fees
is at 31 U.S.C. 9701 and other applicable laws.
(l) Except as provided in section 11 of this appendix, for services
not subject to the FOIA, and not covered by paragraph (h) of this
section, agencies may set their own fees in accordance with applicable
law.
Section 5. Levels of fees for each category of requesters.
Under the FOIA, there are four categories of FOIA requesters:
Commercial use requesters, educational and non-commercial scientific
institutions; representatives of the news media; and all other
requesters. FOIA prescribes specific levels of fees for each category:
(a) Commercial use requesters--For commercial use requesters,
agencies shall assess charges which recover the full direct costs of
searching for, reviewing for release, and duplicating the records
sought. Commercial use requesters are not entitled to the free search
time or duplication referenced in section 3(a) of this appendix.
Agencies may recover the cost of searching for and reviewing records for
commercial use requesters even if there is ultimately no disclosure of
records.
(1) A commercial use requester is defined as one who seeks
information for a use or purpose that furthers the commercial, trade, or
profit interests of the requester or the person on whose behalf the
request is made.
(2) In determining whether a requester properly belongs in this
category, agencies must determine whether the requester will put the
records to a commercial use. Where an agency has reasonable cause to
doubt the use to which a requester will put the records sought, or where
that use is not clear from the request itself, the agency may seek
additional clarification from the requester.
(b) Educational and non-commercial scientific institution
requesters--Fees for this category of requesters shall be limited to the
cost of providing duplication service alone, minus the charge for the
first 100 reproduced pages. No charge shall be made for search or review
services. To qualify for this category, requesters must show that the
request is being made as authorized by and under the auspices of an
eligible institution and that the records are not sought for a
commercial use, but are sought in furtherance of scholarly research (if
the request is from an educational institution) or scientific research
(if the request is from a non-commercial scientific institution).
(1) The term educational institution refers to a preschool, a public
or private elementary or secondary school, an institution of graduate
higher education, an institution of undergraduate higher education, an
institution of professional education, and an institution of vocational
education, which operates a program or programs of scholarly research.
(2) The term non-commercial scientific institution refers to
institution that is not operated on a ``commercial'' (see section
5(a)(1)) of this appendix basis, and which is operated solely for the
purpose of conducting scientific research the results of which are not
intended to promote any particular product or industry.
[[Page 19]]
(c) Requesters who are representatives of the news media--Fees for
this category of requesters shall also be limited to the cost of
providing duplication service alone, minus the charge for the first 100
reproduced pages. No charge shall be made for providing search or review
services. Requests in this category must not be made for a commercial
use.
(1) The term representative of the news media refers to any person
actively gathering news for an entity that is organized and operated to
publish or broadcast news to the public.
(2) The term news means information that is about current events or
that would be of current interest to the public.
(3) Examples of news media entities include television or radio
stations broadcasting to the public at large, and publishers of
periodicals which disseminate news and who make their products available
for purchase or subscription by the general public.
(4) Freelance journalists may be regarded as working for a news
organization if they can demonstrate a solid basis for expecting
publication through that organization, even though not actually employed
by it.
(d) All other requesters--Fees for requesters who do not fit into
the categories described in paragraphs (a), (b), or (c) of this section
shall be assessed for the full reasonable direct cost of searching for
and duplicating records that are responsive to a request. No charge,
however, shall be made to requesters in this category for: (1) The first
100 duplicated pages; or (2) the first two hours of manual search time,
or the equivalent value of computer search time as defined in section
4(e) of this appendix.
Section 6. Fee waivers and reductions.
(a) Agencies shall waive or reduce fees on request for records if
disclosure of the information in the records is deemed to be in the
public interest. A request is in the public interest if it is likely to
contribute significantly to public understanding of the operations or
activities of the government, and is not primarily in the commercial
interest of the requester.
(1) In determining when fees shall be waived or reduced, agencies
should consider the following six factors:
(i) The subject of the request, i.e., whether the subject of the
requested records concerns ``the operations or activities of the
government'';
(ii) The informative value of the information to be disclosed, i.e.,
whether the disclosure is ``likely to contribute'' to an understanding
of government operations or activities;
(iii) The contribution to an understanding of the subject by the
general public likely to result from disclosure, i.e., whether
disclosure of the requested information will contribute to ``public
understanding'';
(iv) The significance of the contribution to public understanding,
i.e., whether the disclosure is likely to contribute ``significantly''
to public understanding of government operations or activities;
(v) The existence and magnitude of a commercial interest, i.e.,
whether the requester has a commercial interest that would be furthered
by the requested disclosure; and,
(vi) The primary interest in disclosure, i.e., whether the magnitude
of the identified commercial interest of the requester is sufficiently
large, in comparison with the public interest in disclosure, that
disclosure is ``primarily in the commercial interest of the requester.''
(2) An agency may, in its discretion, waive or reduce fees
associated with a request for disclosure, regardless of whether a waiver
or reduction has been requested, if the agency determines that
disclosure will primarily benefit the general public.
(3) Agencies may also waive or reduce fees under the following
conditions:
(i) Where the furnishings of records or a service without charge or
at a reduced rate is an appropriate courtesy to a foreign country or
international organization, or where comparable fees are set on a
reciprocal basis with a foreign country or an international
organization;
(ii) Where the requester is engaged in a nonprofit activity designed
for the public safety, health, or welfare; or
(iii) Where it is determined that payment of the full fee by a State
or local government or nonprofit group would not be in the interest of
the program involved.
(4) Fees shall be waived, however, without discretion in all
circumstances where the amount of the fee is $25.00 or less.
Section 7. Restrictions regarding copies.
(a) Agencies may restrict numbers of photocopies and directives
furnished the public to one copy of each page. Copies of forms provided
the public shall also be held to the minimum practical. Persons
requiring any large quantities should be encouraged to take single
copies to commercial sources for further appropriate reproduction.
(b) Single or multiple copies of transcripts, provided to the
Department under a reporting service contract, may be obtained by the
public from the contractor at a cost not to exceed the cost per page
charged to the Department for extra copies. The contractor may add a
postage charge when mailing orders to the public, but no other charge
may be added.
Section 8. Payments of fees and charges.
(a) Payments should be billed for to the fullest extent possible at
the time the requested materials are furnished. Payments
[[Page 20]]
should be made by requesters within 30 days of the date of the billing.
(b) Payments shall be made by check, draft, or money order made
payable to the Treasury of the United States, although payments may be
made in cash, particularly where services are performed in response to a
visit to a Department office. All payments should be sent to the address
indicated by the agency responding to the request.
(c) Where the estimated fees to be charged exceed $250.00, agencies
may require an advance payment of an amount up to the full estimated
charges (but not less than 50 percent) from the requester before any of
the requested materials are reproduced.
(d) In instances where a requester has previously failed to pay a
fee, an agency may require the requester to pay the full amount owed,
plus any applicable interest as provided in section 9 of this appendix,
as well as the full estimated fee associated with any new request before
the agency begins to process that new or subsequent request.
Section 9. Interest charges.
On requests that result in fees being assessed, agencies may begin
levying interest charges on an upaid bill starting on the 31st day
following the day on which the billing was sent. Interest will be at the
rate prescribed in 31 U.S.C. 3717, and will accrue from the date of the
billing.
Section 10. Effect of the Debt Collection Act on fees.
In attempting to collect fees levied under the FOIA, agencies shall
abide by the provisions of 31 U.S.C. 3701, 3711-3720A, in disclosing
information to consumer reporting agencies and in the use of collection
agencies, where appropriate, to encourage payment.
Section 11. Photographic and digital reproductions of microfilm, aerial
imagery, and maps.
Microfilm, aerial imagery, and maps that have been obtained in
connection with the authorized work of this Department may be sold at
the estimated cost of furnishing reproductions of these records, using
photographic, digital, or other methods of reproduction as prescribed in
this appendix.
Section 12. Agencies which furnish photographic reproductions.
(a) Aerial Photographic reproductions. The following agency of the
Department furnishes aerial photographic reproductions:
Farm Service Agency (FSA), Aerial Photography Field Office (APFO),
USDA, 2222 West 2300 South, Salt Lake City, Utah 84119-2020.
(b) Other photographic reproductions. Other types of reproductions
may be obtained from the following agency of the Department:
National Agricultural Library, Agricultural Research Service, USDA,
Office of the Deputy Director, Technical Information Systems, Room 200,
NAL Building, Beltsville, MD 20705.
Section 13. Circumstances under which reproductions may be provided
free.
Reproductions may be furnished free at the discretion of the agency,
if it determines that furnishing free reproductions is in the public
interest, to:
(a) Representatives of the news media for dissemination to the
general public.
(b) Agencies of State and local governments carrying on a function
related to that of the Department when it will help to accomplish an
objective of the Department.
(c) Cooperators and others furthering agricultural programs.
Generally, only one print of each photograph should be provided free.
Section 14. Loans.
Aerial photographic film negatives or reproductions may not be
loaned outside the Federal Government.
Section 15. Sales of positive prints under government contracts.
The annual contract for furnishing single and double frame slide
film negatives and positive prints to agencies of the Department, County
Extension Agents, and others cooperating with the Department, carries a
stipulation that the successful bidder must agree to furnish slide film
positive prints to such persons, organizations, and associations as may
be authorized by the Department to purchase them.
Section 16. Procedure for handling orders.
In order to expedite handling, all orders should contain adequate
identifying information. Agencies furnishing aerial photographic
reproductions require that all such orders identify the photographs.
Each agency has its own procedure and order forms.
Section 17. Reproduction prices.
The prices for reproductions listed in this section are for the most
generally requested items.
(a) National Agricultural Library. The following prices are
applicable to National Agricultural Library items only: Reproduction of
electrostatic, microfilm, and microfiche copy--$5.00 for the first 10
pages or fraction thereof, and $3.00 for each additional 10 pages or
fraction thereof. Duplication of NAL-owned microfilm--$10.00 per reel.
Duplication of NAL-owned microfiche--$5.00 for the first fiche, and
$0.50 for each additional fiche. Charges for manual and automated data
base searches for bibliographic or other research information will be
made in accordance with section 4, paragraphs (c)-(e) of this appendix.
[[Page 21]]
The contract rate charged by the commercial source to the National
Agricultrual Library for computer services is available at the National
Agricultural Library, Agricultural Research Service, USDA, Document
Delivery Services Branch, 10301 Baltimore Boulevard, Beltsville,
Maryland 20705-2351 (301-504-6503).
(b) General photographic reproductions. Minimum charge $1 per order.
An extra charge may be necessary for excessive laboratory time caused by
any special instructions from the purchaser.
------------------------------------------------------------------------
Class of work and unit Price
------------------------------------------------------------------------
1. Black and white line negatives:
4 by 5 (each................................................ $6.00
8 by 10 (each).............................................. 8.50
11 by 14 (each)............................................. 11.00
2. Black and white continuous tone negatives:
4 by 5 (each)............................................... 8.50
8 by 10 (each).............................................. 11.00
3. Black and white enlargements: 8 by 10 and smaller (each)..... 6.50
11 by 14 (each)............................................. 11.00
Larger sizes and quantities................................. (\1\)
4. Black and white slides:
2x2 cardboard mounted (from copy negative) (each)........... 4.00
Blue ozalid slides (each)................................... 5.00
5. Color slides: (2x2 cardboard mounted):
Duplicate color slides:
Display quality (each) (Display color slides are slides .65
copied from 35mm color slides only)....................
Repro quality (each).................................... (\1\)
Original color slides (from flat copy) (each)........... 6.50
6. Color enlargements and transparencies: 4 by 5 and larger..... (\1\)
7. Slide sets:
1 to 50 frames.............................................. 14.50
51 to 60 frames............................................. 16.50
61 to 75 frames............................................. 18.50
76 to 95 frames............................................. 21.50
96 to 105 frames............................................ 23.00
106 to 130 frames (Prices include printed narrative guide).. 26.50
8. Cassettes: (for the corresponding slide sets above).......... 3.00
------------------------------------------------------------------------
\1\ By quotation.
(c) General aerial photographic reproductions. The prices for
various types of aerial photographic reproductions are set forth in this
paragraph. Size measurements refer to the approximate size in inches of
the paper required to produce the reproduction.
------------------------------------------------------------------------
Size Price
------------------------------------------------------------------------
Black and White Reproductions
------------------------------------------------------------------------
10x10 Paper............................................. $5.00
10x10 Film Positive..................................... 10.00
10x10 Film Positive AT.................................. 10.00
10x10 Film Positive Scan................................ 15.00
10x10 Film Duplicate Negative........................... 3.00
10x10 Film Internegative................................ 4.50
12x12 Paper............................................. 12.00
17x17 Paper............................................. 13.00
17x17 Film Positive..................................... 25.00
24x24 Paper............................................. 16.00
24x24 Film Positive..................................... 40.00
38x38 Paper............................................. 50.00
38x38 Film Positive..................................... 55.00
20x24 Paper Photo Index................................. 20.00
Paper Line Index........................................ 15.00
Mylar Line Index........................................ 35.00
Microfilm (Photo Indexes): Aperture Cards............... 10.00
Microfilm (Photo Indexes): Microfiche................... 10.00
Color Negative Reproductions
------------------------------------------------------------------------
10x10 Paper Quantities:
1-50................................................ $7.00
51-1000............................................. 5.00
1001 & Over......................................... 2.50
10x10 Film Positive..................................... 33.00
20x20 Paper............................................. 40.00
24x24 Paper............................................. 55.00
38x38 Paper............................................. 70.00
Color Infrared Positive Reproductions
------------------------------------------------------------------------
10x10 Paper............................................. $12.00
10x10 Film Positive..................................... 15.00
10x10 Film Positive AT.................................. 15.00
10x10 Film Positive Scan................................ 20.00
20x20 Paper............................................. 32.00
24x24 Paper............................................. 40.00
38x38 Paper............................................. 70.00
------------------------------------------------------------------------
[[Page 22]]
(d) [Reserved]
(e) Special needs. For special needs not covered elsewhere in this
section, persons desiring aerial photographic reproductions should
contact the aerial photography coordinator, Farm Service Agency (FSA),
Aerial Photography Field Office, USDA-FSA, 2222 West 2300 South, P.O.
Box 30010, Salt Lake City, Utah 84125.
(f) Audio and videotape reproductions. For reproductions of audio-
videotapes, requesters must supply their own recording tape, and will be
assessed a fee of $25.00 an hour for copying work requested. There is a
one-hour minimum charge. Payment is required at the time video or
audiotapes are accepted by the requester.
[52 FR 49386, Dec. 31, 1987, as amended at 62 FR 33980, June 24, 1997;
64 FR 3395, Jan. 22, 1999]
Subpart B_Departmental Proceedings
Sec. 1.26 Representation before the Department of Agriculture.
(a) Applicability. This section applies to all hearings and other
proceedings before the Department of Agriculture, except to the extent
that any other regulation of the Department may specifically make this
section, or any part of this section, inapplicable as to particular
hearings or other proceedings.
(b) Administrative provisions. (1) In any hearing or other
proceeding before the Department of Agriculture, the parties may appear
in person or by counsel or other representative. Persons who appear as
counsel or in a representative capacity in any hearing or proceeding
must conform to the standards of ethical conduct required of
practitioners before the U.S. District Court for the District of
Columbia, and to any applicable standards of ethical conduct established
by statutes, executive orders and regulations.
(2) Whenever the Secretary finds, after notice and opportunity for
hearing, that a person who is acting or has acted as counsel or
representative in any hearing or other proceeding before the Department
has not conformed to any such standards of ethical conduct, the
Secretary may order that such person be precluded from acting as counsel
or representative in any hearing or other proceeding before the
Department for such period of time as the Secretary deems warranted.
Whenever the Secretary has probable cause to believe that any person who
is acting or has acted as counsel or representative in any such hearing
or other proceeding has not conformed to any such standards of ethical
conduct, the Secretary may, by written notice to such person, suspend
the person from acting as such a counsel or representative pending
completion of the procedures specified in the preceding sentence.
(3) No employee or former employee of the Department shall be
permitted to represent any person before the Department in connection
with any particular matter as to which by reason of employment with the
Department the employee or former employee acquired personal knowledge
of such a nature that it would be improper, unethical, or contrary to
the public interest for the employee or former employee so to act.
(4) This section shall not be construed to prevent an employee or
former employee of the Department from appearing as a witness in any
hearing or other proceeding before the Department.
(18 U.S.C. 203, 205, 207)
[32 FR 5458, Apr. 1, 1967, as amended at 60 FR 66480, Dec. 22, 1995]
Sec. 1.27 Rulemaking and other notice procedures.
(a) This section shall apply to:
(1) Notices of proposed rulemaking;
(2) Interim final rules;
(3) Advance notices of proposed rulemaking; and
(4) Any other published notice that solicits, or affords interested
members of the public an opportunity to submit, written views with
respect to any proposed action relating to any program administered in
the Department regardless of the fact that the issuance of a rule may
not be contemplated.
(b) Each notice identified in paragraph (a) of this section shall
indicate the procedure to be followed with respect to the notice, unless
the procedure is prescribed by statute or by published rule of the
Department. Each notice shall contain a statement that advises the
public of the policy regarding the availability of written submissions
by indicating whether paragraph (c), (d), or (e) of this section is
applicable
[[Page 23]]
to written submissions made pursuant to the notice.
(c) All written submissions made pursuant to the notice shall be
made available for public inspection at times and places and in a manner
convenient to the public business.
(d)(1) Any written submission, pursuant to a notice, may be held
confidential if the person making the submission requests that the
submission be held confidential, the person making the submission has
shown that the written submission may be withheld under the Freedom of
Information Act, and the Department official authorized to issue the
notice determines that the submission may be withheld under the Freedom
of Information Act.
(2) If a request is made in accordance with paragraph (d)(1) of this
section for confidential treatment of a written submission, the person
making the request shall be informed promptly in the event the request
is denied and afforded an opportunity to withdraw the submission.
(3) If a determination is made to grant a request for confidential
treatment under paragraph (d)(1) of this section, a statement of the
specific basis for the determination that will not be susceptible of
identifying the person making the request will be made available for
public inspection.
(e) If the subject of the notice is such that meaningful submissions
cannot be expected unless they disclose information that may be withheld
under the Freedom of Information Act, the notice shall so indicate and
contain a statement that written submissions pursuant to the notice will
be treated as confidential and withheld under the Freedom of Information
Act. Provided, That the policy regarding availability of written
submissions set forth in this paragraph may only be used with the prior
approval of the Secretary, or the Under Secretary or Assistant Secretary
that administers the program that is the subject of the notice.
[60 FR 66480, Dec. 22, 1995]
Sec. 1.28 Petitions.
Petitions by interested persons in accordance with 5 U.S.C. 553(e)
for the issuance, amendment or repeal of a rule may be filed with the
official that issued or is authorized to issue the rule. All such
petitions will be given prompt consideration and petitioners will be
notified promptly of the disposition made of their petitions.
[11 FR 177A-233, Sept. 11, 1946. Redesignated at 13 FR 6703, Nov. 16,
1948, as amended at 60 FR 66481, Dec. 22, 1995]
Sec. 1.29 Subpoenas relating to investigations under statutes
administered by the Secretary of Agriculture.
(a) Issuance of subpoena. (1) When the Secretary is authorized by
statute to issue a subpoena in connection with an investigation being
conducted by the Department, the attendance of a witness and the
production of evidence relating to the investigation may be required by
subpoena at any designated place, including the witness' place of
business. Upon request of any representative of the Secretary involved
in connection with the investigation, the subpoena may be issued by the
Secretary, the Inspector General, or any Department official authorized
pursuant to part 2 of this title to administer the program to which the
subpoena relates, if the official who is to issue the subpoena is
satisfied as to the reasonableness of the grounds, necessity, and scope
of the subpoena. Except as provided in paragraph (a)(2) of this section,
the authority to issue subpoenas may not be delegated or redelegated by
the head of an agency.
(2) The Administrator, Grain Inspection, Packers and Stockyards
Administration, may delegate the authority to issue subpoenas in
connection with investigations being conducted under the Packers and
Stockyards Act (7 U.S.C. 181-229), to the Deputy Administrator, Packers
and Stockyards Programs.
(3) In the case of a subpoena issued under the Animal Health
Protection Act (7 U.S.C. 8301-8317), Plant Protection Act (7 U.S.C.
7701-7772), or Title V of the Agricultural Risk Protection Act of 2000
(7 U.S.C. 2279e-2279f), the subpoena will be reviewed for legal
sufficiency by the Office of the General Counsel, USDA.
(b) Service of subpoena. (1) A subpoena issued pursuant to this
section may be served by:
(i) A U.S. Marshal or Deputy Marshal,
[[Page 24]]
(ii) Any other person who is not less than 18 years of age, or
(iii) Certified or registered mailing of a copy of the subpoena
addressed to the person to be served at his, her, or its last known
residence or principal place of business or residence.
(2) Proof of service may be made by the return of service on the
subpoena by the U.S. Marshal, or Deputy Marshal; or, if served by an
individual other than a U.S. Marshal or Deputy Marshal, by an affidavit
or certification of such person stating that he or she personally served
a copy of the subpoena upon the person named in the subpoena; or, if
service was by certified or registered mail, by the signed Postal
Service receipt.
(3) In making personal service, the person making service shall
leave a copy of the subpoena with the person subpoenaed; and the
original, bearing or accompanied by the required proof of service, shall
be returned to the official who issued the subpoena.
[39 FR 15277, May 2, 1974, as amended at 40 FR 58281, Dec. 16, 1975; 42
FR 65131, Dec. 30, 1977; 43 FR 12673, Mar. 27, 1978; 60 FR 66481, Dec.
22, 1995; 66 FR 36907, July 16, 2001; 67 FR 70674, Nov. 26, 2002]
Subpart C_Judicial Proceedings
Sec. 1.41 Service of process.
Process in any suit brought in Washington, District of Columbia,
against the United States or any officer of the U.S. Department of
Agriculture in any matter involving the activities of this Department,
shall be served on the General Counsel of the Department. A U.S. Marshal
or other process server attempting to serve process in such a suit on
any officer of the Department shall be referred to the Office of the
General Counsel, in order that service of process may be made. In the
event an officer of the Department of Agriculture is served with process
in such a suit, the officer shall immediately notify the General
Counsel. Any subpoena, summons, or other compulsory process requiring an
officer or employee to give testimony, or to produce or disclose any
record or material of the U.S. Department of Agriculture, shall be
served on the officer or employee of the U.S. Department of Agriculture
named in the subpoena, summons, or other compulsory process.
[19 FR 4052, July 3, 1954, as amended at 33 FR 10273, July 18, 1968; 43
FR 6202, Feb. 14, 1978; 60 FR 66481, Dec. 22, 1995]
Subpart D_Claims
Sec. 1.51 Claims based on negligence, wrongful act or omission.
(a) Authority of the Department. Under the provisions of the Federal
Tort Claims Act (FTCA), as amended, 28 U.S.C. 2671-2680, and the
regulations issued by the Department of Justice (DOJ) contained in 28
CFR part 14, the United States Department of Agriculture (USDA) may,
subject to the provisions of the FTCA and DOJ regulations, consider,
ascertain, adjust, determine, compromise, and settle claims for money
damages against the United States for personal injury, death, or
property loss or damage caused by the negligent or wrongful act or
omission of any employee of USDA while acting within the scope of his or
her office or employment, under circumstances where the United States,
if it were a private person, would be liable, in accordance with the law
of the place where the act or omission occurred.
(b) Procedure for filing claims. Claims must be presented by the
claimant, or by his or her duly authorized agent or legal representative
as specified in 28 CFR 14.3. Standard Form 95, Claim for Damage or
Injury, may be obtained from the agency within USDA that employs the
employee who allegedly committed the negligent or wrongful act or
omission. The completed claim form, together with appropriate evidence
and information, as specified in 28 CFR 14.4, shall be filed with the
agency from which it was obtained.
(c) Determination of claims--(1) Delegation of authority to
determine claims. The General Counsel, and such employees of the Office
of the General Counsel as may be designated by the General Counsel, are
hereby authorized to consider, ascertain, adjust, determine, compromise,
and settle claims pursuant to the FTCA, as amended, and the regulations
contained in 28 CFR part 14 and in this section.
(2) Disallowance of claims. If a claim is denied, the General
Counsel, or his or
[[Page 25]]
here designee, shall notify the claimant, or his or her duly authorized
agent or legal representative.
[61 FR 57577, Nov. 7, 1996]
Subpart E_Cooperative Production of Television Films
Source: 22 FR 2904, Apr. 25, 1957, unless otherwise noted.
Sec. 1.71 Purpose.
This subpart establishes procedures for developing special working
relationships with the Department of Agriculture requested by producers
of films for television use. These procedures are designed to guide
Department employees and producers of commercial television pictures in
entering into such arrangements.
Sec. 1.72 Policy.
(a) General. It is a basic policy of the Department of Agriculture
to make information freely available to the public.
(b) Cooperation with television film producers. The Department
recognizes that its people and programs constitute a rich source of
materials on public services, often dramatic and interesting for their
human values, which are suitable for production of films for television
showings. The Department welcomes the interest of television film
producers in its activities and maintains an ``open door'' policy with
respect to the availability of factual information to such producers, as
it does to representatives of other media. As its resources will permit,
the Department will work with producers at their request, to assure
technical accuracy of scripts and story treatments.
(c) Special working relationships. In those instances where a
producer of films for television seeks special Department participation
such as the use of official insignia of the Department, or who request
special assistance such as the services of technical advisors, use of
Government equipment and similar aids which require a material
expenditure of public funds, and where the proposed film will further
the public service of the Department, the Department will consider
entering into a special working relationship with such producer.
(d) News film reporting exempted. Television and news film reporting
of Department activities is not covered by this subpart.
Sec. 1.73 Responsibility.
The Director of Information or his designee will be the authority
for the approval of special working relationships on the part of the
Department of Agriculture and its agencies. The Director or his designee
shall not commit the Department to such special arrangements without
proper concurrence and coordination with interested agencies and
approval by the appropriate Assistant Secretary or Group Director.
Sec. 1.74 Basis for special working relationships.
The Department and its agencies may lend special assistance on
television films when it is clearly evident that public interests are
served. Where special assistance is sought, an individual cooperative
agreement will be drawn up between the Department with the Director of
Information as its agent, and the producer. Details on such assistance
as reviewing stories and scripts, loan of material, arrangements for
locations, use of official motion picture footage, assignment of
technical advisors and similar aids will be covered in the agreement,
which shall delineate the general stipulations listed in Sec. 1.75.
Sec. 1.75 General stipulations.
In requesting special working arrangements the producer must agree
to the following stipulations:
(a) The producer must show that he has legal authority to the
literary property concerned.
(b) The producer must show access to a distribution channel
recognized by the motion picture or television industry. In lieu of
complete distribution plans for a television series, a producer must
produce satisfactory evidence of financial responsibility (showing
financial resources adequate for the defrayment of costs for the
proposed undertaking).
[[Page 26]]
(c) The commercial advertising of any show produced, using oral or
written rights granted to the producer, shall not indicate any
endorsement, either direct or implied, by the U.S. Department of
Agriculture or its agencies, of the sponsor's product.
(d) Commercial sponsorship shall be only by a person, firm, or
corporation acceptable under the terms of the 1954 Television Code of
the National Association of Radio and Television Broadcasters, and all
subsequent amendments thereto. Political sponsorship shall not be
permitted.
(e) That no production costs shall be chargeable to the U.S.
Department of Agriculture.
(f) That such cooperation will not interfere with the conduct of
Department programs.
(g) All damages, losses and personal liability incurred by producer
will be his responsibility.
(h) That mutual understanding and agreement will be reached upon
story, script and film treatment with the Department before film
production is begun.
Sec. 1.76 Department cooperation.
When the producer agrees to meet the above stipulations to the
satisfaction of the Director of Information, the U.S. Department of
Agriculture and its agencies will be available for consultation on story
ideas and give guidance through the services of a technical advisor to
insure technical authenticity. Equipment, locations, and personnel will
be available to the extent that such availability is concurrent with
normal and usual conduct of the operations of the Department. The
Department will check and work with the cooperators to arrange shooting
schedules in order to avoid interferences with working schedules.
Sec. 1.77 Assignment of priorities.
(a) Authority. (1) The Director of Information or his designee will
make assignment of priorities for the U.S. Department of Agriculture for
a television film company's and/or individual producer's story treatment
of the subject matter, but no such priority shall limit use of the
subject matter itself.
(2) A priority will be given in writing upon acceptance in writing
by the producer of the stipulations in Sec. 1.75(b). The U.S.
Department of Agriculture will hold the producer's treatment of the
story material in confidence until the producer has made a public
release pertaining to the subject.
(b) Time and scope. A priority will be given on the producer's story
treatment for an agreed upon period of time. Requests for cooperation
with similar or conflicting ideas and backgrounds will be considered
only after holder of the first priority has used the agreed upon time to
develop the materials.
(1) Details on priorities will be written into the agreements.
(2) The Director of Information will retain the right to cancel
priorities when the producer at any stage violates the provisions of the
regulations or of a particular agreement, or when public interest is no
longer served.
(3) No priority will be canceled until the producer has had an
opportunity to appear before the Secretary of Agriculture or his
designee.
Sec. 1.78 Development of special working relationships.
(a) Preliminary. Prior to the submittal of a script or the rendering
of an agreement, assistance may be given by the Department or one of its
agencies in outlining story plans, visits to field points, and other
incidentals that will assist the producer in determining his course of
action.
(b) Request for special working arrangements. Once the decision is
made to go ahead with an agreement, either the interested agency or the
producer will make a written submission to the Director of Information,
requesting that special working arrangements be established.
(1) In submitting scripts prior or subsequent to executing a written
agreement under a special working relationship four (4) copies of the
completed script shall be submitted to the Director of Information or
his designee, along with a statement of specific requirements and the
anticipated production schedule.
(2) No script will be used under a special working relationship
without the
[[Page 27]]
specific approval of the Director of Information.
(3) Upon approval of the script, the agency of the Department
concerned with subject matter will endeavor to arrange for the desired
assistance with the stipulations of this policy.
Sec. 1.79 Credits.
On films on which the Department or one of its agencies provides
special assistance it shall be mutually agreed by the producer and the
Director of Information what credits shall be given to the Department,
and the form these credits will take.
Subpart G_Privacy Act Regulations
Authority: 5 U.S.C. 301 and 552a; 31 U.S.C. 9701.
Source: 40 FR 39519, Aug. 28, 1975, unless otherwise noted.
Sec. 1.110 Purpose and scope.
This subpart contains the regulations of the U.S. Department of
Agriculture (USDA) implementing the Privacy Act of 1974 (5 U.S.C. 552a).
This subpart sets forth the basic responsibilities of each agency of
USDA with regard to USDA's compliance with the requirements of the
Privacy Act, and offers guidance to members of the public who wish to
exercise any of the rights established by the Privacy Act with regard to
records maintained by an agency of USDA.
[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]
Sec. 1.111 Definitions.
For purposes of this subpart the terms individual, maintain, record,
system of records, statistical record, and routine use shall have the
meanings set forth in 5 U.S.C. 552a(a). The term agency shall mean an
agency of USDA, unless otherwise indicated.
Sec. 1.112 Procedures for requests pertaining to individual records
in a record system.
(a) Any individual who wishes to be notified if a system of records
maintained by an agency contains any record pertaining to him or her, or
to request access to such records, shall submit a written request in
accordance with the instructions set forth in the system notice for that
system of records. This request shall include:
(1) The name of the individual making the request;
(2) The name of the system of records (as set forth in the system
notice to which the request relates);
(3) Any other information specified in the system notice; and
(4) When the request is one for access, a statement as to whether
the requester desires to make a personal inspection of the records, or
be supplied with copies by mail.
(b) Any individual whose request under paragraph (a) of this section
is denied may appeal that denial to the head of the agency which
maintains the system of records to which the request relates.
(c) In the event that an appeal under paragraph (b) of this section
is denied, the requester may bring a civil action in federal district
court to seek review of the denial.
[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]
Sec. 1.113 Times, places, and requirements for identification of
individuals making requests.
(a) If an individual submitting a request for access under Sec.
1.112 has asked that an agency authorize a personal inspection of
records pertaining to him or her, and the agency has granted that
request, the requester shall present himself or herself at the time and
place specified in the agency's response or arrange another, mutually
convenient, time with the appropriate agency official.
(b) Prior to inspection of the records, the requester shall present
sufficient identification (e.g., driver's license, employee
identification card, social security card, credit cards) to establish
that the requester is the individual to whom the records pertain. If the
requester is unable to provide such identification, the requester shall
complete and sign in the presence of an agency official a signed
statement asserting the requester's identity and stipulating that the
requester understands that knowingly or willfully seeking or obtaining
access to records about another
[[Page 28]]
individual under false pretenses is a misdemeanor punishable by fine up
to $5,000. No identification shall be required, however, if the records
are required by 5 U.S.C. 552 to be released.
(c) Any individual who has requested access to records about himself
or herself by personal inspection, and who wishes to have another person
or persons accompany the requester during this inspection, shall submit
a written statement authorizing disclosure of the record in the presence
of such other person or persons.
(d) Any individual having made a personal inspection of records
pertaining to the requester may request the agency to provide the
requester copies of those records or any portion of those records. Each
agency shall grant such requests but may charge fees in accordance with
Sec. 1.120.
(e) If an individual submitting a request for access under Sec.
1.112 wishes to be supplied with copies of the [chyph]records by mail,
the requester shall include with his or her request sufficient data for
the agency to verify the requester's identity. If the sensitivity of the
records warrant it, however, the agency to which the request is directed
may require the requester to submit a signed, notarized statement
indicating that the requester is the individual to whom the records
pertain and stipulating the requester understands that knowingly or
willfully seeking or obtaining access to records about another
individual under false pretenses is a misdemeanor punishable by fine up
to $5,000. No identification shall be required, however, if the records
are required by 5 U.S.C. 552 to be released. If the agency to which this
request is directed determines to grant the requested access, it may
charge fees in accordance with Sec. 1.120 before making the necessary
copies.
[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]
Sec. 1.114 Disclosure of requested information to individuals.
(a) Any agency which receives a request or appeal under Sec. 1.112
should acknowledge the request or appeal within 10 days of its receipt
(excluding Saturdays, Sundays, and legal public holidays). Wherever
practicable, the acknowledgment should indicate whether or not access
will be granted and, if so, when and where. When access is to be
granted, the agency should provide the access within 30 days of receipt
of the request or appeal (excluding Saturdays, Sundays and legal public
holidays) unless, for good cause shown, it is unable to do so. If the
agency is unable to meet this deadline, it shall inform the requester of
this fact, the reasons for its inability to do so, and an estimate of
the date on which access will be granted.
(b) Nothing in 5 U.S.C. 552a or this subpart shall be interpreted to
require that an individual making a request under Sec. 1.112 be granted
access to the physical record itself. The form in which a record is kept
(e.g., on magnetic tape), or the content of the record (e.g., a record
indexed under the name of the requester may contain records which are
not about the requester) may require that the record be edited or
translated in some manner. Neither of these procedures may be utilized,
however, to withhold information in a record about the requester.
(c) No agency shall deny any request under Sec. 1.112 for
information concerning the existence of records about the requester in
any system of records it maintains, or deny any request for access to
records about the requester in any system of records it maintains,
unless that system is exempted from the requirements of 5 U.S.C. 552a(d)
in Sec. 1.123.
(d) If any agency receives a request pursuant to Sec. 1.112(a) for
access to records in a system of records it maintains which is so
exempted, the system manager shall determine if the exemption is to be
asserted. If the system manager determines to deny the request, the
system manager shall inform the requester of that determination, the
reason for the determination, and the title and address of the agency
head to whom the denial can be appealed.
(e) If the head of an agency determines that an appeal pursuant to
Sec. 1.112(b) is to be denied, the head of the agency shall inform the
requester of that determination, the reason for the determination, and
the requester's
[[Page 29]]
right under 5 U.S.C. 552a(g) to seek judicial review of the denial in
Federal district court.
(f) Nothing in 5 U.S.C. 552a or this subpart shall allow an
individual access to any information compiled in reasonable anticipation
of a civil action or proceeding.
[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]
Sec. 1.115 Special procedures: Medical [chyph]records.
In the event an agency receives a request pursuant to Sec. 1.112
for access to medical records (including psychological records) whose
disclosure it determines would be harmful to the individual to whom they
relate, it may refuse to disclose the records directly to the requester
but shall transmit them to a doctor designated by that individual.
Sec. 1.116 Request for correction or amendment to record.
(a) Any individual who wishes to request correction or amendment of
any record pertaining to him or her contained in a system of records
maintained by an agency shall submit that request in writing in
accordance with the instructions set forth in the system notice for that
system of records. This request shall include:
(1) The name of the individual making the request;
(2) The name of the system of [chyph]records (as set forth in the
system notice to which the request relates);
(3) A description of the nature (e.g., modification, addition or
deletion) and substance of the correction or amendment requested; and
(4) Any other information specified in the system notice.
(b) Any individual submitting a request pursuant to paragraph (a) of
this section shall include sufficient information in support of that
request to allow the agency to which it is addressed to apply the
standards set forth in 5 U.S.C. 552a(e) (1) and (5).
(c) Any individual whose request under paragraph (a) of this section
is denied may appeal that denial to the head of the agency which
maintains the system of records to which the request relates.
(d) In the event that an appeal under paragraph (c) of this section
is denied, the requester may bring a civil action in federal district
court to seek review of the denial.
[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]
Sec. 1.117 Agency review of request for correction or amendment of record.
(a) Any agency which receives a request for amendment or correction
under Sec. 1.116 shall acknowledge that request within 10 days of its
receipt (excluding Saturdays, Sundays and legal public holidays). The
agency shall also promptly, either:
(1) Make any correction, deletion or addition with regard to any
portion of a record which the requester believes is not accurate,
relevant, timely or complete; or
(2) Inform the requester of its refusal to amend the record in
accordance with the request; the reason for the refusal; the procedures
whereby the requester can appeal the refusal to the head of the agency;
and the title and business address of that official. If the agency
informs the requester of its determination within the 10-day deadline, a
separate acknowledgement is not required.
(b) If an agency is unable to comply with either paragraphs (a)(1)
or (2) of this section within 30 days of its receipt of a request for
correction or amendment, (excluding Saturdays, Sundays and legal public
holidays), it should inform the requester of that fact, the reasons for
the inability to comply with paragraphs (a)(1) or (a)(2) of this section
within 30 days, and the approximate date on which a determination will
be reached.
(c) In conducting its review of a request for correction or
amendment, each agency shall be guided by the requirements of 5 U.S.C.
552a(e)(1) and (5).
(d) If an agency determines to grant all or any portion of a request
for correction or amendment, it shall:
(1) Advise the individual of that determination;
(2) Make the requested correction or amendment; and
(3) Inform any person or agency outside USDA to whom the record has
been disclosed, if an accounting of that
[[Page 30]]
disclosure is maintained in accordance with 5 U.S.C. 552a(c), of the
occurrence and substance of the correction or amendments.
