{"database": "openregs", "table": "cfr_sections", "is_view": false, "human_description_en": "where part_number = 22 sorted by section_id", "rows": [["17:17:1.0.1.1.21.0.7.1", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.1 Definitions.", "CFTC", "", "", "[77 FR 6371, Feb. 7, 2012, as amended at 77 FR 66334, Nov. 2, 2012]", "For the purposes of this part:\n\nCleared Swap.  This term refers to a transaction constituting a \u201ccleared swap\u201d within the meaning of section 1a(7) of the Act.\n\n(1) This term shall exclude any swap (along with money, securities, or other property received to margin, guarantee, or secure such a swap) that, pursuant to a Commission rule, regulation, or order, is (along with such money, securities, or other property) commingled with a commodity future or option (along with money, securities, or other property received to margin, guarantee, or secure such a future or option) that is segregated pursuant to section 4d(a) of the Act.\n\n(2) This term shall include any trade or contract (along with money, securities or other property received to margin, guarantee, or secure such a trade or contract), that\n\n(i) Would be required to be segregated pursuant to section 4d(a) of the Act, or\n\n(ii) Would be subject to \u00a7 30.7 of this chapter, but which is, in either case, pursuant to a Commission rule, regulation, or order (or a derivatives clearing organization rule approved in accordance with \u00a7 39.15(b)(2) of this chapter), commingled with a swap (along with money, securities, or other property received to margin, guarantee, or secure such a swap) in an account segregated pursuant to section 4d(f) of the Act.\n\nCleared Swaps Customer.  This term refers to any person entering into a Cleared Swap, but shall exclude:\n\n(1) Any owner or holder of a Cleared Swaps Proprietary Account with respect to the Cleared Swaps in such account; and\n\n(2) A clearing member of a derivatives clearing organization with respect to Cleared Swaps cleared on that derivatives clearing organization. A person shall be a Cleared Swaps Customer only with respect to its Cleared Swaps.\n\nCleared Swaps Customer Account.  This term refers to any account for the Cleared Swaps of Cleared Swaps Customers and associated Cleared Swaps Customer Collateral that:\n\n(1) A futures commission merchant maintains on behalf of Cleared Swaps Customers (including, in the case of a Collecting Futures Commission Merchant, the Cleared Swaps Customers of a Depositing Futures Commission Merchant) or\n\n(2) A derivatives clearing organization maintains for futures commission merchants on behalf of Cleared Swaps Customers thereof.\n\nCleared Swaps Customer Collateral.  (1) This term means all money, securities, or other property received by a futures commission merchant or by a derivatives clearing organization from, for, or on behalf of a Cleared Swaps Customer, which money, securities, or other property:\n\n(i) Is intended to or does margin, guarantee, or secure a Cleared Swap; or\n\n(ii) Constitutes, if a Cleared Swap is in the form or nature of an option, the settlement value of such option.\n\n(2) This term shall also include accruals,  i.e.,  all money, securities, or other property that a futures commission merchant or derivatives clearing organization receives, directly or indirectly, which is incident to or results from a Cleared Swap that a futures commission merchant intermediates for a Cleared Swaps Customer.\n\nCleared Swaps Proprietary Account.  (1) This term means an account for Cleared Swaps and associated collateral that is carried on the books and records of a futures commission merchant for persons with certain relationships with that futures commission merchant, specifically:\n\n(i) Where such account is carried for a person falling within one of the categories specified in paragraph (2) of this definition, or\n\n(ii) Where ten percent or more of such account is owned by a person falling within one of the categories specified in paragraph (2) of this definition, or\n\n(iii) Where an aggregate of ten percent or more of such account is owned by more than one person falling within one or more of the categories specified in paragraph (2) of this definition.\n\n(2) The relationships to the futures commission merchant referred to in paragraph (1) of this definition are as follows:\n\n(i) Such individual himself, or such partnership, corporation or association itself;\n\n(ii) In the case of a partnership, a general partner in such partnership;\n\n(iii) In the case of a limited partnership, a limited or special partner in such partnership whose duties include:\n\n(A) The management of the partnership business or any part thereof;\n\n(B) The handling, on behalf of such partnership, of:\n\n( 1 ) The Cleared Swaps of Cleared Swaps Customers or\n\n( 2 ) The Cleared Swaps Customer Collateral;\n\n(C) The keeping, on behalf of such partnership, of records pertaining to\n\n( 1 ) the Cleared Swaps of Cleared Swaps Customers or\n\n( 2 ) the Cleared Swaps Customer Collateral; or\n\n(D) The signing or co-signing of checks or drafts on behalf of such partnership;\n\n(iv) In the case of a corporation or association, an officer, director, or owner of ten percent or more of the capital stock of such organization;\n\n(v) An employee of such individual, partnership, corporation or association whose duties include:\n\n(A) The management of the business of such individual, partnership, corporation or association or any part thereof;\n\n(B) The handling, on behalf of such individual, partnership, corporation, or association, of the Cleared Swaps of Cleared Swaps Customers or the Cleared Swaps Customer Collateral;\n\n(C) The keeping of records, on behalf of such individual, partnership, corporation, or association, pertaining to the Cleared Swaps of Cleared Swaps Customers or the Cleared Swaps Customer Collateral; or\n\n(D) The signing or co-signing of checks or drafts on behalf of such individual, partnership, corporation, or association;\n\n(vi) A spouse or minor dependent living in the same household of any of the foregoing persons;\n\n(vii) A business affiliate that, directly or indirectly, controls such individual, partnership, corporation, or association; or\n\n(viii) A business affiliate that, directly or indirectly, is controlled by or is under common control with, such individual, partnership, corporation or association.  Provided, however,  that an account owned by any shareholder or member of a cooperative association of producers, within the meaning of section 6a of the Act, which association is registered as a futures commission merchant and carries such account on its records, shall be deemed to be a Cleared Swaps Customer Account and not a Cleared Swaps Proprietary Account of such association, unless the shareholder or member is an officer, director, or manager of the association.\n\nClearing Member.  This term means any person that has clearing privileges such that it can process, clear and settle trades through a derivatives clearing organization on behalf of itself or others. The derivatives clearing organization need not be organized as a membership organization.\n\nCollecting Futures Commission Merchant.  A futures commission merchant that carries Cleared Swaps on behalf of another futures commission merchant and the Cleared Swaps Customers of the latter futures commission merchant, and as part of carrying such Cleared Swaps, collects Cleared Swaps Customer Collateral.\n\nCommingle.  To commingle two or more items means to hold such items in the same account, or to combine such items in a transfer between accounts.\n\nDepositing Futures Commission Merchant.  A futures commission merchant that carries Cleared Swaps on behalf of its Cleared Swaps Customers through another futures commission merchant and, as part of carrying such Cleared Swaps, deposits Cleared Swaps Customer Collateral with such futures commission merchant.\n\nPermitted Depository.  This term shall have the meaning set forth in \u00a7 22.4 of this part.\n\nSegregate.  To segregate two or more items is to keep them in separate accounts, and to avoid combining them in the same transfer between two accounts."], ["17:17:1.0.1.1.21.0.7.10", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.10 Application of other regulatory provisions.", "CFTC", "", "", "[77 FR 66335, Nov. 2, 2012]", "Sections 1.27, 1.28, 1.29, and 1.30 of this chapter shall apply to the Cleared Swaps Customer Collateral in accordance with the terms therein."], ["17:17:1.0.1.1.21.0.7.11", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.11 Information to be provided regarding Cleared Swaps Customers and their Cleared Swaps.", "CFTC", "", "", "[77 FR 6371, Feb. 7, 2012, as amended at 77 FR 66335, Nov. 2, 2012]", "(a) Each Depositing Futures Commission Merchant shall:\n\n(1) The first time that the Depositing Futures Commission Merchant intermediates a Cleared Swap for a Cleared Swaps Customer with a Collecting Futures Commission Merchant, provide information sufficient to identify such Cleared Swaps Customer to the relevant Collection Futures Commission Merchant; and\n\n(2) At least once each business day thereafter, provide information to the relevant Collecting Futures Commission Merchant sufficient to identify, for each Cleared Swaps Customer, the portfolio of rights and obligations arising from the Cleared Swaps that the Depositing Futures Commission Merchant intermediates for such Cleared Swaps Customer.\n\n(b) If an entity serves as both a Depositing Futures Commission Merchant and a Collecting Futures Commission Merchant, then:\n\n(1) The information that such entity must provide to its Collecting Futures Commission Merchant pursuant to paragraph (a)(1) of this section shall also include information sufficient to identify each Cleared Swaps Customer of the Depositing Futures Commission Merchant for which such entity serves as a Collecting Futures Commission Merchant; and\n\n(2) The information that such entity must provide to its Collecting Futures Commission Merchant pursuant to paragraph (a)(2) of this section shall also include information sufficient to identify, for each Cleared Swaps Customer referenced in paragraph (b)(1) of this section, the portfolio of rights and obligations arising from the Cleared Swaps that such entity intermediates as a Collecting Futures Commission Merchant, on behalf of its Depositing Futures Commission Merchant, for such Cleared Swaps Customer.\n\n(c) Each futures commission merchant that intermediates a Cleared Swap for a Cleared Swaps Customer, on or subject to the rules of a derivatives clearing organization, directly as a Clearing Member shall:\n\n(1) The first time that such futures commission merchant intermediates a Cleared Swap for a Cleared Swaps Customer, provide information to the relevant derivatives clearing organization sufficient to identify such Cleared Swaps Customer; and\n\n(2) At least once each business day thereafter, provide information to the relevant derivatives clearing organization sufficient to identify, for each Cleared Swaps Customer, the portfolio of rights and obligations arising from the Cleared Swaps that such futures commission merchant intermediates for such Cleared Swaps Customer.\n\n(d) If the futures commission merchant referenced in paragraph (c) of this section is a Collecting Futures Commission Merchant, then:\n\n(1) The information that it must provide to the derivatives clearing organization pursuant to paragraph (c)(1) of this section shall also include information sufficient to identify each Cleared Swaps Customer of any entity that acts as a Depositing Futures Commission Merchant in relation to the Collecting Futures Commission Merchant (including, without limitation, each Cleared Swaps Customer of any Depositing Futures Commission Merchant for which such entity also serves as a Collecting Futures Commission Merchant); and\n\n(2) The information that it must provide to the derivatives clearing organization pursuant to paragraph (c)(2) of this section shall also include information sufficient to identify, for each Cleared Swaps Customer referenced in paragraph (d)(1) of this section, the portfolio of rights and obligations arising from the Cleared Swaps that the Collecting Futures Commission Merchant intermediates, on behalf of the Depositing Futures Commission Merchant, for such Cleared Swaps Customer.\n\n(e) Each derivatives clearing organization shall:\n\n(1) Take appropriate steps to confirm that the information it receives pursuant to paragraphs (c)(1) or (c)(2) of this section is accurate and complete, and\n\n(2) Ensure that the futures commission merchant is providing the derivatives clearing organization the information required by paragraphs (c)(1) or (c)(2) of this section on a timely basis."], ["17:17:1.0.1.1.21.0.7.12", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.12 Information to be maintained regarding Cleared Swaps Customer Collateral.", "CFTC", "", "", "[77 FR 6371, Feb. 7, 2012, as amended at 77 FR 66335, Nov. 2, 2012]", "(a) Each Collecting Futures Commission Merchant receiving Cleared Swaps Customer Collateral from an entity serving as a Depositing Futures Commission Merchant shall, no less frequently than once each business day, calculate and record:\n\n(1) the amount of collateral required at such Collecting Futures Commission Merchant for each Cleared Swaps Customer of the entity acting as Depositing Futures Commission Merchant (including, without limitation, each Cleared Swaps Customer of any Depositing Futures Commission Merchant for which such entity also serves as a Collecting Futures Commission Merchant); and\n\n(2) the sum of the individual collateral amounts referenced in paragraph (a)(1) of this section.\n\n(b) Each Collecting Futures Commission Merchant shall calculate the collateral amounts referenced in paragraph (a) of this section with respect to the portfolio of rights and obligations arising from the Cleared Swaps that the Collecting Futures Commission Merchant intermediates, on behalf of the Depositing Futures Commission Merchant, for each Cleared Swaps Customer referenced in paragraph (a)(1) of this section.\n\n(c) Each derivatives clearing organization receiving Cleared Swaps Customer Collateral from a futures commission merchant shall, no less frequently than once each business day, calculate and record:\n\n(1) the amount of collateral required at such derivatives clearing organization for each Cleared Swaps Customer of the futures commission merchant; and\n\n(2) the sum of the individual collateral amounts referenced in paragraph (c)(1) of this section.\n\n(d) If the futures commission merchant referenced in paragraph (c) of this section is a Collecting Futures Commission Merchant, then the derivatives clearing organization shall also perform and record the results of the calculation required in paragraph (c) of this section for each Cleared Swaps Customer of an entity acting as a Depositing Futures Commission Merchant in relation to the Collecting Futures Commission Merchant (including, without limitation, any Cleared Swaps Customer for which such entity is also acting as a Collecting Futures Commission Merchant).\n\n(e) Each futures commission merchant shall calculate the collateral amounts referenced in paragraph (c) of this section with respect to the portfolio of rights and obligations arising from the Cleared Swaps that the futures commission merchant intermediates (including, without limitation, as a Collecting Futures Commission Merchant on behalf of a Depositing Futures Commission Merchant), for each Cleared Swaps Customer referenced in paragraphs (c)(1) and (d) of this section.\n\n(f) The collateral requirement referenced in paragraph (a) of this section with respect to a Collecting Futures Commission Merchant shall be no less than that imposed by the relevant derivatives clearing organization with respect to the same portfolio of rights and obligations for each relevant Cleared Swaps Customer."], ["17:17:1.0.1.1.21.0.7.13", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.13 Additions to Cleared Swaps Customer Collateral.", "CFTC", "", "", "[77 FR 6371, Feb. 7, 2012, as amended at 77 FR 66335, Nov. 2, 2012]", "(a)(1) At the election of the derivatives clearing organization or Collecting Futures Commission Merchant, the collateral requirement referred to in \u00a7 22.12(a), (c), and (d) applicable to a particular Cleared Swaps Customer or group of Cleared Swaps Customers may be increased based on an evaluation of the credit risk posed by such Cleared Swaps Customer or group, in which case the derivatives clearing organization or Collecting Futures Commission Merchant shall collect and record such higher amount as provided in \u00a7 22.12.\n\n(2) Nothing in paragraph (a)(1) of this section is intended to interfere with the right of a futures commission merchant to increase the collateral requirements at such futures commission merchant with respect to any of its Cleared Swaps Customers, Futures Customers (as \u00a7 1.3 of this chapter defines that term), or Foreign Futures or Foreign Options Customers (as \u00a7 30.1 of this chapter defines that term).\n\n(b) Any collateral deposited by a futures commission merchant (including a Depositing Futures Commission Merchant) pursuant to \u00a7 22.2(e)(3)(ii) of this part, which collateral is identified as such futures commission merchant's own property may be used by the derivatives clearing organization or Collecting Futures Commission Merchant, as applicable, to margin, guarantee or secure the Cleared Swaps of any or all of such Cleared Swaps Customers.\n\n(c) A futures commission merchant may transmit to a derivatives clearing organization any collateral posted by a Cleared Swaps Customer in excess of the amount required by the derivatives clearing organization if:\n\n(1) the rules of the derivatives clearing organization expressly permit the futures commission merchant to transmit collateral in excess of the amount required by the derivatives clearing organization; and\n\n(2) the derivatives clearing organization provides a mechanism by which the futures commission merchant is able to, and maintains rules pursuant to which the futures commission merchant is required to, identify each Business Day, for each Cleared Swaps Customer, the amount of collateral posted in excess of the amount required by the derivatives clearing organization."], ["17:17:1.0.1.1.21.0.7.14", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.14 Futures Commission Merchant failure to meet a Cleared Swaps Customer Margin Call in full.", "CFTC", "", "", "[77 FR 6371, Feb. 7, 2012, as amended at 77 FR 66335, Nov. 2, 2012]", "(a) A Depositing Futures Commission Merchant which receives a call for either initial margin or variation margin with respect to a Cleared Swaps Customer Account from a Collecting Futures Commission Merchant, which call such Depositing Futures Commission Merchant does not meet in full, shall, with respect to each Cleared Swaps Customer of such Depositing Futures Commission Merchant whose Cleared Swaps contribute to such margin call,\n\n(1) Transmit to the Collecting Futures Commission Merchant an amount equal to the lesser of\n\n(i) The amount called for; or\n\n(ii) The remaining Cleared Swaps Collateral on deposit at such Depositing Futures Commission Merchant for that Cleared Swaps Customer; and\n\n(2) Advise the Collecting Futures Commission Merchant of the identity of each such Cleared Swaps Customer, and the amount transmitted on behalf of each such Cleared Swaps Customer.\n\n(b) If the entity acting as Depositing Futures Commission Merchant referenced in paragraph (a) of this section is also a Collecting Futures Commission Merchant, then:\n\n(1) Such entity shall include in the transmission required in paragraph (a)(1) of this section any amount that it receives, pursuant to paragraph (a)(1) of this section, from a Depositing Futures Commission Merchant for which such entity acts as a Collecting Futures Commission Merchant; and\n\n(2) Such entity shall present its Collecting Futures Commission Merchant with the information that it receives, pursuant to paragraph (a)(2) of this section, from a Depositing Futures Commission Merchant for which such entity acts as a Collecting Futures Commission Merchant.\n\n(c) A futures commission merchant which receives a call for either initial or variation margin with respect to a Cleared Swaps Customer Account from a derivatives clearing organization, which call such futures commission merchant does not meet in full, shall, with respect to each Cleared Swaps Customer of such futures commission merchant whose Cleared Swaps contribute to such margin call:\n\n(1) Transmit to the derivatives clearing organization an amount equal to the lesser of\n\n(i) The amount called for; or\n\n(ii) The remaining Cleared Swaps Collateral on deposit at such futures commission merchant for each such Cleared Swaps Customer; and\n\n(2) Advise the derivatives clearing organization of the identity of each such Cleared Swaps Customer, and the amount transmitted on behalf of each such Cleared Swaps Customer.