(e) If an agency determines not to grant all or any portion of a
request for correction or amendment, it shall:
(1) Comply with paragraph (d) of this section with regard to any
correction or amendment which is made;
(2) Advise the requester of its determination and the reasons for
the determination not to grant all or a portion of the request for a
correction or amendment;
(3) Inform the requester that he or she may appeal this
determination to the head of the agency which maintains the system of
records; and
(4) Describe the procedures for making such an appeal, including the
title and business address of the official to whom the appeal is to be
addressed.
(f) In the event that an agency receives a notice of correction or
amendment to information in a record contained in a system of records
which it maintains, it shall comply with paragraphs (d)(2) and (3) of
this section in the same manner as if it had made the correction or
amendment itself.
[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]
Sec. 1.118 Appeal of initial adverse agency determination on
correction or amendment.
(a) Any individual whose request for correction or amendment under
Sec. 1.116 is denied, and who wishes to appeal that denial, shall
address such appeal to the head of the agency which maintains the system
of records to which the request relates, in accordance with the
procedures set forth in the agency's initial denial of the request.
(b) The head of each agency shall make a final determination with
regard to an appeal submitted under paragraph (a) of this section not
later than 30 days (excluding Saturdays, Sundays, and legal public
holidays) from the date on which the individual requests a review,
unless, for good cause shown, the head of the agency extends this 30-day
period and so notifies the requester, together with an estimate of the
date on which a final determination will be made. Such extension should
be utilized only in exceptional circumstances and should not normally
exceed 30 days. The delegation of authority set forth in this paragraph
may not be redelegated.
(c) In conducting a review of an appeal submitted under paragraph
(a) of this section, the head of an agency shall be guided by the
requirements of 5 U.S.C. 552a(e)(1) and (5).
(d) If the head of an agency determines to grant all or any portion
of an appeal submitted under paragraph (a) of this section, the head of
the agency shall inform the requester and the agency shall comply with
the procedures set forth in Sec. 1.117(d)(2) and (d)(3).
(e) If the head of an agency determines in accordance with paragraph
(c) of this section not to grant all or any portion of an appeal
submitted under paragraph (a) of this section, the head of the agency
shall inform the requester:
(1) Of this determination and the reasons for the determination;
(2) Of the requester's right to file a concise statement of the
requester's reasons for disagreeing with the agency's decision;
(3) Of the procedures for filing such a statement of disagreement;
(4) That such statements of disagreements will be made available to
anyone to whom the record is subsequently disclosed, together with (if
the agency deems it appropriate) a brief statement by the agency
summarizing its reasons for refusing to amend the record;
(5) That prior recipients of the disputed record will be provided
with a copy of the statement of disagreement, together with (if the
agency deems it appropriate) a brief statement of the agency's reasons
for refusing to amend the record, to the extent that an accounting of
disclosures is maintained under 5 U.S.C. 552a(c); and
(6) Of the requester's right to seek judicial review of the agency's
determination in accordance with 5 U.S.C. 552a(g). The agency shall
insure that any statements of disagreement submitted by a requester are
handled in accordance with paragraphs (e)(4) and (5) of this section.
[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33981, June 24, 1997]
[[Page 31]]
Sec. 1.119 Disclosure of record to person other than the individual
to whom it pertains.
No agency shall disclose any record which is contained in a system
of [chyph]records it maintains, by any means of communication to any
person, or to another agency outside USDA, except pursuant to a written
request by, or with the prior written consent of, the individual to whom
the record pertains, unless the disclosure is authorized by one or more
provisions of 5 U.S.C. 552a(b).
Sec. 1.120 Fees.
Any agency which provides copies of records pursuant to a request
under this subpart may charge fees for the direct costs of producing
such copies in accordance with appendix A to subpart A of this part. No
agency, however, shall charge any fee for searches necessary to locate
records. Nor shall an agency charge any fees for copies or searches,
when the requester sought to make a personal inspection but was provided
copies instead at the discretion of the agency.
Sec. 1.121 Penalties.
The criminal penalties which have been established for violations of
the Privacy Act of 1974 are set forth in 5 U.S.C. 552a(i). These
penalties are applicable to any officer or employee of an agency who
commits any of the acts enumerated in 5 U.S.C. 552a(i). These penalties
also apply to contractors and employees of such contractors who enter
into contracts with an agency of USDA and who are considered to be
employees of the agency within the meaning of 5 U.S.C. 552a(m)(1).
[40 FR 39519, Aug. 28, 1975, as amended at 62 FR 33982, June 24, 1997]
Sec. 1.122 General exemptions.
Pursuant to 5 U.S.C. 552a(j), and for the reasons set forth in 54 FR
11204-11206 (March 17, 1989), the systems of records (or portions of
systems of records) maintained by agencies of USDA identified in this
section are exempted from the provisions of 5 U.S.C. 552a, except
subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7),
(9), (10), and (11), and (i).
Office of Inspector General
Informant and Undercover Agent Records, USDA/OIG-2.
Investigative Files and Automated Investigative Indices System, USDA/
OIG-3.
OIG Hotline Complaint Records, USDA/OIG-4.
Consolidated Assignments, Personnel Tracking, and Administrative
Information Network (CAPTAIN), USDA/OIG-5.
[54 FR 39517, Sept. 27, 1989, as amended at 62 FR 33982, June 24, 1997;
62 FR 61209, Nov. 17, 1997]
Sec. 1.123 Specific exemptions.
Pursuant to 5 U.S.C. 552a(k), the systems of records (or portions
thereof) maintained by agencies of USDA identified below are exempted
from the provisions of 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (H)
and (I), and (f). The reasons for exempting each system are set out in
the notice for that system published in the Federal Register.
Agricultural Marketing Service
AMS Office of Compliance Review Cases, USDA/AMS-11.
Agricultural Stabilization and Conservation Service
EEO Complaints and Discrimination Investigation Reports, USDA/ASCS'12.
Investigation and Audit Reports, USDA/ASCS-18.
Producer Appeals, USDA/ASCS-21.
Animal and Plant Health Inspection Service
Plant Protection and Quarantine Program--Regulatory Actions, USDA/APHIS-
1.
Veterinary Services Programs--Records of Accredited Veterinarians, USDA/
APHIS-2.
Veterinary Services Programs--Animal Quarantine Regulatory Actions,
USDA/APHIS-3.
Veterinary Services Programs--Animal Welfare and Horse Protection
Regulatory Actions, USDA/APHIS-4.
Farmers Home Administration
Credit Report File, USDA/FmHA-3.
Federal Crop Insurance Corporation
FCIC Compliance Review Cases, USDA/FCIC-2.
Federal Grain Inspection Service
Investigations Undertaken by the Government Pursuant to the United
States Grain Standards Act of 1976, as amended, or the Agricultural
Marketing Act of 1946, as amended, USDA/FGIS-2.
[[Page 32]]
Food and Nutrition Service
Civil Rights Complaints and Investigations, USDA/FNS-1.
Claims Against Food Stamp Recipients, USDA/FNS-3.
Investigations of Fraud, Theft, or Other Unlawful Activities of
Individuals Involving Food Stamps, USDA/FNS-5.
Food Safety and Inspection Service
Meat and Poultry Inspection Program--Slaughter, Processing and Allied
Industries Compliance Records System, USDA/FSIS-1.
Forest Service
Law Enforcement Investigation Records, USDA/FS-33.
Office of the General Counsel
Regulatory Division
Cases by the Department under the Federal Meat Inspection Act, the
Poultry Products Inspection Act, and the voluntary inspection and
certification provisions of the Agricultural Marketing Act of 1946,
USDA/OGC-6.
Cases by the Department under the Humane Methods of Livestock Slaughter
Law (i.e., the Act of August 27, 1958), USDA/OGC-7.
Cases by the Department under the 28 Hour Law, as amended, USDA/OGC-8.
Cases by the Department under the various Animal Quarantine and related
laws, USDA/OGC-9.
Cases by the Department under the various Plant Protection Quarantine
and related laws, USDA/OGC-10.
Cases by the Department under Horse Protection Act of 1970, USDA/OGC-41.
Cases by the Department under the Laboratory Animal Welfare Act, USDA/
OGC-42.
Community Development Division
Community Development Division Litigation, USDA/OGC-11.
Farmers Home Administration (FmHA) General Case Files, USDA/OGC-12.
Food and Nutrition Division
Claims by and against USDA under the Food Assistance Legislation, USDA/
OGC-13.
Perishable Agricultural Commodities, USDA/OGC-14.
Foreign Agriculture and Commodity Stabilization Division
Agricultural Stabilization and Conservation Service (ASCS), Foreign
Agricultural Service (FAS), and Commodity Credit Corporation Cases,
USDA/OGC-15.
Federal Crop Insurance Corporation (FCIC) Cases, USDA/OGC-16.
Administrative proceedings brought by the Department, court cases in
which the government is plaintiff and court cases in which the
government is a defendant brought pursuant to the United States
Warehouse Act, USDA/OGC-43.
Marketing Division
Administrative proceedings brought by the Department pursuant to the
Plant Variety Protection Act, the Federal Seed Act, or the Agricultural
Marketing Act of 1946, USDA/OGC-18.
Cases brought by the Government pursuant to the Cotton Futures
provisions of the Internal Revenue Code of 1954, USDA/OGC-22.
Court cases brought by the Government pursuant to either the
Agricultural Marketing Act of 1946 or the Tobacco Inspection Act, USDA/
OGC-24.
Court cases brought by the Government pursuant to either the
Agricultural Marketing Agreement Act of 1937, as amended, or the Anti-
Hog-Cholera Serum and Hog Cholera Virus Act, USDA/OGC-25.
Court cases brought by the Government pursuant to either the Cotton
Research and Promotion Act, Potato Research and Promotion Act, the Egg
Research and Consumer Information Act, USDA/OGC-26.
Court cases brought by the Government pursuant to either the Export
Apple and Pear Act or the Export Grape and Plum Act, USDA/OGC-27.
Court cases brought by the Government pursuant to either the Cotton
Statistics and Estimates Act of 1927 or the United States Cotton
Standards Act, USDA/OGC-28.
Court cases brought by the Government pursuant to either the Naval
Stores Act, or the Tobacco Seed and Plant Exportation Act, USDA/OGC-29.
Court cases brought by the Government pursuant to either the Peanut
Statistics Act or the Tobacco Statistics Act, USDA/OGC-30.
Court cases brought by the Government pursuant to either the Plant
Variety Protection Act or the Egg Products Inspection Act, USDA/OGC-31.
Court cases brought by the Government pursuant to either the Produce
Agency Act, or the Process of Renovated Butter Provisions of the
Internal Revenue Code of 1954, USDA/OGC-32.
Court cases brought by the Government pursuant to either the United
States Grain Standards Act or the Federal Seed Act, USDA/OGC-33.
Court cases brought by the Government pursuant to the Agricultural Fair
Practices Act, USDA/OGC-34.
Cases by and against the Department under the Virus-Serum Toxin Act,
USDA/OGC-44.
[[Page 33]]
Office of Inspector General
Informant and Undercover Agent Records, USDA/OIG-2.
Investigative Files and Automated Investigative Indices System, USDA/
OIG-3.
OIG Hotline Complaint Records, USDA/OIG-4.
Consolidated Assignments, Personnel Tracking, and Administrative
Information Network (CAPTAIN), USDA/OIG-5.
Packers and Stockyards Division
Packers and Stockyards Act, Administrative Cases, USDA/OGC-69.
Packers and Stockyards Act, Civil and Criminal Cases, USDA/OGC-70.
Research and Operations Division
Personnel Irregularities, USDA/OGC-75.
Office of the Secretary
Non-Career Applicant File, USDA/SEC-1.
[40 FR 45103, Sept. 30, 1975, as amended at 41 FR 22333, June 3, 1976;
53 FR 5969, Feb. 29, 1988; 54 FR 5073, Feb. 1, 1989; 55 FR 41179, Oct.
10, 1990; 62 FR 61209, Nov. 17, 1997]
Appendix A to Subpart G of Part 1--Internal Directives
Section: 1 General requirements. Each agency that maintains a system
of records subject to 5 U.S.C. 552a and the regulations of this subpart
shall:
(a) Maintain in its records only such information about an
individual as is relevant and necessary to accomplish a purpose of the
agency required to be accomplished by statute or by executive order of
the President;
(b) Collect information to the greatest extent practicable directly
from the subject individual when the information may result in adverse
determinations about an individual's rights, benefits, and privileges
under Federal programs;
(c) Inform each individual whom it asks to supply information, on
the form which it uses to collect the information, or on a separate form
that can be retained by the individual, of:
(1) The authority (whether granted by statute, or by executive order
of the President) which authorizes the solicitation of the information
and whether disclosure of such information is mandatory or voluntary;
(2) The principal purpose or purposes for which the information is
intended to be used;
(3) The routine uses which may be made of the information, as
published pursuant to paragraph (d)(4) of this section; and
(4) The effects on the individual, if any, of not providing all or
any part of the requested information;
(d) Subject to the provisions of section 2 of this appendix, prepare
for publication in the Federal Register at least annually a notice of
the existence and character of each system it maintains, which notice
shall include:
(1) The name and location(s) of the system;
(2) The categories of individuals on whom records are maintained in
the system;
(3) The categories of records maintained in the system;
(4) Each routine use of the records contained in the system,
including the categories of uses and the purpose of such use;
(5) The policies and practices of the agency regarding storage,
retrievability, access controls, retention, and disposal of the records;
(6) The title and business address of the agency official who is
responsible for the system of records;
(7) The agency procedures whereby an individual can be notified at
his or her request if the system of records contains a record pertaining
to the individual;
(8) The agency procedures whereby an individual can be notified at
his or her request how the individual can gain access to any record
pertaining to him or her contained in the system of records, and how he
can contest its content; and
(9) The categories of sources of records in the system;
(e) Maintain all records which are used by the agency in making any
determination about any individual with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to assure
fairness to the individual in the determination;
(f) Prior to disseminating any record about an individual to any
person other than an agency, unless the dissemination is made pursuant
to 5 U.S.C. 552a(b)(2), make reasonable efforts to assure that such
[chyph]records are accurate, complete, timely, and relevant for agency
purposes;
(g) Maintain no record describing how any individual exercises
rights guaranteed by the First Amendment unless expressly authorized by
statute or by the individual about whom the record is maintained, or
unless pertinent to and within the scope of an authorized law
enforcement activity;
(h) Make reasonable efforts to serve notice on an individual when
any record on such individual is made available to any person under
compulsory legal process when such process becomes a matter of public
record;
(i) Establish rules of conduct for persons involved in the design,
development, operation, or maintenance of any system of [chyph]records,
or in maintaining any record, and instruct each such person with respect
to such rules and the requirements of this section, including any other
rules and procedures adopted pursuant to this section and the penalties
for noncompliance;
(j) Establish appropriate administrative, technical, and physical
safeguards to insure the security and confidentiality of records and to
protect against any anticipated
[[Page 34]]
threats or hazards to their security or integrity which could result in
substantial harm, embarrassment, inconvenience, or unfairness to any
individual on whom information is maintained.
Sec. 2 Amendment of routine uses for an existing system of records,
or establishment of a new system of records.
(a) Any agency which intends to add a routine use, or amend an
existing one, in a system of records it maintains, shall, in accordance
with 5 U.S.C. 552a(e)(11), ensure that at least 30 days advance notice
of such action is given by publication in the Federal Register and an
opportunity provided for interested persons to submit written data,
views or arguments to the agency.
(b) Any agency which intends to establish a new system of records,
or to alter any existing system of records, shall insure that adequate
advance notice is provided to Congress and the Office of Management and
Budget to permit an evaluation of the probable or potential effect of
such action on the privacy and other personal or property rights of
individuals or the disclosure of information relating to such
individuals, and its effect on the preservation of the constitutional
principles of federalism and separation of powers. Such notice is
required for any new system of records and for any alteration in an
existing one which will:
(1) Increase the number or types of individuals on whom records are
maintained;
(2) Expand the type or amount of information maintained;
(3) Increase the number or categories of agencies or other persons
who may have access to those records;
(4) Alter the manner in which the records are organized so as to
change the nature or scope of those records (e.g., the combining of two
or more existing systems);
(5) Modify the way the system operates at its location(s) in such a
manner as to alter the procedures by which individuals can exercise
their rights under this subpart; or
(6) Change the equipment configuration on which the system is
operated so as to create the potential for greater access (e.g., adding
a telecommunications capability).
Sec. 3 Accounting of certain disclosures. Each agency, with respect
to each system of records under its control, shall:
(a) Except for disclosures made under 5 U.S.C. 552a(b)(1) and (2),
keep an accurate account of:
(1) The date, nature, and purpose of each disclosure of a record to
any person or agency outside the Department; and
(2) The name and address of the person or agency to whom the
disclosure is made;
(b) Retain the accounting made under paragraph (a) of this section
for the longer of a period of five years, after the date of the
disclosure for which the accounting is made, or the life of the record
disclosed;
(c) Except for disclosures made under 5 U.S.C. 552a(b)(7), make the
accounting required under paragraph (a) of this section available to the
individual named in the record at his or her request.
Sec. 4 Government contractors. When an agency within the Department
provides by a contract for the operation by or on behalf of the agency
of a system of records to accomplish an agency function, the agency
shall, consistent with its authority, cause the requirements of this
subpart to be applied to such system. For purposes of 5 U.S.C. 552a(i)
any such contractor or any employee of such contractor shall be
considered to be an employee of an agency and therefore subject to the
criminal penalties set forth in 5 U.S.C. 552a(i).
Sec. 5 Mailing lists. No agency within the Department shall sell or
rent any individual's name and address unless such action is
specifically authorized by law. This section shall not be construed to
require, or to authorize, the withholding of names and addresses whose
disclosure is required by 5 U.S.C. 552.
Sec. 6 Social security account numbers. (a) No agency shall deny, or
permit any State or local government with whom it is involved in a
cooperative venture to deny, to any individual any right, benefit, or
privilege provided by law because of such individual's refusal to
disclose his or her social security account number.
(b) Paragraph (a) of this section shall not apply with respect to:
(1) Any disclosure required by Federal statute; or
(2) Any disclosure to any agency relating to a system of records it
maintained prior to January 1, 1975, if such disclosure was required
under statute or regulation adopted prior to that date, to verify the
identity of an individual.
(c) Any agency in the Department which requests an individual to
disclose his or her social security account number shall inform that
individual whether the disclosure is mandatory or voluntary, by what
statutory or other authority the number is solicited, and what uses will
be made of it. The agency shall also insure that this information is
provided by a State or local government with whom it is involved in a
cooperative agreement.
Sec. 7. Annual report. Each agency in the Department shall submit to
the Office of the General Counsel prior to March 30 of each year a
report containing the following information related to implementation of
5 U.S.C. 552a:
(a) A summary of major accomplishments;
(b) A summary of major plans for activities in the upcoming year;
(c) A list of the systems which were exempted during the year from
any of the operative provisions of this subpart pursuant to 5
[[Page 35]]
U.S.C. 552a (j) and (k), whether or not the exemption was effected
during that year, the number of instances with respect to each system
exempted in which the exemption was invoked to deny access, and the
reasons for invoking the exemption;
(d) A brief summary of changes to the total inventory of personal
data system subject to this subpart including reasons for major changes;
and
(e) A general description of operational experiences including
estimates of the number of individuals (in relation to the total number
of records in the system):
(1) Requesting information on the existence of records pertaining to
them;
(2) Refusing to provide information;
(3) Requesting access to their records;
(4) Appealing initial refusals to amend [chyph]records; and
(5) Seeking redress through the courts.
Sec. 8. Effect of 5 U.S.C. 552. No agency in the Department shall
rely on any exemption in 5 U.S.C. 552 to withhold from an individual any
record which is otherwise accessible to such individual under 5 U.S.C.
552a and this subpart.
[40 FR 44480, Sept. 26, 1975, as amended at 62 FR 33982, June 24, 1997]
Subpart H_Rules of Practice Governing Formal Adjudicatory Proceedings
Instituted by the Secretary Under Various Statutes
Authority: 5 U.S.C. 301; 7 U.S.C. 61, 87e, 228, 268, 499o, 608c(14),
1592, 1624(b), 2151, 2279e, 2621, 2714, 2908, 3812, 4610, 4815, 4910,
6009, 6107, 6207, 6307, 6411, 6808, 7107, 7734, 8313; 15 U.S.C. 1828; 16
U.S.C. 620d, 1540(f), 3373; 21 U.S.C. 104, 111, 117, 120, 122, 127,
134e, 134f, 135a, 154, 463(b), 621, 1043; 43 U.S.C. 1740; 7 CFR 2.35,
2.41.
Source: 42 FR 743, Jan. 4, 1977, unless otherwise noted.
Sec. 1.130 Meaning of words.
As used in this subpart, words in the singular form shall be deemed
to import the plural, and vice versa, as the case may require.
Sec. 1.131 Scope and applicability of this subpart.
(a) The rules of practice in this subpart shall be applicable to all
adjudicatory proceedings under the statutory provisions listed below as
those provisions have been or may be amended from time to time,\1\
except that those rules shall not be applicable to reparation
proceedings under section 6(c) of the Perishable Agricultural
Commodities Act, 1930. Section 1.26 shall be inapplicable to the
proceedings covered by this subpart.
---------------------------------------------------------------------------
\1\ See also the regulations promulgated under these statutes for
any supplemental rules relating to particular circumstances arising
thereunder.
Act of May 29, 1884, commonly known as the Animal Industry Act, section
7, as amended (21 U.S.C. 117).
Act of August 30, 1890, section 6, as amended (21 U.S.C. 104).
Act of February 2, 1903, commonly known as the Cattle Contagious
Diseases Act of 1903, section 3, as amended (21 U.S.C. 122).
Act of March 3, 1905, section 6, as amended (21 U.S.C. 127).
Act of July 2, 1962, section 6(a), as amended (21 U.S.C. 134e).
Act of May 6, 1970, section 2, as amended (21 U.S.C. 135a).
Agricultural Marketing Agreement Act of 1937, as amended, section
8c(14), 7 U.S.C. 608c(14).
Animal Health Protection Act, section 10414 (7 U.S.C. 8313).
Animal Welfare Act, section 19 (7 U.S.C. 2149).
Beef Promotion and Research Act of 1985, section 9 (7 U.S.C. 2908).
Egg Products Inspection Act, section 18 (21 U.S.C. 1047).
Endangered Species Act of 1973, as amended, section 11(a) (16 U.S.C.
1540(a)).
Egg Research and Consumer Information Act, as amended, 7 U.S.C. 2714,
Pub. L. 96-276, 94 Stat. 541.
Federal Land Policy and Management Act of 1976, section 506 (43 U.S.C.
1766).
Federal Meat Inspection Act, sections 4, 6, 7(e), 8, and 401 (21 U.S.C.
604, 606, 607(e), 608, 671).
Federal Seed Act, section 409 (7 U.S.C. 1599).
Fluid Milk Promotion Act of 1990, section 1999L [7 U.S.C. 6411].
Forest Resources Conversation and Shortage Relief Act of 1990, section
492 (16 U.S.C. 620d)
Fresh Cut Flowers and Fresh Cut Greens Promotion and Consumer
Information Act of 1993, section 9 [7 U.S.C. 6808].
Honey Research, Promotion, and Consumer Information Act, section 11 (7
U.S.C. 4610).
Horse Protection Act of 1970, sections 4(c) and 6 (15 U.S.C. 1823(c),
1825).
Lacey Act Amendments of 1981, section 4 (a) and (b) (16 U.S.C. 3373 (a)
and (b)).
Lime Research, Promotion, and Consumer Information Act of 1990, as
amended, section 1958 [7 U.S.C. 6207]
[[Page 36]]
Mushroom Promotion, Research, and Consumer Information Act of 1990,
section 1928 [7 U.S.C. 6107]
Packers and Stockyards Act, 1921, as supplemented, sections 203, 312,
and 401 of the Act, and section 1, 57 Stat. 422, as amended by section
4, 90 Stat. 1249 (7 U.S.C. 193, 204, 213, 221)
Pecan Promotion and Research Act of 1990, section 1914 [7 U.S.C. 6009]
Perishable Agricultural Commodities Act, 1930, sections 1(b)(9), 3(c),
4(d), 6(c), 8(a), 8(b), 8(c), 8(e), 9, and 13(a) (7 U.S.C. 499a(b)(9),
499c(c), 499d(d), 499f(c), 499h(a), 499h(b), 499h(c), 499h(e), 499i,
499m(a))
Plant Protection Act, section 424 (7 U.S.C. 7734).
Pork Promotion, Research, and Consumer Information Act of 1985, section
1626 (7 U.S.C. 4815).
Potato Research and Promotion Act, as amended, 7 U.S.C. 2621, Pub. L.
97-244, 96 Stat. 310.
Poultry Products Inspection Act, sections 6, 7, 8(d), and 18 (21 U.S.C.
455, 456, 457(d), 467).
Sheep Promotion, Research, and Information Act of 1994 [7 U.S.C. 7107].
Soybean Promotion, Research, and Consumer Information Act, section 1972
[7 U.S.C. 6307].
Swine Health Protection Act, sections 5 and 6 (7 U.S.C. 3804, 3805).
Title V of the Agricultural Risk Protection Act of 2000, section 501(a)
(7 U.S.C. 2279e).
United States Cotton Standards Act, as supplemented, section 3 of the
Act and section 2 of 47 Stat. 1621 (7 U.S.C. 51b, 53).
United States Grain Standards Act, sections 7(g)(3), 9, 10, and 17A(d)
(7 U.S.C. 79(g)(3), 85, 86, 87f-1(d)).
United States Warehouse Act, sections 12 and 25 (7 U.S.C. 246, 253).
Virus-Serum-Toxin Act (21 U.S.C. 156).
Watermelon Research and Promotion Act, section 1651 (7 U.S.C. 4910).
(b) These rules of practice shall also be applicable to:
(1) Adjudicatory proceedings under the regulations promulgated under
the Agricultural Marketing Act of 1946 (7 U.S.C. 1621 et seq.) for the
denial or withdrawal of inspection, certification, or grading service;
\1\
(2) Adjudicatory proceedings under the regulations promulgated under
the Animal Quarantine and Related Laws (21 U.S.C. 111 et seq.) for the
suspension or revocation of accreditation of veterinarians (9 CFR parts
160, 161);
(3) Proceedings for debarment of counsel under Sec. 1.141(d) of
this subpart; and
(4) Other adjudicatory proceedings in which the complaint
instituting the proceeding so provides with the concurrence of the
Assistant Secretary for Administration.
[42 FR 743, Jan. 4, 1977, as amended at 42 FR 15406, Mar. 22, 1977; 45
FR 68381, Oct. 15, 1980; 47 FR 15559, Apr. 12, 1982; 47 FR 30451, July
14, 1982; 48 FR 28189, June 21, 1983; 49 FR 21293, May 21, 1984; 49 FR
37727, Sept. 26, 1984; 53 FR 1001, Jan. 15, 1988; 53 FR 35296, Sept. 13,
1988; 56 FR 22106, May 14, 1991; 60 FR 8455, Feb. 14, 1995; 60 FR 33329,
June 28, 1995; 61 FR 11503, Mar. 21, 1996; 66 FR 36908, July 16, 2001;
67 FR 70674, Nov. 26, 2002; 68 FR 6340, Feb. 7, 2003]
Sec. 1.132 Definitions.
As used in this subpart, the terms as defined in the statute under
which the proceeding is conducted and in the regulations, standards,
instructions, or orders issued thereunder, shall apply with equal force
and effect. In addition and except as may be provided otherwise in this
subpart:
Administrator means the Administrator of the Agency administering
the statute involved, or any officer or employee of the Agency to whom
authority has heretofore been delegated, or to whom authority may
hereafter be delegated, to act for the Administrator.
Complainant means the party instituting the proceeding.
Complaint means the formal complaint, order to show cause, or other
document by virtue of which a proceeding is instituted.
Decision means: (1) The Judge's initial decision made in accordance
with the provisions of 5 U.S.C. 556 and 557, and includes the Judge's
(i) findings and conclusions and the reasons or basis therefor on all
material issues of fact, law or discretion, (ii) order, and (iii)
rulings on proposed findings, conclusions and orders submitted by the
parties; and
(2) The decision and order by the Judicial Officer upon appeal of
the Judge's decision.
Hearing means that part of the proceeding which involves the
submission of evidence before the Judge for the record in the
proceeding.
Hearing Clerk means the Hearing Clerk, United States Department of
Agriculture, Washington, DC 20250.
Judge means any Administrative Law Judge appointed pursuant to 5
U.S.C. 3105 and assigned to the proceeding involved.
[[Page 37]]
Judicial Officer means an official of the United States Department
of Agriculture delegated authority by the Secretary of Agriculture,
pursuant to the Act of April 4, 1940 (7 U.S.C. 450c-450g) and
Reorganization Plan No. 2 of 1953 (5 U.S.C. App. (1988)), to perform the
function involved (Sec. 2.35(a) of this chapter), or the Secretary of
Agriculture if the authority so delegated is exercised by the Secretary.
Mail means to deposit an item in the United States Mail with postage
affixed and addressed as necessary to cause it to be delivered to the
address shown by ordinary mail, or by certified or registered mail if
specified.
Petitioner means an individual who has filed a petition for review
of a determination that the individual is responsibly connected to a
licensee within the meaning of 7 U.S.C. 499a(b)(9).
Re-mail means to mail by ordinary mail to an address an item that
has been returned after being sent to the same address by certified or
registered mail.
Respondent means the party proceeded against.
[42 FR 743, Jan. 4, 1977, as amended at 55 FR 30673, July 27, 1990; 60
FR 8455, Feb. 14, 1995; 61 FR 11503, Mar. 21, 1996; 68 FR 6340, Feb. 7,
2003]
Sec. 1.133 Institution of proceedings.
(a) Submission of information concerning apparent violations. (1)
Any interested person desiring to submit information regarding an
apparent violation of any provision of a statute listed in Sec. 1.131
or of any regulation, standard, instruction, or order issued pursuant
thereto, may file the information with the Administrator of the agency
administering the statute involved in accordance with this section and
any applicable statutory or regulation provisions. Such information may
be made the basis of any appropriate proceeding covered by the rules in
this subpart, or any other appropriate proceeding authorized by the
particular statute or the regulations promulgated thereunder.
(2) The information may be submitted by telegram, by letter, or by a
preliminary statement of facts, setting forth the essential details of
the transaction complained of. So far as practicable, the information
shall include such of the following items as may be applicable:
(i) The name and address of each person and of the agent, if any,
representing such person in the transaction involved;
(ii) Place where the alleged violation occurred;
(iii) Quantity and quality or grade of each kind of product or
article involved;
(iv) Date of alleged violation;
(v) Car initial and number, if carlot;
(vi) Shipping and destination points;
(vii) If a sale, the date, sale price, and amount actually received;
(viii) If a consignment, the date, reported proceeds, gross, net;
(ix) Amount of damage claimed, if any;
(x) Statement of other material facts, including terms of contract;
and
(xi) So far as practicable, true copies of all available papers
relating to the transaction complained about, including shipping
documents, letters, telegrams, invoices, manifests, inspection
certificates, accounts of sales and any special contracts or agreements.
(3) Upon receipt of the information and supporting evidence, the
Administrator shall cause such investigation to be made as, in the
opinion of the Administrator, is justified by the facts. If such
investigation discloses that no violation of the Act or of the
regulations, standards, instructions, or orders issued pursuant thereto,
has occurred, no further action shall be taken and the person submitting
the information shall be so informed.
(4) The person submitting the information shall not be a party to
any proceeding which may be instituted as a result thereof and such
person shall have no legal status in the proceeding, except as a
subpoenaed witness or as a deponent in a deposition taken without
expense to such person.
(b) Filing of complaint or petition for review. (1) If there is
reason to believe that a person has violated or is violating any
provision of a statute listed in Sec. 1.131 or of any regulation,
standard, instruction or order issued pursuant thereto, whether based
upon information furnished under paragraph (a) of this section or other
information, a
[[Page 38]]
complaint may be filed with the Hearing Clerk pursuant to these rules.
(2) Any person determined by the Chief, PACA Branch, pursuant to
Sec. Sec. 47.47--47.49 of this title to have been responsibly connected
within the meaning of 7 U.S.C. 499a(b)(9) to a licensee who is subject
or potentially subject to license suspension or revocation as the result
of an alleged violation of 7 U.S.C. 499b or 499h(b) or as provided in 7
U.S.C. 499g(d) shall be entitled to institute a proceeding under this
section and to have determined the facts with respect to such
responsibly connected status by filing with the Hearing Clerk a petition
for review of such determination.
(3) As provided in 5 U.S.C. 558, in any case, except one of
willfulness or one in which public health, interest, or safety otherwise
requires, prior to the institution of a formal proceeding which may
result in the withdrawal, suspension, or revocation of a ``license'' as
that term is defined in 5 U.S.C. 551(8), the Administrator, in an effort
to effect an amicable or informal settlement of the matter, shall give
written notice to the person involved of the facts or conduct concerned
and shall afford such person an opportunity, within a reasonable time
fixed by the Administrator, to demonstrate or achieve compliance with
the applicable requirements of the statute, or the regulation, standard,
instruction or order promulgated thereunder.
[42 FR 743, Jan. 4, 1977, as amended at 60 FR 8455, Feb. 14, 1995; 61 FR
11503, Mar. 21, 1996; 68 FR 6340, Feb. 7, 2003]
Sec. 1.134 Docket number.
Each proceeding, immediately following its institution, shall be
assigned a docket number by the Hearing Clerk, and thereafter the
proceeding shall be referred to by such number.
Sec. 1.135 Contents of complaint or petition for review.
(a) Complaint. A complaint filed pursuant to Sec. 1.133(b) shall
state briefly and clearly the nature of the proceeding, the
identification of the complainant and the respondent, the legal
authority and jurisdiction under which the proceeding is instituted, the
allegations of fact and provisions of law which constitute a basis for
the proceeding, and the nature of the relief sought.
(b) Petition for review. The Petition for Review of responsibly
connected status shall describe briefly and clearly the determination
sought to be reviewed and shall include a brief statement of the factual
and legal matters that the petitioner believes warrant the reversal of
the determination.
[42 FR 743, Jan. 4, 1977, as amended at 61 FR 11503, Mar. 21, 1996]
Sec. 1.136 Answer.
(a) Filing and service. Within 20 days after the service of the
complaint (within 10 days in a proceeding under section 4(d) of the
Perishable Agricultural Commodities Act, 1930), or such other time as
may be specified therein, the respondent shall file with the Hearing
Clerk an answer signed by the respondent or the attorney of record in
the proceeding. The attorney may file an appearance of record prior to
or simultaneously with the filing of the answer. The answer shall be
served upon the complainant, and any other party of record, by the
Hearing Clerk. As response to a petition for review of responsibly
connected status, the Chief, PACA Branch, shall within ten days after
being served by the Hearing Clerk with a petition for review, file with
the Hearing Clerk a certified copy of the agency record upon which the
Chief, PACA Branch, made the determination that the individual was
responsibly connected to a licensee under the Perishable Agricultural
Commodities Act, 7 U.S.C. 499a et seq., and such agency record shall
become part of the record in the review proceeding.
(b) Contents. The answer shall:
(1) Clearly admit, deny, or explain each of the allegations of the
Complaint and shall clearly set forth any defense asserted by the
respondent; or
(2) State that the respondent admits all the facts alleged in the
complaint; or
(3) State that the respondent admits the jurisdictional allegations
of the complaint and neither admits nor denies the remaining allegations
and consents to the issuance of an order without further procedure.
[[Page 39]]
(c) Default. Failure to file an answer within the time provided
under paragraph (a) of this section shall be deemed, for purposes of the
proceeding, an admission of the allegations in the Complaint, and
failure to deny or otherwise respond to an allegation of the Complaint
shall be deemed, for purposes of the proceeding, an admission of said
allegation, unless the parties have agreed to a consent decision
pursuant to Sec. 1.138.
[42 FR 743, Jan. 4, 1977, as amended at 61 FR 11504, Mar. 21, 1996; 68
FR 6340, Feb. 7, 2003]
Sec. 1.137 Amendment of complaint, petition for review, or answer;
joinder of related matters.
(a) Amendment. At any time prior to the filing of a motion for a
hearing, the complaint, petition for review, answer, or response to
petition for review may be amended. Thereafter, such an amendment may be
made with consent of the parties, or as authorized by the Judge upon a
showing of good cause.
(b) Joinder. The Judge shall consolidate for hearing with any
proceeding alleging a violation of the Perishable Agricultural
Commodities Act, 7 U.S.C. 499a et seq., any petitions for review of
determination of status by the Chief, PACA Branch, that individuals are
responsibly connected, within the meaning of 7 U.S.C. 499a(b)(9), to the
licensee during the period of the alleged violations. In any case in
which there is no pending proceeding alleging a violation of the
Perishable Agricultural Commodities Act, 7 U.S.C. 499a et seq., but
there have been filed more than one petition for review of determination
of responsible connection to the same licensee, such petitions for
review shall be consolidated for hearing.
[61 FR 11504, Mar. 21, 1996, as amended at 68 FR 6340, Feb. 7, 2003]
Sec. 1.138 Consent decision.
At any time before the Judge files the decision, the parties may
agree to the entry of a consent decision. Such agreement shall be filed
with the Hearing Clerk in the form of a decision signed by the parties
with appropriate space for signature by the Judge, and shall contain an
admission of at least the jurisdictional facts, consent to the issuance
of the agreed decision without further procedure and such other
admissions or statements as may be agreed between the parties. The Judge
shall enter such decision without further procedure, unless an error is
apparent on the face of the document. Such decision shall have the same
force and effect as a decision issued after full hearing, and shall
become final upon issuance to become effective in accordance with the
terms of the decision.
Sec. 1.139 Procedure upon failure to file an answer or admission of facts.
The failure to file an answer, or the admission by the answer of all
the material allegations of fact contained in the complaint, shall
constitute a waiver of hearing. Upon such admission or failure to file,
complainant shall file a proposed decision, along with a motion for the
adoption thereof, both of which shall be served upon the respondent by
the Hearing Clerk. Within 20 days after service of such motion and
proposed decision, the respondent may file with the Hearing Clerk
objections thereto. If the Judge finds that meritorious objections have
been filed, complainant's Motion shall be denied with supporting
reasons. If meritorious objections are not filed, the Judge shall issue
a decision without further procedure or hearing. Copies of the decision
or denial of complainant's Motion shall be served by the Hearing Clerk
upon each of the parties and may be appealed pursuant to Sec. 1.145.
Where the decision as proposed by complainant is entered, such decision
shall become final and effective without further proceedings 35 days
after the date of service thereof upon the respondent, unless there is
an appeal to the Judicial Officer by a party to the proceeding pursuant
to Sec. 1.145: Provided, however, That no decision shall be final for
purposes of judicial review except a final decision of the Judicial
Officer upon appeal.
Sec. 1.140 Conferences and procedure.