\n\n(d) If the futures commission merchant referenced in paragraph (c) is a Collecting Futures Commission Merchant, then:\n\n(1) Such Collecting Futures Commission Merchant shall include in the transmission required in paragraph (c)(1) of this section any amount that it receives from a Depositing Futures Commission Merchant pursuant to paragraph (a)(1) of this section; and\n\n(2) Such Collecting Futures Commission shall present the derivatives clearing organization with the information that it receives from a Depositing Futures Commission Merchant pursuant to paragraph (a)(2) of this section.\n\n(e) If,\n\n(1) On the business day prior to the business day on which the Depositing Futures Commission Merchant fails to meet a margin call with respect to a Cleared Swaps Customer Account, such Collecting Futures Commission Merchant referenced in paragraph (a) of this section held, with respect to such account, Cleared Swaps Collateral of a value no less than the amount specified in \u00a7 22.12(a)(2) of this part, after the application of haircuts specified by policies applied by such Collecting Futures Commission Merchant in its relationship with the Depositing Futures Commission Merchant, and\n\n(2) As of the close of business on the business day on which the margin call is not met, the market value of the Cleared Swaps Collateral held by the derivatives clearing organization or Collecting Futures Commission Merchant is, due to changes in such market value, less than the amount specified in \u00a7 22.12(a)(2) of this part, then the amount of such collateral attributable to each Cleared Swaps Customer pursuant to \u00a7 22.12(a)(1) of this part shall be reduced by the percentage difference between the amount specified in \u00a7 22.12(a)(2) of this part and such market value.\n\n(f) If:\n\n(1) On the business day prior to the business day on which the futures commission merchant fails to meet a margin call with respect to a Cleared Swaps Customer Account, the derivatives clearing organization referenced in paragraph (c) of this section held, with respect to such account, Cleared Swaps Collateral of a value no less than the amount specified in \u00a7 22.12(c)(2) of this part, after the application of haircuts specified by the rules and procedures of such derivatives clearing organization, and\n\n(2) As of the close of business on the business day on which the margin call is not met, the market value of the Cleared Swaps Collateral held by the derivatives clearing organization is, due to changes in such market value, less than the amount specified in \u00a7 22.12(c)(2) of this part, then the amount of collateral attributable to each Cleared Swaps Customer pursuant to \u00a7 22.12(c)(1) of this part shall be reduced by the percentage difference between the amount specified in \u00a7 22.12(c)(2) and such market value.\n\n(g) A derivatives clearing organization or Collecting Futures Commission Merchant is entitled to reasonably rely upon any information provided by a defaulting futures commission merchant under \u00a7 22.14. If the defaulting futures commission merchant does not provide such information on the date of the futures commission merchant's default, a derivatives clearing organization or Collecting Futures Commission Merchant may rely on the information previously provided to it by the defaulting futures commission merchant."], ["17:17:1.0.1.1.21.0.7.15", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.15 Treatment of Cleared Swaps Customer Collateral on an individual basis.", "CFTC", "", "", "[77 FR 66335, Nov. 2, 2012]", "Subject to \u00a7 22.3(d), each derivatives clearing organization and each Collecting Futures Commission Merchant receiving Cleared Swaps Customer Collateral from a futures commission merchant shall treat the value of collateral required with respect to the portfolio of rights and obligations arising out of the Cleared Swaps intermediated for each Cleared Swaps Customer, and collected from the futures commission merchant, as belonging to such Cleared Swaps Customer, and such amount shall not be used to margin, guarantee, or secure the Cleared Swaps or other obligations of the futures commission merchant, or of any other Cleared Swaps Customer, Futures Customer (as \u00a7 1.3 of this chapter defines that term), or Foreign Futures or Foreign Options Customer (as \u00a7 30.1 of this chapter defines that term). Nothing contained herein shall be construed to limit, in any way, the right of a derivatives clearing organization or Collecting Futures Commission Merchant to liquidate any or all positions in a Cleared Swaps Customer Account in the event of a default of a clearing member or Depositing Futures Commission Merchant."], ["17:17:1.0.1.1.21.0.7.16", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.16 Disclosures to Cleared Swaps Customers.", "CFTC", "", "", "[77 FR 6371, Feb. 7, 2012]", "(a) A futures commission merchant shall disclose, to each of its Cleared Swaps Customers, the governing provisions, as described in paragraph (c) of this section, relating to use of Cleared Swaps Customer Collateral, transfer, neutralization of the risks, or liquidation of Cleared Swaps in the event of a default by the futures commission merchant relating to the Cleared Swaps Customer Account, as well as any change in such governing provisions.\n\n(b) If the futures commission merchant referenced in paragraph (a) of this section is a Depositing Futures Commission Merchant, then such futures commission merchant shall disclose, to each of its Cleared Swaps Customers, the governing provisions, as described in paragraph (c) of this section, relating to use of Cleared Swaps Customer Collateral, transfer, neutralization of the risks, or liquidation of Cleared Swaps in the event of a default by:\n\n(1) Such futures commission merchant or\n\n(2) Any relevant Collecting Futures Commission Merchant relating to the Cleared Swaps Customer Account, as well as any change in such governing provisions.\n\n(c) The governing provisions referred to in paragraphs (a) and (b) of this section are the rules of each derivatives clearing organization, or the provisions of the customer agreement between the Collecting Futures Commission Merchant and the Depositing Futures Commission Merchant, on or through which the Depositing Futures Commission Merchant will intermediate Cleared Swaps for such Cleared Swaps Customer."], ["17:17:1.0.1.1.21.0.7.17", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.17 Policies and procedures governing disbursements of Cleared Swaps Customer Collateral from Cleared Swaps Customer Accounts.", "CFTC", "", "", "[78 FR 68647, Nov. 14, 2013]", "(a) The provision in section 4d(f)(2) of the Act that prohibits the commingling of Cleared Swaps Customer Collateral with the funds of a futures commission merchant, shall not be construed to prevent a futures commission merchant from having a residual financial interest in the funds segregated as required by the Act and the regulations in this part and set apart for the benefit of Cleared Swaps Customers; nor shall such provisions be construed to prevent a futures commission merchant from adding to such segregated funds such amount or amounts of money, from its own funds or unencumbered securities from its own inventory, of the type set forth in \u00a7 1.25 of this chapter, as it may deem necessary to ensure any and all Cleared Swaps Customer Accounts are not undersegregated at any time.\n\n(b) A futures commission merchant may not withdraw funds, except withdrawals that are made to or for the benefit of Cleared Swaps Customers, from a Cleared Swaps Customer Account unless the futures commission merchant has prepared the daily segregation calculation required by \u00a7 22.2 as of the close of business on the previous business day. A futures commission merchant that has completed its daily segregation calculation may make withdrawals, in addition to withdrawals that are made to or for the benefit of Cleared Swaps Customers, to the extent of its actual residual financial interest in funds held in segregated accounts, including the withdrawal of securities held in segregated safekeeping accounts held by a bank, trust company, derivatives clearing organization or other futures commission merchant. Such withdrawal(s) shall not result in the funds of one Cleared Swaps Customer being used to purchase, margin or carry the trades, contracts or swaps positions, or extend the credit of any other Cleared Swaps Customer or other person.\n\n(c) A futures commission merchant may not withdraw funds, in a single transaction or a series of transactions, that are not made to or for the benefit of Cleared Swaps Customers from Cleared Swaps Customer Accounts if such withdrawal(s) would exceed 25 percent of the futures commission merchant's residual interest in such accounts as reported on the daily segregation calculation required by \u00a7 22.2 and computed as of the close of business on the previous business day, unless:\n\n(1) The futures commission merchant's chief executive officer, chief finance officer or other senior official that is listed as a principal of the futures commission merchant on its Form 7-R and is knowledgeable about the futures commission merchant's financial requirements and financial position pre-approves in writing the withdrawal, or series of withdrawals;\n\n(2) The futures commission merchant files written notice of the withdrawal or series of withdrawals, with the Commission and with its designated self-regulatory organization immediately after the chief executive officer, chief finance officer or other senior official pre-approves the withdrawal or series of withdrawals. The written notice must:\n\n(i) Be signed by the chief executive officer, chief finance officer or other senior official that pre-approved the withdrawal, and give notice that the futures commission merchant has withdrawn or intends to withdraw more than 25 percent of its residual interest in such accounts holding Cleared Swaps Customer Accounts funds;\n\n(ii) Include a description of the reasons for the withdrawal or series of withdrawals;\n\n(iii) List the amount of funds provided to each recipient and the name of each recipient;\n\n(iv) Include the current estimate of the amount of the futures commission merchant's residual interest in