(a) Purpose and scope. (1) Upon motion of a party or upon the
Judge's own motion, the Judge may direct the parties or their counsel to
attend a conference at any reasonable time, prior to or during the
course of the hearing,
[[Page 40]]
when the Judge finds that the proceeding would be expedited by a
conference. Reasonable notice of the time, place, and manner of the
conference shall be given. The Judge may order each of the parties to
furnish at or subsequent to the conference any or all of the following:
(i) An outline of the case or defense;
(ii) The legal theories upon which the party will rely;
(iii) Copies of or a list of documents which the party anticipates
introducing at the hearing; and
(iv) A list of anticipated witnesses who will testify on behalf of
the party. At the discretion of the party furnishing such list of
witnesses, the names of the witnesses need not be furnished if they are
otherwise identified in some meaningful way such as a short statement of
the type of evidence they will offer.
(2) The Judge shall not order any of the foregoing procedures that a
party can show is inappropriate or unwarranted under the circumstances
of the particular case.
(3) At the conference, the following matters shall be considered:
(i) The simplification of issues;
(ii) The necessity of amendments to pleadings;
(iii) The possibility of obtaining stipulations of facts and of the
authenticity, accuracy, and admissibility of documents, which will avoid
unnecessary proof;
(iv) The limitation of the number of expert or other witnesses;
(v) Negotiation, compromise, or settlement of issues;
(vi) The exchange of copies of proposed exhibits;
(vii) The identification of documents or matters of which official
notice may be requested;
(viii) A schedule to be followed by the parties for completion of
the actions decided at the conference; and
(ix) Such other matters as may expedite and aid in the disposition
of the proceeding.
(b) Reporting. A conference will not be stenographically reported
unless so directed by the Judge.
(c) Manner of Conference. (1) The conference shall be conducted by
telephone or correspondence unless the Judge determines that conducting
the conference by audio-visual telecommunication:
(i) Is necessary to prevent prejudice to a party;
(ii) Is necessary because of a disability of any individual expected
to participate in the conference; or
(iii) Would cost less than conducting the conference by telephone or
correspondence. If the Judge determines that a conference conducted by
audio-visual telecommunication would measurably increase the United
States Department of Agriculture's cost of conducting the conference,
the conference shall be conducted by personal attendance of any
individual who is expected to participate in the conference, by
telephone, or by correspondence.
(2) If the conference is not conducted by telephone or
correspondence, the conference shall be conducted by audio-visual
telecommunication unless the Judge determines that conducting the
conference by personal attendance of any individual who is expected to
participate in the conference:
(i) Is necessary to prevent prejudice to a party;
(ii) Is necessary because of a disability of any individual expected
to participate in the conference; or
(iii) Would cost less than conducting the conference by audio-visual
telecommunication.
(d) Order. Actions taken as a result of a conference shall be
reduced to a written appropriate order, unless the Judge concludes that
a stenographic report shall suffice, or, if the conference takes place
within 7 days of the beginning of the hearing, the Judge elects to make
a statement on the record at the hearing summarizing the actions taken.
(e) Related matters. Upon motion of a respondent, the Judge may
order the attorney for the complainant to produce and permit the
respondent to inspect and copy or photograph any relevant written or
recorded statements or confessions made by such respondent within the
possession, custody or control of the complainant.
[42 FR 743, Jan. 4, 1977, as amended at 60 FR 8455, Feb. 14, 1995]
[[Page 41]]
Sec. 1.141 Procedure for hearing.
(a) Request for hearing. Any party may request a hearing on the
facts by including such request in the complaint or answer, or by a
separate request, in writing, filed with the Hearing Clerk within the
time in which an answer may be filed. A petition for review shall be
deemed a request for a hearing. Failure to request a hearing within the
time allowed for the filing of the answer shall constitute a waiver of
such hearing. Waiver of hearing shall not be deemed to be a waiver of
the right to request oral argument before the Judicial Officer upon
appeal of the Judge's decision. In the event the respondent denies any
material fact and fails to file a timely request for a hearing, the
matter may be set down for hearing on motion of the complainant or upon
the Judge's own motion.
(b) Time, place, and manner. (1) If any material issue of fact is
joined by the pleadings, the Judge, upon motion of any party stating
that the matter is at issue and is ready for hearing, shall set a time,
place, and manner for hearing as soon as feasible after the motion is
filed, with due regard for the public interest and the convenience and
necessity of the parties. The Judge shall file with the Hearing Clerk a
notice stating the time and place of the hearing.\2\ This notice shall
state whether the hearing will be conducted by telephone, audio-visual
telecommunication, or personal attendance of any individual expected to
participate in the hearing. The Judge's determination regarding the
manner of the hearing shall be made in accordance with paragraphs (b)(3)
and (b)(4) of this section. If any change in the time, place, or manner
of the hearing is made, the Judge shall file with the Hearing Clerk a
notice of such change, which notice shall be served upon the parties,
unless it is made during the course of an oral hearing and made part of
the transcript or recording, or actual notice is given to the parties.
---------------------------------------------------------------------------
\2\ The place of hearing in a proceeding under the Packers and
Stockyards Act shall be set in accordance with the Packers and
Stockyards Act (7 U.S.C. 228(e) and (f)). In essence, if there is only
one respondent, the hearing is to be held as near as possible to the
respondent's place of business or residence depending on the
availability of an appropriate location for conducting the hearing. If
there is more than one respondent and they have their places of business
or residence within a single unit of local government, a single
geographical area within a State, or a single State, the hearing is to
be held as near as possible to their places of business or residence
depending on the availability of an appropriate location for conducting
the hearing. If there is more than one respondent, and they have their
places of business or residence distant from each other, 7 U.S.C. 228(e)
and (f) have no applicability.
---------------------------------------------------------------------------
(2)(i) If any material issue of fact is joined by the pleadings and
the matter is at issue and is ready for hearing, any party may move that
the hearing be conducted by telephone or personal attendance of any
individual expected to attend the hearing rather than by audio-visual
telecommunication. Any motion that the hearing be conducted by telephone
or personal attendance of any individual expected to attend the hearing
must be accompanied by a memorandum in support of the motion stating the
basis for the motion and the circumstances that require the hearing to
be conducted other than by audio-visual telecommunication.
(ii) Within 10 days after the Judge issues a notice stating the
manner in which the hearing is to be conducted, any party may move that
the Judge reconsider the manner in which the hearing is to be conducted.
Any motion for reconsideration must be accompanied by a memorandum in
support of the motion stating the basis for the motion and the
circumstances that require the hearing to be conducted other than in
accordance with the Judges's notice.
(3) The hearing shall be conducted by audio-visual telecommunication
unless the Judge determines that conducting the hearing by personal
attendance of any individual who is expected to participate in the
hearing:
(i) Is necessary to prevent prejudice to a party;
(ii) Is necessary because of a disability of any individual expected
to participate in the hearing; or
(iii) Would cost less than conducting the hearing by audio-visual
telecommunication. If the Judge determines that a hearing conducted by
audio-visual telecommunication would
[[Page 42]]
measurably increase the United States Department of Agriculture's cost
of conducting the hearing, the hearing shall be conducted by personal
attendance of any individual who is expected to participate in the
hearing or by telephone.
(4) The Judge may, in his or her sole discretion or in response to a
motion by a party to the proceeding, conduct the hearing by telephone if
the Judge finds that a hearing conducted by telephone:
(i) Would provide a full and fair evidentiary hearing;
(ii) Would not prejudice any party; and
(iii) Would cost less than conducting the hearing by audio-visual
telecommunication or personal attendance of any individual who is
expected to participate in the hearing.
(c) Appearances. The parties may appear in person or by attorney of
record in the proceeding. Any person who appears as attorney must
conform to the standards of ethical conduct required of practitioners
before the courts of the United States.
(d) Debarment of attorney. (1) Whenever a Judge finds that a person
acting as attorney for any party to the proceeding is guilty of
unethical or contumacious conduct, in or in connection with a proceeding
, the Judge may order that such person be precluded from further acting
as attorney in the proceeding. An appeal to the Judicial Officer may be
taken from any such order, but no proceeding shall be delayed or
suspended pending disposition of the appeal: Provided, That the Judge
shall suspend the proceeding for a reasonable time for the purpose of
enabling the party to obtain another attorney.
(2) Whenever it is found, after notice and opportunity for hearing,
that a person, who is acting or has acted as attorney for another person
in any proceeding before the United States Department of Agriculture, is
unfit to act as such counsel because of such unethical or contumacious
conduct, such person will be precluded from acting as counsel in any or
all proceedings before the Department as found to be appropriate.
(e) Failure to appear. (1) A respondent who, after being duly
notified, fails to appear at the hearing without good cause, shall be
deemed to have waived the right to an oral hearing in the proceeding and
to have admitted any facts which may be presented at the hearing. Such
failure by the respondent shall also constitute an admission of all the
material allegations of fact contained in the complaint. Complainant
shall have an election whether to follow the procedure set forth in
Sec. 1.139 or whether to present evidence, in whole or in part, in the
form of affidavits or by oral testimony before the Judge. Failure to
appear at a hearing shall not be deemed to be a waiver of the right to
be served with a copy of the Judge's decision and to appeal and request
oral argument before the Judicial Officer with respect thereto in the
manner provided in Sec. 1.145.
(2) If the petitioner in the case of a Petition for Review of a
determination of responsibly connected status within the meaning of 7
U.S.C. 499a(b)(9), having been duly notified, fails to appear at the
hearing without good cause, such petitioner shall be deemed to have
waived the right to a hearing and to have voluntarily withdrawn the
petition for review.
(f) Order of proceeding. Except as may be determined otherwise by
the Judge, the complainant shall proceed first at the hearing.
(g) Written statements of direct testimony. (1) Except as provided
in paragraph (g)(2) of this section, each party must exchange with all
other parties a written narrative verified statement of the oral direct
testimony that the party will provide at any hearing to be conducted by
telephone; the direct testimony of each employee or agent of the party
that the party will call to provide oral direct testimony at any hearing
to be conducted by telephone; and the direct testimony of each expert
witness that the party will call to provide oral direct testimony at any
hearing to be conducted by telephone. The written direct testimony of
witnesses shall be exchanged by the parties at least 10 days prior to
the hearing. The oral direct testimony provided by a
[[Page 43]]
witness at a hearing conducted by telephone will be limited to the
presentation of the written direct testimony, unless the Judge finds
that oral direct testimony which is supplemental to the written direct
testimony would further the public interest and would not constitute
surprise.
(2) The parties shall not be required to exchange testimony in
accordance with this paragraph if the hearing is scheduled to begin less
than 20 days after the Judge's notice stating the time of the hearing.
(h) Evidence--(1) In general. (i) The testimony of witnesses at a
hearing shall be on oath or affirmation and subject to cross-
examination.
(ii) Upon a finding of good cause, the Judge may order that any
witness be examined separately and apart from all other witnesses except
those who may be parties to the proceeding.
(iii) After a witness called by the complainant has testified on
direct examination, any other party may request and obtain the
production of any statement, or part thereof, of such witness in the
possession of the complainant which relates to the subject matter as to
which the witness has testified. Such production shall be made according
to the procedures and subject to the definitions and limitations
prescribed in the Jencks Act (18 U.S.C. 3500).
(iv) Evidence which is immaterial, irrelevant, or unduly
repetitious, or which is not of the sort upon which responsible persons
are accustomed to rely, shall be excluded insofar as practicable.
(2) Objections. (i) If a party objects to the admission of any
evidence or to the limitation of the scope of any examination or cross-
examination or to any other ruling of the Judge, the party shall state
briefly the grounds of such objection, whereupon an automatic exception
will follow if the objection is overruled by the Judge.
(ii) Only objections made before the Judge may subsequently be
relied upon in the proceeding.
(3) Depositions. The deposition of any witness shall be admitted in
the manner provided in and subject to the provisions of Sec. 1.148.
(4) Exhibits. Unless the Judge finds that the furnishing of copies
is impracticable, four copies of each exhibit shall be filed with the
Judge: Provided, That, where there are more than two parties in the
proceeding, an additional copy shall be filed for each additional party.
A true copy of an exhibit may be substituted for the original.
(5) Official records or documents. An official government record or
document or entry therein, if admissible for any purpose, shall be
admissible in evidence without the production of the person who made or
prepared the same, and shall be prima facie evidence of the relevant
facts stated therein. Such record or document shall be evidenced by an
official publication thereof or by a copy certified by a person having
legal authority to make such certification.
(6) Official notice. Official notice shall be taken of such matters
as are judicially noticed by the courts of the United States and of any
other matter of technical, scientific, or commercial fact of established
character: Provided, That the parties shall be given adequate notice of
matters so noticed, and shall be given adequate opportunity to show that
such facts are erroneously noticed.
(7) Offer of proof. Whenever evidence is excluded by the Judge, the
party offering such evidence may make an offer of proof, which shall be
included in the transcript or recording. The offer of proof shall
consist of a brief statement describing the evidence excluded. If the
evidence consists of a brief oral statement, it shall be included in the
transcript or recording in toto. If the evidence consists of an exhibit,
it shall be marked for identification and inserted in the hearing
record. In either event, the evidence shall be considered a part of the
transcript or recording and hearing record if the Judicial Officer, upon
appeal, decides the Judge's ruling excluding the evidence was erroneous
and prejudicial. If the Judicial Officer decides the Judge's ruling
excluding the evidence was erroneous and prejudicial and that it would
be inappropriate to have such evidence considered a part of the hearing
record, the Judicial Officer may direct that the hearing be reopened to
permit the
[[Page 44]]
taking of such evidence or for any other purpose in connection with the
excluded evidence.
(i) Transcript or recording. (1) Hearings to be conducted by
telephone shall be recorded verbatim by electronic recording device.
Hearings conducted by audio-visual telecommunication or the personal
attendance of any individual who is expected to participate in the
hearing shall be transcribed, unless the Judge finds that recording the
hearing verbatim would expedite the proceeding and the Judge orders the
hearing to be recorded verbatim. The Judge shall certify that to the
best of his or her knowledge and belief any recording made pursuant to
this paragraph with exhibits that were accepted into evidence is the
record of the hearing.
(2) If a hearing is recorded verbatim, a party requests the
transcript of a hearing or part of a hearing, and the Judge determines
that the disposition of the proceeding would be expedited by a
transcript of the hearing or part of a hearing, the Judge shall order
the verbatim transcription of the recording as requested by the party.
(3) Recordings or transcripts of hearings shall be made available to
any person at actual cost of duplication.
[42 FR 743, Jan. 4, 1977, as amended at 60 FR 8455, Feb. 14, 1995; 61 FR
11504, Mar. 21, 1996; 68 FR 6340, Feb. 7, 2003]
Sec. 1.142 Post-hearing procedure.
(a) Corrections to transcript or recording. (1) Within the period of
time fixed by the Judge, any party may file a motion proposing
corrections to the transcript or recording.
(2) Unless a party files such a motion in the manner prescribed, the
transcript or recording shall be presumed, except for obvious
typographical errors, to be a true, correct, and complete transcript or
recording of the testimony given at the hearing and to contain an
accurate description or reference to all exhibits received in evidence
and made part of the hearing record, and shall be deemed to be certified
without further action by the Judge.
(3) As soon as practicable after the close of the hearing and after
consideration of any timely objections filed as to the transcript or
recording, the Judge shall issue an order making any corrections to the
transcript or recording which the Judge finds are warranted, which
corrections shall be entered onto the original transcript or recording
by the Hearing Clerk (without obscuring the original text).
(b) Proposed findings of fact, conclusions, orders, and briefs.
Prior to the Judge's decision, each party shall be afforded a reasonable
opportunity to submit for consideration proposed findings of fact,
conclusions, order, and brief in support thereof. A copy of each such
document filed by a party shall be served upon each of the other
parties.
(c) Judge's decision. (1) The Judge may, upon motion of any party or
in his or her own discretion, issue a decision orally at the close of
the hearing, or within a reasonable time after the closing of the
hearing.
(2) If the decision is announced orally, a copy thereof, excerpted
from the transcript or recording, shall be furnished to the parties by
the Hearing Clerk. Irrespective of the date such copy is mailed, the
issuance date of the decision shall be the date the oral decision was
announced.
(3) If the decision is in writing, it shall be filed with the
Hearing Clerk and served upon the parties as provided in Sec. 1.147.
(4) The Judge's decision shall become final and effective without
further proceedings 35 days after the issuance of the decision, if
announced orally at the hearing, or if the decision is in writing, 35
days after the date of service thereof upon the respondent, unless there
is an appeal to the Judicial Officer by a party to the proceeding
pursuant to Sec. 1.145; Provided, however, that no decision shall be
final for purposes of judicial review except a final decision of the
Judicial Officer upon appeal.
[42 FR 743, Jan. 4, 1977, as amended at 53 FR 7177, Mar. 7, 1988; 60 FR
8456, Feb. 14, 1995; 68 FR 6340, Feb. 7, 2003]
Sec. 1.143 Motions and requests.
(a) General. All motions and requests shall be filed with the
Hearing Clerk, and served upon all the parties, except (1) requests for
extensions of time pursuant to Sec. 1.147, (2) requests for subpoenas
pursuant to Sec. 1.149, and (3) motions and requests made on the record
[[Page 45]]
during the oral hearing. The Judge shall rule upon all motions and
requests filed or made prior to the filing of an appeal of the Judge's
decision pursuant to Sec. 1.145, except motions directly relating to
the appeal. Thereafter, the Judicial Officer will rule on any motions
and requests, as well as the motions directly relating to the appeal.
(b) Motions entertained. (1) Any motion will be entertained other
than a motion to dismiss on the pleading.
(2) All motions and request concerning the complaint must be made
within the time allowed for filing an answer.
(c) Contents. All written motions and requests shall state the
particular order, ruling, or action desired and the grounds therefor.
(d) Response to motions and requests. Within 20 days after service
of any written motion or request, or within such shorter or longer
period as may be fixed by the Judge or the Judicial Officer, an opposing
party may file a response to the motion or request. The other party
shall have no right to reply to the response; however, the Judge or the
Judicial Officer, in the Judge's or the Judicial Officer's discretion,
may order that a reply be filed.
(e) Certification to the judicial officer. The submission or
certification of any motion, request, objection, or other question to
the Judicial Officer prior to the filing of an appeal pursuant to Sec.
1.145 shall be made by and in the discretion of the Judge. The Judge may
either rule upon or certify the motion, request, objection, or other
question to the Judicial Officer, but not both.
[42 FR 743, Jan. 4, 1977, as amended at 55 FR 30673, July 27, 1990; 68
FR 6340, Feb. 7, 2003]
Sec. 1.144 Judges.
(a) Assignment. No Judge shall be assigned to serve in any
proceeding who (1) has any pecuniary interest in any matter or business
involved in the proceeding, (2) is related within the third degree by
blood or marriage to any party to the proceeding, or (3) has any
conflict of interest which might impair the Judge's objectivity in the
proceeding.
(b) Disqualification of Judge. (1) Any party to the proceeding may,
by motion made to the Judge, request that the Judge withdraw from the
proceeding because of an alleged disqualifying reason. Such motion shall
set forth with particularity the grounds of alleged disqualification.
The Judge may then either rule upon or certify the motion to the
Secretary, but not both.
(2) A Judge shall withdraw from any proceeding for any reason deemed
by the Judge to be disqualifying.
(c) Powers. Subject to review as provided in this subpart, the
Judge, in any assigned proceeding, shall have power to:
(1) Rule upon motions and requests;
(2) Set the time, place, and manner of a conference and the hearing,
adjourn the hearing, and change the time, place, and manner of the
hearing;
(3) Administer oaths and affirmations;
(4) Issue subpoenas as authorized by the statute under which the
proceeding is conducted, requiring the attendance and testimony of
witnesses and the production of books, contracts, papers, and other
documentary evidence at the hearing;
(5) Summon and examine witnesses and receive evidence at the
hearing;
(6) Take or order the taking of depositions as authorized under
these rules;
(7) Admit or exclude evidence;
(8) Hear oral argument on facts or law;
(9) Require each party to provide all other parties and the Judge
with a copy of any exhibit that the party intends to introduce into
evidence prior to any hearing to be conducted by telephone or audio-
visual telecommunication;
(10) Require each party to provide all other parties with a copy of
any document that the party intends to use to examine a deponent prior
to any deposition to be conducted by telephone or audio-visual
telecommunication;
(11) Require that any hearing to be conducted by telephone or audio-
visual telecommunication be conducted at locations at which the parties
and the Judge are able to transmit and receive documents during the
hearing;
(12) Require that any deposition to be conducted by telephone or
audio-visual
[[Page 46]]
telecommunication be conducted at locations at which the parties are
able to transmit and receive documents during the deposition;
(13) Do all acts and take all measures necessary for the maintenance
of order, including the exclusion of contumacious counsel or other
persons; and
(14) Take all other actions authorized under these rules.
(d) Who may act in the absence of the Judge. In case of the absence
of the Judge or the Judge's inability to act, the powers and duties to
be performed by the Judge under these rules of practice in connection
with any assigned proceeding may, without abatement of the proceeding
unless otherwise directed by the Chief Judge, be assigned to any other
Judge.
[42 FR 743, Jan. 4, 1977, as amended at 60 FR 8456, Feb. 14, 1995; 68 FR
6340, Feb. 7, 2003]
Sec. 1.145 Appeal to Judicial Officer.
(a) Filing of petition. Within 30 days after receiving service of
the Judge's decision, if the decision is a written decision, or within
30 days after issuance of the Judge's decision, if the decision is an
oral decision, a party who disagrees with the decision, any part of the
decision, or any ruling by the Judge or who alleges any deprivation of
rights, may appeal the decision to the Judicial Officer by filing an
appeal petition with the Hearing Clerk. As provided in Sec.
1.141(h)(2), objections regarding evidence or a limitation regarding
examination or cross-examination or other ruling made before the Judge
may be relied upon in an appeal. Each issue set forth in the appeal
petition and the arguments regarding each issue shall be separately
numbered; shall be plainly and concisely stated; and shall contain
detailed citations to the record, statutes, regulations, or authorities
being relied upon in support of each argument. A brief may be filed in
support of the appeal simultaneously with the appeal petition.
(b) Response to appeal petition. Within 20 days after the service of
a copy of an appeal petition and any brief in support thereof, filed by
a party to the proceeding, any other party may file with the Hearing
Clerk a response in support of or in opposition to the appeal and in
such response any relevant issue, not presented in the appeal petition,
may be raised.
(c) Transmittal of record. Whenever an appeal of a Judge's decision
is filed and a response thereto has been filed or time for filing a
response has expired, the Hearing Clerk shall transmit to the Judicial
Officer the record of the proceeding. Such record shall include: the
pleadings; motions and requests filed and rulings thereon; the
transcript or recording of the testimony taken at the hearing, together
with the exhibits filed in connection therewith; any documents or papers
filed in connection with a prehearing conference; such proposed findings
of fact, conclusions, and orders, and briefs in support thereof, as may
have been filed in connection with the proceeding; the Judge's decision;
such exceptions, statements of objections and briefs in support thereof
as may have been filed in the proceeding; and the appeal petition, and
such briefs in support thereof and responses thereto as may have been
filed in the proceeding.
(d) Oral argument. A party bringing an appeal may request, within
the prescribed time for filing such appeal, an opportunity for oral
argument before the Judicial Officer. Within the time allowed for filing
a response, appellee may file a request in writing for opportunity for
such an oral argument. Failure to make such request in writing, within
the prescribed time period, shall be deemed a waiver of oral argument.
The Judicial Officer may grant, refuse, or limit any request for oral
argument. Oral argument shall not be transcribed unless so ordered in
advance by the Judicial Officer for good cause shown upon request of a
party or upon the Judicial Officer's own motion.
(e) Scope of argument. Argument to be heard on appeal, whether oral
or on brief, shall be limited to the issues raised in the appeal or in
the response to the appeal, except that if the Judicial Officer
determines that additional issues should be argued, the parties shall be
given reasonable notice of such determination, so as to permit
preparation of adequate arguments on all issues to be argued.
(f) Notice of argument; postponement. The Hearing Clerk shall advise
all parties of the time and place at which oral
[[Page 47]]
argument will be heard. A request for postponement of the argument must
be made by motion filed a reasonable amount of time in advance of the
date fixed for argument.
(g) Order of argument. The appellant is entitled to open and
conclude the argument.
(h) Submission on briefs. By agreement of the parties, an appeal may
be submitted for decision on the briefs, but the Judicial Officer may
direct that the appeal be argued orally.
(i) Decision of the judicial officer on appeal. As soon as
practicable after the receipt of the record from the Hearing Clerk, or,
in case oral argument was had, as soon as practicable thereafter, the
Judicial Officer, upon the basis of and after due consideration of the
record and any matter of which official notice is taken, shall rule on
the appeal. If the Judicial Officer decides that no change or
modification of the Judge's decision is warranted, the Judicial Officer
may adopt the Judge's decision as the final order in the proceeding,
preserving any right of the party bringing the appeal to seek judicial
review of such decision in the proper forum. A final order issued by the
Judicial Officer shall be filed with the Hearing Clerk. Such order may
be regarded by the respondent as final for purposes of judicial review
without filing a petition for rehearing, reargument, or reconsideration
of the decision of the Judicial Officer.
[42 FR 743, Jan. 4, 1977, as amended at 60 FR 8456, Feb. 14, 1995; 68 FR
6341, Feb. 7, 2003]
Sec. 1.146 Petitions for reopening hearing; for rehearing or reargument
of proceeding; or for reconsideration of the decision of the Judicial
Officer.
(a) Petition requisite--(1) Filing; service; ruling. A petition for
reopening the hearing to take further evidence, or for rehearing or
reargument of the proceeding, or for reconsideration of the decision of
the Judicial Officer, must be made by petition filed with the Hearing
Clerk. Every such petition must state specifically the grounds relied
upon. Any such petition filed prior to the filing of an appeal of the
Judge's decision pursuant to Sec. 1.145 shall be ruled upon by the
Judge, and any such petition filed thereafter shall be ruled upon by the
Judicial Officer.
(2) Petition to reopen hearing. A petition to reopen a hearing to
take further evidence may be filed at any time prior to the issuance of
the decision of the Judicial Officer. Every such petition shall state
briefly the nature and purpose of the evidence to be adduced, shall show
that such evidence is not merely cumulative, and shall set forth a good
reason why such evidence was not adduced at the hearing.
(3) Petition to rehear or reargue proceeding, or to reconsider the
decision of the Judicial Officer. A petition to rehear or reargue the
proceeding or to reconsider the decision of the Judicial Officer shall
be filed within 10 days after the date of service of such decision upon
the party filing the petition. Every petition must state specifically
the matters claimed to have been erroneously decided and alleged errors
must be briefly stated.
(b) Procedure for disposition of petitions. Within 20 days following
the service of any petition provided for in this section, any party to
the proceeding may file with the Hearing Clerk a reply thereto. As soon
as practicable thereafter, the Judge or the Judicial Officer, as the
case may be, shall announce the determination whether to grant or deny
the petition. The decision of the Judicial Officer shall automatically
be stayed pending the determination to grant or deny a timely petition.
Such decision shall not be final for purposes of judicial review until
the petition is denied or the decision is affirmed or modified pursuant
to the petition and the time for judicial review shall begin to run upon
the filing of such final action on the petition. In the event that any
such petition is granted, the applicable rules of practice, as set out
elsewhere herein, shall be followed. A person filing a petition under
this section shall be regarded as the moving party, although such person
shall be referred to as the complainant or respondent, depending upon
the designation in the original proceeding.
Sec. 1.147 Filing; service; extensions of time; and computation of time.
(a) Filing; number of copies. Except as otherwise provided in this
section, all
[[Page 48]]
documents or papers required or authorized by the rules in this part to
be filed with the Hearing Clerk shall be filed in quadruplicate:
Provided, That where there are more than two parties in the proceeding,
an additional copy shall be filed for each additional party. Any
document or paper required or authorized under the rules in this part to
be filed with the Hearing Clerk shall, during the course of an oral
hearing, be filed with the Judge.
(b) Who shall make service. Copies of all such documents or papers
required or authorized by the rules in this part to be filed with the
Hearing Clerk shall be served upon the parties by the Hearing Clerk, or
by some other employee of the Department, or by a U.S. Marshal or deputy
marshal.
(c) Service on party other than the Secretary. (1) Any complaint or
other document initially served on a person to make that person a party
respondent in a proceeding, proposed decision and motion for adoption
thereof upon failure to file an answer or other admission of all
material allegations of fact contained in a complaint, initial decision,
final decision, appeal petition filed by the Department, or other
document specifically ordered by the Judge to be served by certified or
registered mail, shall be deemed to be received by any party to a
proceeding, other than the Secretary or agent thereof, on the date of
delivery by certified or registered mail to the last known principal
place of business of such party, last known principal place of business
of the attorney or representative of record of such party, or last known
residence of such party if an individual, Provided that, if any such
document or paper is sent by certified or registered mail but is
returned marked by the postal service as unclaimed or refused, it shall
be deemed to be received by such party on the date of remailing by
ordinary mail to the same address.
(2) Any document or paper, other than one specified in paragraph
(c)(1) of this section or written questions for a deposition as provided
in Sec. 1.148(d)(2), shall be deemed to be received by any party to a
proceeding, other than the Secretary or agent thereof, on the date of
mailing by ordinary mail to the last known principal place of business
of such party, last known principal place of business of the attorney or
representative of record of such party, or last known residence of such
party if an individual.
(3) Any document or paper served other than by mail, on any party to
a proceeding, other than the Secretary or agent thereof, shall be deemed
to be received by such party on the date of:
(i) Delivery to any responsible individual at, or leaving in a
conspicuous place at, the last known principal place of business of such
party, last known principal place of business of the attorney or
representative of record of such party, or last known residence of such
party if an individual, or
(ii) Delivery to such party if an individual, to an officer or
director of such party if a corporation, or to a member of such party if
a partnership, at any location.
(d) Service on another. Any subpoena, written questions for a
deposition under Sec. 1.148(d)(2), or other document or paper, served
on any person other than a party to a proceeding, the Secretary or agent
thereof, shall be deemed to be received by such person on the date of:
(1) Delivery by certified mail or registered mail to the last known
principal place of business of such person, last known principal place
of business of the attorney or representative of record of such person,
or last known residence of such person if an individual;
(2) Delivery other than by mail to any responsible individual at, or
leaving in a conspicuous place at, any such location; or
(3) Delivery to such party if an individual, to an officer or
director of such party if a corporation, or to a member of such party if
a partnership, at any location.
(e) Proof of service. Any of the following, in the possession of the
Department, showing such service, shall be deemed to be accurate:
(1) A certified or registered mail receipt returned by the postal
service with a signature;
(2) An official record of the postal service;
(3) An entry on a docket record or a copy placed in a docket file by
the Hearing Clerk of the Department or by
[[Page 49]]
an employee of the Hearing Clerk in the ordinary course of business;
(4) A certificate of service, which need not be separate from and
may be incorporated in the document or paper of which it certifies
service, showing the method, place and date of service in writing and
signed by an individual with personal knowledge thereof, Provided that
such certificate must be verified by oath or declaration under penalty
of perjury if the individual certifying service is not a party to the
proceeding in which such document or paper is served, an attorney or
representative of record for such a party, or an official or employee of
the United States or of a State or political subdivision thereof.
(f) Extensions of time. The time for the filing of any document or
paper required or authorized under the rules in this part to be filed
may be extended by the Judge or the Judicial Officer as provided in
Sec. 1.143, if, in the judgment of the Judge or the Judicial Officer,
as the case may be, there is good reason for the extension. In all
instances in which time permits, notice of the request for extension of
the time shall be given to the other party with opportunity to submit
views concerning the request.
(g) Effective date of filing. Any document or paper required or
authorized under the rules in this part to be filed shall be deemed to
be filed at the time when it reaches the Hearing Clerk; or, if
authorized to be filed with another officer or employee of the
Department it shall be deemed to be filed at the time when it reaches
such officer or employee.
(h) Computation of time. Saturdays, Sundays and Federal holidays
shall be included in computing the time allowed for the filing of any
document or paper: Provided, That, when such time expires on a Saturday,
Sunday, or Federal holiday, such period shall be extended to include the
next following business day.
[42 FR 743, Jan. 4, 1977, as amended at 55 FR 30674, July 27, 1990; 60
FR 8456, Feb. 14, 1995; 68 FR 6341, Feb. 7, 2003]
Sec. 1.148 Depositions.
(a) Motion for taking deposition. Upon the motion of a party to the
proceeding, the Judge may, at any time after the filing of the
complaint, order the taking of testimony by deposition. The Motion shall
be in writing, shall be filed with the Hearing Clerk, and shall set
forth:
(1) The name and address of the proposed deponent;
(2) The name and address of the person (referred to hereafter in
this section as the ``officer'') qualified under the regulations in this
part to take depositions, before whom the proposed examination is to be
made;
(3) The proposed time and place of the examination, which shall be
at least 15 days after the date of the mailing of the motion; and
(4) The reasons why such deposition should be taken, which shall be
solely for the purpose of eliciting testimony which otherwise might not
be available at the time of hearing, for uses as provided in paragraph
(g) of this section.
(b) Judge's order for taking deposition. (1) If the Judge finds that
the testimony may not be otherwise available at the hearing, the taking
of the deposition may be ordered. The order shall be filed with the
Hearing Clerk and shall state:
(i) The time of the deposition;
(ii) The place of the deposition;
(iii) The manner of the deposition (telephone, audio-visual
telecommunication, or personal attendance of those who are to
participate in the deposition);
(iv) The name of the officer before whom the deposition is to be
made; and
(v) The name of the deponent. The officer and the time, place, and
manner need not be the same as those suggested in the motion for the
deposition.
(2) The deposition shall be conducted by telephone unless the Judge
determines that conducting the deposition by audio-visual
telecommunication:
(i) Is necessary to prevent prejudice to a party;
(ii) Is necessary because of a disability of any individual expected
to participate in the deposition; or
(iii) Would cost less than conducting the deposition by telephone.
If the Judge determines that a deposition conducted by audio-visual
telecommunication would measurably increase the United States Department
[[Page 50]]
of Agriculture's cost of conducting the deposition, the deposition shall
be conducted by personal attendance of any individual who is expected to
participate in the deposition or by telephone.
(3) If the deposition is not conducted by telephone, the deposition
shall be conducted by audio-visual telecommunication unless the Judge
determines that conducting the deposition by personal attendance of any
individual who is expected to participate in the deposition:
(i) Is necessary to prevent prejudice to a party;
(ii) Is necessary because of a disability of any individual expected
to participate in the deposition; or
(iii) Would cost less than conducting the deposition by telephone or
audio-visual telecommunication.
(c) Qualifications of officer. The deposition shall be made before
the Judge or before an officer authorized by the law of the United
States or by the law of the place of the examination to administer
oaths, or before an officer authorized by the Secretary to administer
oaths.
(d) Procedure on examination. (1) The deponent shall be examined
under oath or affirmation and shall be subject to cross-examination.
Objections to questions or documents shall be in short form, stating the
grounds of objections relied upon. The questions proponded, together
with all objections made (but not including argument or debate), shall
be recorded verbatim. In lieu of oral examination, parties may transmit
written questions to the officer prior to the examination and the
officer shall propound such questions to the deponent.
(2) The applicant shall arrange for the examination of the witness
either by oral examination, or by written questions upon agreement of
the parties or as directed by the Judge. If the examination is conducted
by means of written questions, copies of the applicant's questions must
be received by the other party to the proceeding and the officer at
least 10 days prior to the date set for the examination unless otherwise
agreed, and any cross questions of a party other than the applicant must
be received by the applicant and the officer at any time prior to the
time of the examination.
(e) Certification by officer. The officer shall certify on the
deposition that the deponent was duly sworn and that the deposition is a
true record of the deponent's testimony. The officer shall then securely
seal the deposition, together with one copy thereof (unless there are
more than two parties in the proceeding, in which case there should be
another copy for each additional party), in an envelope and mail the
same by registered or certified mail to the Hearing Clerk.
(f) Corrections to the transcript or recording. (1) At any time
prior to the hearing, any party may file a motion proposing corrections
to the transcript or recording of the deposition.
(2) Unless a party files such a motion in the manner prescribed, the
transcript or recording shall be presumed, except for obvious
typographical errors, to be a true, correct, and complete transcript or
recording of the testimony given in the deposition proceeding and to
contain an accurate description or reference to all exhibits in
connection therewith, and shall be deemed to be certified correct
without further procedure.
(3) At any time prior to use of the deposition in accordance with
paragraph (g) of this section and after consideration of any objections
filed thereto, the Judge may issue an order making any corrections in
the transcript or recording which the Judge finds are warranted, which
corrections shall be entered onto the original transcript or recording
by the Hearing Clerk (without obscuring the original text).
(g) Use of deposition. A deposition ordered and taken in accordance
with the provisions of this section may be used in a proceeding under
these rules if the Judge finds that the evidence is otherwise admissible
and (1) that the witness is dead; (2) that the witness is unable to
attend or testify because of age, sickness, infirmity, or imprisonment;
(3) that the party offering the deposition has endeavored to procure the
attendance of the witness by subpoena, but has been unable to do so; or
(4) that such exceptional circumstances exist as to make it desirable,
in the interests of justice, to allow the deposition to be
[[Page 51]]
used. If the party upon whose motion the deposition was taken refuses to
offer it in evidence, any other party may offer the deposition or any
part thereof in evidence. If only part of a deposition is offered in
evidence by a party, an adverse party may require the introduction of
any other part which ought in fairness to be considered with the part
introduced, and any party may introduce any other parts.
[42 FR 743, Jan. 4, 1977, as amended at 55 FR 30674, July 27, 1990; 60
FR 8456, Feb. 14, 1995; 68 FR 6341, Feb. 7, 2003]
Sec. 1.149 Subpoenas.\3\
---------------------------------------------------------------------------
\3\ This section relates only to subpoenas for the stated purpose
and has no relevance with respect to investigatory subpoenas.
---------------------------------------------------------------------------
(a) Issuance of subpoenas. The attendance and testimony of witnesses
and the production of documentary evidence from any place in the United
States on behalf of any party to the proceeding may be required by
subpoena at any designated place of hearing if authorized by the statute
under which the proceeding is conducted. Subpoenas shall be issued by
the Judge upon a reasonable showing by the applicant of the grounds and
necessity thereof; and with respect to subpoenas for the production of
documents, the request shall also show their competency, relevancy, and
materiality. All requests for subpoenas shall be in writing, unless
waived by the Judge for good cause shown. Except for good cause shown,
requests for subpoenas shall be received by the Judge at least 10 days
prior to the date set for the hearing.
(b) Service of subpoenas. Subpoenas may be served by any person not
less than 18 years of age. The party at whose instance a subpoena is
issued shall be responsible for service thereof. Subpoenas shall be
served as provided in Sec. 1.147.
[42 FR 743, Jan. 4, 1977, as amended at 55 FR 30674, July 27, 1990; 60
FR 8457, Feb. 14, 1995; 68 FR 6341, Feb. 7, 2003]
Sec. 1.150 Fees of witnesses.
Witnesses summoned under these rules of practice shall be paid the
same fees and mileage that are paid witnesses in the courts of the
United States, and witnesses whose depositions are taken, and the
officer taking the same, shall be entitled to the same fees as are paid
for like services in the courts of the United States. Fees shall be paid
by the party at whose instance the witness appears or the deposition is
taken.
Sec. 1.151 Ex parte communications.
(a) At no stage of the proceeding between its institution and the
issuance of the final decision shall the Judge or Judicial Officer
discuss ex parte the merits of the proceeding with any person who is
connected with the proceeding in an advocative or in an investigative
capacity, or with any representative of such person: Provided, That
procedural matters shall not be included within this limitation; and
Provided further, That the Judge or Judicial Officer may discuss the
merits of the case with such a person if all parties to the proceeding,
or their attorneys have been given notice and an opportunity to
participate. A memorandum of any such discussion shall be included in
the record.
(b) No interested person shall make or knowingly cause to be made to
the Judge or Judicial Officer an ex parte communication relevant to the
merits of the proceeding.
(c) If the Judge or the Judicial Officer receives an ex parte
communication in violation of this section, the one who receives the
communication shall place in the public record of the proceeding:
(1) All such written communications;
(2) Memoranda stating the substance of all such oral communications;
and
(3) All written responses, and memoranda stating the substance of
all oral responses thereto.
(d) Upon receipt of a communication knowingly made or knowingly
caused to be made by a party in violation of this section, the Judge or
Judicial Officer may, to the extent consistent with the interests of
justice and the policy of the underlying statute, require the party to
show cause why his claim or interest in the proceeding should not be
dismissed, denied, disregarded, or otherwise adversely affected on
account of such violation.
[[Page 52]]
(e) To the extent consistent with the interests of justice and the
policy of the underlying statute, a violation of this section shall be
sufficient grounds for a decision adverse to the party who knowingly
commits a violation of this section or who knowingly causes such a
violation to occur.
(f) For purposes of this section ex parte communication means an
oral or written communication not on the public record with respect to
which reasonable prior notice to all parties is not given, but it shall
not include requests for status reports on any matter or the proceeding.
Subpart I_Rules of Practice Governing Cease and Desist Proceedings Under
Section 2 of the Capper-Volstead Act
Authority: 7 U.S.C. 291, 292; 7 CFR 2.35, 2.41.
Source: 45 FR 6587, Jan. 29, 1980, unless otherwise noted.
Sec. 1.160 Scope and applicability of rules in this part.
The rules of practice in this part shall be applicable to cease and
desist proceedings, initiated upon complaint by the Secretary of
Agriculture, pursuant to section 2 of the Capper-Volstead Act.
Sec. 1.161 Definitions.
As used in this part, words in the single form shall be deemed to
import the plural, and vice versa, as the case may require. The
following terms shall be construed, respectively, to mean:
Act means the Capper-Volstead Act, approved February 18, 1922, 42
Stat. 388, 7 U.S.C. 291, 292.
Association means a cooperative association, a federation of
cooperatives, or other association of agricultural producers, as defined
in section 1 of the Act.
Complainant or Secretary means the Secretary of Agriculture, United
States Department of Agriculture, or any officer(s) or employee(s) to
whom authority has heretofore been delegated, or whom authority may
hereafter be delegated, to act in his or her stead.
Complaint means a formal complaint instituted by the Secretary of
Agriculture requiring respondent to show cause why an order should not
be made directing it to cease and desist from acts of monopolization or
restraint of trade, which result in undue price enhancement.
Decision means: (1) the Judge's decision, and includes (i) findings
and conclusions and the reasons or basis therefor on all material issues
of fact, law, or discretion, (ii) order, and (iii) rulings on proposed
findings, conclusions and order submitted by the parties, and (2) the
decision and order by the Judicial Officer upon an appeal of the Judge's
decision.
Hearing means that part of the proceeding which involves the
submission of evidence before the Judge for the record in the
proceeding.
Hearing Clerk means the Hearing Clerk, United States Department of
Agriculture, Washington, DC 20250.
Judge means any Administrative Law Judge appointed pursuant to 5
U.S.C. 3105 (the Administrative Procedure Act) and assigned to the
proceeding involved.
Judicial Officer means an official of the United States Department
of Agriculture delegated authority by the Secretary, pursuant to the Act
of April 4, 1940 (7 U.S.C. 450c-450g) and Reorganization Plan No. 2 of
1953 (5 U.S.C. App. (1988)), to perform the function involved (Sec.
2.35(a) of this chapter), or the Secretary if he or she exercises the
authority so delegated.
Respondent means the cooperative associations, or association,
against whom a complaint has been issued.
[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8457, Feb. 14, 1995]
Sec. 1.162 Institution of proceedings.
(a) Filing of information. Any person having information that any
agricultural association, as defined in the Capper-Volstead Act, is
engaged in any practice which monopolizes or restrains trade in
interstate or foreign commerce to such an extent that the price of any
agricultural product is unduly enhanced by reason thereof, may submit
such information to the Secretary. Such information shall be in writing
and shall contain a complete
[[Page 53]]
statement of facts detailing the price enhancement and the practices
alleged.
(b) Consideration of information. The Secretary shall consider all
information filed under paragraph (a) of this section, and any other
information which the Secretary may obtain relating to a violation of
section 2 of the Act. If the Secretary finds that there is reason to
believe that any association monopolizes or restrains trade in
interstate or foreign commerce to such an extent that the price of any
agricultural product is unduly enhanced thereby the Secretary shall
cause a complaint to be filed, requiring the association to show cause
why an order should not be made directing the association to cease and
desist from such monopolization or restraint of trade. The complaint
shall be filed with the Hearing Clerk, who shall assign to the
proceeding a docket number and effect service upon respondent.
[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8457, Feb. 14, 1995]
Sec. 1.163 The complaint.
The complaint shall state briefly all allegations of fact which
constitute a basis for the proceeding, and shall designate a time and
place for the hearing in the matter, which shall be at least 30 days
after the service of the complaint upon the respondent.
Sec. 1.164 Answer.
(a) Filing and service. Within 20 days after service of the
complaint, or such other time as may be specified therein, the
respondent shall file with the Hearing Clerk, an answer, signed by the
respondent or the respondent's attorney. The answer shall be served upon
the complainant by the Hearing Clerk.
(b) Contents. The answer shall clearly admit, deny, or offer an
explanation in response to each of the allegations of the complaint, and
shall clearly set forth any affirmative defense.
(c) Default. Failure to file an answer shall constitute an admission
of the allegations in the complaint, and may be the basis for a decision
upon the presentation of a prima facie case by the complainant.
[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8457, Feb. 14, 1995]
Sec. 1.165 Amendments.
Amendments to the complaint may be made prior to the filing of an
answer in which case the time for filing the answer shall be extended 20
days or for other time agreed to by the parties. After the answer is
filed, amendments to the complaint, or to the answer or other pleading,
may be made by agreement of the parties or allowed at the discretion of
the Judge. In case of an amendment which significantly changes the
issues, the hearing shall, on the request of a party, be postponed or
adjourned for a reasonable period, if the Judge determines that such
action is necessary to avoid prejudice to the party.
Sec. 1.166 Consent order.
At any time, complainant and respondent may agree to the entry of a
consent order. Such order shall be entered by the Judge (prior to a
decision) or the Judicial Officer (after a decision by the Judge), and
become effective on the date specified therein.
Sec. 1.167 Conference.
(a) Purpose. Upon motion of a party or upon the Judge's own motion,
the Judge may direct the parties to attend a conference when the Judge
finds that the proceeding would be expedited by discussions on matters
of procedure and/or possible stipulations. The conference may include
discussions regarding:
(1) Simplification of the issues;
(2) Limitation of expert or other witnesses;
(3) The orderly presentation of evidence; and
(4) Any other matters that may expedite and aid in the disposition
of the proceeding.
(b) Manner of the Conference. (1) The conference shall be conducted
by telephone or correspondence unless the Judge determines that
conducting the conference by audio-visual telecommunication:
(i) Is necessary to prevent prejudice to a party;
(ii) Is necessary because of a disability of any individual expected
to participate in the conference; or
[[Page 54]]
(iii) Would cost less than conducting the conference by telephone or
correspondence. If the Judge determines that a conference conducted by
audio-visual telecommunication would measurably increase the United
States Department of Agriculture's cost of conducting the conference,
the conference shall be conducted by personal attendance of any
individual who is expected to participate in the conference, by
telephone, or by correspondence.
(2) If the conference is not conducted by telephone or
correspondence, the conference shall be conducted by audio-visual
telecommunication unless the Judge determines that conducting the
conference by personal attendance of any individual who is expected to
participate in the conference:
(i) Is necessary to prevent prejudice to a party;
(ii) Is necessary because of a disability of any individual expected
to participate in the conference; or
(iii) Would cost less than conducting the conference by audio-visual
telecommunication.
[60 FR 8457, Feb. 14, 1995]
Sec. 1.168 Procedure for hearing.
(a) Time and place. The oral hearing shall be held at such time and
place as specified in the complaint, and not less than 30 days after
service thereof. The time and place of the hearing may be changed for
good cause, by the Judge, upon motion of either complainant or
respondent.
(b) Manner of hearing. (1) The Judge shall file with the Hearing
Clerk a notice stating whether the hearing will be conducted by
telephone, audio-visual telecommunication, or personal attendance of any
individual expected to attend the hearing and the Judge's determination
regarding the manner of hearing shall be made in accordance with
paragraphs (b)(3) and (b)(4) of this section. If any change in the
manner of the hearing is made, the Judge shall file with the Hearing
Clerk a notice of the change, which notice shall be served on the
parties, unless it is made during the course of an oral hearing and made
part of the transcript or recording, or actual notice is given to the
parties.
(2)(i) Any party may move that the hearing be conducted by telephone
or personal attendance of any individual expected to attend the hearing
rather than by audio-visual telecommunication. Any motion that the
hearing be conducted by telephone or personal attendance of any
individual expected to attend the hearing must be accompanied by a
memorandum in support of the motion stating the basis for the motion and
the circumstances that require the hearing to be conducted other than by
audio-visual telecommunication.
(ii) Within 10 days after the Judge issues a notice stating the
manner in which the hearing is to be conducted, any party may move that
the Judge reconsider the manner in which the hearing is to be conducted.
Any motion for reconsideration must be accompanied by a memorandum in
support of the motion stating the basis for the motion and the
circumstances that require the hearing to be conducted other than in
accordance with the Judges's notice.
(3) The hearing shall be conducted by audio-visual telecommunication
unless the Judge determines that conducting the hearing by personal
attendance of any individual who is expected to participate in the
hearing:
(i) Is necessary to prevent prejudice to a party;
(ii) Is necessary because of a disability of any individual expected
to participate in the hearing; or
(iii) Would cost less than conducting the hearing by audio-visual
telecommunication. If the Judge determines that a hearing conducted by
audio-visual telecommunication would measurably increase the United
States Department of Agriculture's cost of conducting the hearing, the
hearing shall be conducted by personal attendance of any individual who
is expected to participate in the hearing or by telephone.
(4) The Judge may, in his or her sole discretion or in response to a
motion by a party to the proceeding, conduct the hearing by telephone if
the Judge finds that a hearing conducted by telephone:
(i) Would provide a full and fair evidentiary hearing;
[[Page 55]]
(ii) Would not prejudice any party; and
(iii) Would cost less than conducting the hearing by audio-visual
telecommunication or personal attendance of any individual who is
expected to participate in the hearing.
(c) Appearances. The parties may appear in person or by counsel or
by other representative. Persons who appear as counsel or in a
representative capacity must conform to the standards of ethical conduct
required of practitioners before the courts of the United States.
(d) Order of proceeding. Except as otherwise may be agreed by the
parties and approved by the Judge, the complainant shall proceed first
at the hearing.
(e) Failure to appear. If respondent, after being duly notified,
fails to appear at the hearing, and no good cause for such failure is
established, complainant shall present a prime facie case on the matters
denied in the answer.
(f) Written statements of direct testimony. (1) Except as provided
in paragraph (f)(2) of this section, each party must exchange with all
other parties a written narrative verified statement of the oral direct
testimony that the party will provide at any hearing to be conducted by
telephone; the direct testimony of each employee or agent of the party
that the party will call to provide oral direct testimony at any hearing
to be conducted by telephone; and the direct testimony of each expert
witness that the party will call to provide oral direct testimony at any
hearing to be conducted by telephone. The written direct testimony of
witnesses shall be exchanged by the parties at least 10 days prior to
the hearing. The oral direct testimony provided by a witness at a
hearing conducted by telephone will be limited to the presentation of
the written direct testimony, unless the Judge finds that oral direct
testimony which is supplemental to the written direct testimony would
further the public interest and would not constitute surprise.
(2) The parties shall not be required to exchange testimony in
accordance with this paragraph if the hearing is scheduled to begin less
than 20 days after the Judge's notice stating the time of the hearing.
(g) Evidence. (1) The testimony of witnesses at the hearing shall be
upon oath or affirmation, transcribed or recorded verbatim, and subject
to cross-examination. Evidence which is immaterial, irrelevant, or
unduly repetitious, or which is not of the sort upon which responsible
persons are accustomed to rely, shall be excluded insofar as
practicable.
(2) Objections. If a party objects to the admission of any evidence
or to the limitation of the scope of any examination or cross-
examination, the party shall briefly state the grounds of such
objections, whereupon an automatic exception will follow if the
objection is overruled by the Judge. The ruling of the Judge on any
objection shall be part of the transcript or recording. Only objections
made before the Judge may subsequently be relied upon in the proceeding.
(3) Official records or documents. An official record or document,
if admissible for any purpose, shall be admissible in evidence without
the production of the person who made or prepared the same, and shall be
prima facie evidence of the relevant facts stated therein. Such record
or document shall be evidenced by an official publication thereof, or by
a copy certified by a person having legal authority to make such
certification.
(4) Exhibits. Unless the Judge finds that the furnishing of multiple
copies is impracticable, four copies of each exhibit shall be filed with
the Judge unless the Judge finds that a greater or lesser number is
desirable. A true copy of an exhibit may be substituted for the
original.
(5) Official notice. Official notice shall be taken of such matters
as are judicially noticed by the courts of the United States and of any
other matter of technical, scientific, or commercial fact of established
character: Provided, That the opposing party shall be given adequate
opportunity to show that such facts are erroneously noticed.
(6) Offer of proof. Whenever evidence is deleted from the record,
the party offering such evidence may make an offer of proof, which shall
be included in the transcript or recording. The
[[Page 56]]
offer of proof shall consist of a brief statement describing the
evidence excluded. If the evidence consists of a brief oral statement or
of an exhibit, it shall be inserted into the transcript or recording in
toto. In such event, it shall be considered a part of the transcript or
recording and record if the Judicial Officer decides that the Judge's
ruling in excluding the evidence was erroneous and prejudicial. The
Judge shall not allow the insertion of such excluded evidence in toto if
the taking of such evidence will consume considerable time at the
hearing. In the latter event, if the Judicial Officer decides that the
Judge's ruling excluding the evidence was both prejudicial and
erroneous, the hearing may be reopened to permit the taking of such
evidence.
(7) Affidavits. Affidavits may be submitted into evidence, in lieu
of witness testimony, only to the extent, and in the manner agreed upon
by the parties.
(h) Transcript or recording. (1) Hearings to be conducted by
telephone shall be recorded verbatim by electronic recording device.
Hearings conducted by audio-visual telecommunication or the personal
attendance of any individual who is expected to participate in the
hearing shall be transcribed, unless the Judge finds that recording the
hearing verbatim would expedite the proceeding and the Judge orders the
hearing to be recorded verbatim. The Judge shall certify that to the
best of his or her knowledge and belief any recording made pursuant to
this paragraph with exhibits that were accepted into evidence is the
record of the hearing.
(2) If a hearing is recorded verbatim, a party requests the
transcript of a hearing or part of a hearing, and the Judge determines
that the disposition of the proceeding would be expedited by a
transcript of the hearing or part of a hearing, the Judge shall order
the verbatim transcription of the recording as requested by the party.
(3) Recordings or transcripts of hearings shall be made available to
any person at actual cost of duplication.
[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8457, Feb. 14, 1995]
Sec. 1.169 Post-hearing procedure and decision.
(a) Corrections to transcript or recording. (1) At any time, but not
later than the time fixed for filing proposed findings of fact,
conclusions and order, or briefs, as the case may be, any party may file
a motion proposing corrections to the transcript or recording.
(2) Unless a party files such a motion in the manner prescribed, the
transcript or recording shall be presumed, except for obvious
typographical errors, to be a true, correct, and complete transcript or
recording of the testimony given at the hearing and to contain an
accurate description or reference to all exhibits received in evidence
and made part of the hearing record.
(3) At any time prior to the filing of the Judge's decision and
after consideration of any objections filed as to the transcript or
recording, the Judge may issue an order making any corrections in the
transcript or recording which the Judge finds are warranted, which
corrections shall be entered onto the original transcript or recording
by the Hearing Clerk (without obscurring the original text).
(b) Proposed findings of fact, conclusions, order and briefs. The
parties may file with the Hearing Clerk proposed findings of fact,
conclusions and orders based solely upon the record and on matters
subject to official notice, and briefs in support thereof. The Judge
shall announce at the hearing a definite period of time within which
these documents may be filed.
(c) Judge's decision. The Judge, within a reasonable time after the
termination of the period allowed for the filing of proposed findings of
fact, conclusions and order, and briefs in support thereof, shall
prepare, upon the basis of the record and matters officially noticed,
and shall file with the Hearing Clerk, the Judge's decision, a copy of
which shall be served by the Hearing Clerk upon each of the parties.
Such decision shall become final and effective without further
proceedings 35 days after the date of service thereof upon the
respondent, unless there is an appeal to the Judicial Officer by a party
to the proceeding pursuant to Sec. 1.170: Provided, That no decision
shall
[[Page 57]]
be final for purposes of a request for Judicial Review, as provided in
Sec. 1.175(a), except a final decision of the Judicial Officer on
appeal.
[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8458, Feb. 14, 1995]
Sec. 1.170 Appeal to the Judicial Officer.
(a) Filing of petition. Within 30 days after receiving service of
the Judge's decision, a party who disagrees with the decision, or any
part thereof, or any ruling by the Judge or any alleged deprivation of
rights, may appeal such decision to the Judicial Officer by filing an
appeal petition with the Hearing Clerk. As provided in Sec.
1.168(g)(2), objections regarding evidence or a limitation regarding
examination or cross-examination or other ruling made before the Judge
may be relied upon in an appeal. Each issue set forth in the petition,
and the arguments thereon, shall be separately numbered; shall be
plainly and concisely stated; and shall contain detailed citations to
the record, statutes, regulations or authorities being relied upon in
support thereof. A brief may be filed in support of the appeal
simultaneously with the petition.
(b) Response to appeal petition. Within 20 days after the service of
a copy of an appeal petition and any brief in support thereof, filed by
a party to the proceeding, any other party may file with the Hearing
Clerk a response in support of or in opposition to the appeal and in
such response any relevant issue, not presented in the appeal petition,
may be raised.
(c) Transmittal of record. Whenever an appeal of a Judge's decision
is filed and a response thereto has been filed or time for filing a
response has expired, the Hearing Clerk shall transmit to the Judicial
Officer the record of the proceeding. Such record shall include: the
pleadings; motions and requests filed and rulings thereon; the
transcript or recording of the testimony taken at the hearing, together
with the exhibits filed in connection therewith; any documents or papers
filed in connection with a prehearing conference; such proposed findings
of fact, conclusions, and orders, and briefs in support thereof, as may
have been filed in connection with the proceeding; the Judge's decision;
such exceptions, statements of objections and briefs in support thereof
as may have been filed in the proceeding; and the appeal petition, and
such briefs in support thereof and responses thereto as may have been
filed in the proceeding.
(d) Oral argument. A party bringing an appeal may request, within
the prescribed time for filing such appeal, an opportunity for oral
arguments before the Judicial Officer. Within the time allowed for
filing a response, appellee may file a request in writing for
opportunity for such an oral argument. Failure to make such request in
writing, within the prescribed time period, shall be deemed a waiver of
oral argument. The Judicial Officer may grant, refuse, or limit any
request for oral argument. Oral argument shall not be transcribed unless
so ordered in advance by the Judicial Officer for good cause shown upon
request of a party or upon the Judicial Officer's own motion.
(e) Scope of argument. Argument to be heard on appeal, whether oral
or on brief, shall be limited to the issues raised in the appeal or in
the response to the appeal, except that if the Judicial Officer
determines that additional issues should be argued, the parties shall be
given reasonable notice of such determination, so as to permit
preparation of adequate arguments on all issues to be argued.
(f) Notice of argument; Postponement. The Hearing Clerk shall advise
all parties of the time and place at which oral argument will be heard.
A request for postponement of the argument must be made by motion filed
a reasonable amount of time in advance of the date fixed for argument.
(g) Order of argument. The appellant is entitled to open and
conclude the argument.
(h) Submission on briefs. By agreement of the parties, an appeal may
be submitted for decision on the briefs, but the Judicial Officer may
direct that the appeal be argued orally.
(i) Decision of the judicial officer on appeal. As soon as
practicable after the receipt of the record from the Hearing Clerk, or,
in case oral argument was had, as soon as practicable thereafter, the
Judicial Officer, upon the basis of and after due consideration of the
record and any matter of which official
[[Page 58]]
notice is taken, shall rule on the appeal. If the Judicial Officer
decides that no change or modification of the Judge's decision is
warranted, the Judicial Officer may adopt the Judge's decision as the
final order in the proceeding, preserving any right of the party
bringing the appeal to seek judicial review of such decision in the
proper forum. A final order issued by the Judicial Officer shall be
filed with the Hearing Clerk. Such order may be regarded by the
respondent as final for purposes of a request for judicial review as
provided in Sec. 1.175(a).
[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8458, Feb. 14, 1995]
Sec. 1.171 Intervention.
Intervention under these rules shall not be allowed, except that, in
the discretion of the Judicial Officer, or the Judge, any person showing
a substantial interest in the outcome of the proceeding shall be
permitted to participate in oral or written argument pursuant to
Sec. Sec. 1.169 and 1.170.
[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8458, Feb. 14, 1995]
Sec. 1.172 Motions and requests.
(a) General. All motions and requests shall be filed with the
Hearing Clerk, and shall be served upon the parties, except those made
on record during the oral hearing. The Judge shall rule upon all motions
and requests filed or made prior to the filing of the certification of
the transcript or recording. Thereafter, the Judicial Officer will rule
on any motions or requests.
(b) Motions entertained. Any motion will be entertained except a
motion to dismiss on the pleadings. All motions and requests concerning
the complaint must be made within the time allowed for filing an answer.
(c) Contents. All written motions and requests shall state the
particular order, ruling, or action desired and the grounds therefor.
(d) Response to motions in request. Within ten days after service of
any written motion or request, or within such shorter or longer period
as may be fixed by the Judge or the Judicial Officer the opposing party
may file a response to the motion or request.
(e) Certification to the judicial officer. The submission or
certification of any motion, request, objection, or other question to
the Judicial Officer prior to the time when the Judge's certification of
the transcript is filed with the Hearing Clerk, shall be made by and in
the discretion of the Judge. The Judge may either rule upon or certify
the motion, request, objection, or other question to the Judicial
Officer, but not both.
[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8458, Feb. 14, 1995]
Sec. 1.173 Judges.
(a) Assignment. No Judge shall be assigned to serve in any
proceeding who (1) has any pecuniary interest in any matter or business
involved in the proceeding, (2) is related within the third degree by
blood or marriage to any party to the proceeding, or (3) has
participated in the investigation preceding the institution of the
proceeding or in determination that it should be instituted or in the
preparation of the moving paper or in the development of the evidence to
be introduced therein.
(b) Disqualification of Judge. (1) Any party to the proceeding may,
by motion made to the Judge, request that the Judge disqualify himself
or herself and withdraw from the proceeding. Such motion shall set forth
with particularity the alleged disqualification. The Judge may then
either rule upon or certify the motion to the Judicial Officer, but not
both.
(2) A Judge will withdraw from any proceeding in which the Judge
deems himself or herself disqualified for any reason.
(c) Conduct. At no stage of the proceeding between its institution
and the issuance of the final decision shall the Judicial Officer or the
Judge discuss ex parte the merits of the proceeding with any person who
is connected with the proceeding as an advocate or in an investigative
capacity, or with any representative of such person: Provided, That
procedural matters shall not be included within the limitation: and
Provided further, That the Judicial Officer of Judge may discuss the
merits of
[[Page 59]]
the case with such a person if all parties to the proceeding, or their
representatives, have been given an opportunity to be present. Any
memorandum or other communication addressed to the Judicial Officer or a
Judge, during the pendency of the proceeding, and relating to the merits
thereof, by or on behalf of any party or any interested person, shall be
filed with the Hearing Clerk. A copy thereof shall be served upon the
parties to the proceeding, and, in the discretion of the Judge or the
Judicial Officer, opportunity may be given to file a reply thereto
within a specified period.
(d) Powers. Subject to review by the Judicial Officer as provided
elsewhere in this part, the Judge, in any proceeding assigned to him or
her shall have power to:
(1) Rule upon motions and requests;
(2) Set the time, place, and manner of any conference, set the
manner of the hearing, adjourn the hearing, and change the time, place,
and manner of the hearing;
(3) Administer oaths and affirmations;
(4) Examine witnesses and receive relevant evidence;
(5) Admit or exclude evidence;
(6) Hear oral argument on facts or law;
(7) Require each party to provide all other parties and the Judge
with a copy of any exhibit that the party intends to introduce into
evidence prior to any hearing to be conducted by telephone or audio-
visual telecommunication;
(8) Require that any hearing to be conducted by telephone or audio-
visual telecommunication be conducted at locations at which the parties
and the Judge are able to transmit and receive documents during the
hearing;
(9) Do all acts and take all measures necessary for the orderly
presentation of evidence, maintenance of order, and the efficient
conduct of the proceeding.
(e) Who may act in the absence of the Judge. In case of the absence
of the Judge or upon the Judge's inability to act, the powers and duties
to be performed by the Judge under these Rules of Practice in connection
with a proceeding assigned to the Judge may, without abatement of the
proceeding, be assigned to any other Judge.
[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8458, Feb. 14, 1995]
Sec. 1.174 Filing; service; extensions of time; and computation of time.
(a) Filing; Number of Copies. Except as otherwise provided by the
Judge or the Secretary, all documents or papers required or authorized
by the rules in this part to be filed with the Hearing Clerk shall be
filed in quadruplicate: Provided, That, where there are parties to the
proceeding in addition to complainant and respondent, an additional copy
shall be filed for each such additional party. Any document or paper,
required or authorized under the rules in this part to be filed with the
Hearing Clerk, shall, during the course of an oral hearing, be filed
with the Judge.
(b) Service; proof of service. Copies of all such documents or
papers required or authorized by the rules in this part to be filed with
the Hearing Clerk, shall be served upon the parties by the Hearing
Clerk, or by some other employee of the Department, or by a U.S. Marshal
or his Deputy. Service shall be made either (1) by delivering a copy of
the document or paper to the individual to be served or to a member of
the partnership to be served, or to the president, secretary, or other
executive officer or any director of the corporation or association to
be served, or to the attorney or agent of record of such individual,
partnership, corporation, organization, or association; or (2) by
leaving a copy of the document or paper at the principal office or place
of business or residence of such individual, partnership, corporation,
organization, or association, or of his or its attorney or agent of
record and mailing by regular mail another copy to each person at such
address; or (3) by registering or certifying and mailing a copy of the
document or paper, addressed to such individual, partnership,
corporation, organization, or association, or to his or its attorney or
agent of record, at his or its last known residence or principal office
or place of business: Provided, That if the registered or certified
document or paper
[[Page 60]]
is returned undelivered because the addressee refused or failed to
accept delivery, the document or paper shall be served by remailing it
by regular mail. Proof of service hereunder shall be made by the
certification of the person who actually made the service: Provided,
That if the service be made by mail, as outlined in paragraph (b)(3) of
this section proof of service shall be made by the return post office
receipt, in the case of registered or certified mail, or by the
certificate of the person who mailed the matter by regular mail. The
certificate and post office receipt contemplated herein shall be filed
with the Hearing Clerk, and the fact of filing thereof shall be noted in
the record of the proceeding.
(c) Extension of time. The time for the filing of any document or
paper required or authorized under the rules in this part to be filed
may be extended by the Judge prior to the filing of the certification of
the transcript or recording if there is good reason for the extension.
In all instances in which time permits, notice of the request for
extension of the time shall be given to the other party with opportunity
to submit views concerning the request.
(d) Effective date of filing. Any document or paper required or
authorized under the rules in this part to be filed shall be deemed to
be filed at the time when it reaches the Department of Agriculture in
Washington, D.C.; or, if authorized to be filed with an officer or
employee of the Department at any place outside the District of
Columbia, it shall be deemed to be filed at the time when it reaches the
office of such officer or employee.
(e) Computation of time. Saturdays, Sundays and Federal holidays
shall be included in computing the time allowed for the filing of any
document or paper: Provided, That when such time expires on a Saturday,
Sunday or Federal holiday, such period shall be extended to include the
next following business day.
[45 FR 6587, Jan. 29, 1980, as amended at 60 FR 8459, Feb. 14, 1995]
Sec. 1.175 Procedure following entry of cease and desist order.
(a) Request for judicial review. An association subject to a cease
and desist order may, within thirty days following the date of the
order, request the Secretary to institute proceedings for judicial
review of the order. Such request shall, to the extent practicable,
identify findings of fact, conclusions of law, and any part of the order
which the association claims are in error. The Secretary shall,
thereupon, file in the district in the judicial district in which such
association has its principal place of business, a certified copy of the
order and of all records in the proceeding, including the request of the
association, together with a petition asking that the order be affirmed
and enforced.
(b) Enforcement. If an association subject to a cease and desist
order fails or neglects, within thirty days of the date of the order, or
at any time thereafter, to obey such order, and has not made a request
for judicial review as provided above, the Secretary shall file in the
district court in the judicial district in which such association has
its principal place of business a certified copy of the order and of all
[chyph]records in the proceeding, together with a petition asking that
the order be enforced.
(c) Notice. The Secretary shall give notice of the filing of a
petition for enforcement or review to the Attorney General, and to the
association, by service of a copy of the petition.
Subpart J_Procedures Relating to Awards Under the Equal Access to
Justice Act in Proceedings Before the Department
Source: 67 FR 63237, Oct. 11, 2002, unless otherwise noted.
General Provisions
Sec. 1.180 Definitions.
(a) The definitions contained in Sec. 1.132 of this part are
incorporated into and made applicable to this subpart.
(b) Adjudicative Officer means an administrative law judge,
administrative judge, or other person assigned to conduct a proceeding
covered by EAJA.
(c) Agency means an organizational unit of the Department whose head
reports to an official in the Office of the Secretary.
[[Page 61]]
(d) Agency counsel means the attorney from the Office of the General
Counsel representing the agency of the Department administering the
statute involved in the proceeding.
(e) Days means calendar days.
(f) Department means the United States Department of Agriculture.
Sec. 1.181 Purpose of these rules.
The Equal Access to Justice Act, 5 U.S.C. 504 (called ``EAJA'' in
this subpart), provides for the award of attorney fees and other
expenses to eligible individuals and entities who are parties to certain
administrative proceedings (called ``adversary adjudications'') before
the Department. An eligible party may receive an award when it prevails
over the Department unless the position of the Department was
substantially justified or special circumstances make an award unjust.
Alternatively, an eligible party may receive an award in connection with
an adversary adjudication arising from an agency action to enforce the
party's compliance with a statutory or regulatory requirement where the
demand by the agency is substantially in excess of the decision of the
adjudicative officer and is unreasonable when compared with such
decision under the facts and circumstances of the case. The rules in
this subpart describe the parties eligible for awards and the
proceedings that are covered. They also explain how to apply for awards,
and the procedures and standards that the Department will use to make
awards.
Sec. 1.182 When EAJA applies.
EAJA applies to any adversary adjudication pending or commenced
before the Department on or after August 5, 1985, except with respect to
a proceeding covered under Sec. 1.183(a)(1)(iii) of this part, which is
effective on or after October 21, 1986. In addition, the provisions of
Sec. 1.185(b) relating to award for excessive demand apply only to
adversary adjudications commenced on or after March 29, 1996. Changes in
maximum rates for attorney fees are effective as of October 11, 2002.
Sec. 1.183 Proceedings covered.
(a)(1) The rules in this subpart apply to adversary adjudications.
These are:
(i) Adjudications required by statute to be conducted by the
Department under 5 U.S.C. 554 in which the position of the Department or
any other agency of the United States, or any component of an agency, is
presented by an attorney or other representative who enters an
appearance and participates in the proceeding,
(ii) Appeals of decisions of contracting officers made pursuant to
section 6 of the Contract Disputes Act of 1978 (41 U.S.C. 605) before
the Agriculture Board of Contract Appeals as provided in section 8 of
that Act (41 U.S.C. 607), and
(iii) Any hearing conducted under chapter 38 of title 31, United
States Code.
(2) Any proceeding in which the Department may prescribe a lawful
present or future rate is not covered by EAJA. Proceedings to grant or
renew licenses also are excluded, but proceedings to modify, suspend, or
revoke licenses are covered if they are otherwise ``adversary
adjudications.'' The proceedings covered include adversary adjudications
under the following statutory provisions.
Agricultural Marketing Agreement Act of 1937 (7 U.S.C. 608c(15)(A))
Animal Health Protection Act, sections 10414 and 10415 (7 U.S.C. 8313
and 8314).
Animal Quarantine Laws (21 U.S.C. 104, 117, 122, 127, 134e, and 135a)
Animal Welfare Act (7 U.S.C. 2149)
Archaeological Resources Protection Act (16 U.S.C. 470ff)
Beef Research and Information Act (7 U.S.C. 2912)
Capper-Volstead Act (7 U.S.C. 292)
Cotton Research and Promotion Act (7 U.S.C. 2111)
Egg Products Inspection Act (21 U.S.C. 1047)
Egg Research and Consumer Information Act (7 U.S.C. 2713, 2714(b))
Endangered Species Act (16 U.S.C. 1540(a))
Federal Land Policy and Management Act (43 U.S.C. 1766)
Federal Meat Inspection Act (21 U.S.C. 604, 606, 607(e), 608, 671)
Federal Seed Act (7 U.S.C. 1599)
Horse Protection Act (15 U.S.C. 1823(c), 1825)
Packers and Stockyards Act (7 U.S.C. 193, 204, 213, 218d, 221)
Perishable Agricultural Commodities Act (7 U.S.C. 499c(c), 499d(d),
499f(c), 499h(a), 499h(b), 499h(c), 499i, 499m(a))
Plant Protection Act (7 U.S.C. 7734, 7735, and 7736)
Potato Research and Promotion Act (7 U.S.C. 2620)
[[Page 62]]
Poultry Products Inspection Act (21 U.S.C. 455, 456, 457(d), 467)
Swine Health Protection Act (7 U.S.C. 3804(b), 3805(a))
Title V of the Agricultural Risk Protection Act of 2000, section 501(a)
(7 U.S.C. 2279e).
U.S. Cotton Standards Act (7 U.S.C. 51b, 53)
U.S. Grain Standards Act (7 U.S.C. 79(g)(3), 85, 86)
U.S. Warehouse Act (7 U.S.C. 246, 253)
Virus-Serum-Toxin Act (21 U.S.C. 156)
Wheat and Wheat Foods Research and Nutrition Education Act (7 U.S.C.
3409)
(b) The failure of the Department to identify a type of proceeding
as an adversary adjudication shall not preclude the filing of an
application by a party who believes the proceeding is covered by EAJA;
whether the proceeding is covered will then be an issue for resolution
in proceedings on the application.
(c) If a proceeding includes both matters covered by EAJA and
matters specifically excluded from coverage, any award made will include
only fees and expenses related to covered issues.
[67 FR 63237, Oct. 11, 2002, as amended at 67 FR 70674, Nov. 26, 2002]
Sec. 1.184 Eligibility of applicants.
(a) To be eligible for an award of attorney fees and other expenses
under EAJA, the applicant must meet one of the following conditions:
(1) The applicant must be a prevailing party to the adversary
adjudication for which it seeks an award; or
(2) The applicant must be a party to an adversary adjudication
arising from an agency action to enforce the party's compliance with a
statutory or regulatory requirement in which the demand by the agency
was substantially in excess of the decision of the adjudicative officer
and the demand is unreasonable when compared with such decision under
the facts and circumstances of the case.
(b) In addition to the criteria set out in paragraph (a) of this
section, a party seeking an award must be one of the following:
(1) An individual with a net worth of not more than $2 million;
(2) The sole owner of an unincorporated business who has a net worth
of not more than $7 million, including both personal and business
interests, and not more than 500 employees;
(3) A charitable or other tax-exempt organization described in
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3))
with not more than 500 employees;
(4) A cooperative association as defined in section 15(a) of the
Agricultural Marketing Act (2 U.S.C. 1141j(a)) with not more than 500
employees;
(5) Any other partnership, corporation, association, unit of local
government, or organization with a net worth of not more than $7 million
and nor more than 500 employees;
(6) For purposes only of paragraph (a)(2) of this section, a small
entity as defined in 5 U.S.C. 601.
(c) For the purpose of eligibility, the net worth and number of
employees of an applicant shall be determined as of the date the
adversary adjudication was initiated: Provided, that for purposes of
eligibility in proceedings covered by Sec. 1.183(a)(1)(ii) of this
part, the net worth and number of employees of an applicant shall be
determined as of the date the applicant filed its appeal under 41 U.S.C.
606.
(d) In interpreting the criteria set forth in paragraph (b) of this
section, the following apply:
(1) An applicant who owns an unincorporated business will be
considered as an ``individual'' rather than a ``sole owner of an
unincorporated business'' if the issues on which the applicant prevails
are related primarily to personal interests rather than to business
interests.
(2) The employees of an applicant include all persons who regularly
perform services for remuneration for the applicant, under the
applicant's direction and control. Part-time employees shall be included
on a proportional basis.
(3) The net worth and number of employees of the applicant and all
of its affiliates shall be aggregated to determine eligibility. Any
individual, corporation, or other entity that directly or indirectly
controls or owns a majority of the voting shares or other interest of
the applicant, or any corporation or other entity of which the applicant
directly or indirectly owns or controls a majority of the voting shares
or
[[Page 63]]
other interest, will be considered an affiliate for purposes of this
subpart, unless the adjudicative officer determines such treatment would
be unjust and contrary to the purposes of EAJA in light of the actual
relationship between the affiliated entities. In addition, the
adjudicative officer may determine that financial relationships of the
applicant other than those described in this paragraph constitute
special circumstances that would make an award unjust.
(4) An applicant that participates in a proceeding primarily on
behalf of one or more other person or entity that would be ineligible is
not itself eligible for an award.
Sec. 1.185 Standards for awards.
(a) Prevailing party. (1) A prevailing applicant may receive an
award for fees and expenses incurred in connection with a proceeding, or
in a significant and discrete substantive portion of the proceeding,
unless the position of the Department was substantially justified. The
position of the Department includes, in addition to the position taken
by the Department in the adversary adjudication, the action or failure
to act by the Department upon which the adversary adjudication is based.