the swaps customer funds after the withdrawal;\n\n(v) Contain a representation by the chief executive officer, chief finance officer or other senior official that pre-approved the withdrawal, or series of withdrawals, that, after due diligence, to such person's knowledge and reasonable belief, the futures commission merchant remains in compliance with the segregation requirements after the withdrawal. The chief executive officer, chief finance officer or other senior official must consider the daily segregation calculation as of the close of business on the previous business day and any other factors that may cause a material change in the futures commission's residual interest since the close of business the previous business day, including known unsecured customer debits or deficits, current day market activity and any other withdrawals made from the Cleared Swaps Customer Accounts; and\n\n(vi) Any such written notice filed with the Commission must be filed via electronic transmission using a form of user authentication assigned in accordance with procedures established by or approved by the Commission, and otherwise in accordance with instruction issued by or approved by the Commission. Any such electronic submission must clearly indicate the registrant on whose behalf such filing is made and the use of such user authentication in submitting such filing will constitute and become a substitute for the manual signature of the authorized signer. Any written notice filed must be followed up with direct communication to the Regional office of Commission which has supervisory authority over the futures commission merchant whereby the Commission acknowledges receipt of the notice; and\n\n(3) After making a withdrawal requiring the approval and notice required in paragraphs (c)(1) and (c)(2) of this section, and before the next daily segregated funds calculation, no futures commission merchant may make any further withdrawals from accounts holding Cleared Swaps Customer Account funds, except to or for the benefit of Cleared Swaps Customers, without complying with paragraph (c)(1) of this section and filing a written notice with the Commission under paragraph (c)(2)(vi) of this section and its designated self-regulatory organization signed by the chief executive officer, chief finance officer, or other senior official. The written notice must:\n\n(i) List the amount of funds provided to each recipient and each recipient's name;\n\n(ii) Disclose the reason for each withdrawal;\n\n(iii) Confirm that the chief executive officer, chief finance officer, or other senior official (and identify of the person if different from the person who signed the notice) pre-approved the withdrawal in writing;\n\n(iv) Disclose the current estimate of the futures commission merchant's remaining total residual interest in the segregated accounts holding Cleared Swaps Customer Account funds after the withdrawal; and\n\n(v) Include a representation that to the best of the notice signatory's knowledge and reasonable belief the futures commission merchant remains in compliance with the segregation requirements after the withdrawal.\n\n(d) If a futures commission merchant withdraws funds that are not for the benefit of Cleared Swaps Customers from Cleared Swaps Customer Accounts, and the withdrawal causes the futures commission merchant to not hold sufficient funds in Cleared Swaps Customer Accounts to meet its targeted residual interest, as required to be computed under \u00a7 1.11 of this chapter, the futures commission merchant must deposit its own funds into the Cleared Swaps Customer Accounts to restore the targeted amount of residual interest on the next business day, or, if appropriate, revise the futures commission merchant's targeted amount of residual interest pursuant to the policies and procedures required by \u00a7 1.11 of this chapter. Notwithstanding the foregoing, if the futures commission merchant's residual interest in Cleared Swaps Customer Accounts is less than the amount required to be maintained by \u00a7 22.2 at any particular point in time, the futures commission merchant must immediately restore the residual interest to exceed the sum of such amounts. Any proprietary funds deposited in Cleared Swaps Customer Accounts must be unencumbered and otherwise compliant with \u00a7 1.25 of this chapter, as applicable.\n\n(e) Notwithstanding any other provision of this part, a futures commission merchant may not withdraw funds that are not for the benefit of Cleared Swaps Customers from a Cleared Swaps Customer Account unless the futures commission merchant follows its policies and procedures required by \u00a7 1.11 of this chapter."], ["17:17:1.0.1.1.21.0.7.2", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.2 Futures Commission Merchants: Treatment of Cleared Swaps and Associated Cleared Swaps Customer Collateral.", "CFTC", "", "", "[77 FR 6371, Feb. 7, 2012, as amended at 77 FR 66334, Nov. 2, 2012; 78 FR 68645, Nov. 14, 2013; 90 FR 7873, 7937, Jan. 22, 2025]", "(a)  General.  A futures commission merchant shall treat and deal with the Cleared Swaps of Cleared Swaps Customers and associated Cleared Swaps Customer Collateral as belonging to Cleared Swaps Customers.\n\n(b)  Location of Cleared Swaps Customer Collateral.  (1) A futures commission merchant must segregate all Cleared Swaps Customer Collateral that it receives, and must either hold such Cleared Swaps Customer Collateral itself as set forth in paragraph (b)(2) of this section, or deposit such collateral into one or more Cleared Swaps Customer Accounts held at a Permitted Depository, as set forth in paragraph (b)(3) of this section.\n\n(2) If a futures commission merchant holds Cleared Swaps Customer Collateral itself, then the futures commission merchant must:\n\n(i) Physically separate such collateral from its own property;\n\n(ii) Clearly identify each physical location in which it holds such collateral as a \u201cLocation of Cleared Swaps Customer Collateral\u201d (the \u201cFCM Physical Location\u201d);\n\n(iii) Ensure that the FCM Physical Location provides appropriate protection for such collateral; and\n\n(iv) Record in its books and records the amount of such Cleared Swaps Customer Collateral separately from its own funds.\n\n(3) If a futures commission merchant holds Cleared Swaps Customer Collateral in a Permitted Depository, then:\n\n(i) The Permitted Depository must qualify pursuant to the requirements set forth in \u00a7 22.4 of this part, and\n\n(ii) The futures commission merchant must maintain a Cleared Swaps Customer Account with each such Permitted Depository.\n\n(c)  Commingling.  (1) A futures commission merchant may commingle the Cleared Swaps Customer Collateral that it receives from, for, or on behalf of multiple Cleared Swaps Customers.\n\n(2) A futures commission merchant shall not commingle Cleared Swaps Customer Collateral with either of the following:\n\n(i) Funds belonging to the futures commission merchant, except as expressly permitted in paragraph (e)(3) of this section; or\n\n(ii) Other categories of funds belonging to Futures Customers (as \u00a7 1.3 of this chapter defines that term), or Foreign Futures or Foreign Options Customers (as \u00a7 30.1 of this chapter defines that term) of the futures commission merchant, including Futures Customer Funds (as \u00a7 1.3 of this chapter defines such term) or the foreign futures or foreign options secured amount (as \u00a7 1.3 of this chapter defines such term), except as expressly permitted by Commission rule, regulation, or order, or by a derivatives clearing organization rule approved in accordance with \u00a7 39.15(b)(2) of this chapter.\n\n(d)  Limitations on use.  (1) No futures commission merchant shall use, or permit the use of, the Cleared Swaps Customer Collateral of one Cleared Swaps Customer to purchase, margin, or settle the Cleared Swaps or any other trade or contract of, or to secure or extend the credit of, any person other than such Cleared Swaps Customer. Cleared Swaps Customer Collateral shall not be used to margin, guarantee, or secure trades or contracts of the entity constituting a Cleared Swaps Customer other than in Cleared Swaps, except to the extent permitted by a Commission rule, regulation or order.\n\n(2) A futures commission merchant may not impose or permit the imposition of a lien on Cleared Swaps Customer Collateral, including any residual financial interest of the futures commission merchant in such collateral, as described in paragraph (e)(4) of this section.\n\n(3) A futures commission merchant may not include, as Cleared Swaps Customer Collateral,\n\n(i) Money invested in the securities, memberships, or obligations of any derivatives clearing organization, designated contract market, swap execution facility, or swap data repository, or\n\n(ii) Money, securities, or other property that any derivatives clearing organization holds and may use for a purpose other than those set forth in \u00a7 22.3 of this part.\n\n(e)  Exceptions.  Notwithstanding the foregoing:\n\n(1)  Permitted investments.  A futures commission merchant may invest money, securities, or other property constituting Cleared Swaps Customer Collateral in accordance with \u00a7 1.25 of this chapter, which shall apply to such money, securities, or other property as if they comprised customer funds or customer money subject to segregation pursuant to section 4d(a) of the Act and the regulations thereunder;  Provided, however,  that the futures commission merchant shall bear sole responsibility for any losses resulting from the investment of customer funds in instruments described in \u00a7 1.25 of this chapter. No investment losses shall be borne or otherwise allocated to Cleared Swaps Customers of the futures commission merchant.\n\n(2)  Permitted withdrawals.  Such share of Cleared Swaps Customer Collateral as in the normal course of business shall be necessary to margin, guarantee, secure, transfer, adjust, or settle a Cleared Swaps Customer's Cleared Swaps with a derivatives clearing organization, or with a Collecting Futures Commission Merchant, may be withdrawn and applied to such purposes, including the payment of commissions, brokerage, interest, taxes, storage, and other charges, lawfully accruing in connection with such Cleared Swaps.\n\n(3)  Deposits of own money, securities, or other property.  (i) In order to ensure that it is always in compliance with paragraph (f) of this section, a futures commission merchant may place in an FCM Physical Location or deposit in a Cleared Swaps Customer Account its own money, securities, or other property ( provided, that  such securities or other property are unencumbered and are of the types specified in \u00a7 1.25 of this chapter).\n\n(ii) Money, securities, or other property deposited by a futures commission merchant pursuant to 22.13(b) and available to a derivatives clearing organization or Collecting Futures Commission Merchant to meet the obligations of the futures commission merchant's Cleared Swaps Customers collectively, shall be maintained in an account separate from the Cleared Swaps Customer Account.\n\n(4)  Residual financial interest.  (i) If, in accordance with paragraph (e)(3)(i) of this section, a futures commission merchant places in an FCM Physical Location or deposits in a Cleared Swaps Customer Account its own money, securities, or other property, then such money, securities, or other property (including accruals thereon) shall constitute Cleared Swaps Customer Collateral.\n\n(ii) The futures commission merchant shall have a residual financial interest in any portion of such money, securities, or other property in excess of that necessary for compliance with paragraph (f)(4) of this section.\n\n(iii) The futures commission merchant may withdraw money, securities, or other property from the FCM Physical Location or Cleared Swaps Customer Account, to the extent of its residual financial interest therein. At the time of such withdrawal, the futures commission merchant shall ensure that the withdrawal does not cause its residual financial interest to become less than zero.\n\n(f)  Requirements as to amount.  (1) For purposes of this \u00a7 22.2(f), the term \u201caccount\u201d shall reference the entries on the books and records of a futures commission merchant pertaining to the Cleared Swaps Customer Collateral of a particular Cleared Swaps Customer.\n\n(2) The futures commission merchant must reflect in the account that it maintains for each Cleared Swaps Customer, the net liquidating equity for each such Cleared Swaps Customer, calculated as follows: The market value of any Cleared Swaps Customer Collateral that it receives from such customer, as adjusted by:\n\n(i) Any uses permitted under paragraph (d) of this section;\n\n(ii) Any accruals on permitted investments of such collateral under paragraph (e) of this section that, pursuant to the futures commission merchant's customer agreement with that customer, are creditable to such customer;\n\n(iii) Any gains and losses with respect to Cleared Swaps;\n\n(iv) Any charges lawfully accruing to the Cleared Swaps Customer, including any commission, brokerage fee, interest, tax, or storage fee; and\n\n(v) Any appropriately authorized distribution or transfer of such collateral.\n\n(3) If the market value of Cleared Swaps Customer Collateral in the account of a Cleared Swaps Customer is positive after adjustments, then that account has a credit balance. If the market value of Cleared Swaps Customer Collateral in the account of a Cleared Swaps Customer is negative after adjustments, then that account has a debit balance.\n\n(4) The futures commission merchant must, at all times, maintain in segregation, in its FCM Physical Locations and/or its Cleared Swaps Customer Accounts at Permitted Depositories, an amount equal to the sum of any credit and debit balances that the Cleared Swaps Customers of the futures commission merchant have in their accounts. Notwithstanding the preceding sentence, a futures commission merchant must add back to the total amount of funds required to be maintained in segregation any Cleared Swaps Customer Accounts with debit balances in the amounts calculated in accordance with paragraph (f)(5) of this section.\n\n(5) The futures commission merchant, in calculating the total amount of funds required to be maintained in segregation pursuant to paragraph (f)(4) of this section, must include any debit balance, as calculated pursuant to this paragraph (f)(5), that a Cleared Swaps Customer has in its account, to the extent that such debit balance is not secured by \u201creadily marketable securities\u201d that the particular Cleared Swaps Customer deposited with the futures commission merchant.\n\n(i) For purposes of calculating the amount of a Cleared Swaps Customer Account's debit balance that the futures commission merchant is required to include in its calculation of its total segregation requirement pursuant to this paragraph (f)(5), the futures commission merchant shall calculate the net liquidating equity of each Cleared Swaps Customer Account in accordance with paragraph (f)(2) of this section, except that the futures commission merchant shall exclude from the calculation any noncash collateral held in the Cleared Swaps Customer Account as margin collateral. The futures commission merchant may offset the debit balance computed under this paragraph (f)(5) to the extent of any \u201creadily marketable securities,\u201d subject to percentage deductions ( i.e.,  \u201csecurities haircuts\u201d) as specified in paragraph (f)(5)(iv) of this section, held for the particular Cleared Swaps Customer to secure its debit balance.\n\n(ii) For purposes of this section, \u201creadily marketable\u201d shall be defined as having a \u201cready market\u201d as such latter term is defined in Rule 15c3-1(c)(11) of the Securities and Exchange Commission (17 CFR 240.15c3-1(c)(11)).\n\n(iii) In order for a debit balance to be deemed secured by \u201creadily marketable securities,\u201d the futures commission merchant must maintain a security interest in such securities, and must hold a written authorization to liquidate the securities at the discretion of the futures commission merchant.\n\n(iv) To determine the amount of such debit balance secured by \u201creadily marketable securities,\u201d the futures commission merchant shall:\n\n(A) Determine the market value of such securities; and\n\n(B) Reduce such market value by applicable percentage deductions ( i.e.,  \u201csecurities haircuts\u201d) as set forth in Rule 15c3-1(c)(2)(vi) of the Securities and Exchange Commission (17 CFR 240.15c3-1(c)(2)(vi)). Futures commission merchants that establish and enforce written policies and procedures to assess the credit risk of commercial paper, convertible debt instruments, or nonconvertible debt instruments in accordance with Rule 240.15c3-1(c)(2)(vi) of the Securities and Exchange Commission (17 CFR 240.15c3-1(c)(2)(vi)) may apply the lower haircut percentages specified in Rule 240.15c3-1(c)(2)(vi) for such commercial paper, convertible debt instruments and nonconvertible debt instruments.\n\n(6)(i) The undermargined amount for a Cleared Swaps Customer Account is the amount, if any, by which:\n\n(A) The total amount of collateral required for that Cleared Swaps Customer's Cleared Swaps, at the time or times referred to in paragraph (f)(6)(ii) of this section, exceeds\u2014\n\n(B) The value of the Cleared Swaps Customer Collateral for that account, as calculated in paragraph (f)(2) of this section.\n\n(ii) Each futures commission merchant must compute, based on the information available to the futures commission merchant as of the close of each business day,\n\n(A) The undermargined amounts, based on the clearing initial margin that will be required to be maintained by that futures commission merchant for its Cleared Swaps Customers, at each derivatives clearing organization of which the futures commission merchant is a member, at the point of the daily settlement (as described in \u00a7 39.14 of this chapter) that will complete during the following business day for each such derivatives clearing organization less\n\n(B) Any debit balances referred to in paragraph (f)(4) of this section included in such undermargined amounts.\n\n(iii)(A) Prior to the time of settlement referenced in paragraph (f)(6)(ii)(A) of this section such futures commission merchant must maintain residual interest in segregated funds that is equal to or exceeds the portion of the computation set forth in paragraph (f)(6)(ii) of this section attributable to the clearing initial margin required by the derivatives clearing organization making such settlement.\n\n(B) A futures commission merchant may reduce the amount of residual interest required in paragraph (f)(6)(iii)(A) of this section to account for payments received from or on behalf of undermargined Cleared Swaps Customers (less the sum of any disbursements made to or on behalf of such customers) between the close of the previous business day and the time of settlement.\n\n(iv) For purposes of paragraph (f)(6)(ii) of this section, a Depositing Futures Commission Merchant should include, as clearing initial margin, customer initial margin that the Depositing Futures Commission Merchant will be required to maintain, for that Depositing Futures Commission Merchant's Cleared Swaps Customers, at a Collecting Futures Commission Merchant, and, for purposes of paragraph (f)(6)(iii) of this section, must do so prior to the time it must settle with that Collecting Futures Commission Merchant.\n\n(g)  Segregated account; Daily computation and record.  (1) Each futures commission merchant must compute as of the close of each business day, on a currency-by-currency basis:\n\n(i) The aggregate market value of the Cleared Swaps Customer Collateral in all FCM Physical Locations and all Cleared Swaps Customer Accounts held at Permitted Depositories (the \u201cCollateral Value\u201d);\n\n(ii) The sum referenced in paragraph (f)(4) of this section (the \u201cCollateral Requirement\u201d); and\n\n(iii) The amount of the residual financial interest that the futures commission merchant holds in such Cleared Swaps Customer Collateral, which shall equal the difference between the Collateral Value and the Collateral Requirement.\n\n(2) Each futures commission merchant is required to document its segregation computation required by paragraph (g)(1) of this section by preparing a Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under 4d(f) of the CEA contained in the Form 1-FR-FCM as of the close of business each business day.\n\n(3) Each futures commission merchant is required to submit to the Commission and to the firm's designated self-regulatory organization the daily Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under 4d(f) of the CEA required by paragraph (g)(2) of this section by noon the following business day.