The burden of proof that an award should not be made to an eligible
prevailing applicant because the position of the Department was
substantially justified is on the agency.
(2) An award to a prevailing applicant will be reduced or denied if
the applicant has unduly or unreasonably protracted the proceeding or if
special circumstances make the award sought unjust.
(b) Excessive demand. (1) If, in an adversary adjudication arising
from an agency action to enforce a party's compliance with a statutory
or regulatory requirement, the demand by the agency is substantially in
excess of the decision of the adjudicative officer and is unreasonable
when compared with such decision under the facts and circumstances of
the case, the adjudicative officer shall award to the party the fees and
other expenses related to defending against the excessive demand, unless
the party has committed a willful violation of law or otherwise acted in
bad faith, or special circumstances make an award unjust. Fees and
expenses awarded under this paragraph shall be paid only as a
consequence of appropriations provided in advance.
(2) ``Demand'' means the express demand of the agency which led to
the adversary adjudication, but does not include a recitation by the
agency of the maximum statutory penalty:
(i) In the administrative complaint, or
(ii) Elsewhere when accompanied by an express demand for a lesser
amount.
Sec. 1.186 Allowable fees and expenses.
(a) Awards will be based on rates customarily charged by persons
engaged in the business of acting as attorneys, agents, and expert
witnesses, even if the services were made available without charge or at
reduced rate to the applicant.
(b) No award for the fee of an attorney or agent under the rules in
this subpart may exceed $125.00 per hour. No award to compensate an
expert witness may exceed the highest rate at which the Department pays
expert witnesses, which is set out at Sec. 1.150 of this part. However,
an award also may include the reasonable expenses of the attorney,
agent, or witness as a separate item, if the attorney, agent, or witness
ordinarily charges clients separately for such expenses.
(c) In determining the reasonableness of the fee sought for an
attorney, agent, or expert witness, the adjudicative officer shall
consider the following:
(1) If the attorney, agent or witness is in private practice, his or
her customary fee for similar services, or if an employee of the
applicant, the fully allocated cost of the services;
(2) The prevailing rate for similar services in the community in
which the attorney, agent, or witness ordinarily performs services;
(3) The time actually spent in the representation of the applicant;
(4) The time reasonably spent in light of the difficulty or
complexity of the issues in the proceeding; and
(5) Such other factors as may bear on the value of the services
provided.
[[Page 64]]
(d) The reasonable cost of any study, analysis, engineering report,
test, project or similar matter prepared on behalf of a party may be
awarded, to the extent that the charge for the service does not exceed
the prevailing rate for similar services, and the study or other matter
was necessary for preparation of the applicant's case.
Sec. 1.187 Rulemaking on maximum rates for attorney fees.
(a) If warranted by an increase in the cost of living or by special
circumstances (such as limited availability of attorneys qualified to
handle certain types of proceedings), the Department may adopt
regulations providing that attorney fees may be awarded at a rate higher
than $125 per hour in some or all of the types of proceedings covered by
this part. The Department will conduct any rulemaking proceedings for
this purpose under the informal rulemaking procedures of the
Administrative Procedure Act.
(b) Any person may file with the Department a petition for
rulemaking to increase the maximum rate for attorney fees in accordance
with Sec. 1.28 of this part. The petition should identify the rate the
petitioner believes the Department should establish and the types of
proceedings in which the rate should be used. It also should explain
fully the reasons why the higher rate is warranted. The Department will
respond to the petition within 60 days after it is filed, by initiating
a rulemaking proceeding, denying the petition, or taking other
appropriate action.
Sec. 1.188 Awards against other agencies.
If an applicant is entitled to an award because it prevails over
another agency of the United States that participates in a proceeding
before the Department and takes a position that is not substantially
justified, the award or an appropriate portion of the award shall be
made against that agency.
Sec. 1.189 Delegations of authority.
(a) Except as provided in paragraph (b) of this section, the
Secretary of Agriculture delegates to the Judicial Officer authority to
take final action on matters pertaining to the Act in proceedings
covered by these rules. The Secretary by order may delegate authority to
take final action on matters pertaining to the Act in particular cases
to other subordinate officials or bodies.
(b)(1) The Secretary of Agriculture delegates to the Director of the
National Appeals Division authority to take final actions on matters
pertaining to the Act for proceedings under 7 CFR part 11.
(2) With respect to proceedings covered under Sec. 1.183(b)(1)(ii)
of this part, the Board of Contract Appeals is authorized by statute (41
U.S.C. 607) to take final action.
[68 FR 27435, May 20, 2003]
Information Required From Applicants
Sec. 1.190 Contents of application.
(a) An application for an award of fees and expenses under EAJA
shall identify the applicant and the proceeding for which an award is
sought. Unless the applicant is an individual, the application shall
state the number of employees of the applicant and describe briefly the
type and purpose of its organization or business. The application shall
also:
(1) Show that the applicant has prevailed and identify the position
of the Department that the applicant alleges was not substantially
justified and shall briefly state the basis for such allegation; or
(2) Show that the demand by the Department in the proceeding was
substantially in excess of, and was unreasonable when compared with, the
decision in the proceeding.
(b) The application also shall, as appropriate, include a
declaration that the applicant is a small entity as defined in 5 U.S.C.
601 or a statement that the applicant's net worth does not exceed $2
million (if an individual) or $7 million (for all other applicants,
including their affiliates). However, an applicant may omit this
statement if:
(1) It attaches a copy of a ruling by the Internal Revenue Service
that it qualifies as an organization described in section 501(c)(3) of
the Internal Revenue Code (26 U.S.C. 501(c)(3)) or, in the case of a
tax-exempt organization not
[[Page 65]]
required to obtain a ruling from the Internal Revenue Service on its
exempt status, a statement that describes the basis for the applicant's
belief that it qualifies under such section; or
(2) It states that it is a cooperative association as defined in
section 15(a) of the Agricultural Marketing Act (12 U.S.C. 114j(a)).
(c) The application shall state the amount of fees and expenses for
which an award is sought.
(d) The application also may include any other matters that the
applicant wishes the Department to consider in determining whether, and
in what amount, an award should be made.
(e) The application shall be signed by the applicant or an
authorized officer or attorney of the applicant. It also shall contain
or be accompanied by a written verification under oath or affirmation
under penalty of perjury that the information provided in the
application and all accompanying material is true and complete to the
best of the signer's information and belief.
Sec. 1.191 Net worth exhibit.
(a) An applicant, except a qualified tax-exempt organization or
cooperative association, must provide with its application a detailed
exhibit showing the net worth of the applicant and any affiliates (as
defined in Sec. 1.184 of this part) when the proceeding was initiated.
The exhibit may be in any form convenient to the applicant that provides
full disclosure of the applicant's and its affiliates' assets and
liabilities and is sufficient to determine whether the applicant
qualifies under the standards in this subpart. The adjudicative officer
may require an applicant to file additional information to determine its
eligibility for an award.
(b) Ordinarily, the net worth exhibit will be included in the public
record of the proceeding. However, an applicant that objects to public
disclosure of information in any portion of the exhibit and believes
there are legal grounds for withholding it from disclosure may submit
that portion of the exhibit directly to the adjudicative officer in a
sealed envelope labeled ``Confidential Financial Information,''
accompanied by a motion to withhold the information from public
disclosure. The motion shall describe the information sought to be
withheld and explain, in detail, why it falls within one or more of the
specific exemptions from mandatory disclosure under the Freedom of
Information Act, 5 U.S.C. 552(b) (1) through (9). The material in
question shall be served on counsel representing the agency against
which the applicant seeks an award, but need not be served on any other
party to the proceeding. If the adjudicative officer finds that the
information should not be withheld from disclosure, it shall be placed
in the public record of the proceeding. Otherwise, any request to
inspect or copy the exhibit shall be disposed of in accordance with the
established procedures of the Department under the Freedom of
Information Act (Sec. Sec. 1.1 through 1.23 of this part).
Sec. 1.192 Documentation of fees and expenses.
(a) The application shall be accompanied by full documentation of
the fees and expenses, including the cost of any study, analysis,
engineering report, test, project, or similar matter, for which an award
is sought.
(b) The documentation shall include an affidavit from any attorney,
agent, or expert witness representing or appearing on behalf of the
party, stating the actual time expended and the rate at which fees and
other expenses were computed and describing the specific services
performed.
(1) The affidavit shall state the services performed. In order to
establish the hourly rate, the affidavit shall state the hourly rate
which is billed and paid by the majority of clients during the relevant
time periods.
(2) If no hourly rate is paid by the majority of clients because,
for instance, the attorney or agent represents most clients on a
contingency basis, the attorney or agent shall provide information about
two attorneys or agents with similar experience, who perform similar
work, stating their hourly rate.
(c) The documentation also shall include a description of any
expenses for which reimbursement is sought and a statement of the
amounts paid and payable by the applicant or by any
[[Page 66]]
other person or entity for the services provided.
(d) The adjudicative officer may require the applicant to provide
vouchers, receipts, or other substantiation for any fees or expenses
claimed, pursuant to Sec. 1.199 of this part.
Sec. 1.193 Time for filing application.
(a) An application may be filed whenever the applicant has prevailed
in the proceeding or in a significant and discrete substantive portion
of the proceeding, but in no case later than 30 days after final
disposition of the proceeding by the Department.
(b) For the purposes of this subpart, final disposition means the
date on which a decision or order disposing of the merits of the
proceeding or any other complete resolution of the proceeding, such as a
settlement or voluntary dismissal, become final and unappealable, both
within the Department and to the courts.
(c) If review or reconsideration is sought or taken of a decision as
to which an applicant believes it has prevailed, proceedings for the
award of fees shall be stayed pending final disposition of the
underlying controversy. When the United States appeals the underlying
merits of an adversary adjudication to a court, no decision on an
application for fees and other expenses in connection with that
adversary adjudication shall be made until a final and unreviewable
decision is rendered by the court on the appeal or until the underlying
merits of the case have been finally determined pursuant to the appeal.
Procedures for Considering Applications
Sec. 1.194 Filing and service of documents.
Any application for an award or other pleading or document related
to an application shall be filed and served on all parties to the
proceeding in the same manner as other pleadings in the proceeding
except as provided in Sec. 1.191 of this part for confidential
financial information. The provisions relating to filing, service,
extensions of time, and computation of time contained in Sec. 1.147 of
this part are incorporated into and made applicable to this subpart,
except that the statutory 30 day time limit on filing the application as
set out in Sec. 1.193 of this part may not be extended.
Sec. 1.195 Answer to application.
(a) Within 30 days after service of an application, agency counsel
may file an answer. If agency counsel fails to timely answer or settle
the application, the adjudicative officer, upon a satisfactory showing
of entitlement by the applicant, may make an award for the applicant's
allowable fees and expenses.
(b) If agency counsel and the applicant believe that the issues in
the fee application can be settled, they may jointly file a statement of
intent to negotiate a settlement. The filing of this statement shall
extend the time for filing an answer for an additional 30 days, and
further extensions may be granted by the adjudicative officer upon
request by agency counsel and the applicant.
(c) The answer shall explain in detail any objections to the award
requested and identify the facts relied on in support of agency
counsel's position. If the answer is based on any alleged facts not
already in the record of the proceeding, agency counsel shall include
with the answer either supporting affidavits or a request for further
proceedings under Sec. 1.199 of this part.
Sec. 1.196 Reply.
Within 15 days after service of an answer, the applicant may file a
reply. If the reply is based on any alleged facts not already in the
record of the proceeding, the applicant shall include with the reply
either supporting affidavits or a request for further proceedings under
Sec. 1.199 of this part.
Sec. 1.197 Comments by other parties.
Any party to a proceeding other than the applicant and agency
counsel may file comments on an application within 30 days after it is
served or on an answer within 15 days after it is served. A commenting
party may not participate further in proceedings on the application,
unless the adjudicative officer determines that the public interest
requires such participation in order to
[[Page 67]]
permit full exploration of matters raised in the comments.
Sec. 1.198 Settlement.
The applicant and agency counsel may agree on a proposed settlement
of the award before final action on the application, either in
connection with a settlement of the underlying proceeding, or after the
underlying proceeding has been concluded. If a prevailing party and
agency counsel agree on a proposed settlement of an award before an
application has been filed, the application shall be filed with the
proposed settlement.
Sec. 1.199 Further proceedings.
(a) Ordinarily, the determination of an award will be made on the
basis of the written record. However, on request of either the applicant
or agency counsel, or on his or her own initiative, the adjudicative
officer may order further proceedings, such as an informal conference,
oral argument, additional written submissions or, as to issues other
than substantial justification (such as the applicant's eligibility or
substantiation of fees and expenses), pertinent discovery or an
evidentiary hearing. Such further proceedings shall be held only when
necessary for full and fair resolution of the issues arising from the
application, and shall be conducted as promptly as possible. Whether the
position of the Department was substantially justified shall be
determined on the basis of the administrative record, as a whole, which
is made in the adversary adjudication for which fees and other expenses
are sought.
(b) A request that the adjudicative officer order further
proceedings under this section shall identify specifically the
information sought or the disputed issues, and shall explain
specifically why the additional proceedings are necessary to resolve the
issues.
(c) In the event that an evidentiary hearing is held, it shall be
conducted pursuant to Sec. Sec. 1.130 through 1.151 of this part,
except that any hearing in a proceeding covered by Sec. 1.183(a)(1)(ii)
of this part shall be conducted pursuant to Rules 17 through 25 of the
Board of Contract Appeals contained in Sec. 24.21 of this title.
Sec. 1.200 Decision.
The adjudicative officer or Board of Contract Appeals shall issue an
initial decision on the application as expeditiously as possible after
completion of proceedings on the application. Whenever possible, the
decision shall be made by the same administrative judge or panel that
decided the contract appeal for which fees are sought. The decision
shall include written findings and conclusions on the applicant's
eligibility and status as a prevailing party, and an explanation of the
reasons for any difference between the amount requested and the amount
awarded. This decision also shall include, if at issue, findings on
whether the position of the Department was substantially justified,
whether the applicant unduly protracted the proceedings, or whether
special circumstances make an award unjust. If the applicant has sought
an award against more than one agency, the decision shall allocate
responsibility for payment of any award made among the agencies, and
shall explain the reasons for the allocation made.
Sec. 1.201 Department review.
(a) Except with respect to a proceeding covered by Sec.
1.183(a)(1)(ii) of this part either the applicant or agency counsel may
seek review of the initial decision on the fee application, in
accordance with the provisions of Sec. Sec. 1.145(a) and 1.146(a) of
this part or in accordance with any delegation made pursuant to Sec.
1.189 of this part. If neither the applicant nor agency counsel seeks
review, the initial decision on the fee application shall become a final
decision of the Department 35 days after it is served upon the
applicant. If review is taken, it will be in accord with the provisions
of Sec. Sec. 1.145(b) through (i) and 1.146(b) of this part, or
(b) With respect to a proceeding covered by Sec. 1.183(a)(1)(ii) of
this part, either party may seek reconsideration of the decision on the
fee application in accordance with Rule 29 of the Board of Contract
Appeals contained in Sec. 24.21 of this title. In addition, either
party may appeal a decision of the Board of Contract Appeals to the
Court of Appeals for the Federal Circuit in accordance with 41 U.S.C.
607.
[[Page 68]]
Sec. 1.202 Judicial review.
Judicial review of final agency decisions on awards may be sought as
provided in 5 U.S.C. 504(c)(2).
Sec. 1.203 Payment of award.
An applicant seeking payment of an award shall submit to the head of
the agency administering the statute involved in the proceeding a copy
of the final decision of the Department granting the award, accompanied
by a statement that the applicant will not seek review of the decision
in the United States courts. The agency will pay the amount awarded to
the applicant within 60 days, unless judicial review of the award or of
the underlying decision of the adversary adjudication has been sought by
the applicant or any other party to the proceeding.
Subpart K_Appearance of USDA Employees as Witnesses in Judicial or
Administrative Proceedings
Source: 55 FR 42347, Oct. 19, 1990, unless otherwise noted.
Sec. 1.210 Purpose.
This subpart sets forth procedures governing the appearance of USDA
employees as witnesses in order to testify or produce official documents
in judicial or administrative proceedings when such appearance is in
their official capacity or arises out of or is related to their
employment with USDA. These regulations do not apply to appearances by
USDA employees as witnesses in judicial or administrative proceedings
which are purely personal or do not arise out of or relate to their
employment with USDA. This subpart also does not apply to Congressional
requests or subpoenas for testimony or documents.
Sec. 1.211 Definitions.
(a) Administrative proceeding means any proceeding pending before
any federal, state, or local agency and undertaken for the purpose of
the issuance of any regulations, orders, licenses, permits, or other
rulings, or the adjudication of any matter, dispute, or controversy.
(b) Appearance means testimony or production of documents the
request for which arises out of an employee's official duties with USDA
or relates to his or her employment with USDA. For the purpose of this
subpart, an appearance also includes an affidavit, deposition,
interrogatory, or other required written submission.
(c) Judicial proceeding means any case or controversy pending before
any federal, state, or local court.
(d) Travel expenses means the amount of money paid to a witness for
reimbursement for transportation, lodging, meals, and other
miscellaneous expenses in connection with attendance at a judicial or
administrative proceeding.
(e) USDA means the United States Department of Agriculture.
(f) USDA agency means an organizational unit of USDA whose head
reports to an official within the Office of the Secretary of
Agriculture.
(g) Valid summons, subpoena, or other compulsory process means an
order that is served properly and within the legal authority and the
jurisdictional boundaries of the court or administrative agency or
official that has issued it.
(h) Witness fees means the amount of money paid to a witness as
compensation for attendance at a judicial or administrative proceeding.
Sec. 1.212 General.
No USDA employee may provide testimony or produce documents in a
judicial or administrative proceeding unless authorized in accordance
with this subpart.
Sec. 1.213 Appearance as a witness on behalf of the United States.
An employee of USDA may appear as a witness on behalf of the United
States in any judicial or administrative proceeding without the issuance
of a summons, subpoena, or other compulsory process. Employees should
obtain permission for such an appearance from their immediate supervisor
unless the USDA agency or General Counsel has issued instructions
providing otherwise.
[[Page 69]]
Sec. 1.214 Appearance as a witness on behalf of a party other than
the United States where the United States is not a party.
(a) An employee of USDA served with a valid summons, subpoena, or
other compulsory process demanding his or her appearance, or otherwise
requested to appear on behalf of a party other than the United States in
a judicial or administrative proceeding in which the United States is
not a party, shall promptly notify the head of his or her USDA agency of
the existence and nature of the order compelling his or her appearance,
or of the document requesting his or her attendance. He or she shall
also specify, if that is known, the nature of the judicial or
administrative proceeding and the nature of the testimony or documents
requested.
(b)(1) An employee of USDA served with a valid summons, subpoena, or
other compulsory process, or requested to appear as a witness on behalf
of a party other than the United States in a judicial or administrative
proceeding in which the United States is not a party, may appear only if
such appearance has been authorized by the head of his or her USDA
agency, with the concurrence of the General Counsel, based upon a
determination that such an appearance is in the interest of USDA.
(2) An employee of USDA requested to appear as a witness on behalf
of a party other than the United States in a judicial or administrative
proceeding in which the United States is not a party, without the
service of a valid summons, subpoena, or other compulsory process, may
appear only if such appearance has been authorized by the head of his or
her USDA agency and approved by the appropriate Assistant Secretary,
Under Secretary or other general officer, and by the General Counsel,
based upon a determination that such an appearance is in the interest of
USDA.
(c) Unless an appearance is authorized as provided in paragraphs
(b)(1) or (b)(2) of this section, the employee shall appear at the
stated time and place (unless advised by the General Counsel or his or
her designee that the summons, subpoena, or other process was not
validly issued or served), produce a copy of these regulations and
respectfully decline to provide any testimony. As appropriate, the
General Counsel or his or her designee will request the assistance of
the Department of Justice or of a United States Attorney, in the case of
a judicial proceeding; or of the official or attorney representing the
United States, in the case of an administrative proceeding, to represent
the interests of the employee and USDA.
(d) If there is any question regarding the validity of a summons,
subpoena, or other compulsory process, an employee shall contact the
Office of the General Counsel for advice.
(e)(1) In determining whether the employee's appearance is in the
interest of USDA, authorizing officials should consider the following:
(i) what interest of USDA would be promoted by the employee's
testimony;
(ii) whether an appearance would result in an unnecessary
interference with the duties of the USDA employee;
(iii) whether an employee's testimony would result in the appearance
of improperly favoring one litigant over another.
(2) The considerations listed in paragraph (e)(1) of this section
are illustrative and not exhaustive.
Sec. 1.215 Subpoenas duces tecum for USDA records in judicial or
administrative proceedings in which the United States is not a party.
(a) Subpoenas duces tecum for USDA records in judicial or
administrative proceedings in which the United States is not a party
shall be deemed to be requests for records under the Freedom of
Information Act and shall be handled pursuant to the rules governing
public disclosure under subpart A of this part.
(b) Whenever a subpoena duces tecum compelling the production of
records is served on a USDA employee in a judicial or administrative
proceeding in which the United States is not a party, the employee,
after consultation with the General Counsel or his or her designee,
shall appear in response thereto, respectfully decline to produce the
records on the grounds that it is prohibited by this section and state
that the production of the records involved
[[Page 70]]
will be handled in accordance with subpart A of this part.
Sec. 1.216 Appearance as a witness or production of documents on
behalf of a party other than the United States where the United
States is a party.
(a) An employee of USDA served with a valid summons, subpoena, or
other compulsory process demanding his or her appearance, or otherwise
requested to appear or produce documents on behalf of a party other than
the United States in a judicial or administrative proceeding in which
the United States is a party, shall promptly notify the head of his or
her USDA agency and the General Counsel or his or her designee of the
existence and nature of the order compelling his or her appearance, or
of the document requesting his or her appearance. He or she shall also
specify, if that is known, the nature of the judicial or administrative
proceeding and the nature of the testimony or documents requested.
(b)(1) Except as provided in paragraph (b)(2) of this section, an
employee of USDA only may appear as a witness or produce records on
behalf of a party other than the United States in a judicial or
administrative proceeding in which the United States is a party if such
appearance or production has been ordered by the service on the employee
of a valid summons, subpoena, or other compulsory process issued by a
court, administrative agency, or other official authorized to compel his
or her appearance.
(2) An employee requested to appear as a witness or produce records
on behalf of a party other than the United States in a judicial or
administrative proceeding in which the United States is a party, without
being served a valid summons, subpoena, or other compulsory process, may
appear or produce records only if such appearance or production has been
authorized by a representative of the Department of Justice, the United
States Attorney, or other counsel who is representing the United States
in the case of a judicial proceeding; or by the official or attorney
representing the United States, in the case of an administrative
proceeding.
(c) The head of the USDA agency shall consult with the General
Counsel or his or her designee as to whether there are grounds to oppose
the employee's attendance or production of documents and, if so, whether
to seek to quash the summons, subpoena, compulsory process, or to deny
authorization under paragraph (b)(2) of this section.
(d) As appropriate, the General Counsel or his or her designee will
request the assistance of the Department of Justice, a United States
Attorney, or other counsel representing the United States, in the case
of a judicial proceeding; or of the official or attorney representing
the United States, in the case of an administrative proceeding, to
represent the interest of the employee and USDA.
(e) If there is any question regarding the validity of a summons,
subpoena, or other compulsory process, an employee shall contact the
Office of the General Counsel for advice.
Sec. 1.217 Witness fees and travel expenses.
(a) Any employee of USDA who attends a judicial or administrative
proceeding as a witness in order to testify or produce official
documents on behalf of the United States is entitled to travel expenses
in connection with such appearance in accordance with the Agriculture
Travel Regulations.
(b) An employee of USDA who attends a judicial or administrative
proceeding on behalf of the United States is not entitled to receive
fees for such attendance.
(c) An employee of USDA who attends a judicial or administrative
proceeding on behalf of a party other than the United States when such
appearance is in his or her official capacity or arises out of or
relates to his or her employment with USDA is entitled to travel
expenses in accordance with the Agriculture Travel Regulations to the
extent that such expenses are not paid for by the court, agency, or
official compelling his or her appearance or by the party on whose
behalf he or she appears.
(d) An employee of USDA who attends a judicial or administrative
proceeding on behalf of a party other than
[[Page 71]]
the United States when such appearance is in his or her official
capacity or arises out of or relates to his or her employment with USDA
is required to collect the authorized fees for such service and remit
such fees to his or her USDA agency.
Sec. 1.218 Penalty.
An employee who testifies or produces records in a judicial or
administrative proceeding in violation of the provisions of this
regulation shall be subject to disciplinary action.
Sec. 1.219 Delegations.
(a) Except as provided in paragraphs (b), (c), or (d) of this
section, the head of a USDA agency may delegate his or her
responsibilities under this subpart, including the requirement to be
notified of the receipt of a subpoena as provided in Sec. Sec. 1.214(a)
and 1.216(a) of this part, to employees of his or her agency as follows:
(1) In the National office of the agency, to a level no lower than
two levels below the agency head;
(2) In a field component of an agency, to a level no lower than the
official who heads a state office.
(b) Notwithstanding paragraph (a) of this section, the Chief of the
Forest Service may delegate his responsibilities under this subpart as
follows:
(1) In the National office of the Forest Service, to a level no
lower than a Deputy Chief of the Forest Service;
(2) In a field component of the Forest Service, to a level no lower
than a Regional Forester or Station Director.
(c) Notwithstanding paragraph (a) of this section, the General
Counsel may delegate his responsibilities under this subpart as follows:
(1) In the National office of the Office of the General Counsel, to
a level no lower than an Assistant General Counsel;
(2) In the field component of the Office of the General Counsel, to
Regional Attorneys who may redelegate their responsibilities to
Associate Regional Attorneys and Assistant Regional Attorneys who report
to them.
(d) The responsibilities assigned to heads of agencies and to
Assistant and Under Secretaries in Sec. 1.214(b)(2) of this part may
not be redelegated.
[58 FR 62495, Nov. 29, 1993; 58 FR 64353, Dec. 6, 1993]
Subpart L_Procedures Related to Administrative Hearings Under the
Program Fraud Civil Remedies Act of 1986
Authority: 31 U.S.C. 3801-3812.
Source: 56 FR 9582, Mar. 7, 1991, correctly designated at 57 FR
3909, Feb. 3, 1992, unless otherwise noted.
Sec. 1.301 Basis, purpose and scope.
(a) Basis. This subpart implements the Program Fraud Civil Remedies
Act of 1986, Public Law No. 99-509, Sections 6101-6104, 100 Stat. 1874
(1986). This statute added 31 U.S.C. 3801-3812. Section 3809 of Title
31, United States Code, requires the Secretary to promulgate regulations
necessary to implement the provisions of the statute.
(b) Purpose. This subpart--
(1) Establishes administrative procedures for imposing civil
penalties and assessments against persons who make, submit, or present,
or cause to be made, submitted, or presented, false, fictitious, or
fraudulent claims or written statements to authorities or to their
agents, and
(2) Specifies the hearing and appeal rights of persons subject to
allegations of liability for such penalties and assessments.
(c) Scope. The procedures for imposing civil penalties and
assessments established by this subpart are intended to enhance existing
administrative enforcement efforts against fraud and to provide an
additional remedy against false, fictitious, and fraudulent claims and
statements in the programs administered by this Department.
Sec. 1.302 Definitions.
(a) Agency means a constituent organizational unit of the USDA.
(b) Agency Fraud Claims Officer--(AFCO) means an officer or employee
of an agency who is designated by the head of that agency to receive the
reports of the investigating official, evaluate evidence, and make a
recommendation to the reviewing official
[[Page 72]]
with respect to the determination required under Sec. 1.305 of this
part.
(c) ALJ means an Administrative Law Judge in USDA appointed pursuant
to 5 U.S.C. 3105 or detailed to the USDA pursuant to 5 U.S.C. 3344.
(d) Authority means the USDA.
(e) Benefits means, except as otherwise defined in this subpart,
anything of value, including but not limited to any advantage,
preference, privilege, license, permit, favorable decision, ruling,
status, or loan guarantee.
(f) Claim means any request, demand, or submission--
(1) Made to USDA for property, services, or money (including money
representing grants, loans, insurance, or benefits);
(2) Made to a recipient of property, services, or money from USDA or
to a party to a contract with USDA--
(i) For property or services if the United States--
(A) Provided such property or services; or
(B) Provided any portion of the funds for the purchase of such
property or services; or
(C) Will reimburse such recipient or party for the purchase of such
property or services; or
(ii) For the payment of money (including money representing grants,
loans, insurance, or benefits) if the United States--
(A) Provided any portion of the money requested or demanded; or
(B) Will reimburse such recipient or party for any portion of the
money paid on such request or demand; or
(3) Made to USDA which has the effect of decreasing an obligation to
pay or account for property, services, or money.
(g) Complaint means the written notice served by the reviewing
official on the respondent under Sec. 1.307 of this part.
(h) Days means business days for all periods referred to in these
regulations of 10 days or less and calendar days for all periods
referred to in these regulations in excess of 10 days.
(i) Family means the individual's parents, spouse, siblings,
children, and grandchildren with respect to an individual making a claim
or statement for benefits.
(j) Government means the United States Government.
(k) Household means a family or one or more individuals occupying a
single residence.
(l) Individual means a natural person.
(m) Investigating official means the Inspector General of USDA or an
officer or employee of the Office of Inspector General designated by the
Inspector General and serving in a position for which the rate of basic
pay is not less than the minimum rate of basic pay for grade GS-16 under
the General Schedule.
(n) Judicial officer means an official of USDA delegated authority
by the Secretary, pursuant to the Act of April 4, 1940 (7 U.S.C. 450c-
450g) and Reorganization Plan No. 2 of 1953, 67 Stat. 633, as amended by
Public Law No. 97-325 (7 U.S.C. 2201n.), to perform the adjudicating
function for the Department under Sec. 2.35 of this title, or the
Secretary if he exercises the authority so delegated.
(o) Knows or has reason to know means that a person, with respect to
a claim or statement--
(1)(i) Has actual knowledge that the claim or statement is false,
fictitious, or fraudulent;
(ii) Acts in deliberate ignorance of the truth or falsity of the
claim or statement; or
(iii) Acts in reckless disregard of the truth or falsity of the
claim or statement; and
(2) No proof of specific intent to defraud is required.
(p) Makes means presents, submits, or causes to be made, presented,
or submitted. As the context requires, ``making'' or ``made'' shall
likewise include the corresponding forms of such terms.
(q) Person means any individual, partnership, corporation,
association, or private organization, and includes the plural of that
term.
(r) Representative means an attorney who is a member in good
standing of the bar of any State, Territory, or possession of the United
States or of the District of Columbia or the Commonwealth of Puerto
Rico. This definition is not intended to foreclose pro se appearances.
An individual may appear
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for himself or herself, and a corporation or other entity may appear by
an owner, officer, or employee of the corporation or entity.
(s) Respondent means any person alleged in a complaint issued under
Sec. 1.308 of this part to be liable for a civil penalty or assessment
under Sec. 1.303 of this part.
(t) Reviewing official means an officer or employee of USDA--
(1) Who is designated by the Secretary to make the determination
required under Sec. 1.305 of this part;
(2) Who is serving in a position for which the rate of basic pay is
not less than the minimum rate of basic pay for grade GS-16 under the
General Schedule; and
(3) Who is--
(i) Not subject to supervision by, or required to report to, the
investigating official; and
(ii) Not employed in the organizational unit of USDA in which the
investigating official is employed.
(u) Secretary means the Secretary of Agriculture.
(v) Statement means any representation, certification, affirmation,
document, record, or accounting or bookkeeping entry made--
(1) With respect to a claim or to obtain the approval or payment of
a claim (including relating to eligibility to make a claim); or
(2) With respect to (including relating to eligibility for)--
(i) A contract with, or a bid or proposal for a contract with; or
(ii) A grant, loan, or benefit from, USDA, or any State, political
subdivision of a State, or other party, if the United States Government
provides any portion of the money or property under such contract or for
such grant, loan, or benefit, or if the Government will reimburse such
State, political subdivision, or party for any portion of the money or
property under such contract or for such grant, loan, or benefit.
(w) USDA means the U.S. Department of Agriculture.
Sec. 1.303 Basis for civil penalties and assessments.
(a) Claims. (1) Except as provided in paragraph (c) of this section,
any person who makes a claim that the person knows or has reason to
know--
(i) Is false, fictitious, or fraudulent;
(ii) Includes or is supported by any written statement which asserts
a material fact which is false, fictitious, or fraudulent;
(iii) Includes or is supported by any written statement that--
(A) Omits a material fact;
(B) Is false, fictitious, or fraudulent as a result of such
omission; and
(C) Is a statement in which the person making such statement has a
duty to include such material fact; or
(iv) Is for payment for the provision of property or services which
the person has not provided as claimed,
shall be subject, in addition to any other remedy that may be prescribed
by law, to a civil penalty of not more than $5,000 for each such claim.
(2) Each voucher, invoice, claim form, or other individual request
or demand for property, services, food coupons, or money constitutes a
separate claim.
(3) A claim shall be considered made to the USDA, recipient, or
party when such claim is actually made to an agent, fiscal intermediary,
or other entity, including any State or political subdivision thereof,
acting for or on behalf of the USDA, recipient, or party.
(4) Each claim for property, services, food coupons, or money is
subject to a civil penalty regardless of whether such property,
services, food coupons, or money is actually delivered or paid.
(5) If the Government has made payment (including transferred
property or provided services) on a claim, a person subject to a civil
penalty under paragraph (a)(1) of this section shall also be subject to
an assessment of not more than twice the amount of such claim or that
portion thereof that is determined to be in violation of paragraph
(a)(1) of this section. Such assessment shall be in lieu of damages
sustained by the Government because of such claim.
(b) Statements. (1) Except as provided in paragraph (c) of this
section, any person who makes a written statement that--
(i) The person knows or has reason to know--
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(A) Asserts a material fact which is false, fictitious, or
fraudulent; or
(B) Is false, fictitious, or fraudulent because it omits a material
fact that the person making the statement had a duty to include in such
statement; and
(ii) Contains or is accompanied by an express certification or
affirmation of the truthfulness and accuracy of the contents of the
statement, shall be subject, in addition to any other remedy that may be
prescribed by law, to a civil penalty of not more than $5,000 for each
such statement.
(2) Each written representation, certification, or affirmation
constitutes a separate statement.
(3) A statement shall be considered made to the USDA when such
statement is actually made to an agent, fiscal intermediary, or other
entity, including any State or political subdivision thereof, acting for
or on behalf of the USDA.
(c) Benefits. (1) In the case of any claim or statement made by any
individual relating to any of the benefits listed in paragraph (c)(2) of
this section received by such individual, such individual may be held
liable for penalties and assessments under this section only if such
claim or statement is made by such individual in making application for
such benefits with respect to such individual's eligibility to receive
such benefits.
(2) For purposes of this paragraph, the term benefits means--
(i) Benefits under the food stamp program established under the Food
Stamp Act of 1977 which are intended as food assistance for the personal
use of the individual who receives the benefits or for a member of the
individual's family or household (as defined in section 3(h) of the Food
Stamp Act of 1977);
(ii) Benefits under the National School Lunch Act;
(iii) Benefits under any housing assistance program for lower income
families or elderly or handicapped persons which is administered by the
Secretary or USDA;
(iv) Benefits under the special supplemental food program for women,
infants, and children established under section 17 of the Child
Nutrition Act of 1966 which are intended for the personal use of the
individual who receives the benefits or for a member of the individual's
family or household.
(d) Intent. No proof of specific intent to defraud is required to
establish liability under this section.
(e) More than one person liable. In any case in which it is
determined that more than one person is liable for making a claim or
statement under this section, each person may be held liable for a civil
penalty under this section.
(f) Joint and several liability. In any case in which it is
determined that more than one person is liable for making a claim under
this section on which the government has made payment (including
transferred property or provided services), an assessment may be imposed
against any such person or jointly and severally against any combination
of such persons. The aggregate amount of the assessments collected with
respect to such claim shall not exceed twice the portion of such claim
determined to be in violation of paragraph (a)(1) of this section.
Sec. 1.304 Investigation.
(a) The investigating official may investigate allegations that a
person is liable under Sec. 1.303 of this part.
(b) If an investigating official concludes that a subpoena pursuant
to the authority conferred by 31 U.S.C. 3804(a) is warranted, the
investigating officer may issue a subpoena, which shall notify the
person to whom it is addressed of the authority under which it is issued
and shall identify the information, documents, reports, answers,
records, accounts, papers, or data sought.
(c) The investigating official may designate a person to act on his
behalf to receive the documents or other materials sought by a subpoena
issued under paragraph (b) of this section.
(d) The person receiving such subpoena shall be required to tender
to the investigating official or the person designated to receive the
documents a certification that the documents or other materials sought
have been produced, or that such documents or other materials are not
available and the reasons therefore, or that such documents or other
materials, suitably identified,
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have been withheld based upon the assertion of an identified privilege.
(e) Each agency shall develop criteria for determining which
allegations that a person is liable under Sec. 1.303 of this part are
to be referred to the investigating official.
(f) If the investigating official concludes that an action under the
Program Fraud Civil Remedies Act may be warranted, the investigating
official shall submit a report containing findings and conclusions of
such investigation to the reviewing official.
(g) Nothing in this section shall preclude or limit an investigating
official's discretion to refer allegations directly to the Department of
Justice for suit under the False Claims Act or other civil relief, nor
preclude or limit such official's discretion to defer or postpone a
report or referral to the reviewing official in order to avoid
interference with a criminal investigation or prosecution.
(h) Nothing in this section modifies any responsibility of an
investigating official to report violations of criminal law to the
Attorney General.
Sec. 1.305 Review by the reviewing official.
(a) Upon receipt of the report of the investigating official, the
reviewing official may refer the report to the appropriate agency fraud
claims officer (AFCO) for a recommendation with respect to the
determination required under this section.
(b) The AFCO shall evaluate the evidence and make a recommendation
to the reviewing officer within 45 days of receipt of the report of the
investigating official.
(c) The reviewing official is not bound by the recommendation of the
AFCO, and may accept or reject it.
(d) If, based on the report of the investigating official under
Sec. 1.304(f) of this part, the reviewing official determines that
there is adequate evidence to believe that a person is liable under
Sec. 1.303 of this part, the reviewing official shall transmit to the
Attorney General a written notice of the reviewing official's intention
to issue a complaint under Sec. 1.307 of this part.
(e) Such notice shall include--
(1) A statement of the reviewing official's reasons for issuing a
complaint;
(2) A statement of the evidence that supports the allegations of
liability;
(3) A description of the claims or statements upon which the
allegations of liability are based;
(4) An estimate of the amount of money or the value of property,
services, or other benefits requested or demanded in violation of Sec.
1.303 of this part;
(5) A statement of any exculpatory or mitigating circumstances that
may relate to the claims or statements;
(6) A statement that there is a reasonable prospect of collecting
the amount specified in Sec. 1.307(b)(2) of this part and the reasons
supporting such statement.
Sec. 1.306 Prerequisites for issuing a complaint.
The reviewing official may issue a complaint under Sec. 1.307 of
this part only if:
(a) The Attorney General or an Assistant Attorney General designated
by the Attorney General approves the issuance of a complaint in a
written statement as provided in 31 U.S.C. 3803(b)(1);
(b) In the case of allegations of liability under Sec. 1.303(a) of
this part with respect to a claim, the reviewing official determines
with respect to such claim, or a group of related claims submitted at
the same time, that the amount of money or the value of property or
services demanded or requested in violation of Sec. 1.303(a) of this
part does not exceed $150,000; and
(c) For the purposes of this section, a group of related claims
submitted at the same time shall include only those claims arising from
the same transaction (e.g., a single grant, loan, application, or
contract) that are submitted simultaneously as part of a single request,
demand, or submission, regardless of the amount of money or the value of
property or services demanded or requested.
(d) Nothing in this section shall be construed to limit the
reviewing official's authority to join in a single complaint against a
person claims that are unrelated or were not submitted simultaneously,
regardless of the amount of
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money or the value of property or services demanded or requested.
Sec. 1.307 Complaint.
(a) On or after the date the Department of Justice approves the
issuance of a complaint in accordance with 31 U.S.C. 3803(b)(1), the
reviewing official may serve a complaint on the respondent, as provided
in Sec. 1.308 of this part.
(b) The complaint shall state--
(1) The allegations of liability, including the statutory basis for
liability, an identification of the claims or statements that are the
basis for the alleged liability, and the reasons that liability
allegedly arises from such claims or statements;
(2) The maximum amount of penalties and assessments for which the
respondent may be held liable;
(3) Instructions for requesting a hearing, including a specific
advice of the respondent's right to request a hearing and to be
represented by a representative; and
(4) That failure to file an answer within 30 days of service of the
complaint may result in the imposition of the penalty and assessment
sought in the complaint without right to appeal.
(c) At the same time the reviewing official serves the complaint, he
or she shall serve the respondent with a copy of these regulations.
Sec. 1.308 Service of complaint and notice of hearing.
(a) Service of a complaint or notice of hearing shall be made by
certified or registered mail or by delivery in any manner authorized by
Rule 4(d) of the Federal Rules of Civil Procedure.
(b) Proof of service, stating the name and address of the person on
whom the notice was served, and the manner and date of service, shall be
made by:
(1) Affidavit of the individual making service;
(2) An acknowledged United States Postal Service return receipt
card; or
(3) Written acknowledgment by the respondent or his representative.
Sec. 1.309 Answer and request for hearing.
(a) Within 30 days of the date of receipt or refusal to accept
service of the complaint, the respondent may file an answer with the
reviewing official.
(b) In the answer, the respondent--
(1) Shall admit or deny each of the allegations of liability made in
the complaint;
(2) Shall state any defense upon which the respondent intends to
rely;
(3) Shall state the name, address, and telephone number of the
person authorized to act as the respondent's representative, if any;
(4) May state any reasons why the respondent contends the penalty
and assessment should be reduced or modified; and
(5) May request a hearing.
Sec. 1.310 Default upon failure to file an answer.
(a) If the respondent does not file an answer within the time
prescribed in Sec. 1.309(a) of this part, the reviewing official may
refer the complaint together with proof of service to the ALJ and
request that the ALJ issue an order of default imposing the penalties
and assessments sought in the complaint. An answer must comply in all
material respects with Sec. 1.309(b) of this part in order to be
considered filed within the time prescribed in Sec. 1.310(a) of this
part.
(b) Upon the referral of the complaint under paragraph (a) of this
section, the ALJ shall promptly serve on the respondent, in the manner
prescribed in Sec. 1.308 of this part, a notice that a decision will be
issued under this section.
(c) If the respondent fails to answer, the ALJ shall assume the
facts alleged in the complaint to be true and, if such facts establish
liability under Sec. 1.303 of this part, the ALJ shall issue a decision
imposing the penalties and assessments sought in the complaint, not to
exceed the maximum amount allowed under the statute.
(d) A respondent who fails to file a timely answer waives any right
to a review of the penalty and assessment, unless he can demonstrate
extraordinary circumstances justifying the failure to file an answer.
Sec. 1.311 Referral of complaint and answer to the ALJ.
Upon receipt of an answer, the reviewing official shall send to the
ALJ
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copies of the complaint, proof of service, and the answer.
Sec. 1.312 Procedure where respondent does not request a hearing.
(a) If the respondent files an answer with the reviewing official
within the time period prescribed in Sec. 1.309(a) of this part but
does not request a hearing, the ALJ, upon receipt of the complaint,
proof of service, and answer, shall notify the respondent that a
decision will be issued under this section and shall afford the parties
30 days in which to submit documentary evidence or other relevant
written information, including briefs or other written arguments. At the
end of that period, the ALJ shall issue a decision based upon the
pleadings and the evidence submitted, or if no evidence has been
submitted, upon the pleadings. The burden of proof shall be as set forth
in Sec. 1.329 of this part.
(b) When a decision is to be issued under this section, the ALJ
shall have discretion to permit, allow, limit, or otherwise control
discovery to the extent set forth under Sec. Sec. 1.322 thru 1.324 of
this part.
Sec. 1.313 Procedure where respondent requests a hearing; notice of hearing.
(a) When the ALJ receives the complaint, proof of service, and an
answer requesting a hearing, the ALJ shall promptly serve, in accordance
with Sec. 1.308 of this part, a notice of hearing on all parties.
(b) Such notice shall include:
(1) The tentative time and place, and the nature of the hearing;
(2) The legal authority and jurisdiction under which the hearing is
to be held;
(3) The matters of fact and law to be asserted;
(4) A description of the procedures for the conduct of the hearing;
(5) The name, address, and telephone number of the representative
for the USDA and the representative for the respondent, if any; and
(6) Such other matters as the ALJ deems appropriate.
Sec. 1.314 Parties to the hearing.
(a) The parties to the hearing shall be the respondent and USDA. The
proceeding shall be brought in the name of the Secretary.
(b) Pursuant to 31 U.S.C. 3730(c)(5), a private party plaintiff
under the False Claims Act may participate in proceedings under this
subpart to the extent authorized by the provisions of that Act.
Sec. 1.315 Separation of functions.
(a) Neither the investigating official, the reviewing official, nor
any employee or agent of the USDA who takes part in investigating,
preparing, or presenting a particular case may, in such case or in a
factually related case--
(1) Conduct the hearing in such case;
(2) Participate in or advise the ALJ in the decision in such case,
or participate in or advise in the review of the decision in such case
by the judicial officer, except as a witness or representative in public
proceedings; or
(3) Make the collection of penalties and assessments under Sec.
1.341 of this part.
(b) The ALJ shall not be responsible to or subject to the
supervision or direction of the investigating official or the reviewing
official.
(c) Except to the extent limited by paragraph (a) of this section,
the representative for USDA may be employed in any constituent agency of
USDA, including the offices of either the investigating official or the
reviewing official.
Sec. 1.316 Ex parte contacts.
Except to the extent required for the disposition of ex parte
matters as authorized by law, the ALJ shall not consult or be consulted
by any person or party (except employees of the ALJ's office) on any
matter in issue, unless on notice and opportunity for all parties to
participate.
Sec. 1.317 Disqualification of reviewing official or ALJ.
(a) A reviewing official or ALJ in a particular case may disqualify
himself or herself at any time.
(b) A party may file with the ALJ a motion for disqualification of a
reviewing official or an ALJ. Such motion
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shall be accompanied by an affidavit alleging personal bias or other
reason for disqualification.
(c) Such motion and affidavit shall be filed promptly upon the
party's discovery of reasons requiring disqualification, or such
objections shall be deemed waived.
(d) Such affidavit shall state specific facts that support the
party's belief that personal bias or other reason for disqualification
exists and the time and circumstances of the party's discovery of such
facts. It shall be accompanied by a certificate of the representative of
record that it is made in good faith.
(e) Upon the filing of such a motion and affidavit, the ALJ shall
proceed no further in the case until he or she resolves the matter of
disqualification in accordance with paragraph (f).
(f)(1) If the ALJ determines that a reviewing official is
disqualified, the ALJ shall dismiss the complaint without prejudice.
(2) If the ALJ disqualifies himself or herself, the case shall be
reassigned promptly to another ALJ.
(3) If the ALJ denies a motion to disqualify, the authority head may
determine the matter only as part of his or her review of the initial
decision upon appeal, if any.
Sec. 1.318 Rights of parties.
All parties may:
(a) Be accompanied, represented, and advised by a representative;
(b) Participate in any prehearing or post-hearing conference held by
the ALJ;
(c) Agree to stipulations of fact or law, which shall be made part
of the record;
(d) Conduct discovery;
(e) Make opening and closing statements at the hearing;
(f) Present evidence relevant to the issues at the hearing;
(g) Cross examine witnesses;
(h) Present oral arguments at the hearings; and
(i) Submit written briefs, proposed findings of fact, and proposed
conclusions of law after the hearing.
Sec. 1.319 Authority of the ALJ.
(a) The ALJ shall conduct a fair and impartial hearing, avoid delay,
maintain order, and assure that a record of the proceedings is made.
(b) The ALJ may:
(1) Set and change the date, time, and place of the hearing upon
reasonable notice to the parties;
(2) Continue or recess the hearing in whole or part for a reasonable
period of time;
(3) Hold conferences to identify or simplify the issues, or to
consider other matters that may aid in the expeditious disposition of
the proceeding;
(4) Administer oaths and affirmations;
(5) Issue subpoenas requiring the attendance of witnesses and the
production of documents at depositions or at hearings;
(6) Rule on motions and other procedural matters;
(7) Regulate the scope and timing of discovery;
(8) Regulate the course of the hearing and the conduct of attorneys
and parties;
(9) Examine witnesses;
(10) Receive, rule on, exclude, or limit evidence;
(11) Upon motion of a party take official notice of facts;
(12) Upon motion of a party, decide cases, in whole or in part, by
summary judgment where there is no disputed issue of material fact;
(13) Conduct any conference, argument, or hearing on motions in
person or by telephone; and
(14) Exercise such other authority as is necessary to carry out the
responsibilities of the ALJ under this subpart.
(c) The ALJ does not have the authority to decide upon the validity
of Federal statutes, regulations, or legal opinions.
Sec. 1.320 Prehearing conferences.
(a) The ALJ may schedule a prehearing conference at a reasonable
time in advance of the hearing and may schedule additional prehearing
conferences as appropriate.
(b) The ALJ may conduct any prehearing conference in person or by
telephone.
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(c) The ALJ may use prehearing conferences to discuss the following
matters:
(1) Simplification of the issues;
(2) The necessity or desirability of amendments to the pleadings,
including the need for a more definite statement;
(3) Stipulations, admissions of fact or as to the contents and
authenticity of documents;
(4) Whether the parties can agree to submission of the case on a
stipulated record;
(5) Whether a party chooses to waive appearance at an oral hearing
and to submit only documentary evidence (subject to the objection of
other parties) and written argument.
(6) Limitation of the number of witnesses;
(7) Scheduling dates for the exchange of witness lists and of
proposed exhibits;
(8) Discovery;
(9) The time and place for the hearing; and
(10) Such other matters as may tend to expedite the fair and just
disposition of the proceedings.
(d) The ALJ shall issue an order containing all matters agreed upon
by the parties or ordered by the ALJ at a prehearing conference.
Sec. 1.321 Disclosure of documents.
(a) Upon written request to the reviewing official, the respondent
may review any relevant and material documents, transcripts, records,
and other materials that relate to the allegations set out in the
complaint and upon which the findings and conclusions of the
investigating official under Sec. 1.304(f) of this part are based
unless such documents are privileged under Federal law. Upon payment of
fees for duplication, the defendant may obtain copies of such documents.
(b) Upon written request to the reviewing official, the respondent
also may obtain a copy of all exculpatory information in the possession
of the reviewing official or investigating official relating to the
allegations in the complaint, even if it is contained in a document that
would otherwise be privileged. If the document would otherwise be
privileged, only that portion containing exculpatory information must be
disclosed.
(c) The notice sent to the Attorney General from the reviewing
official as described in Sec. 1.305 of this part is not discoverable
under any circumstances.
(d) The respondent may file a motion to compel disclosure of the
documents subject to the provisions of this section. Such a motion may
be filed with the ALJ following the filing of the answer pursuant to
Sec. 1.309 of this part.
Sec. 1.322 Discovery.
(a) The following types of discovery are authorized:
(1) Requests for production, inspection and photocopying of
documents;
(2) Requests for admission of the authenticity of any relevant
document or the truth of any relevant fact;
(3) Written interrogatories; and
(4) Depositions.
(b) The ALJ shall set the schedule for discovery.
(c) Requests for production of documents and requests for admission.
(1) A party may serve requests for production of documents or
requests for admission on another party.
(2) If a party served with such requests fails to respond timely,
the requesting party may file a motion to compel production or deem
admissions, as appropriate.
(3) A party served with such a request may file a motion for a
protective order before the date on which a response to the discovery
request is due, stating reasons why discovery should be limited or
should not be required.
(4) Within 15 days of service of a motion to compel or to deem
matter admitted or a motion for a protective order, the opposing party
may file a response.
(5) The ALJ may grant a motion to compel production or deem matter
admitted or may deny a motion for a protective order only if he finds
that--
(i) The discovery sought is necessary for the expeditious, fair, and
reasonable consideration of the issues;
(ii) It is not unduly costly or burdensome;
(iii) It will not unduly delay the proceeding; and
(iv) The information sought is not privileged.
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(d) Depositions and written interrogatories. Depositions and written
interrogatories are permitted only on the order of the ALJ.
(1) A party seeking to use depositions or written interrogatories
may file a motion with the ALJ.
(2) A party and/or the potential deponent may file an opposition to
the motion or a motion for a protective order within 10 days of service
of the motion.
(3) The ALJ may grant a motion allowing the taking of a deposition
or the use of interrogatories or may deny a motion for a protective
order only if he finds that the moving party has satisfied the standards
set forth in paragraph (c)(5) of this section and has shown that the
information sought cannot be obtained by any other means.
(4) If the ALJ grants a motion permitting a deposition, he shall
issue a subpoena, which may also require the witness to produce
documents. The party seeking to depose shall serve the subpoena in the
manner prescribed in Sec. 1.308 of this part.
(5) The party seeking to depose shall provide for the taking of a
verbatim transcript of the deposition, which it shall make available to
all other parties for inspection and copying.
(e) Costs. The costs of discovery shall be borne by the party
seeking discovery.
(f) In issuing a protective order, the ALJ may make any order which
justice requires to protect a party or person from annoyance,
embarrassment, oppression, or undue burden or expense, including one or
more of the following:
(1) That the discovery not be had;
(2) That the discovery may be had only on specified terms and
conditions, including a designation of the time or place;
(3) That the discovery may be had only through a method of discovery
other than that requested;
(4) That certain matters not be inquired into, or that the scope of
discovery be limited to certain matters;
(5) That discovery be conducted with no one present except persons
designated by the ALJ;
(6) That the contents of discovery or evidence be sealed;
(7) That a deposition after being sealed be opened only by order of
the ALJ;
(8) That a trade secret or other confidential research, development,
commercial information or facts pertaining to any criminal
investigation, proceeding, or other administrative investigation not be
disclosed or be disclosed only in a designated way; or
(9) That the parties simultaneously file specified documents or
information enclosed in sealed envelopes to be opened as directed by the
ALJ.
(g) Exchange of witness lists, statements, and exhibits. Witness
lists, copies of prior statements of proposed witnesses, and copies of
proposed hearing exhibits, including copies of any written statements or
depositions that a party intends to offer in lieu of live testimony in
accordance with Sec. 1.331(b) of this part, shall be exchanged at least
15 days in advance of the hearing, or at such other time as may be set
by the ALJ. A witness whose name does not appear on the witness list
shall not be permitted to testify and no exhibit not provided to the
opposing party as provided above shall be admitted into evidence at the
hearing absent a showing of good cause.
Sec. 1.323 Subpoenas for attendance at hearing.
(a) A party wishing to procure the appearance and testimony at the
hearing of any individual may request that the ALJ issue a subpoena.
(b) A subpoena requiring the attendance and testimony of an
individual may also require the individual to produce documents at such
hearing.
(c) A party who desires the issuance of a subpoena shall file with
the ALJ a written request not less than 15 days before the date fixed
for the hearing unless otherwise allowed by the ALJ for good cause
shown. Such request shall specify any documents to be produced and shall
designate the witnesses whose attendance is sought to be required and
describe their addresses and locations with sufficient particularity to
permit such witnesses to be found. The subpoena shall specify the time
and place at which the witness is to appear and any documents the
witness is
[[Page 81]]
to produce. Such a request may be made ex parte.
(d) When the ALJ issues a subpoena under this section, the party who
requested such subpoena shall serve all other parties with notice of the
names and addresses of the individuals subpoenaed and specify any
documents required to be produced.
(e) A subpoena shall be served by delivery, or by registered mail or
by certified mail in the manner prescribed in Sec. 1.308 of this part.
A subpoena upon a party or upon an individual under the control of a
party may be served by first class mail.
(f) A party or the individual to whom the subpoena is directed may
file a motion to quash the subpoena within five days of service or on or
before the time specified in the subpoena for compliance if it is less
than five days after service.
Sec. 1.324 Fees.
The party requesting a subpoena shall pay the cost of the fees and
mileage of any witness subpoenaed in the amounts that would be payable
to a witness in a proceeding in United States District Court. A check
for witness fees and mileage shall accompany the subpoena when served,
except that when a subpoena is issued on behalf of USDA, a check for
witness fees and mileage need not accompany the subpoena.
Sec. 1.325 Form, filing and service of papers.
(a) Form. (1) The original and two copies of all papers in a
proceeding conducted under this subpart shall be filed with the ALJ
assigned to the case.
(2) Every pleading and paper filed in the proceeding shall contain a
caption setting forth the title of the action, the case number assigned
by the ALJ, and a designation of the paper (e.g., motion to quash
subpoena).
(3) Every pleading and paper shall be signed by and shall contain
the address and telephone number of the representative for the party or
the person on whose behalf the paper was filed.
(4) Papers are considered filed when they are mailed. Date of
mailing may be established by a certificate from the party or his
representative or by proof that the document was sent by certified or
registered mail.
(b) Service. A party filing a document with the ALJ shall, at the
time of filing, serve a copy of such document on every other party.
Service upon any party of any document other than the complaint or
notice of hearing shall be made by delivering or mailing a copy to the
party's last known address. When a party is represented by a
representative, service shall be made upon such representative in lieu
of the actual party.
(c) Proof of service. A certificate of the person serving the
document by personal delivery or by mail, setting forth the manner of
service, shall be proof of service.
Sec. 1.326 Computation of time.
(a) In computing any period of time under this part or in an order
issued thereunder, the time begins with the day following the act,
event, or default, and includes the last day of the period, unless it is
a Saturday, Sunday, or legal holiday observed by the Federal Government,
in which event it includes the next business day.
(b) When the period of time allowed is ten or fewer calendar days,
intermediate Saturdays, Sundays, and legal holidays observed by the
Federal Government shall be excluded from the computation.
(c) When a document has been served by mail, an additional five days
will be added to the time permitted for any response.
Sec. 1.327 Motions.
(a) Motions shall state the relief sought, the authority relied
upon, and the facts alleged, and shall be filed with the ALJ and served
on all other parties.
(b) Except for motions made during a prehearing conference or at the
hearing, all motions shall be in writing. The ALJ may require that oral
motions be reduced to writing.
(c) The ALJ may require written motions to be accompanied by
supporting memorandums.
(d) Within 15 days after a written motion is served, or such other
time as may be fixed by the ALJ, any party may file a response to such
motion.
[[Page 82]]
(e) The ALJ may not grant a written motion prior to expiration of
the time for filing responses thereto, except upon consent of the
parties or following a hearing, but may overrule or deny such motion
without awaiting a response.
(f) The ALJ shall make every reasonable effort to dispose of all
outstanding motions prior to the beginning of the hearing.
Sec. 1.328 Sanctions.
(a) The ALJ may sanction a person, including any party or
representative for:
(1) Failing to comply with a lawful order, subpoena, or procedure;
(2) Failing to prosecute or defend an action; or
(3) Engaging in other misconduct that interferes with the speedy,
orderly, or fair conduct of the hearing.
(b) Any such sanction, including but not limited to those listed in
paragraphs (c), (d), and (e) of this section, shall reasonably relate to
the severity and nature of the failure or misconduct.
(c) When a party fails to comply with a subpoena or an order,
including an order for taking a deposition, the production of evidence
within the party's control, or a request for admission, the ALJ may:
(1) Draw an inference in favor of the requesting party with regard
to the information sought;
(2) In the case of requests for admission, deem admitted each item
as to which an admission is requested;
(3) Prohibit the party failing to comply with such order from
introducing evidence concerning, or otherwise relying upon testimony
relating to the information sought;
(4) Strike any part of the pleadings or other submissions of the
party failing to comply with such request; or
(5) Request that the Attorney General petition an appropriate
district court for an order to enforce a subpoena.
(d) If a party fails to prosecute or defend an action under this
subpart commenced by service of a complaint, the ALJ may dismiss the
action or enter an initial decision imposing penalties and assessments.
(e) The ALJ may refuse to consider any motion or other action which
is not filed in a timely fashion.
Sec. 1.329 The hearing and burden of proof.
(a) The ALJ shall conduct a hearing on the record in order to
determine whether the respondent is liable for a civil penalty or
assessment under Sec. 1.303 of this part, and if so, the appropriate
amount of any such civil penalty or assessment considering any
aggravating or mitigating factors.
(b) The USDA shall prove respondent's liability and any aggravating
factors by a preponderance of the evidence.
(c) The respondent shall prove any affirmative defenses and any
mitigating factors by a preponderance of the evidence.
(d) The hearing shall be open to the public unless otherwise ordered
by the ALJ for good cause shown.
Sec. 1.330 Location of hearing.
(a) The hearing may be held--
(1) In any judicial district of the United States in which the
respondent resides or transacts business;
(2) In any judicial district of the United States in which the claim
or statement in issue was made; or
(3) In such other place as may be agreed upon by the respondent and
the ALJ.
(b) Each party shall have the opportunity to present argument with
respect to the location of the hearing.
(c) The ALJ shall issue an order to the parties designating the time
and the place of the hearing.
Sec. 1.331 Witnesses.
(a) Except as provided in paragraph (b) of this section, testimony
at the hearing shall be given orally by witnesses under oath or
affirmation.
(b) At the discretion of the ALJ, testimony may be admitted in the
form of a written statement or deposition. Any such written statement
must be provided to all other parties along with the last known address
of such witness, in a manner which allows sufficient time for other
parties to subpoena such witness for cross-examination at the hearing.
Prior written statements of
[[Page 83]]
witnesses proposed to testify at the hearing and deposition transcripts
shall be exchanged as provided in Sec. 1.322(g) of this part.
(c) The ALJ shall permit the parties to conduct such cross-
examination as may be required for a full and true disclosure of the
facts.
(d) A witness may be cross-examined on any matter relevant to the
proceeding without regard to the scope of his or her direct examination.
(e) Upon motion of any party, the ALJ shall order witnesses excluded
so that they cannot hear the testimony of other witnesses. This rule
does not authorize exclusion of--
(1) A party who is an individual;
(2) In the case of a party that is not an individual, an officer or
employee of the party designated by the representative; or
(3) An individual whose presence is shown by a party to be essential
to the presentation of its case, including an individual employed by the
USDA engaged in assisting the representative for USDA.
Sec. 1.332 Evidence.
(a) The ALJ shall determine the admissibility of evidence.
(b) Except as provided herein, the Federal Rules of Evidence are not
applicable to the hearing, except that the ALJ may in his discretion
apply the Federal Rules of Evidence in order to assure production of
credible evidence.
(c) The ALJ shall exclude irrelevant and immaterial evidence.
(d) Although relevant, evidence may be excluded if its probative
value is substantially outweighed by the danger of unfair prejudice,
confusion of the issues, or by considerations of undue delay or needless
presentation of cumulative evidence.
(e) Although relevant, evidence may be excluded if it is privileged
under Federal law.
(f) Evidence concerning offers of compromise or settlement shall be
inadmissible to the extent provided in Rule 408 of the Federal Rules of
Evidence.
(g) The ALJ shall permit the parties to introduce rebuttal witnesses
and evidence.
(h) All documents and other evidence offered or taken for the record
shall be open to examination by all parties unless otherwise ordered by
the ALJ pursuant to Sec. 1.322 of this part.
Sec. 1.333 The record.
(a) The hearing will be recorded and transcribed. Transcripts may be
obtained from the reporter by anyone at a cost not to exceed the actual
cost of duplication.
(b) The transcript of testimony, exhibits and other evidence
admitted at the hearing, and all papers and requests filed in the
proceeding constitute the record for the decision by the ALJ and the
judicial officer.
(c) The record may be inspected and copied (upon payment of a
reasonable fee) by anyone unless otherwise ordered by the ALJ.
Sec. 1.334 Post-hearing briefs.
The ALJ may require the parties to file post-hearing briefs. In any
event, any party may file a post-hearing brief. The ALJ shall fix the
time for filing such briefs, not to exceed 60 days from the date the
parties receive the transcript of the hearing or, if applicable, the
stipulated record. Such briefs may be accompanied by proposed findings
of fact and conclusions of law. The ALJ may permit the parties to file
reply briefs.
Sec. 1.335 Determining the amount of penalties and assessments.
(a) In determining an appropriate amount of civil penalties and
assessments, the ALJ and the judicial officer, upon appeal, should
evaluate any circumstances that mitigate or aggravate the violation and
should articulate in their opinions the reasons that support the
penalties and assessments they impose. Because of the intangible costs
of fraud, the expense of investigating such conduct, and the need to
deter others who might be similarly tempted, ordinarily double damages
and a significant civil penalty should be imposed.
(b) Although not exhaustive, the following factors are among those
that may influence the ALJ and the judicial officer in determining the
amount of penalties and assessments to impose with respect to the
misconduct (i.e., the false, fictitious, or fraudulent
[[Page 84]]
claims or statements) charged in the complaint:
(1) The number of false, fictitious, or fraudulent claims or
statements;
(2) The time period over which such claims or statements were made;
(3) The degree of the respondent's culpability with respect to the
misconduct;
(4) The amount of money or the value of the property, services, or
benefit falsely claimed;
(5) The value of the Government's actual loss as a result of the
misconduct, including foreseeable consequential damages and the costs of
investigation;
(6) The relationship of the amount imposed as civil penalties to the
amount of the Government's loss;
(7) The potential or actual impact of the misconduct upon national
defense, public health or safety, or public confidence in the management
of Government programs and operations, including particularly the impact
on the intended beneficiaries of such programs;
(8) Whether the respondent has engaged in a pattern of the same or
similar misconduct;
(9) Whether the respondent attempted to conceal the misconduct;
(10) The degree to which the respondent has involved others in the
misconduct or in concealing it;
(11) Where the misconduct of employees or agents is imputed to the
respondent, the extent to which the respondent's practices fostered or
attempted to preclude such misconduct;
(12) Whether the respondent cooperated in or obstructed an
investigation of the misconduct;
(13) Whether the respondent assisted in identifying and prosecuting
other wrongdoers;
(14) The complexity of the program or transaction, and the degree of
the respondent's sophistication with respect to it, including the extent
of the respondent's prior participation in the program or in similar
transactions;
(15) Whether the respondent has been found, in any criminal, civil,
or administrative proceeding to have engaged in similar misconduct or to
have dealt dishonestly with the government of the United States or of a
State, directly or indirectly; and
(16) The need to deter the respondent and others from any engaging
in the same or similar misconduct.
(c) Nothing in this section shall be construed to limit the ALJ or
the judicial officer from considering any other factors that in any
given case may mitigate or aggravate the acts for which penalties and
assessments are imposed.
Sec. 1.336 Initial decision of the ALJ.
(a) The ALJ shall issue an initial decision, which shall contain
findings of fact, conclusions of law, and the amount of any penalties
and assessments imposed.
(b) The findings of fact shall include a finding on each of the
following issues for every claim or statement with respect to which a
penalty or assessment was proposed:
(1) Whether any claim or statement identified in the complaint
violates Sec. 1.303 of this part;
(2) If the respondent is liable for penalties or assessments, the
appropriate amount of any such penalties or assessments considering any
mitigating or aggravating factors described in Sec. 1.335 of this part.
(c) The ALJ shall serve the initial decision on all parties within
90 days after the time for submission of post-hearing briefs and reply
briefs (if permitted) has expired. The ALJ shall include with the
initial decision a statement describing the right of any respondent
determined to be liable for a civil penalty or assessment to file notice
of appeal with the judicial officer. The ALJ may extend the time period
for serving the initial decision on the parties.
(d) Unless the initial decision of the ALJ is timely appealed to the
judicial officer, or a motion for reconsideration of the initial
decision is timely filed, the initial decision shall constitute the
final decision of the Secretary and shall be final and binding on the
parties 30 days after it is issued by the ALJ.
Sec. 1.337 Reconsideration of initial decision.
(a) Except as provided in paragraph (d) of this section, any party
may file a
[[Page 85]]
motion for reconsideration of the initial decision within 20 days of
receipt of the initial decision. If service was made by mail, receipt
will be presumed to be five days from the date of mailing in the absence
of contrary proof.
(b) Every such motion must set forth the matters claimed to have
been erroneously decided and the nature of the alleged errors. Such
motion shall be accompanied by a supporting brief.
(c) Responses to such motions shall be allowed only upon request of
the ALJ.
(d) No party may file a motion for reconsideration of an initial
decision that has been revised in response to a previous motion for
reconsideration.
(e) The ALJ may dispose of a motion for reconsideration by denying
it or by issuing a revised initial decision.
(f) If the ALJ denies a motion for reconsideration, the initial
decision shall constitute the final decision of the authority head and
shall be final and binding on the parties 30 days after the ALJ denies
the motion, unless the initial decision is timely appealed to the
judicial officer in accordance with Sec. 1.338 of this part.
(g) If the ALJ issues a revised initial decision, that decision
shall constitute the final decision of the authority head and shall be
final and binding on the parties 30 days after it is issued, unless it
is timely appealed to the judicial officer in accordance with Sec.
1.338 of this part.
Sec. 1.338 Appeal to the judicial officer.
(a) Any respondent who has filed a timely answer and who is
determined in an initial decision to be liable for a civil penalty or
assessment may appeal such decision to the Secretary by filing a notice
of appeal with the judicial officer in accordance with this section. The
judicial officer of USDA shall consider all appeals to the Secretary
under this subpart and render a decision on behalf of the Secretary.
(b)(1) A notice of appeal may be filed at any time within 30 days
after the ALJ issues an initial decision. However, if another party
files a motion for reconsideration under Sec. 1.337 of this part,
consideration of the appeal shall be stayed automatically pending
resolution of the motion for reconsideration.
(2) If a motion for reconsideration is timely filed, a notice of
appeal may be filed within 30 days after the ALJ denies the motion or
issues a revised initial decision, whichever applies.
(c) The judicial officer may extend the initial 30-day period during
which a notice of appeal may be filed for an additional 30 days if the
respondent files a request for an extension within the initial 30-day
period and shows good cause.
(d) If the respondent timely files a notice of appeal with the
judicial officer and the time for filing motions for reconsideration
under Sec. 1.337 of this part has expired, the ALJ will forward the
record of the proceeding to the judicial officer.
(e) A notice of appeal shall be accompanied by a written brief
specifying exceptions to the initial decision and reasons supporting the
exceptions.
(f) The representative for USDA may file a brief in opposition to
exceptions within 30 days of receiving the brief proposing exceptions.
(g) There is no right to appear personally before the judicial
officer.
(h) There is no right to interlocutory appeal of rulings by the ALJ.
(i) The judicial officer, in reviewing the decision, shall not
consider any objection that was not raised before the ALJ unless a
demonstration is made that extraordinary circumstances caused the
failure to raise the objection.
(j) If any party demonstrates to the satisfaction of the judicial
officer that additional evidence not presented to the ALJ is material
and that there were reasonable grounds for the failure to present such
evidence to the ALJ, the judicial officer shall remand the matter to the
ALJ for consideration of such additional evidence.
(k) The judicial officer may affirm, reduce, reverse, compromise,
remand or settle any penalty or assessment determined by the ALJ.
(l) The judicial officer shall promptly serve each party to the
appeal with a copy of the decision of the judicial officer and a
statement describing the respondent's right to seek judicial review.
[[Page 86]]
(m) Unless a petition for review is filed as provided in 31 U.S.C.
3805 after a respondent has exhausted all administrative remedies under
this part and within 60 days after the date on which the judicial
officer serves the respondent with a copy of the judicial officer's
decision, a determination that a respondent is liable under Sec. 1.303
of this part is final and is not subject to judicial review.
Sec. 1.339 Stays ordered by the Department of Justice.
(a) If at any time the Attorney General or an Assistant Attorney
General designated by the Attorney General transmits to the Secretary a
written finding that continuation of the administrative process
described in this subpart with respect to a claim or statement may
adversely affect any pending or potential criminal or civil action
related to such claim or statement, the judicial officer shall stay the
process immediately.
(b) If the judicial officer stays the administrative process in
accordance with paragraph (a) of this section, the judicial officer may
order the process resumed only upon receipt of the written authorization
of the Attorney General.
Sec. 1.340 Stay pending appeal.
(a) A decision is stayed automatically pending disposition of a
motion for reconsideration or of an appeal to the judicial officer.
(b) The respondent may file with the ALJ a request for stay of the
effective date of a decision of the judicial officer pending judicial
review. Such request shall state the grounds upon which respondent
relies in requesting the stay, together with a copy of the notice(s) of
appeal filed by respondent seeking review of a decision of the judicial
officer. The filing of such a request shall automatically stay the
effective date of the decision of the judicial officer until the ALJ
rules upon the request.
(c) The representative for the USDA may file an opposition to
respondent's request for a stay within 10 days of receipt of the
request. If the representative for the USDA fails to file such an
opposition within the allotted time, or indicates that the USDA has no
objection to the request, the ALJ may grant the stay without requiring
respondent to give a bond or other security.
(d) The ALJ may grant a contested request where justice so requires
and to the extent necessary to prevent irreparable harm but only upon
the respondent's giving of a bond or other adequate security. The ALJ
shall rule promptly on a contested request for stay.
(e) A decision of the ALJ denying respondent's request for a stay
shall constitute final agency action.
Sec. 1.341 Judicial review.
Section 3805 of title 31, United States Code, authorizes judicial
review by an appropriate United States District Court of a final
decision of the judicial officer imposing penalties or assessments under
this part and specifies the procedures for such review.
Sec. 1.342 Collection of civil penalties and assessments.
Sections 3806 and 3808(b) of title 31, United States Code, authorize
actions for collection of civil penalties and assessments imposed under
this subpart and specify the procedures for such actions.
Sec. 1.343 Right to administrative offset.
The amount of any penalty or assessment which has become final, or
for which a judgment has been entered under Sec. 1.341 or Sec. 1.342
of this part, or any amount agreed upon in a settlement under Sec.
1.345 of this part, may be collected by administrative offset under 31
U.S.C. 3716, except that an administrative offset may not be made under
this subsection against a refund of an overpayment of Federal taxes then
or later owing by the United States to the respondent.
Sec. 1.344 Deposit to Treasury of the United States.
All amounts collected pursuant to this subpart shall be deposited as
miscellaneous receipts in the Treasury of the United States.
Sec. 1.345 Settlement.
(a) A respondent may make offers of compromise of settlement at any
time.
[[Page 87]]
(b) The reviewing official has the exclusive authority to compromise
or settle a case under this subpart at any time after the date on which
the reviewing official is permitted to issue a complaint and before the
date on which the ALJ issues a decision.
(c) The judicial officer has exclusive authority to compromise or
settle a case under this subpart at any time after the date on which the
ALJ issues a decision, except during the pendency of any appeal under
Sec. 1.341 of this part or during the pendency of any action to collect
penalties and assessments under Sec. 1.342 of this part.
(d) The Attorney General has exclusive authority to compromise or
settle a case under this subpart during the pendency of any appeal under
Sec. 1.341 of this part, or any action to recover penalties and
assessments under Sec. 1.342 of this part.
(e) The investigating official may recommend settlement terms to the
reviewing official, the judicial officer, or the Attorney General, as
appropriate. The reviewing official may recommend settlement terms to
the judicial officer, or the Attorney General, as appropriate.
(f) Any settlement must be in writing.
Sec. 1.346 Limitation.
The complaint referred to in Sec. 1.307 of this part with respect
to a claim or statement must be served in the manner specified in Sec.
1.308 of this part within 6 years after the date on which such claim or
statement is made.
Subpart M_Rules of Practice Governing Adjudication of Sourcing Area
Applications and Formal Review of Sourcing Areas Pursuant to the Forest
Resources Conservation and Shortage Relief Act of 1990 (16 U.S.C. 620 et
seq.)
Authority: 5 U.S.C. 556 and 16 U.S.C. 620 et seq.
Source: 59 FR 8824, Feb. 24, 1994, unless otherwise noted.
Sec. 1.410 Meaning of words.
As used in these procedures, words in the singular form shall be
deemed to import the plural, and vice versa, as the circumstance may
require.
Sec. 1.411 Definitions.
As used in these procedures, the terms as defined in the Forest
Resources Conservation and Shortage Relief Act of 1990, 16 U.S.C. 620 et
seq. (Act) and in the regulations issued thereunder, shall apply with
equal force and effect. In addition and except as may be provided
otherwise in these procedures:
(a) Applicant or Sourcing area applicant means a person who submits
a sourcing area application pursuant to these rules, or a person who
sourcing area is subject to formal review pursuant to 36 CFR 223.191(e).
(b) Decision means:
(1) The Judge's initial decision made in accordance with the
provisions of 5 U.S.C. 554, 556, 557, and 16 U.S.C. 620 et seq. and 36
CFR 223.190 and 223.191(e), which includes the Judge's findings and
conclusions and the reasons or basis therefore on all material issues of
fact, law or discretion, orders and rulings on proposed findings,
conclusions and orders submitted by the parties; and
(2) The decision and order by the Judicial officer upon appeal of
the Judge's decision.
(c) Determination is synonymous with decision.
(d) Hearing means that part of the proceeding which may be requested
by a party of record, and which involves the submission of additional
evidence before the Administrative Law Judge for the record in the
proceeding.
(e) Hearing Clerk means the Office of the Hearing Clerk, United
States Department of Agriculture, Washington, D.C. 20250.
(f) Judge means any Administrative Law Judge Appointed pursuant to 5
U.S.C. 3105 and assigned to the proceeding involved.
(g) Judicial Officer means an official of the United States
Department of Agriculture delegated authority by the Secretary of
Agriculture, pursuant to the Act of April 4, 1940 (7 U.S.C. 450c-459g)
and Reorganization Plan No. 2 of 1953 (5 U.S.C. 1988 ed., appendix, p.