\n\n(4) Each futures commission merchant shall file the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under 4d(f) of the CEA required by paragraph (g)(2) of this section in an electronic format using a form of user authentication assigned in accordance with procedures established or approved by the Commission.\n\n(5) Each futures commission merchant is required to submit to the Commission and to the firm's designated self-regulatory organization a report listing the names of all banks, trust companies, futures commission merchants, derivatives clearing organizations, or any other depository or custodian holding Cleared Swaps Customer Collateral as of the fifteenth day of the month, or the first business day thereafter, and the last business day of each month. This report must include:\n\n(i) The name and location of each entity holding Cleared Swaps Customer Collateral;\n\n(ii) The total amount of Cleared Swaps Customer Collateral held by each entity listed in paragraph (g)(5) of this section; and\n\n(iii) The total amount of cash and investments that each entity listed in paragraph (g)(5) of this section holds for the futures commission merchant. The futures commission merchant must report the following investments:\n\n(A) Obligations of the United States and obligations fully guaranteed as to principal and interest by the United States (U.S. government securities);\n\n(B) General obligations of any State or of any political subdivision of a State (municipal securities);\n\n(C) General obligation issued by any enterprise sponsored by the United States (government sponsored enterprise securities);\n\n(D) Permitted foreign sovereign debt by country:\n\n( 1 ) Canada;\n\n( 2 ) France;\n\n( 3 ) Germany;\n\n( 4 ) Japan;\n\n( 5 ) United Kingdom;\n\n(E) Interests in U.S. Treasury exchange-traded funds; and\n\n(F) Interests in government money market funds.\n\n(6) Each futures commission merchant must report the total amount of customer owned securities held by the futures commission merchant as Cleared Swaps Customer Collateral and must list the names and locations of the depositories holding customer owned securities.\n\n(7) Each futures commission merchant must report the total amount of Cleared Swaps Customer Collateral that has been used to purchase securities under agreements to resell the securities (reverse repurchase transactions).\n\n(8) Each futures commission merchant must report which, if any, of the depositories holding Cleared Swaps Customer Collateral under paragraph (g)(5) of this section are affiliated with the futures commission merchant.\n\n(9) Each futures commission merchant shall file the detailed list of depositories required by paragraph (g)(5) of this section by 11:59 p.m. the next business day in an electronic format using a form of user authentication assigned in accordance with procedures established or approved by the Commission.\n\n(10) Each futures commission merchant shall retain its daily segregation computation and the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts under section 4d(f) of the CEA required by paragraph (g)(2) of this section and the detailed listing of depositories required by paragraph (g)(5) of this section, together with all supporting documentation, in accordance with \u00a7 1.31 of this chapter.\n\n(11) A futures commission merchant that carries Cleared Swaps Accounts for Cleared Swaps Customers as separate accounts for separate account customers pursuant to \u00a7 1.44 of this chapter shall:\n\n(i) Calculate the total amount of Cleared Swaps Customer Collateral on deposit in segregated accounts on behalf of Cleared Swaps Customers pursuant to paragraph (g)(1)(i) of this section and the total amount of Cleared Swaps Customer Collateral required to be on deposit in segregated accounts on behalf of Cleared Swaps Customers pursuant to paragraph (g)(1)(ii) of this section by including the separate accounts of the separate account customers as if the separate accounts were accounts of separate entities;\n\n(ii) Offset a net deficit in a particular Cleared Swaps Customer Account carried as a separate account of a separate account customer in accordance with paragraphs (f)(4) and (5) and (g)(1)(ii) of this section against the current market value of readily marketable securities held only for the particular separate account of such separate account customer; and\n\n(iii) Document its segregation computation in the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts under 4d(f) of the CEA required by paragraph (g)(2) of this section by incorporating and reflecting the Cleared Swaps Customer Accounts carried as separate accounts of separate account customers as accounts of separate entities."], ["17:17:1.0.1.1.21.0.7.3", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.3 Derivatives clearing organizations: Treatment of cleared swaps customer collateral.", "CFTC", "", "", "[77 FR 6371, Feb. 7, 2012, as amended at 77 FR 66334, Nov. 2, 2012; 90 FR 7873, Jan. 22, 2025]", "(a)  General.  A derivatives clearing organization shall treat and deal with the Cleared Swaps Customer Collateral deposited by a futures commission merchant as belonging to the Cleared Swaps Customers of such futures commission merchant and not other persons, including, without limitation, the futures commission merchant.\n\n(b)  Location of Cleared Swaps Customer Collateral.  (1) The derivatives clearing organization must segregate all Cleared Swaps Customer Collateral that it receives from futures commission merchants, and must either hold such Cleared Swaps Customer Collateral itself as set forth in paragraph (b)(2) of this section, or deposit such collateral into one or more Cleared Swaps Customer Accounts held at a Permitted Depository, as set forth in paragraph (b)(3) of this section.\n\n(2) If a derivatives clearing organization holds Cleared Swaps Customer Collateral itself, then the derivatives clearing organization must:\n\n(i) Physically separate such collateral from its own property, the property of any futures commission merchant, and the property of any other person that is not a Cleared Swaps Customer of a futures commission merchant;\n\n(ii) Clearly identify each physical location in which it holds such collateral as \u201cLocation of Cleared Swaps Customer Collateral\u201d (the \u201cDCO Physical Location\u201d);\n\n(iii) Ensure that the DCO Physical Location provides appropriate protection for such collateral; and\n\n(iv) Record in its books and records the amount of such Cleared Swaps Customer Collateral separately from its own funds, the funds of any futures commission merchant, and the funds of any other person that is not a Cleared Swaps Customer of a futures commission merchant.\n\n(3) If a derivatives clearing organization holds Cleared Swaps Customer Collateral in a Permitted Depository, then:\n\n(i) The Permitted Depository must qualify pursuant to the requirements set forth in \u00a7 22.4 of this part; and\n\n(ii) The derivatives clearing organization must maintain a Cleared Swaps Customer Account with each such Permitted Depository.\n\n(c)  Commingling.  (1) A derivatives clearing organization may commingle the Cleared Swaps Customer Collateral that it receives from multiple futures commission merchants on behalf of their Cleared Swaps Customers.\n\n(2) A derivatives clearing organization shall not commingle the Cleared Swaps Customer Collateral that it receives from a futures commission merchant on behalf of Cleared Swaps Customers with any of the following:\n\n(i) The money, securities, or other property belonging to the derivatives clearing organization;\n\n(ii) The money, securities, or other property belonging to any futures commission merchant; or\n\n(iii) Futures Customer Funds (as \u00a7 1.3 of this chapter defines such term) or the foreign futures or foreign options secured amount (as \u00a7 1.3 of this chapter defines such term), except as expressly permitted by Commission rule, regulation, or order, (or by a derivatives clearing organization rule approved in accordance with \u00a7 39.15(b)(2) of this chapter).\n\n(d)  Exceptions; permitted investments.  Notwithstanding the foregoing and \u00a7 22.15, a derivatives clearing organization may invest the money, securities, or other property constituting Cleared Swaps Customer Collateral in accordance with \u00a7 1.25 of this chapter. A derivative clearing organization shall bear sole responsibility for any losses resulting from the investment of Cleared Swaps Customer Collateral in instruments described in \u00a7 1.25 of this chapter. No investment losses shall be borne or otherwise allocated to a futures commission merchant."], ["17:17:1.0.1.1.21.0.7.4", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.4 Futures Commission Merchants and derivatives clearing organizations: Permitted Depositories.", "CFTC", "", "", "", "In order for a depository to be a Permitted Depository:\n\n(a) The depository must (subject to \u00a7 22.9) be one of the following types of entities:\n\n(1) A bank located in the United States;\n\n(2) A trust company located in the United States;\n\n(3) A Collecting Futures Commission Merchant registered with the Commission (but only with respect to a Depositing Futures Commission Merchant providing Cleared Swaps Customer Collateral); or\n\n(4) A derivatives clearing organization registered with the Commission; and\n\n(b) The futures commission merchant or the derivatives clearing organization must hold a written acknowledgment letter from the depository as required by \u00a7 22.5 of this part."], ["17:17:1.0.1.1.21.0.7.5", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.5 Futures commission merchants and derivatives clearing organizations: Written acknowledgement.", "CFTC", "", "", "[77 FR 6371, Feb. 7, 2012, as amended at 77 FR 66334, Nov. 2, 2012]", "(a) Before depositing Cleared Swaps Customer Collateral, the futures commission merchant or derivatives clearing organization shall obtain and retain in its files a separate written acknowledgement letter from each depository in accordance with \u00a7\u00a7 1.20 and 1.26 of this chapter, with all references to \u201cFutures Customer Funds\u201d modified to apply to Cleared Swaps Customer Collateral, and with all references to section 4d(a) or 4d(b) of the Act and the regulations thereunder modified to apply to section 4d(f) of the Act and the regulations thereunder.\n\n(b) The futures commission merchant or derivatives clearing organization shall adhere to all requirements specified in \u00a7\u00a7 1.20 and 1.26 of this chapter regarding retaining, permitting access to, filing, or amending the written acknowledgement letter, in all cases as if the Cleared Swaps Customer Collateral comprised Futures Customer Funds subject to segregation pursuant to section 4d(a) or 4d(b) of the Act and the regulations thereunder.\n\n(c) Notwithstanding paragraph (a) of this section, an acknowledgement letter need not be obtained from a derivatives clearing organization that has made effective, pursuant to section 5c(c) of the Act and the regulations thereunder, rules that provide for the segregation of Cleared Swaps Customer Collateral, in accordance with all relevant provisions of the Act and the regulations thereunder."], ["17:17:1.0.1.1.21.0.7.6", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.6 Futures commission merchants and derivatives clearing organizations: Naming of Cleared Swaps Customer Accounts.", "CFTC", "", "", "", "The name of each Cleared Swaps Customer Account that a futures commission merchant or a derivatives clearing organization maintains with a Permitted Depository shall:\n\n(a) Clearly identify the account as a \u201cCleared Swaps Customer Account\u201d and\n\n(b) Clearly indicate that the collateral therein is \u201cCleared Swaps Customer Collateral\u201d subject to segregation in accordance with the Act and this part."], ["17:17:1.0.1.1.21.0.7.7", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.7 Permitted depositories: Treatment of Cleared Swaps Customer Collateral.", "CFTC", "", "", "", "A Permitted Depository shall treat all funds in a Cleared Swaps Customer Account as Cleared Swaps Customer Collateral. A Permitted Depository shall not hold, dispose of, or use any such Cleared Swaps Customer Collateral as belonging to any person other than:\n\n(a) The Cleared Swaps Customers of the futures commission merchant maintaining such Cleared Swaps Customer Account or;\n\n(b) The Cleared Swaps Customers of the futures commission merchants for which the derivatives clearing organization maintains such Cleared Swaps Customer Account."], ["17:17:1.0.1.1.21.0.7.8", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.8 Situs of Cleared Swaps Customer Accounts.", "CFTC", "", "", "", "The situs of each of the following shall be located in the United States:\n\n(a) Each FCM Physical Location or DCO Physical Location;\n\n(b) Each \u201caccount,\u201d within the meaning of \u00a7 22.2(f)(1), that a futures commission merchant maintains for each Cleared Swaps Customer; and\n\n(c) Each Cleared Swaps Customer Account on the books and records of a derivatives clearing organization with respect to the Cleared Swaps Customers of a futures commission merchant."], ["17:17:1.0.1.1.21.0.7.9", 17, "Commodity and Securities Exchanges", "I", "", "22", "PART 22\u2014CLEARED SWAPS", "", "", "", "\u00a7 22.9 Denomination of Cleared Swaps Customer Collateral and location of depositories.", "CFTC", "", "", "[77 FR 6371, Feb. 7, 2012, as amended at 77 FR 66334, Nov. 2, 2012]", "(a) Subject to paragraph (b) of this section, futures commission merchants and derivatives clearing organizations may hold Cleared Swaps Customer Collateral in the denominations, at the locations and depositories, and subject to the segregation requirements specified in \u00a7 1.49 of this chapter.\n\n(b) Notwithstanding the requirements in \u00a7 1.49 of this chapter, a futures commission merchant's obligations to a Cleared Swaps Customer may be denominated in a currency in which funds have accrued to the Cleared Swaps Customer as a result of a Cleared Swap carried through such futures commission merchant, to the extent of such accruals.\n\n(c) Each depository referenced in paragraph (a) of this section shall be considered a Permitted Depository for purposes of this part.  Provided, however,  that a futures commission merchant shall only be considered a Permitted Depository to the extent that it is acting as a Collecting Futures Commission Merchant (as \u00a7 22.1 of this part defines such term)."], ["28:28:1.0.1.1.23.0.4.1", 28, "Judicial Administration", "I", "", "22", "PART 22\u2014CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION", "", "", "", "\u00a7 22.1 Purpose.", "DOJ", "", "", "[41 FR 54846, Dec. 15, 1976, as amended at 51 FR 6400, Feb. 24, 1986]", "The purpose of these regulations is to:\n\n(a) Protect privacy of individuals by requiring that information identifiable to a private person obtained in a research or statistical program may only be used and/or revealed for the purpose for which obtained;\n\n(b) Insure that copies of such information shall not, without the consent of the person to whom the information pertains, be admitted as evidence or used for any purpose in any judicial or administrative proceedings;\n\n(c) Increase the credibility and reliability of federally-supported research and statistical findings by minimizing subject concern over subsequent uses of identifiable information;\n\n(d) Provide needed guidance to persons engaged in research and statistical activities by clarifying the purposes for which identifiable information may be used or revealed; and\n\n(e) Insure appropriate balance between individual privacy and essential needs of the research community for data to advance the state of knowledge in the area of criminal justice.\n\n(f) Insure the confidentiality of information provided by crime victims to crisis intervention counselors working for victim services programs receiving funds provided under the Crime Control Act, and Juvenile Justice Act, and the Victims of Crime Act."], ["28:28:1.0.1.1.23.0.4.10", 28, "Judicial Administration", "I", "", "22", "PART 22\u2014CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION", "", "", "", "\u00a7 22.27 Notification.", "DOJ", "", "", "", "(a) Any person from whom information identifiable to a private person is to be obtained directly, either orally, by questionnaire, or other written documents, shall be advised:\n\n(1) That the information will only be used or revealed for research or statistical purposes; and\n\n(2) That compliance with the request for information is entirely voluntary and may be terminated at any time.\n\n(b) Except as noted in paragraph (c) of this section, where information is to be obtained through observation of individual activity or performance, such individuals shall be advised:\n\n(1) Of the particular types of information to be collected;\n\n(2) That the data will only be utilized or revealed for research or statistical purposes; and\n\n(3) That participation in the project in question is voluntary and may be terminated at any time.\n\n(c) Notification, as described in paragraph (b) of this section, may be eliminated where information is obtained through field observation of individual activity or performance and in the judgment of the researcher such notification is impractical or may seriously impede the progress of the research.\n\n(d) Where findings in a project cannot, by virtue of sample size, or uniqueness of subject, be expected to totally conceal subject identity, an individual shall be so advised."], ["28:28:1.0.1.1.23.0.4.11", 28, "Judicial Administration", "I", "", "22", "PART 22\u2014CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION", "", "", "", "\u00a7 22.28 Use of data identifiable to a private person for judicial, legislative or administrative purposes.", "DOJ", "", "", "[41 FR 54846, Dec. 15, 1976, as amended at 45 FR 62038, Sept. 18, 1980]", "(a) Research or statistical information identifiable to a private person shall be immune from legal process and shall only be admitted as evidence or used for any purpose in any action, suit, or other judicial, legislative or administrative proceeding with the written consent of the individual to whom the data pertains.\n\n(b) Where consent is obtained, such consent shall:\n\n(1) Be obtained at the time that information is sought for use in judicial, legislative or administrative proceedings;\n\n(2) Set out specific purposes in connection with which information will be used;\n\n(3) Limit, where appropriate, the scope of the information subject to such consent."], ["28:28:1.0.1.1.23.0.4.12", 28, "Judicial Administration", "I", "", "22", "PART 22\u2014CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION", "", "", "", "\u00a7 22.29 Sanctions.", "DOJ", "", "", "[Order No. 2249-99, 64 FR 47102, Aug. 30, 1999, as amended by AG Order 3690-2016, 81 FR 42499, June 30, 2016]", "Where BJA, OJJDP, BJS, NIJ, or OJP believes that a violation of section 812(a) of the Act or section 1407(d) of the Victims of Crime Act, these regulations, or any grant or contract conditions entered into thereunder has occurred, it may initiate administrative actions leading to termination of a grant or contract, commence appropriate personnel and/or other procedures in cases involving Federal employees, and/or initiate appropriate legal actions leading to imposition of a civil penalty not to exceed $10,000 for a violation occurring before September 29, 1999, and not to exceed $11,000 for a violation occurring on or after September 29, 1999 against any person responsible for such violations. For civil penalties assessed after August 1, 2016, whose associated violations occurred after November 2, 2015, see the civil penalty amount as provided in 28 CFR 85.5."], ["28:28:1.0.1.1.23.0.4.2", 28, "Judicial Administration", "I", "", "22", "PART 22\u2014CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION", "", "", "", "\u00a7 22.2 Definitions.", "DOJ", "", "", "[41 FR 54846, Dec. 15, 1976, as amended at 43 FR 16974, Apr. 21, 1978; 51 FR 6400, Feb. 24, 1986]", "(a)  Person  means any individual, partnership, corporation, association, public or private organization or governmental entity, or combination thereof.\n\n(b)  Private person  means any person defined in \u00a7 22.2(a) other than an agency, or department of Federal, State, or local government, or any component or combination thereof. Included as a private person is an individual acting in his or her official capacity.\n\n(c)  Research or statistical project  means any program, project, or component thereof which is supported in whole or in part with funds appropriated under the Act and whose purpose is to develop, measure, evaluate, or otherwise advance the state of knowledge in a particular area. The term does not include \u201cintelligence\u201d or other information-gathering activities in which information pertaining to specific individuals is obtained for purposes directly related to enforcement of the criminal laws.