[[Page 88]]
1280), to perform the function involved (7 CFR 235(a)), or the Secretary
of Agriculture, if the authority so delegated is exercised by the
Secretary.
(h) Party of record or Party is a party to the proceeding to
determine approval or disapproval of a sourcing area application,
including the proceeding for formal review of a sourcing area. The
sourcing area applicant and persons who submit written comments on the
sourcing area application at issue during the 30 calendar day comment
period, including the Regional Forester, are the parties of record. For
purposes of a formal review of a sourcing area, the holder of the
sourcing area that is the subject of the review and persons who submit
written comments on the sourcing area application at issue during the 30
calendar day comment period after institution of the formal review,
including the Regional Forester, are the parties of record.
(i) Sourcing Area Application means the application by which a
person applies for a sourcing area or the application by which a
sourcing area holder applies for a formal review of a sourcing area.
Sec. 1.412 Institution of proceedings.
(a) Sourcing area applications. The proceeding for determining
sourcing areas shall be instituted by receipt of a sourcing area
application by the Office of Administrative Law Judges, pursuant to 36
CFR 223.190.
(b) Review of sourcing areas. Informal review of a sourcing area
precedes institution of a formal review as follows:
(1) Request by Sourcing area holder. A sourcing area holder who
wishes to begin a review of a sourcing area shall send a written request
for a review to the Regional Forester of the region in which the
manufacturing facility being sourced is located. The request shall state
the reason for the request.
(i) Informal review. The Regional Forester shall begin an informal
review, pursuant to 36 CFR 223.191(e), based on the written request. If
no agreement is reached in the informal review process, the Regional
Forester of the region in which the manufacturing facility being sourced
is located shall transmit to the Office of Administrative Law Judges any
submissions received during the informal review process, within 5
working days of the meeting convened during the informal review (36 CFR
223.191)e)). Agreement is reached when all persons attending the meeting
convened by the Regional Forester to resolve differences as to the
proper sourcing area, including the Regional Forester, sign the document
describing the sourcing area.
(ii) Formal review. Institution by a sourcing area holder of a
formal review of the sourcing area occurs if the informal review process
does not result in agreement among the parties, and the sourcing area
holder submits a sourcing area application to the Office of the
Administrative Law Judges, pursuant to 36 CFR 223.190, within 10 working
days after the meeting convened by the Regional Forester as part of the
informal process.
(2) Initiation of review by agency. If the Forest Service wishes to
begin a review of a sourcing area, the Regional Forester of the region
in which the manufacturing facility being sourced is located shall begin
an informal review, pursuant to 36 CFR 223.191(e). If no agreement is
reached in the informal review process, the Regional Forester of the
region in which the manufacturing facility being sourced is located
shall transmit to the Office of Administrative Law Judges any
submissions received during the informal review process, within 5
working days of the meeting convened during the informal review (36 CFR
223.191(e)). Agreement is reached when all persons attending the meeting
convened by the Regional Forester to resolve differences as to the
proper sourcing area, including the Regional Forester, sign the document
describing the sourcing area. Institution by the Forest Service of a
formal review of a sourcing area occurs when the Office of
Administrative Law Judges receives the papers and documents submitted
during the informal review process.
Sec. 1.413 Submission of a sourcing area application.
A sourcing area applicant shall send the application to the Office
of Administrative Law Judges and shall, simultaneously, send a copy of
the sourcing
[[Page 89]]
area application to the Forest Service Regional Forester of the region
in which the manufacturing facility being sourced is located. Where the
sourcing area application will cover purchases from more than one
agency, application is to be made to the agency from which the applicant
expects to purchase the preponderance of its Federal timber. The
sourcing area applicant must also send a complete copy of the
application to each agency concerned. The lead agency shall make the
decision in consultation with, and upon co-signature of, the other
agency(ies) concerned. Sourcing area applications must be signed by the
persons making the request, or in the case of a corporation, by its
chief executive officer, and must be notarized. The application shall be
on company letterhead.
Sec. 1.414 Docket number.
Each proceeding, following its institution, shall be assigned a
docket number by the Hearing Clerk, and thereafter the proceeding shall
be referred to by such number. The Hearing Clerk shall notify the
sourcing area applicant and the Regional Forester to whom the applicant
submitted a copy of the application of the docket number and the name of
the Judge to whom the case has been assigned. In a formal review of a
sourcing area instituted by the Forest Service, the Hearing Clerk shall
inform the sourcing area holder whose sourcing area is subject to the
review and the Regional Forester who submitted the comments instituting
the formal review of the docket number and the name of the Judge to whom
the case has been assigned.
Sec. 1.415 Notification of proceedings.
The Regional Forester of the region in which the manufacturing
facility being sourced is located shall notify prospective parties of
the sourcing area application and/or the formal review of a sourcing
area after receipt of the docket number and the name of the Judge to
whom the proceeding has been assigned, pursuant to Sec. 1.414 of these
rules. Notification will consist of publication of a notice in
newspapers of general circulation in the area included in the sourcing
area application. The Regional Forester shall promptly notify the
Hearing Clerk of the date of the publication and the notice. Additional
notification will be made through agency mailing lists. Notification
shall include the docket number, the name of the Judge to whom the case
has been assigned and the mailing address of the Judge. In the case of a
sourcing area review, notification will also state the reason for the
review.
Sec. 1.416 Comment period.
Written comments on a sourcing area application or on a formal
review of a sourcing area shall include the docket number and may be
submitted to the Judge for 30 calendar days following publication of the
notice. Persons submitting comments shall send a copy of the comments to
the Regional Forester of the region in which the manufacturing facility
being sourced is located. All comments must be received by the Judge and
by the Regional Forester by the 30th day of the comment period.
Sec. 1.417 Review period.
(a) Review of comments. The sourcing area applicant, the sourcing
area holder whose sourcing area is the subject of a formal review and
other parties who submitted written comments will be allowed 10 working
days from the close of the comment period to review the written comments
at the Regional Forester's office during regular business hours.
(b) Recommendation to Judge to approve or disapprove a sourcing area
application. During the 10 working day review period, parties who have
submitted written comments on an application or on a formal review of a
sourcing area may submit a written recommendation to the Judge,
including an analysis of the facts and law as to why the Judge should
approve or disapprove that application. A sourcing area applicant whose
sourcing area application is the subject of the proceeding, and a
sourcing area holder whose sourcing area is the subject of a formal
review, may also submit a written recommendation to the Judge. The
recommendation must be postmarked no later than the 10th working day of
the review period.
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(c) Request for a hearing. The sourcing area applicant, the sourcing
area holder whose sourcing area is the subject of a formal review and
persons who submitted written comments, or the attorney of record for a
party in the proceeding, may review the comments and request a hearing
within 10 working days after the comment period, pursuant to 36 CFR
233.190(h)(2). The request must be postmarked no later than the 10th
working day of the review period. An attorney may file an appearance of
record prior to the scheduled hearing. The request for a hearing shall
be filed with the Judge. The hearing is for the purpose of supplementing
the written record submitted prior to the hearing. The written record
submitted prior to the hearing consists of papers and documents
submitted during the 30 calendar day comment period, the 10 working day
review period, and any motions submitted before the hearing. For
purposes of a formal review of a sourcing area, the written record also
consists of the papers and documents submitted during the informal
review.
(1) Contents of the notice of hearing. The Judge shall issue a
notice of hearing regarding a particular sourcing area application or
regarding formal review of a sourcing area application or regarding
formal review of a sourcing area to all parties of record for that
application or formal review. The notice of hearing shall contain a
reference to the authority under which the sourcing area is proposed or
formally reviewed; shall define the scope of the hearing; shall contain
a reference to the sourcing area that is the subject of the hearing; and
shall state the date, time and place of such hearing; and shall state
the date, time and place of such hearing; which shall be set with due
regard for the necessity and convenience of the parties of record or
their representatives. The Judge shall schedule a hearing no later than
21 calendar days after the 10 working day period for reviewing written
comments ends. The Judge may consolidate requests for a hearing
regarding the same application.
(2) Giving notice of hearing. The notice of hearing shall be served
upon the parties of record for the sourcing area application at issue by
the Hearing Clerk.
Sec. 1.418 Procedure upon no request for hearing.
If no hearing is requested by a party of record, the Judge shall
issue an initial decision based on the written record and without
further procedure or hearing. If no hearing is requested, the written
record consists of papers and documents submitted during the 30-day
comment period, the 10-day review period, and includes motions submitted
before the Judge issues an initial decision. For purposes of a formal
review of a sourcing area, the written record also consists of the
papers and documents submitted during the informal review. Copies of the
decision shall be served by the Hearing Clerk upon each of the parties
of record.
Sec. 1.419 Amendment of a sourcing area application.
The sourcing area applicant may move to amend the sourcing area
application with clarifying and technical amendments at any time prior
to the Judge's initial determination if there is no hearing, or prior to
the close of the hearing if there is a hearing.
Sec. 1.420 Consent recommendation.
Any time before the Judge files the decision, the parties of record
may enter a consent recommendation. Such consent recommendation shall be
filed with the Hearing Clerk, signed by the parties with appropriate
space for signature by the Judge. The consent recommendation shall
contain an admission of the jurisdictional facts, the factual and legal
basis for the recommended sourcing area, the consent to the issuance of
the recommended decision as the final decision of the agency without
further procedure and such other admissions or statements as may be
recommended by the parties. The Judge shall review the recommendation to
determine whether such recommendation conforms with the Forest Resources
Conservation and Shortage Relief Act of 1990 (16 U.S.C. 620, et seq.),
36 CFR 223.190, 36 CFR 223.191(e) and these procedures. If the
recommendation conforms to the aforementioned Act, regulations, and
procedures, the Judge may enter such decision without further procedure,
unless an error is apparent on the face of the
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document. If the Judge enters the decision, such decision shall have the
same force and effect as a decision issued after full hearing and shall
become final upon issuance to become effective in accordance with the
terms of the decision.
Sec. 1.421 Prehearing conferences and procedures.
(a) Purpose and scope. (1) Upon motion of a party of record or upon
the Judge's own motion, the Judge may direct the parties or their
counsel to attend a conference at any reasonable time, prior to or
during the course of the hearing, when the Judge finds that the
proceeding would be expedited by a prehearing conference. Reasonable
notice of the time and place of the conference shall be given. The Judge
may order each of the parties to furnish at or subsequent to the
conference any or all of the following:
(i) An outline of a party's position;
(ii) The facts upon which the party will rely;
(iii) The legal theories upon which the party will rely;
(iv) Copies of or a list of documents which the party anticipates
introducing at the hearing; and
(v) A list of anticipated witnesses who will testify on behalf of
the party. At the discretion of the party furnishing such list of
witnesses, the names of the witnesses need not be furnished if they are
otherwise identified in some meaningful way such as a short statement of
the type of evidence they will offer.
(2) The Judge shall not order any of the foregoing procedures that a
party can show is inappropriate or unwarranted under the circumstances
of the particular determination.
(3) At the conference, the following matters shall be considered:
(i) The simplification of issues;
(ii) The possibility of obtaining stipulations of facts and of the
authenticity, accuracy, and admissibility of documents, which will avoid
unnecessary proof;
(iii) The limitation of the number of expert or other witnesses;
(iv) Negotiation, compromise, or settlement of issues;
(v) The exchange of copies of proposed exhibits;
(vi) The identification of documents or matters of which official
notice may be requested;
(vii) A schedule to be followed by the parties for completion of the
actions decided at the conference; and
(viii) Such other matters as may expedite and aid in the disposition
of the proceeding.
(b) Reporting. A prehearing conference will not be stenographically
reported unless so directed by the Judge.
(c) Action in lieu of personal attendance at a conference. In the
event the Judge concludes that personal attendance by the Judge and the
parties or counsel at a prehearing conference is unwarranted or
impracticable, but determines that a conference would expedite the
proceeding, the Judge may conduct such conference by telephone or
correspondence.
(d) Order. Actions taken as a result of a conference shall be
reduced to an appropriate written order, unless the Judge concludes that
a stenographic report shall suffice, or if the Judge elects to make a
statement on the record at the hearing summarizing the actions taken.
Sec. 1.422 Conduct of the hearing.
(a) Time and place. The hearing shall be held at the time and place
fixed in the notice of hearing. If any change in the time or place of
the hearing is made, the Judge shall file with the Hearing Clerk a
notice of such change, which notice shall be served upon the parties,
unless it is made during the course of an oral script, or actual notice
is given to the parties.
(b) Appearances. The parties may appear in person or by attorney of
record in the proceeding. Any party who desires to be heard in person
shall, before proceeding to testify, state his name, address, and
occupation. If any such person is appearing through counsel, such person
or such counsel shall, before proceeding to testify or otherwise to
participate in the hearing, state for the record the authority to act as
such counsel or representative, and the names, addresses, and
occupations of such person and such counsel. Any such person or such
counsel shall give such
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other information respecting his appearance as the Judge may request.
Any person who appears as counsel must conform to the standards of
ethical conduct required of practitioners before the courts of the
United States.
(c) Failure to appear. A party of record who, after being duly
notified, fails to appear at the hearing without good cause, shall be
deemed to have waived the right to an oral hearing in the proceeding.
Failure to appear at a hearing shall not be deemed to be a waiver of the
right to be served with a copy of the Judge's decision.
(d) Order of proceeding. The Judge shall determine the order in
which the parties shall proceed.
(e) Evidence--(1) In general. (i) The testimony of witnesses at a
hearing shall be on oath or affirmation and shall be subject to cross-
examination. Cross-examination shall be permitted to the extent required
for a full and true disclosure of the facts. The Judge may require that
testimony on one issue raised by numerous parties be heard at one time.
(ii) Upon a finding of good cause, the Judge may order that any
witness be examined separately and apart from all other witnesses except
those who may be parties to the proceeding.
(iii) After a witness has testified on direct examination, any other
party may request and obtain the production of any statement, or part
thereof, of such witness in the possession of the party who called the
witness, which relates to the subject matter as to which the witness has
testified. Such production shall be made according to the procedures and
subject to the definitions and limitations prescribed in the Jencks Act
(18 U.S.C. 3500).
(iv) Evidence which is immaterial, or unduly repetitious, or which
is not of the sort upon which responsible persons are accustomed to
rely, shall be excluded insofar as practicable.
(2) Objections. (i) If a party objects to the admission of any
evidence or to the limitation of the scope of any examination or cross-
examination or to any other ruling of the Judge, the party shall state
briefly the grounds of such objection, whereupon an automatic exception
will follow if the objection is overruled by the Judge.
(ii) Only objections made before the Judge may subsequently be
relied upon in the proceeding.
(3) Depositions. The deposition of any witness shall be admitted in
the manner provided in and subject to the provisions of Sec. 1.228 of
these procedures.
(4) Exhibits. Unless the Judge finds that the furnishing of copies
is impracticable, two copies of each exhibit shall be filed with the
Judge. The party submitting the exhibit shall serve on every other party
of record a copy of the exhibit, pursuant to Sec. 1.427(c) of these
procedures. A true copy of an exhibit may be substituted for the
original.
(5) Official records or documents. An official government record or
document or entry therein, if admissible for any purpose, shall be
admissible in evidence without the production of the person who made or
prepared the same, and shall be prima facie evidence of the relevant
facts stated therein. Such record or document shall be evidenced by an
official publication thereof or a copy certified by a person having
legal authority to make such certification.
(6) Official notice. Official notice shall be taken of such matters
as are judicially noted by the courts of the United States and of any
other matter of technical, scientific, or commercial fact of established
character: Provided, That the parties shall be given adequate notice of
matters so noticed, and shall be given adequate opportunity to show that
such facts are erroneously noticed.
(7) Offer of proof. Whenever evidence is excluded by the Judge, the
party offering such evidence may make an offer of proof, which shall be
included in the transcript. The offer of proof shall consist of a brief
statement describing the evidence excluded. If the evidence consists of
a brief oral statement, it shall be included in the transcript in toto.
If the evidence consists of an exhibit, it shall be marked for
identification and inserted in the hearing record.
(f) Transcript. Hearings shall be recorded and transcribed verbatim.
Transcripts thereof shall be made available to any person, at actual
cost of duplication (5 U.S.C. App. 2, section 11).
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Sec. 1.423 Post-hearing procedure.
(a) Corrections to transcript. (1) Within the period of time fixed
by the Judge, any party may file a motion proposing corrections to the
transcript.
(2) Unless a party files such motion in the manner prescribed, the
transcript shall be presumed, except for obvious typographical errors,
to be complete.
(3) As soon as practicable after the close of the hearing and after
consideration of any timely objections filed as to the transcript, the
Judge shall issue an order making any corrections to the transcript
which the Judge finds are warranted, which corrections shall be entered
onto the original transcript by the Hearing Clerk (without obscuring the
origianl text).
(b) Proposed findings of fact, conclusions, order, and brief. Prior
to the close of the hearing, each party may submit for consideration
proposed findings of fact, conclusions, order, and brief in support
thereof. A copy of each such document filed by a party shall be served
upon each of the other parties.
(c) Judge's decision. (1) The Judge may, upon motion of any party or
in his or her own discretion, issue a decision orally at the close of
the hearing, or within 10 calendar days after the close of the hearing,
or within 10 calendar days after submission of the record, if no hearing
is requested.
(2) If the decision is announced orally, a copy thereof, excerpted
from the transcript of the record, shall be furnished to the parties by
the Hearing Clerk. Irrespective of the date such copy is mailed, the
issuance date of the decision shall be the date the oral decision was
announced.
(3) If the decision is in writing, it shall be filed with the
Hearing Clerk and served upon the parties as provided in Sec. 1.427.
(4) The Judge's decision shall become effective without further
proceedings 21 calendar days after the issuance of the decision, if
announced orally at the hearing, or if the decision is in writing, 21
calendar days after the date of service thereof upon the respondent,
unless there is an appeal to the Judicial Officer by a party to the
proceeding pursuant to Sec. 1.426; Provided, however, that no decision
shall be final for purposes of judicial review except a final decision
of the Judicial Officer upon appeal.
(5) The Judicial Officer shall issue a decision within 10 calendar
days of the receipt of the response to the appeal.
Sec. 1.424 Motions and requests.
(a) General. All motions and requests shall be filed with the
Hearing Clerk, and served upon all the parties except motions and
requests made on the record during the oral hearing.
(b) Motions entertained. No dispositive motions, including motions
to dismiss on the pleadings and motions for summary judgment, shall be
entertained unless specifically mentioned herein or allowed in the
discretion of the Judge.
(c) Contents. All written motions and requests shall state the
particular order, ruling, or action desired and the grounds therefore.
(d) Response to motions and requests. Within 5 days after service of
any written motion or request, or within such shorter or longer period
as may be fixed by the Judge, an opposing party may file a response to
the motion or request. The other party shall have no right to reply to
the response.
Sec. 1.425 Judges.
(a) Assignment. No Judge shall be assigned to serve in any
proceeding who:
(1) Has any pecuniary interest in any matter or business involved in
the proceeding;
(2) Is related within the third degree by blood or marriage to any
party to the proceeding; or
(3) Has any conflict of interest which might impair the Judge's
objectivity in the proceeding.
(b) Disqualification of Judge. (1) Any party to the proceeding may,
by motion made to the Judge, request that the Judge withdraw from the
proceeding because of an alleged disqualifying reason. Such motion shall
set forth with particularity the grounds of alleged disqualification.
The Judge may then either rule upon or certify the motion to the
Secretary, but not both.
(2) A Judge shall withdraw from any proceeding for any reason deemed
by the Judge to be disqualifying.
(c) Powers. Subject to review as provided elsewhere in this part,
the Judge,
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in any assigned proceeding shall have power to:
(1) Rule upon motions and requests;
(2) Set the time and place of a pre-hearing conference and the
hearing, adjourn the hearing from time to time, and change the time and
place of hearing;
(3) Administer oaths and affirmations;
(4) Request the presence of and examine witnesses and receive
relevant evidence at the hearing;
(5) Take or order the taking of depositions as authorized under
these rules;
(6) Admit or exclude evidence;
(7) Hear oral argument on facts or law,
(8) Do all acts and take all measures necessary for the maintenance
of order, including the exclusion of contumacious counsel or other
persons;
(9) Request additional information from any party to aid in the
Judge's determination; and
(10) Take all other actions authorized under these procedures.
(d) Who may act in the absence of the Judge. In case of the absence
of the Judge or the Judge's inability to act, the powers and duties to
be performed by the Judge under these rules of practice in connection
with any assigned proceeding may, without abatement of the proceeding
unless otherwise directed by the Chief Judge, be assigned to any other
Judge.
Sec. 1.426 Appeal to Judicial Officer.
(a) Filing of petition. Within 10 calendar days after receiving
service of the Judge's decision, a party who disagrees with the
decision, or any part thereof, or any ruling by the Judge or any alleged
deprivation of rights, may appeal such decision to the Judicial Officer
by filing an appeal petition with the Hearing Clerk. As provided in
Sec. 1.422(e)(2), objections regarding evidence or a limitation
regarding examination or cross-examination or other rulings made before
the Judge may be relied upon in an appeal. Each issue set forth in the
petition, and the arguments thereon, shall be separately numbered; shall
be plainly and concisely stated; and shall contain detailed citations of
the record, statutes, regulations or authorities being relied upon in
support thereof. A brief may be filed in support of the appeal
simultaneously with the petition. A party filing a petition of appeal to
the Judicial Officer, and any brief in support thereof, shall serve the
other parties to the proceeding with a copy of the petition and
supporting brief. The copies of the petition and supporting brief shall
be served on the parties to the proceeding with a copy of the petition
and supporting brief. The copies of the petition and supporting brief
shall be served on the parties to the proceeding on the same day as the
petition and supporting brief are filed with the Judicial Officer.
(b) Response to appeal petition. Within 10 calendar days after the
service of a copy of an appeal petition and any brief in support
thereof, filed by a party to the proceeding, any other party may file
with the Hearing Clerk a response in support of or in opposition to the
appeal and in such response any relevant issue, not presented in the
appeal petition, may be raised. A party filing a response to a petition
of appeal to the Judicial Officer shall serve the other parties to the
proceeding with a copy of the response. The copies of the response shall
be served on the parties to the proceeding on the same day as the
response is filed with the Judicial Officer.
(c) Transmittal of record. Whenever an appeal of a Judge's decision
is filed and a response thereto has been filed or time for filing a
response has expired, the Hearing Clerk shall transmit to the Judicial
Officer the record of the proceeding. Such record shall include: The
pleadings; motions and requests filed and rulings thereon; the
transcript of the testimony taken at the hearing, together with the
exhibits filed in connection therewith; any documents or papers filed in
connection with a prehearing conference; such proposed findings of fact,
conclusions, and orders, and briefs in support thereof, as may have been
filed in connection with the proceeding; the Judge's decision; such
exceptions, statements of objections and briefs in support thereof as
may have been filed in the proceeding; and the appeal petition, and such
briefs in support thereof and responses thereto
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as may have been filed in the proceeding.
(d) Decision of the Judicial Officer on appeal. The Judicial
Officer, upon the basis of and after due consideration of the record and
any matter of which official notice is taken, shall rule on the appeal
within 4 months after the institution of the proceeding, pursuant to 16
U.S.C. 620b(c)(3). If the Judicial Officer decides that no change or
modification of the Judge's decision is warranted, the Judicial Officer
may adopt the Judge's decision as the final order in the proceeding,
preserving any right of the party bringing the appeal to seek judicial
review of such decision in the proper forum. A final order issued by the
Judicial Officer shall be filed with the Hearing Clerk. Such order may
be regarded by a party as final for purposes of judicial review.
Sec. 1.427 Filing; identification of parties of record; service; and
computation of time.
(a) Filing; number of copies. Except as otherwise provided in this
section, all documents or papers required or authorized by the rules in
this part to be filed with the Hearing Clerk shall be filed in
duplicate. Any document or paper required or authorized under the rules
in this part to be filed with the Hearing Clerk shall, during the course
of an oral hearing, be filed with the Judge.
(b) Parties of record shall receive a list from the Hearing Clerk of
the names and addresses of all parties of record immediately after the
close of the comment period.
(c) Service; proof of service. (1) Each party of record is
responsible for serving on every other party and to the Judge all papers
and documents submitted after the comment period. Service shall be made
either:
(i) By delivering a copy of the document or paper to the individual
to be served or to a member of the partnership to be served, or to the
president, secretary, or other executive officer or a director of the
corporation or association to be served, or to the attorney of record
representing such individual, partnership, corporation, organization, or
association; or
(ii) By leaving a copy of the document or paper at the principal
office or place of business or residence of such individual,
partnership, corporation, organization, or association, or of the
attorney or agent of record and mailing by regular mail another copy to
such person at such address; or
(iii) By registering or certifying and mailing a copy of the
document or paper, addressed to such individual, partnership,
corporation, organization, or association, or to the attorney or agent
of record, at the last known residence or principal office or place of
business of such person: Provided, That if the registered or certified
document or paper is returned undelivered because the addressee refused
or failed to accept delivery, the document or paper shall be served by
remailing it by regular mail; or
(iv) By mailing the document or paper by regular mail.
(2) Proof of service hereunder shall be made by the certificate of
the person who actually made the service: Provided, that if the service
is made by mail, as outlined in paragraph (b)(3) of this section, proof
of service shall be made by the return post-office receipt, in the case
of registered or certified mail, and if that service is made by regular
mail, as outlined in paragraphs (b)(3) and (b)(4) of this section, proof
of service shall be made by the certificate of the person who mailed the
matter by regular mail. The certificate and post-office receipt
contemplated herein shall be filed with the Hearing Clerk, and made a
part of the record of the proceeding. The Judge and the Hearing Clerk
shall follow the procedures outlined in (c) for service of papers or
documents signed by the Judge and/or the Hearing Clerk.
(d) Effective date of filing. Any document or paper required or
authorized under the rules in this part to be filed shall be deemed to
be filed at the time when it reaches the Hearing Clerk; or, if
authorized to be filed with another officer or employee of the
Department it shall be deemed to be filed at the time when it reaches
such officer or employee.
(e) Computations of time. Saturdays, Sundays and Federal holidays
shall be
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included in computing the time allowed for the filing of any document or
paper except as provided in these rules; Provided, that, when such time
expires on a Saturday, Sunday, or Federal holiday, such period shall be
extended to include the next following business day.
Sec. 1.428 Depositions.
(a) Motion for taking deposition. Upon the motion of a party to the
proceeding, the Judge may, at any time after the filing of the
submission, order the taking of testimony by deposition. The Motion
shall be in writing, shall be filed with the Hearing Clerk, and shall
set forth:
(1) The name and address of the proposed deponent;
(2) The name and address of the person (referred to hereafter in
this section as the ``officer'') qualified under the regulations in this
part to take depositions, before whom the proposed examination is to be
made;
(3) The proposed time and place of the examination; and
(4) The reasons why such deposition should be taken, which shall be
solely for the purpose of eliciting testimony which otherwise might not
be available at the time of the hearing, for uses as provided in
paragraph (g) of this section.
(b) Judge's order for taking deposition. (1) If the Judge finds that
testimony may not be otherwise available at the hearing, the taking of
the deposition may be ordered. The order shall be served upon the
parties, and shall state:
(i) The time and place of the examination;
(ii) The name of the officer before whom the examination is to be
made; and
(iii) The name of the deponent.
(2) The officer and the time and place need not be the same as those
suggested in the motion.
(c) Qualifications of officer. The deposition shall be made before
the Judge or before an officer authorized by the law of the United
States or by the law of the place of the examination to administer
oaths, or before an officer authorized by the Secretary to administer
oaths.
(d) Procedure on examinations. (1) The deponent shall be subject to
cross-examination. Objections to questions or documents shall be in
short form, stating the grounds of objections relied upon. The questions
propounded, together with all objections made (but not including
argument or debate), shall be recorded verbatim. In lieu of oral
examination, parties may transmit written questions to the officer prior
to the examination and the officer shall propound such questions to the
deponent.
(2) The applicant shall arrange for the examination of the witness
either by oral examination, or by written questions upon agreement of
the parties or as directed by the Judge. If the examination is conducted
by means of written questions, copies of the questions shall be served
upon the other party to the proceeding and filed with the officer and
the other party may serve cross questions and file them with the officer
at any time prior to the time of the examination.
(e) Certification by officer. The officer shall certify on the
deposition that the deponent was duly sworn and that the deposition is a
true record of the deponent's testimony. The officer shall then securely
seal the deposition, together with one copy thereof (unless there are
more than two parties in the proceeding, in which case there should be
another copy for each additional party), in an envelope and mail the
same by registered or certified mail to the Hearing Clerk.
(f) Corrections to the transcript. (1) At any time prior to the
hearing any party may file a motion proposing corrections to the
transcript of the deposition.
(2) Unless a party files such a motion in the manner prescribed, the
transcript shall be presumed, except for obvious typographical errors,
to be a true, correct, and complete transcript of the testimony given in
the deposition proceeding and to contain an accurate description or
reference to all exhibits in connection therewith, and shall be deemed
to be certified correct without further procedure.
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(3) At any time prior to use of the deposition in accordance with
paragraph (g) of this section and after consideration of any objections
filed thereto, the Judge may issue an order making any corrections in
the transcript which the Judge finds are warranted, which corrections
shall be entered onto the original transcript by the Hearing Clerk
(without obscuring the original text).
(g) Use of deposition. A deposition ordered and taken in accordance
with the provisions of this section may be used in a proceeding under
these rules if the Judge finds that the evidence is otherwise admissible
and that the witness is dead; that the witness is unable to attend or
testify because of age, sickness, infirmity, or imprisonment; or that
such exceptional circumstances exist as to make it desirable, in the
interests of justice, to allow the deposition to be used. If the party
upon whose motion the deposition was taken refuses to offer it in
evidence, any other party may offer the deposition or any thereof in
evidence. If only part of a deposition is offered in evidence by a
party, an adverse party may require the introduction of any other part
which ought in fairness to be considered with the part introduced and
any party may introduce any other parts.
Sec. 1.429 Ex parte communications.
(a) At no stage of the proceeding between its institution and
issuance of the final decision shall an employee of the Department who
is or may reasonably be expected to be involved in the decisional
process of the proceeding discuss ex parte the merits of the proceeding
with any person having an interest in the proceeding, or with any
representative of such person: Provided, That, procedural matters and
status reports shall not be included within this limitation; and
Provided further, That an employee of the Department who is or may be
involved in the decisional process of the proceeding may discuss the
merits of the proceeding if all parties of record have been given notice
and an opportunity to participate. A memorandum of any such discussion
shall be included in the record.
(b) No interested person shall make or knowingly cause to be made to
the Judge an ex parte communication relevant to the merits of the
proceeding.
(c) If the Judge reviews an ex parte communication in violation of
this section, the one who receives the communication shall place in the
public record of the proceeding:
(1) All such written communication;
(2) Memoranda stating the substance of all such oral communications;
and
(3) All written responses, and memoranda stating the substance of
all oral responses thereto.
(d) Upon receipt of a communication knowingly made or knowingly
caused to be made by a party in violation of this section, the Judge
may, to the extent consistent with the interests of justice and the
policy of the underlying statute, require the party to show cause why
his claim or interest in the proceeding should not be dismissed, denied,
disregarded, or otherwise adversely affected on account of such
violation.
(e) To the extent consistent with the interests of justice and the
policy of the underlying statute, a violation of this section shall be
sufficient grounds for a decision adverse to the party who knowingly
commits a violation of this section or who knowingly causes such a
violation to occur.
(f) For purposes of this section ``ex parte communication'' means an
oral or written communication not on the public record with respect to
which reasonable prior notice to all parties is not given, but it shall
not include requests for status reports on any matter or the proceeding.
PART 1a_LAW ENFORCEMENT AUTHORITIES--Table of Contents
Sec.
1a.1 General statement.
1a.2 Authorization.
1a.3 Persons authorized.
1a.4 Limitations.
1a.5 Responsibility of the Inspector General.
Authority: Sec. 1337, Pub. L. 97-98; 5 U.S.C. 301; 5 U.S.C. App. I.
Source: 47 FR 2073, Jan. 14, 1982, unless otherwise noted.
[[Page 98]]
Sec. 1a.1 General statement.
This part sets forth the rules issued by the Secretary of
Agriculture to implement section 1337 of Public Law 97-98 relating to:
(a) Arrests without warrant for certain criminal felony violations;
(b) Execution of warrants for arrests, searches of premises and
seizures of evidence; and
(c) The carrying of firearms by designated officials of the Office
of Inspector General.
Sec. 1a.2 Authorization.
Any official of the Office of Inspector General who is designated by
the Inspector General according to Sec. Sec. 1a.3 and 1a.5 of this part
and who is engaged in the performance of his/her official duties under
the authority provided in section 6, or described in section 9, of the
Inspector General Act of 1978 (5 U.S.C. App.), is authorized to--
(a) Make an arrest without a warrant for any criminal felony
violation subject to Sec. 1a.4, if such violation is committed, or if
the official has probable cause to believe that such violation is being
committed, in his/her presence;
(b) Execute and serve a warrant for an arrest, for the search of
premises, or the seizure of evidence if such warrant is issued under
authority of the United States upon probable cause to believe that any
criminal felony violation, subject to Sec. 1a.4, has been committed;
and
(c) Carry a firearm.
[50 FR 13759, Apr. 8, 1985]
Sec. 1a.3 Persons authorized.
Any person who is employed in the Office of Inspector General and
who is designated by the Inspector General in accordance with and
subject to Sec. 1a. and who conducts investigations of alleged or
suspected felony criminal violations of statutes administered by the
Secretary of Agriculture or any agency of the Department of Agriculture
may exercise the authorities listed in and pursuant to Sec. 1a.2.
Sec. 1a.4 Limitations.
The powers granted by Sec. Sec. 1a.2(a) and 1a.2(b) shall be
exercised only when a designated official is engaged in an investigation
of alleged or suspected felony violations of statutes administered by
the Secretary of Agriculture or any agency of the Department.
[50 FR 13759, Apr. 8, 1985]
Sec. 1a.5 Responsibility of the Inspector General.
The Inspector General shall:
(a) Issue directives conforming to this part governing the exercise
of the authorities granted by this part. These directives should contain
the policies and procedures by which the authorities will be exercised
by designated officials of the Office of Inspector General;
(b) Establish criteria for qualification by officials of the Office
of Inspector General who are designated to exercise the authorities
granted in this part;
(c) Monitor the implementation and exercise of the authorities
granted by this part;
(d) Designate, pursuant to Sec. Sec. 1a.2, 1a.3 and 1a.4, and the
directives issued under paragraph (a) of this section, and the criteria
established under paragraph (b) of this section, employees who have
satisfied all the qualifications set by the Inspector General to
exercise the authorities granted by Sec. 1a.2; and
(e) Submit to the Attorney General of the United States the name of
any employee of the Office of Inspector General designated pursuant to
paragraph (d) of this section. Any designation not specifically
disapproved by the Attorney General within 30 days after the date of
submission shall be deemed approved.
PART 1b_NATIONAL ENVIRONMENTAL POLICY ACT--Table of Contents
Sec.
1b.1 Purpose.
1b.2 Policy.
1b.3 Categorical exclusions.
1b.4 Exclusion of agencies.
Authority: 5 U.S.C. 301; 42 U.S.C. 4321 et seq.; E.O. 11514, 3 CFR,
1966-1970 Comp., p. 902, as amended by E.O. 11991, 3 CFR, 1978 Comp., p.
123; E.O. 12114, 3 CFR, 1980 Comp., p. 356; 40 CFR 1507.3.
Source: 48 FR 11403, Mar. 18, 1983, unless otherwise noted.
[[Page 99]]
Sec. 1b.1 Purpose.
(a) This part supplements the regulations for implementation of the
National Environmental Policy Act (NEPA), for which regulations were
published by the Council on Environmental Quality (CEQ) in 40 CFR parts
1500 through 1508. This part incorporates and adopts those regulations.
(b) This part sets forth Departmental policy concerning NEPA,
establishes categorical exclusions of actions carried out by the
Department and its agencies, and sets forth those USDA agencies which
are excluded from the requirement to prepare procedures implementing
NEPA.
[48 FR 11403, Mar. 18, 1983, as amended at 60 FR 66481, Dec. 22, 1995]
Sec. 1b.2 Policy.
(a) All policies and programs of the various USDA agencies shall be
planned, developed, and implemented so as to achieve the goals and to
follow the procedures declared by NEPA in order to assure responsible
stewardship of the environment for present and future generations.
(b) Each USDA agency is responsible for compliance with this part,
the regulations of CEQ, and NEPA. Compliance will include the
preparation and implementation of specific procedures and processes
relating to the programs and activities of the individual agency, as
necessary.
(c) The Under Secretary, Natural Resources and Environment (NR&E),
is responsible for ensuring that agency implementing procedures are
consistent with CEQ's NEPA regulations and for coordinating NEPA
compliance for the Department. The Under Secretary, NR&E, through the
Agricultural Council on Environmental Quality, will develop the
necessary processes to be used by the Office of the Secretary in
reviewing, implementing, and planning its NEPA activities,
determinations, and policies.
(d) In connection with the policies and requirements set forth in
this part, all USDA agencies are responsible for compliance with
Executive Order 12114, ``Environmental Effects Abroad of Major Federal
Actions.'' Compliance will include the preparation and implementation of
specific procedures and processes relative to the programs and
activities of the individual agencies, as necessary. Agencies shall
consult with the Department of State; the Council on Environmental
Quality; and the Under Secretary, NR&E, prior to placing procedures and
processes in effect.
[48 FR 11403, Mar. 18, 1983, as amended at 60 FR 66481, Dec. 22, 1995]
Sec. 1b.3 Categorical exclusions.
(a) The following are categories of activities which have been
determined not to have a significant individual or cumulative effect on
the human environment and are excluded from the preparation of
environmental assessment (EA's) or environmental impact statement
(EIS's), unless individual agency procedures prescribed otherwise.
(1) Policy development, planning and implementation which relate to
routine activities, such as personnel, organizational changes, or
similar administrative functions;
(2) Activities which deal solely with the funding of programs, such
as program budget proposals, disbursements, and transfer or
reprogramming of funds;
(3) Inventories, research activities, and studies, such as resource
inventories and routine data collection when such actions are clearly
limited in context and intensity;
(4) Educational and informational programs and activities;
(5) Civil and criminal law enforcement and investigative activities;
(6) Activities which are advisory and consultative to other agencies
and public and private entities, such as legal counselling and
representation;
(7) Activities related to trade representation and market
development activities abroad.
(b) Agencies will identify in their own procedures the activities
which normally would not require an environmental assessment or
environmental impact statement.
(c) Notwithstanding the exclusions listed in paragraphs (a) of this
section and Sec. 1b.4, or identified in agency procedures, agency heads
may determine that circumstances dictate the need for
[[Page 100]]
preparation of an EA or EIS for a particular action. Agencies shall
continue to scrutinize their activities to determine continued
eligibility for categorical exclusion.
[48 FR 11403, Mar. 18, 1983, as amended at 60 FR 66481, Dec. 22, 1995]
Sec. 1b.4 Exclusion of agencies.
(a) The USDA agencies and agency units listed in paragraph (b) of
this section conduct programs and activities that have been found to
have no individual or cumulative effect on the human environment. The
USDA agencies and agency units listed in paragraph (b) of this section
are excluded from the requirements of preparing procedures to implement
NEPA. Actions of USDA agencies and agency units listed in paragraph (b)
of this section are categorically excluded from the preparation of an EA
or EIS unless the agency head determines that an action may have a
significant environmental effect.
(b)(1) Agricultural Marketing Service
(2) Economic Research Service
(3) Extension Service
(4) Federal Corp Insurance Corporation
(5) Food and Consumer Service
(6) Food Safety and Inspection Service
(7) Foreign Agricultural Service
(8) Grain Inspection, Packers and Stockyards Administration
(9) National Agricultural Library
(10) National Agricultural Statistics Service
(11) Office of the General Counsel
(12) Office of the Inspector General
[60 FR 66481, Dec. 22, 1995]
PART 1c_PROTECTION OF HUMAN SUBJECTS--Table of Contents
Sec.
1c.101 To what does this policy apply?
1c.102 Definitions.
1c.103 Assuring compliance with this policy--research conducted or
supported by any Federal Department or Agency.
1c.104-1c.106 [Reserved]
1c.107 IRB membership.
1c.108 IRB functions and operations.
1c.109 IRB review of research.
1c.110 Expedited review procedures for certain kinds of research
involving no more than minimal risk, and for minor changes in
approved research.
1c.111 Criteria for IRB approval of research.
1c.112 Review by institution.
1c.113 Suspension or termination of IRB approval of research.
1c.114 Cooperative research.
1c.115 IRB records.
1c.116 General requirements for informed consent.
1c.117 Documentation of informed consent.
1c.118 Applications and proposals lacking definite plans for involvement
of human subjects.
1c.119 Research undertaken without the intention of involving human
subjects.
1c.120 Evaluation and disposition of applications and proposals for
research to be conducted or supported by a Federal Department
or Agency.
1c.121 [Reserved]
1c.122 Use of Federal funds.
1c.123 Early termination of research support: Evaluation of applications
and proposals.
1c.124 Conditions.
Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).
Source: 56 FR 28012, 28018, June 18, 1991, unless otherwise noted.
Sec. 1c.101 To what does this policy apply?
(a) Except as provided in paragraph (b) of this section, this policy
applies to all research involving human subjects conducted, supported or
otherwise subject to regulation by any federal department or agency
which takes appropriate administrative action to make the policy
applicable to such research. This includes research conducted by federal
civilian employees or military personnel, except that each department or
agency head may adopt such procedural modifications as may be
appropriate from an administrative standpoint. It also includes research
conducted, supported, or otherwise subject to regulation by the federal
government outside the United States.
(1) Research that is conducted or supported by a Federal department
or agency, whether or not it is regulated as defined in Sec. 1c.102(e),
must comply with all sections of this policy.
(2) Research that is neither conducted nor supported by a Federal
department or agency but is subject to regulation as defined in Sec.
1c.102(e) must be reviewed and approved, in compliance with Sec.
1c.101, Sec. 1c.102, and Sec. 1c.107
[[Page 101]]
through Sec. 1c.117 of this policy, by an institutional review board
(IRB) that operates in accordance with the pertinent requirements of
this policy.
(b) Unless otherwise required by department or agency heads,
research activities in which the only involvement of human subjects will
be in one or more of the following categories are exempt from this
policy:
(1) Research conducted in established or commonly accepted
educational settings, involving normal educational practices, such as
(i) Research on regular and special education instructional strategies,
or (ii) research on the effectiveness of or the comparison among
instructional techniques, curricula, or classroom management methods.
(2) Research involving the use of educational tests (cognitive,
diagnostic, aptitude, achievement), survey procedures, interview
procedures or observation of public behavior, unless:
(i) Information obtained is recorded in such a manner that human
subjects can be identified, directly or through identifiers linked to
the subjects; and
(ii) Any disclosure of the human subjects' responses outside the
research could reasonably place the subjects at risk of criminal or
civil liability or be damaging to the subjects' financial standing,
employability, or reputation.
(3) Research involving the use of educational tests (cognitive,
diagnostic, aptitude, achievement), survey procedures, interview
procedures, or observation of public behavior that is not exempt under
paragraph (b)(2) of this section, if:
(i) The human subjects are elected or appointed public officials or
candidates for public office; or
(ii) Federal statute(s) require(s) without exception that the
confidentiality of the personally identifiable information will be
maintained throughout the research and thereafter.
(4) Research, involving the collection or study of existing data,
documents, records, pathological specimens, or diagnostic specimens, if
these sources are publicly available or if the information is recorded
by the investigator in such a manner that subjects cannot be identified,
directly or through identifiers linked to the subjects.
(5) Research and demonstration projects which are conducted by or
subject to the approval of department or agency heads, and which are
designed to study, evaluate, or otherwise examine:
(i) Public benefit or service programs;
(ii) Procedures for obtaining benefits or services under those
programs;
(iii) possible changes in or alternatives to those programs or
procedures; or
(iv) Possible changes in methods or levels of payment for benefits
or services under those programs.
(6) Taste and food quality evaluation and consumer acceptance
studies, (i) if wholesome foods without additives are consumed or (ii)
if a food is consumed that contains a food ingredient at or below the
level and for a use found to be safe, or agricultural chemical or
environmental contaminant at or below the level found to be safe, by the
Food and Drug Administration or approved by the Environmental Protection
Agency or the Food Safety and Inspection Service of the U.S. Department
of Agriculture.
(c) Department or agency heads retain final judgment as to whether a
particular activity is covered by this policy.
(d) Department or agency heads may require that specific research
activities or classes of research activities conducted, supported, or
otherwise subject to regulation by the department or agency but not
otherwise covered by this policy, comply with some or all of the
requirements of this policy.
(e) Compliance with this policy requires compliance with pertinent
federal laws or regulations which provide additional protections for
human subjects.
(f) This policy does not affect any state or local laws or
regulations which may otherwise be applicable and which provide
additional protections for human subjects.
(g) This policy does not affect any foreign laws or regulations
which may otherwise be applicable and which provide additional
protections to human subjects of research.
(h) When research covered by this policy takes place in foreign
countries,
[[Page 102]]
procedures normally followed in the foreign countries to protect human
subjects may differ from those set forth in this policy. [An example is
a foreign institution which complies with guidelines consistent with the
World Medical Assembly Declaration (Declaration of Helsinki amended
1989) issued either by sovereign states or by an organization whose
function for the protection of human research subjects is
internationally recognized.] In these circumstances, if a department or
agency head determines that the procedures prescribed by the institution
afford protections that are at least equivalent to those provided in
this policy, the department or agency head may approve the substitution
of the foreign procedures in lieu of the procedural requirements
provided in this policy. Except when otherwise required by statute,
Executive Order, or the department or agency head, notices of these
actions as they occur will be published in the Federal Register or will
be otherwise published as provided in department or agency procedures.
(i) Unless otherwise required by law, department or agency heads may
waive the applicability of some or all of the provisions of this policy
to specific research activities or classes of research activities
otherwise covered by this policy. Except when otherwise required by
statute or Executive Order, the department or agency head shall forward
advance notices of these actions to the Office for Protection from
Research Risks, Department of Health and Human Services (HHS), and shall
also publish them in the Federal Register or in such other manner as
provided in department or agency procedures.\1\
---------------------------------------------------------------------------
\1\ Institutions with HHS-approved assurances on file will abide by
provisions of title 45 CFR part 46 subparts A-D. Some of the other
Departments and Agencies have incorporated all provisions of title 45
CFR part 46 into their policies and procedures as well. However, the
exemptions at 45 CFR 46.101(b) do not apply to research involving
prisoners, fetuses, pregnant women, or human in vitro fertilization,
subparts B and C. The exemption at 45 CFR 46.101(b)(2), for research
involving survey or interview procedures or observation of public
behavior, does not apply to research with children, subpart D, except
for research involving observations of public behavior when the
investigator(s) do not participate in the activities being observed.
[56 FR 28012, 28018, June 18, 1991; 56 FR 29756, June 28, 1991]
Sec. 1c.102 Definitions.
(a) Department or agency head means the head of any federal
department or agency and any other officer or employee of any department
or agency to whom authority has been delegated.
(b) Institution means any public or private entity or agency
(including federal, state, and other agencies).
(c) Legally authorized representative means an individual or
judicial or other body authorized under applicable law to consent on
behalf of a prospective subject to the subject's participation in the
procedure(s) involved in the research.
(d) Research means a systematic investigation, including research
development, testing and evaluation, designed to develop or contribute
to generalizable knowledge. Activities which meet this definition
constitute research for purposes of this policy, whether or not they are
conducted or supported under a program which is considered research for
other purposes. For example, some demonstration and service programs may
include research activities.
(e) Research subject to regulation, and similar terms are intended
to encompass those research activities for which a federal department or
agency has specific responsibility for regulating as a research
activity, (for example, Investigational New Drug requirements
administered by the Food and Drug Administration). It does not include
research activities which are incidentally regulated by a federal
department or agency solely as part of the department's or agency's
broader responsibility to regulate certain types of activities whether
research or non-research in nature (for example, Wage and Hour
requirements administered by the Department of Labor).
(f) Human subject means a living individual about whom an
investigator (whether professional or student) conducting research
obtains:
(1) Data through intervention or interaction with the individual, or
(2) Identifiable private information.
[[Page 103]]
Intervention includes both physical procedures by which data are
gathered (for example, venipuncture) and manipulations of the subject or
the subject's environment that are performed for research purposes.
Interaction includes communication or interpersonal contact between
investigator and subject. ``Private information'' includes information
about behavior that occurs in a context in which an individual can
reasonably expect that no observation or recording is taking place, and
information which has been provided for specific purposes by an
individual and which the individual can reasonably expect will not be
made public (for example, a medical record). Private information must be
individually identifiable (i.e., the identity of the subject is or may
readily be ascertained by the investigator or associated with the
information) in order for obtaining the information to constitute
research involving human subjects.
(g) IRB means an institutional review board established in accord
with and for the purposes expressed in this policy.
(h) IRB approval means the determination of the IRB that the
research has been reviewed and may be conducted at an institution within
the constraints set forth by the IRB and by other institutional and
federal requirements.
(i) Minimal risk means that the probability and magnitude of harm or
discomfort anticipated in the research are not greater in and of
themselves than those ordinarily encountered in daily life or during the
performance of routine physical or psychological examinations or tests.
(j) Certification means the official notification by the institution
to the supporting department or agency, in accordance with the
requirements of this policy, that a research project or activity
involving human subjects has been reviewed and approved by an IRB in
accordance with an approved assurance.
Sec. 1c.103 Assuring compliance with this policy--research conducted
or supported by any Federal Department or Agency.
(a) Each institution engaged in research which is covered by this
policy and which is conducted or supported by a federal department or
agency shall provide written assurance satisfactory to the department or
agency head that it will comply with the requirements set forth in this
policy. In lieu of requiring submission of an assurance, individual
department or agency heads shall accept the existence of a current
assurance, appropriate for the research in question, on file with the
Office for Protection from Research Risks, HHS, and approved for
federalwide use by that office. When the existence of an HHS-approved
assurance is accepted in lieu of requiring submission of an assurance,
reports (except certification) required by this policy to be made to
department and agency heads shall also be made to the Office for
Protection from Research Risks, HHS.
(b) Departments and agencies will conduct or support research
covered by this policy only if the institution has an assurance approved
as provided in this section, and only if the institution has certified
to the department or agency head that the research has been reviewed and
approved by an IRB provided for in the assurance, and will be subject to
continuing review by the IRB. Assurances applicable to federally
supported or conducted research shall at a minimum include:
(1) A statement of principles governing the institution in the
discharge of its responsibilities for protecting the rights and welfare
of human subjects of research conducted at or sponsored by the
institution, regardless of whether the research is subject to federal
regulation. This may include an appropriate existing code, declaration,
or statement of ethical principles, or a statement formulated by the
institution itself. This requirement does not preempt provisions of this
policy applicable to department- or agency-supported or regulated
research and need not be applicable to any research exempted or waived
under Sec. 1c.101 (b) or (i).
(2) Designation of one or more IRBs established in accordance with
the requirements of this policy, and for which provisions are made for
meeting space and sufficient staff to support the IRB's review and
recordkeeping duties.
[[Page 104]]
(3) A list of IRB members identified by name; earned degrees;
representative capacity; indications of experience such as board
certifications, licenses, etc., sufficient to describe each member's
chief anticipated contributions to IRB deliberations; and any employment
or other relationship between each member and the institution; for
example: full-time employee, part-time employee, member of governing
panel or board, stockholder, paid or unpaid consultant. Changes in IRB
membership shall be reported to the department or agency head, unless in
accord with Sec. 1c.103(a) of this policy, the existence of an HHS-
approved assurance is accepted. In this case, change in IRB membership
shall be reported to the Office for Protection from Research Risks, HHS.
(4) Written procedures which the IRB will follow (i) for conducting
its initial and continuing review of research and for reporting its
findings and actions to the investigator and the institution; (ii) for
determining which projects require review more often than annually and
which projects need verification from sources other than the
investigators that no material changes have occurred since previous IRB
review; and (iii) for ensuring prompt reporting to the IRB of proposed
changes in a research activity, and for ensuring that such changes in
approved research, during the period for which IRB approval has already
been given, may not be initiated without IRB review and approval except
when necessary to eliminate apparent immediate hazards to the subject.
(5) Written procedures for ensuring prompt reporting to the IRB,
appropriate institutional officials, and the department or agency head
of (i) any unanticipated problems involving risks to subjects or others
or any serious or continuing noncompliance with this policy or the
requirements or determinations of the IRB and (ii) any suspension or
termination of IRB approval.
(c) The assurance shall be executed by an individual authorized to
act for the institution and to assume on behalf of the institution the
obligations imposed by this policy and shall be filed in such form and
manner as the department or agency head prescribes.
(d) The department or agency head will evaluate all assurances
submitted in accordance with this policy through such officers and
employees of the department or agency and such experts or consultants
engaged for this purpose as the department or agency head determines to
be appropriate. The department or agency head's evaluation will take
into consideration the adequacy of the proposed IRB in light of the
anticipated scope of the institution's research activities and the types
of subject populations likely to be involved, the appropriateness of the
proposed initial and continuing review procedures in light of the
probable risks, and the size and complexity of the institution.
(e) On the basis of this evaluation, the department or agency head
may approve or disapprove the assurance, or enter into negotiations to
develop an approvable one. The department or agency head may limit the
period during which any particular approved assurance or class of
approved assurances shall remain effective or otherwise condition or
restrict approval.
(f) Certification is required when the research is supported by a
federal department or agency and not otherwise exempted or waived under
Sec. 1c.101 (b) or (i). An institution with an approved assurance shall
certify that each application or proposal for research covered by the
assurance and by Sec. 1c.103 of this Policy has been reviewed and
approved by the IRB. Such certification must be submitted with the
application or proposal or by such later date as may be prescribed by
the department or agency to which the application or proposal is
submitted. Under no condition shall research covered by Sec. 1c.103 of
the Policy be supported prior to receipt of the certification that the
research has been reviewed and approved by the IRB. Institutions without
an approved assurance covering the research shall certify within 30 days
after receipt of a request for such a certification from the department
or agency, that the application or proposal has been approved by the
IRB. If the certification is not submitted within these time limits, the
[[Page 105]]
application or proposal may be returned to the institution.
(Approved by the Office of Management and Budget under control number
9999-0020)
[56 FR 28012, 28018, June 18, 1991; 56 FR 29756, June 28, 1991]
Sec. Sec. 1c.104-1c.106 [Reserved]
Sec. 1c.107 IRB membership.
(a) Each IRB shall have at least five members, with varying
backgrounds to promote complete and adequate review of research
activities commonly conducted by the institution. The IRB shall be
sufficiently qualified through the experience and expertise of its
members, and the diversity of the members, including consideration of
race, gender, and cultural backgrounds and sensitivity to such issues as
community attitudes, to promote respect for its advice and counsel in
safeguarding the rights and welfare of human subjects. In addition to
possessing the professional competence necessary to review specific
research activities, the IRB shall be able to ascertain the
acceptability of proposed research in terms of institutional commitments
and regulations, applicable law, and standards of professional conduct
and practice. The IRB shall therefore include persons knowledgeable in
these areas. If an IRB regularly reviews research that involves a
vulnerable category of subjects, such as children, prisoners, pregnant
women, or handicapped or mentally disabled persons, consideration shall
be given to the inclusion of one or more individuals who are
knowledgeable about and experienced in working with these subjects.
(b) Every nondiscriminatory effort will be made to ensure that no
IRB consists entirely of men or entirely of women, including the
institution's consideration of qualified persons of both sexes, so long
as no selection is made to the IRB on the basis of gender. No IRB may
consist entirely of members of one profession.
(c) Each IRB shall include at least one member whose primary
concerns are in scientific areas and at least one member whose primary
concerns are in nonscientific areas.
(d) Each IRB shall include at least one member who is not otherwise
affiliated with the institution and who is not part of the immediate
family of a person who is affiliated with the institution.
(e) No IRB may have a member participate in the IRB's initial or
continuing review of any project in which the member has a conflicting
interest, except to provide information requested by the IRB.
(f) An IRB may, at its discretion, invite individuals with
competence in special areas to assist in the review of issues which
require expertise beyond or in addition to that available on the IRB.
These individuals may not vote with the IRB.
Sec. 1c.108 IRB functions and operations.
In order to fulfill the requirements of this policy each IRB shall:
(a) Follow written procedures in the same detail as described in
Sec. 1c.103(b)(4) and, to the extent required by, Sec. 1c.103(b)(5).
(b) Except when an expedited review procedure is used (see Sec.
1c.110), review proposed research at convened meetings at which a
majority of the members of the IRB are present, including at least one
member whose primary concerns are in nonscientific areas. In order for
the research to be approved, it shall receive the approval of a majority
of those members present at the meeting.
Sec. 1c.109 IRB review of research.
(a) An IRB shall review and have authority to approve, require
modifications in (to secure approval), or disapprove all research
activities covered by this policy.
(b) An IRB shall require that information given to subjects as part
of informed consent is in accordance with Sec. 1c.116. The IRB may
require that information, in addition to that specifically mentioned in
Sec. 1c.116, be given to the subjects when in the IRB's judgment the
information would meaningfully add to the protection of the rights and
welfare of subjects.
(c) An IRB shall require documentation of informed consent or may
waive documentation in accordance with Sec. 1c.117.
[[Page 106]]
(d) An IRB shall notify investigators and the institution in writing
of its decision to approve or disapprove the proposed research activity,
or of modifications required to secure IRB approval of the research
activity. If the IRB decides to disapprove a research activity, it shall
include in its written notification a statement of the reasons for its
decision and give the investigator an opportunity to respond in person
or in writing.
(e) An IRB shall conduct continuing review of research covered by
this policy at intervals appropriate to the degree of risk, but not less
than once per year, and shall have authority to observe or have a third
party observe the consent process and the research.
(Approved by the Office of Management and Budget under control number
9999-0020)
Sec. 1c.110 Expedited review procedures for certain kinds of research
involving no more than minimal risk, and for minor changes in approved
research.
(a) The Secretary, HHS, has established, and published as a Notice
in the Federal Register, a list of categories of research that may be
reviewed by the IRB through an expedited review procedure. The list will
be amended, as appropriate after consultation with other departments and
agencies, through periodic republication by the Secretary, HHS, in the
Federal Register. A copy of the list is available from the Office for
Protection from Research Risks, National Institutes of Health, HHS,
Bethesda, Maryland 20892.
(b) An IRB may use the expedited review procedure to review either
or both of the following:
(1) Some or all of the research appearing on the list and found by
the reviewer(s) to involve no more than minimal risk,
(2) Minor changes in previously approved research during the period
(of one year or less) for which approval is authorized.
Under an expedited review procedure, the review may be carried out by
the IRB chairperson or by one or more experienced reviewers designated
by the chairperson from among members of the IRB. In reviewing the
research, the reviewers may exercise all of the authorities of the IRB
except that the reviewers may not disapprove the research. A research
activity may be disapproved only after review in accordance with the
non-expedited procedure set forth in Sec. 1c.108(b).
(c) Each IRB which uses an expedited review procedure shall adopt a
method for keeping all members advised of research proposals which have
been approved under the procedure.
(d) The department or agency head may restrict, suspend, terminate,
or choose not to authorize an institution's or IRB's use of the
expedited review procedure.
Sec. 1c.111 Criteria for IRB approval of research.
(a) In order to approve research covered by this policy the IRB
shall determine that all of the following requirements are satisfied:
(1) Risks to subjects are minimized: (i) By using procedures which
are consistent with sound research design and which do not unnecessarily
expose subjects to risk, and (ii) whenever appropriate, by using
procedures already being performed on the subjects for diagnostic or
treatment purposes.
(2) Risks to subjects are reasonable in relation to anticipated
benefits, if any, to subjects, and the importance of the knowledge that
may reasonably be expected to result. In evaluating risks and benefits,
the IRB should consider only those risks and benefits that may result
from the research (as distinguished from risks and benefits of therapies
subjects would receive even if not participating in the research). The
IRB should not consider possible long-range effects of applying
knowledge gained in the research (for example, the possible effects of
the research on public policy) as among those research risks that fall
within the purview of its responsibility.
(3) Selection of subjects is equitable. In making this assessment
the IRB should take into account the purposes of the research and the
setting in which the research will be conducted and should be
particularly cognizant of the special problems of research involving
vulnerable populations, such as children, prisoners, pregnant women,
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mentally disabled persons, or economically or educationally
disadvantaged persons.
(4) Informed consent will be sought from each prospective subject or
the subject's legally authorized representative, in accordance with, and
to the extent required by Sec. 1c.116.
(5) Informed consent will be appropriately documented, in accordance
with, and to the extent required by Sec. 1c.117.
(6) When appropriate, the research plan makes adequate provision for
monitoring the data collected to ensure the safety of subjects.
(7) When appropriate, there are adequate provisions to protect the
privacy of subjects and to maintain the confidentiality of data.
(b) When some or all of the subjects are likely to be vulnerable to
coercion or undue influence, such as children, prisoners, pregnant
women, mentally disabled persons, or economically or educationally
disadvantaged persons, additional safeguards have been included in the
study to protect the rights and welfare of these subjects.
Sec. 1c.112 Review by institution.
Research covered by this policy that has been approved by an IRB may
be subject to further appropriate review and approval or disapproval by
officials of the institution. However, those officials may not approve
the research if it has not been approved by an IRB.
Sec. 1c.113 Suspension or termination of IRB approval of research.
An IRB shall have authority to suspend or terminate approval of
research that is not being conducted in accordance with the IRB's
requirements or that has been associated with unexpected serious harm to
subjects. Any suspension or termination of approval shall include a
statement of the reasons for the IRB's action and shall be reported
promptly to the investigator, appropriate institutional officials, and
the department or agency head.
(Approved by the Office of Management and Budget under control number
9999-0020)
Sec. 1c.114 Cooperative research.
Cooperative research projects are those projects covered by this
policy which involve more than one institution. In the conduct of
cooperative research projects, each institution is responsible for
safeguarding the rights and welfare of human subjects and for complying
with this policy. With the approval of the department or agency head, an
institution participating in a cooperative project may enter into a
joint review arrangement, rely upon the review of another qualified IRB,
or make similar arrangements for avoiding duplication of effort.
Sec. 1c.115 IRB records.
(a) An institution, or when appropriate an IRB, shall prepare and
maintain adequate documentation of IRB activities, including the
following:
(1) Copies of all research proposals reviewed, scientific
evaluations, if any, that accompany the proposals, approved sample
consent documents, progress reports submitted by investigators, and
reports of injuries to subjects.
(2) Minutes of IRB meetings which shall be in sufficient detail to
show attendance at the meetings; actions taken by the IRB; the vote on
these actions including the number of members voting for, against, and
abstaining; the basis for requiring changes in or disapproving research;
and a written summary of the discussion of controverted issues and their
resolution.
(3) Records of continuing review activities.
(4) Copies of all correspondence between the IRB and the
investigators.
(5) A list of IRB members in the same detail as described is Sec.
1c.103(b)(3).
(6) Written procedures for the IRB in the same detail as described
in Sec. 1c.103(b)(4) and Sec. 1c.103(b)(5).
(7) Statements of significant new findings provided to subjects, as
required by Sec. 1c.116(b)(5).
(b) The records required by this policy shall be retained for at
least 3 years, and records relating to research which is conducted shall
be retained for at least 3 years after completion of
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the research. All records shall be accessible for inspection and copying
by authorized representatives of the department or agency at reasonable
times and in a reasonable manner.
(Approved by the Office of Management and Budget under control number
9999-0020)
Sec. 1c.116 General requirements for informed consent.
Except as provided elsewhere in this policy, no investigator may
involve a human being as a subject in research covered by this policy
unless the investigator has obtained the legally effective informed
consent of the subject or the subject's legally authorized
representative. An investigator shall seek such consent only under
circumstances that provide the prospective subject or the representative
sufficient opportunity to consider whether or not to participate and
that minimize the possibility of coercion or undue influence. The
information that is given to the subject or the representative shall be
in language understandable to the subject or the representative. No
informed consent, whether oral or written, may include any exculpatory
language through which the subject or the representative is made to
waive or appear to waive any of the subject's legal rights, or releases
or appears to release the investigator, the sponsor, the institution or
its agents from liability for negligence.
(a) Basic elements of informed consent. Except as provided in
paragraph (c) or (d) of this section, in seeking informed consent the
following information shall be provided to each subject:
(1) A statement that the study involves research, an explanation of
the purposes of the research and the expected duration of the subject's
participation, a description of the procedures to be followed, and
identification of any procedures which are experimental;
(2) A description of any reasonably foreseeable risks or discomforts
to the subject;
(3) A description of any benefits to the subject or to others which
may reasonably be expected from the research;
(4) A disclosure of appropriate alternative procedures or courses of
treatment, if any, that might be advantageous to the subject;
(5) A statement describing the extent, if any, to which
confidentiality of records identifying the subject will be maintained;
(6) For research involving more than minimal risk, an explanation as
to whether any compensation and an explanation as to whether any medical
treatments are available if injury occurs and, if so, what they consist
of, or where further information may be obtained;
(7) An explanation of whom to contact for answers to pertinent
questions about the research and research subjects' rights, and whom to
contact in the event of a research-related injury to the subject; and
(8) A statement that participation is voluntary, refusal to
participate will involve no penalty or loss of benefits to which the
subject is otherwise entitled, and the subject may discontinue
participation at any time without penalty or loss of benefits to which
the subject is otherwise entitled.
(b) Additional elements of informed consent. When appropriate, one
or more of the following elements of information shall also be provided
to each subject:
(1) A statement that the particular treatment or procedure may
involve risks to the subject (or to the embryo or fetus, if the subject
is or may become pregnant) which are currently unforeseeable;
(2) Anticipated circumstances under which the subject's
participation may be terminated by the investigator without regard to
the subject's consent;
(3) Any additional costs to the subject that may result from
participation in the research;
(4) The consequences of a subject's decision to withdraw from the
research and procedures for orderly termination of participation by the
subject;
(5) A statement that significant new findings developed during the
course of the research which may relate to the subject's willingness to
continue participation will be provided to the subject; and
(6) The approximate number of subjects involved in the study.
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(c) An IRB may approve a consent procedure which does not include,
or which alters, some or all of the elements of informed consent set
forth above, or waive the requirement to obtain informed consent
provided the IRB finds and documents that:
(1) The research or demonstration project is to be conducted by or
subject to the approval of state or local government officials and is
designed to study, evaluate, or otherwise examine: (i) Public benefit of
service programs; (ii) procedures for obtaining benefits or services
under those programs; (iii) possible changes in or alternatives to those
programs or procedures; or (iv) possible changes in methods or levels of
payment for benefits or services under those programs; and
(2) The research could not practicably be carried out without the
waiver or alteration.
(d) An IRB may approve a consent procedure which does not include,
or which alters, some or all of the elements of informed consent set
forth in this section, or waive the requirements to obtain informed
consent provided the IRB finds and documents that:
(1) The research involves no more than minimal risk to the subjects;
(2) The waiver or alteration will not adversely affect the rights
and welfare of the subjects;
(3) The research could not practicably be carried out without the
waiver or alteration; and
(4) Whenever appropriate, the subjects will be provided with
additional pertinent information after participation.
(e) The informed consent requirements in this policy are not
intended to preempt any applicable federal, state, or local laws which
require additional information to be disclosed in order for informed
consent to be legally effective.
(f) Nothing in this policy is intended to limit the authority of a
physician to provide emergency medical care, to the extent the physician
is permitted to do so under applicable federal, state, or local law.
(Approved by the Office of Management and Budget under control number
9999-0020)
Sec. 1c.117 Documentation of informed consent.
(a) Except as provided in paragraph (c) of this section, informed
consent shall be documented by the use of a written consent form
approved by the IRB and signed by the subject or the subject's legally
authorized representative. A copy shall be given to the person signing
the form.
(b) Except as provided in paragraph (c) of this section, the consent
form may be either of the following:
(1) A written consent document that embodies the elements of
informed consent required by Sec. 1c.116. This form may be read to the
subject or the subject's legally authorized representative, but in any
event, the investigator shall give either the subject or the
representative adequate opportunity to read it before it is signed; or
(2) A short form written consent document stating that the elements
of informed consent required by Sec. 1c.116 have been presented orally
to the subject or the subject's legally authorized representative. When
this method is used, there shall be a witness to the oral presentation.
Also, the IRB shall approve a written summary of what is to be said to
the subject or the representative. Only the short form itself is to be
signed by the subject or the representative. However, the witness shall
sign both the short form and a copy of the summary, and the person
actually obtaining consent shall sign a copy of the summary. A copy of
the summary shall be given to the subject or the representative, in
addition to a copy of the short form.
(c) An IRB may waive the requirement for the investigator to obtain
a signed consent form for some or all subjects if it finds either:
(1) That the only record linking the subject and the research would
be the consent document and the principal risk would be potential harm
resulting from a breach of confidentiality. Each subject will be asked
whether the subject wants documentation linking the subject with the
research, and the subject's wishes will govern; or
(2) That the research presents no more than minimal risk of harm to
subjects and involves no procedures for
[[Page 110]]
which written consent is normally required outside of the research
context.
In cases in which the documentation requirement is waived, the IRB
may require the investigator to provide subjects with a written
statement regarding the research.
(Approved by the Office of Management and Budget under control number
9999-0020)
Sec. 1c.118 Applications and proposals lacking definite plans for
involvement of human subjects.
Certain types of applications for grants, cooperative agreements, or
contracts are submitted to departments or agencies with the knowledge
that subjects may be involved within the period of support, but definite
plans would not normally be set forth in the application or proposal.
These include activities such as institutional type grants when
selection of specific projects is the institution's responsibility;
research training grants in which the activities involving subjects
remain to be selected; and projects in which human subjects' involvement
will depend upon completion of instruments, prior animal studies, or
purification of compounds. These applications need not be reviewed by an
IRB before an award may be made. However, except for research exempted
or waived under Sec. 1c.101 (b) or (i), no human subjects may be
involved in any project supported by these awards until the project has
been reviewed and approved by the IRB, as provided in this policy, and
certification submitted, by the institution, to the department or
agency.
Sec. 1c.119 Research undertaken without the intention of involving
human subjects.
In the event research is undertaken without the intention of
involving human subjects, but it is later proposed to involve human
subjects in the research, the research shall first be reviewed and
approved by an IRB, as provided in this policy, a certification
submitted, by the institution, to the department or agency, and final
approval given to the proposed change by the department or agency.
Sec. 1c.120 Evaluation and disposition of applications and proposals
for research to be conducted or supported by a Federal Department or
Agency.
(a) The department or agency head will evaluate all applications and
proposals involving human subjects submitted to the department or agency
through such officers and employees of the department or agency and such
experts and consultants as the department or agency head determines to
be appropriate. This evaluation will take into consideration the risks
to the subjects, the adequacy of protection against these risks, the
potential benefits of the research to the subjects and others, and the
importance of the knowledge gained or to be gained.
(b) On the basis of this evaluation, the department or agency head
may approve or disapprove the application or proposal, or enter into
negotiations to develop an approvable one.
Sec. 1c.121 [Reserved]
Sec. 1c.122 Use of Federal funds.
Federal funds administered by a department or agency may not be
expended for research involving human subjects unless the requirements
of this policy have been satisfied.
Sec. 1c.123 Early termination of research support: Evaluation of
applications and proposals.
(a) The department or agency head may require that department or
agency support for any project be terminated or suspended in the manner
prescribed in applicable program requirements, when the department or
agency head finds an institution has materially failed to comply with
the terms of this policy.
(b) In making decisions about supporting or approving applications
or proposals covered by this policy the department or agency head may
take into account, in addition to all other eligibility requirements and
program criteria, factors such as whether the applicant has been subject
to a termination or suspension under paragarph (a) of this section and
whether the applicant or the person or persons who would direct or has
have directed the
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scientific and technical aspects of an activity has have, in the
judgment of the department or agency head, materially failed to
discharge responsibility for the protection of the rights and welfare of
human subjects (whether or not the research was subject to federal
regulation).
Sec. 1c.124 Conditions.
With respect to any research project or any class of research
projects the department or agency head may impose additional conditions
prior to or at the time of approval when in the judgment of the
department or agency head additional conditions are necessary for the
protection of human subjects.
PART 2_DELEGATIONS OF AUTHORITY BY THE SECRETARY OF AGRICULTURE AND
GENERAL OFFICERS OF THE DEPARTMENT--Table of Contents
Subpart A_General
Sec.
2.1 Establishment of the Department.
2.2 Authority of the Secretary to prescribe regulations.
2.3 Authority of the Secretary to delegate authority.
2.4 General officers.
2.5 Order in which officers of the Department shall act as Secretary.
Subpart B_General Delegations of Authority by the Secretary of
Agriculture
2.7 Authority to supervise and direct.
2.8 Delegations of authority to agency heads to order that the United
States flag be flown at half-staff.
2.9 Additional delegations.
2.10 Limitations.
2.11 New principles and periodic reviews.
2.12 Secretary and general officers not precluded from exercising
delegated powers.
2.13 Status of prior delegations.
Subpart C_Delegations of Authority to the Deputy Secretary, the Under
Secretaries and Assistant Secretaries
2.15 Deputy Secretary.
2.16 Under Secretary for Farm and Foreign Agricultural Services.
2.17 Under Secretary for Rural Development.
2.18 Under Secretary for Food Safety.
2.19 Under Secretary for Food, Nutrition, and Consumer Services.
2.20 Under Secretary for Natural Resources and Environment.
2.21 Under Secretary for Research, Education, and Economics.
2.22 Under Secretary for Marketing and Regulatory Programs.
2.23 Assistant Secretary for Congressional Relations.
2.24 Assistant Secretary for Administration.
2.25 Assistant Secretary for Civil Rights.
Subpart D_Delegations of Authority to Other General Officers and Agency
Heads
2.26 Director, Office of the Executive Secretariat.
2.27 Office of Administrative Law Judges.
2.28 Chief Financial Officer.
2.29 Chief Economist.
2.30 Director, Office of Budget and Program Analysis.
2.31 General Counsel.
2.32 Director, Homeland Security Staff.
2.33 Inspector General.
2.34 Director, National Appeals Division.
2.35 Judicial Officer.
2.36 Director, Office of Communications.
2.37 Chief Information Officer.
Subpart E [Reserved]
Subpart F_Delegations of Authority by the Under Secretary for Farm and
Foreign Agricultural Services
2.40 Deputy Under Secretary for Farm and Foreign Agricultural Services.
2.42 Administrator, Farm Service Agency.
2.43 Administrator, Foreign Agricultural Service.
2.44 Administrator, Risk Management Agency and Manager, Federal Crop
Insurance Corporation.
Subpart G_Delegations of Authority by the Under Secretary for Rural
Development
2.45 Deputy Under Secretary for Rural Economic and Community
Development.
2.47 Administrator, Rural Utilities Service.
2.48 Administrator, Rural Business-Cooperative Service.
2.49 Administrator, Rural Housing Service.
Subpart H_Delegations of Authority by the Under Secretary for Food
Safety
2.51 Deputy Under Secretary for Food Safety.
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2.53 Administrator, Food Safety and Inspection Service.
Subpart I_Delegations of Authority by the Under Secretary for Food,
Nutrition, and Consumer Services
2.55 Deputy Under Secretary for Food, Nutrition, and Consumer Services.
2.57 Administrator, Food and Nutrition Service.
Subpart J_Delegations of Authority by the Under Secretary for Natural
Resources and Environment
2.59 Deputy Under Secretaries for Natural Resources and Environment.
2.60 Chief, Forest Service.
2.61 Chief, Natural Resources Conservation Service.
Subpart K_Delegations of Authority by the Under Secretary for Research,
Education, and Economics
2.63 Deputy Under Secretary for Research, Education, and Economics.
2.65 Administrator, Agricultural Research Service.
2.66 Administrator, Cooperative State Research, Education, and Extension
Service.
2.67 Administrator, Economic Research Service.
2.68 Administrator, National Agricultural Statistics Service.
Subpart L_Delegations of Authority by the Chief Economist
2.70 Deputy Chief Economist.
2.71 Director, Office of Risk Assessment and Cost-Benefit Analysis.
2.72 Chairman, World Agricultural Outlook Board.
2.73 Director, Office of Energy Policy and New Uses.
Subpart M_Delegations of Authority by the Chief Financial Officer
2.75 Deputy Chief Financial Officer.
Subpart N_Delegations of Authority by the Under Secretary for Marketing
and Regulatory Programs
2.77 Deputy Under Secretary for Marketing and Regulatory Programs.
2.79 Administrator, Agricultural Marketing Service.
2.80 Administrator, Animal and Plant Health Inspection Service.
2.81 Administrator, Grain Inspection, Packers and Stockyards
Administration.
Subpart O_Delegations of Authority by the Assistant Secretary for
Congressional Relations
2.83 Deputy Assistant Secretary for Congressional Relations.
2.85 Director, Office of Congressional and Intergovernmental Relations.
Subpart P_Delegations of Authority by the Assistant Secretary for
Administration
2.87 Deputy Assistant Secretary for Administration.
2.88 Director, Office of Small and Disadvantaged Business Utilization.
2.90 Director, Office of Outreach.
2.91 Director, Office of Operations.
2.92 Director, Office of Human Resources Management.
2.93 Director, Office of Procurement and Property Management.
2.94 Director, Office of Planning and Coorination.
2.95 Director, Office of Ethics.
Subpart Q_Delegations of Authority by the Chief Information Officer
2.200 Deputy Chief Information Officer.
Subpart R_Delegations of Authority by the Assistant Secretary for Civil
Rights
2.300 Director, Office of Civil Rights
Authority: 7 U.S.C. 6912(a)(1); 5 U.S.C. 301; Reorganization Plan
No. 2 of 1953, 3 CFR 1949-1953 Comp., p. 1024.
Source: 60 FR 56393, Nov. 8, 1995, unless otherwise noted.
Subpart A_General