\n\n(d)  Research or statistical information  means any information which is collected during the conduct of a research or statistical project and which is intended to be utilized for research or statistical purposes. The term includes information which is collected directly from the individual or obtained from any agency or individual having possession, knowledge, or control thereof.\n\n(e)  Information identifiable to a private person  means information which either\u2014\n\n(1) Is labelled by name or other personal identifiers, or\n\n(2) Can, by virtue of sample size or other factors, be reasonably interpreted as referring to a particular private person.\n\n(f)  Recipient of assistance  means any recipient of a grant, contract, interagency agreement, subgrant, or subcontract under the Act and any person, including subcontractors, employed by such recipient in connection with performances of the grant, contract, or interagency agreement.\n\n(g)  Officer or employee of the Federal Government  means any person employed as a regular or special employee of the U.S. (including experts, consultants, and advisory board members) as of July 1, 1973, or at any time thereafter.\n\n(h)  The act  means the Omnibus Crime Control and Safe Streets Act of 1968, as amended.\n\n(i)  Applicant  means any person who applies for a grant, contract, or subgrant to be funded pursuant to the Act.\n\n(j)  The Juvenile Justice Act  means the \u201cJuvenile Justice and Delinquency Prevention Act of 1974, as amended.\u201d\n\n(k)  The Victims of Crime Act  means the Victims of Crime Act of 1984."], ["28:28:1.0.1.1.23.0.4.3", 28, "Judicial Administration", "I", "", "22", "PART 22\u2014CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION", "", "", "", "\u00a7 22.20 Applicability.", "DOJ", "", "", "[41 FR 54846, Dec. 15, 1976, as amended at 43 FR 16974, Apr. 21, 1978; 51 FR 6400, 6401, Feb. 24, 1986]", "(a) These regulations govern use and revelation of research and statistical information obtained, collected, or produced either directly by BJA, OJJDP, BJS, NIJ, or OJP or under any interagency agreement, grant, contract, or subgrant awarded under the Crime Control Act, the Juvenile Justice Act, and the Victims of Crime Act.\n\n(b) The regulations do not apply to any records from which identifiable research or statistical information was originally obtained; or to any records which are designated under existing statutes as public; or to any information extracted from any records designated as public.\n\n(c) The regulations do not apply to information gained regarding future criminal conduct."], ["28:28:1.0.1.1.23.0.4.4", 28, "Judicial Administration", "I", "", "22", "PART 22\u2014CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION", "", "", "", "\u00a7 22.21 Use of identifiable data.", "DOJ", "", "", "", "Research or statistical information identifiable to a private person may be used only for research or statistical purposes."], ["28:28:1.0.1.1.23.0.4.5", 28, "Judicial Administration", "I", "", "22", "PART 22\u2014CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION", "", "", "", "\u00a7 22.22 Revelation of identifiable data.", "DOJ", "", "", "[41 FR 54846, Dec. 15, 1976, as amended at 51 FR 6400, Feb. 24, 1986]", "(a) Except as noted in paragraph (b) of this section, research and statistical information relating to a private person may be revealed in identifiable form on a need-to-know basis only to\u2014\n\n(1) Officers, employees, and subcontractors of the recipient of assistance;\n\n(2) Such individuals as needed to implement sections 202(c)(3), 801, and 811(b) of the Act; and sections 223(a)(12)(A), 223(a)(13), 223(a)(14), and 243 of the Juvenile Justice and Delinquency Prevention Act.\n\n(3) Persons or organizations for research or statistical purposes. Information may only be transferred for such purposes upon a clear demonstration that the standards of \u00a7 22.26 have been met and that, except where information is transferred under paragraphs (a) (1) and (2) of this section, such transfers shall be conditioned on compliance with a \u00a7 22.24 agreement.\n\n(b) Information may be revealed in identifiable form where prior consent is obtained from an individual or where the individual has agreed to participate in a project with knowledge that the findings cannot, by virtue of sample size, or uniqueness of subject, be expected to totally conceal subject identity."], ["28:28:1.0.1.1.23.0.4.6", 28, "Judicial Administration", "I", "", "22", "PART 22\u2014CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION", "", "", "", "\u00a7 22.23 Privacy certification.", "DOJ", "", "", "[41 FR 5486, Dec. 15, 1976, as amended at 51 FR 6401, Feb. 24, 1986]", "(a) Each applicant for BJA, OJJDP, BJS, NIJ, or OJP support either directly or under a State plan shall submit a Privacy Certificate as a condition of approval of a grant application or contract proposal which has a research or statistical project component under which information identifiable to a private person will be collected.\n\n(b) The Privacy Certificate shall briefly describe the project and shall contain assurance by the applicant that:\n\n(1) Data identifiable to a private person will not be used or revealed, except as authorized under \u00a7\u00a7 22.21, 22.22.\n\n(2) Access to data will be limited to those employees having a need therefore and that such persons shall be advised of and agree in writing to comply with these regulations.\n\n(3) All subcontracts which require access to identifiable data will contain conditions meeting the requirements of \u00a7 22.24.\n\n(4) To the extent required by \u00a7 22.27 any private persons from whom identifiable data are collected or obtained, either orally or by means of written questionnaire, shall be advised that the data will only be used or revealed for research or statistical purposes and that compliance with requests for information is not mandatory. Where the notification requirement is to be waived, pursuant to \u00a7 22.27(c), a justification must be included in the Privacy Certificate.\n\n(5) Adequate precautions will be taken to insure administrative and physical security of identifiable data.\n\n(6) A log will be maintained indicating that identifiable data have been transmitted to persons other than BJA, OJJDP, BJS, NIJ, or OJP or grantee/contractor staff or subcontractors, that such data have been returned, or that alternative arrangements have been agreed upon for future maintenance of such data.\n\n(7) Project plans will be designed to preserve anonymity of private persons to whom information relates, including, where appropriate, name-stripping, coding of data, or other similar procedures.\n\n(8) Project findings and reports prepared for dissemination will not contain information which can reasonably be expected to be identifiable to a private person except as authorized under \u00a7 22.22.\n\n(c) The applicant shall attach to the Privacy Certification a description of physical and/or administrative procedures to be followed to insure the security of the data to meet the requirements of \u00a7 22.25."], ["28:28:1.0.1.1.23.0.4.7", 28, "Judicial Administration", "I", "", "22", "PART 22\u2014CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION", "", "", "", "\u00a7 22.24 Information transfer agreement.", "DOJ", "", "", "[41 FR 5486, Dec. 15, 1976, as amended at 51 FR 6401, Feb. 24, 1986]", "Prior to the transfer of any identifiable information to persons other than BJA, OJJDP, BJS, NIJ, or OJP or project staff, an agreement shall be entered into which shall provide, as a minimum, that the recipient of data agrees that:\n\n(a) Information identifiable to a private person will be used only for research and statistical purposes.\n\n(b) Information identifiable to a private person will not be revealed to any person for any purpose except where the information has already been included in research findings (and/or data bases) and is revealed on a need-to-know basis for research or statistical purposes, provided that such transfer is approved by the person providing information under the agreement, or authorized under \u00a7 22.24(e).\n\n(c) Knowingly and willfully using or disseminating information contrary to the provisions of the agreement shall constitute a violation of these regulations, punishable in accordance with the Act.\n\n(d) Adequate administrative and physical precautions will be taken to assure security of information obtained for such purpose.\n\n(e) Access to information will be limited to those employees or subcontractors having a need therefore in connection with performance of the activity for which obtained, and that such persons shall be advised of, and agree to comply with, these regulations.\n\n(f) Project plans will be designed to preserve anonymity of private persons to whom information relates, including, where appropriate, required name-stripping and/or coding of data or other similar procedures.\n\n(g) Project findings and reports prepared for dissemination will not contain information which can reasonably be expected to be identifiable to a private person.\n\n(h) Information identifiable to a private person (obtained in accordance with this agreement) will, unless otherwise agreed upon, be returned upon completion of the project for which obtained and no copies of that information retained."], ["28:28:1.0.1.1.23.0.4.8", 28, "Judicial Administration", "I", "", "22", "PART 22\u2014CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION", "", "", "", "\u00a7 22.25 Final disposition of identifiable materials.", "DOJ", "", "", "", "Upon completion of a research or statistical project the security of identifiable research or statistical information shall be protected by:\n\n(a) Complete physical destruction of all copies of the materials or the identifiable portion of such materials after a three-year required recipient retention period or as soon as authorized by law, or\n\n(b) Removal of identifiers from data and separate maintenance of a name-code index in a secure location.\n\nThe Privacy Certificate shall indicate the procedures to be followed and shall, in the case of paragraph (b) of this section, describe procedures to secure the name index."], ["28:28:1.0.1.1.23.0.4.9", 28, "Judicial Administration", "I", "", "22", "PART 22\u2014CONFIDENTIALITY OF IDENTIFIABLE RESEARCH AND STATISTICAL INFORMATION", "", "", "", "\u00a7 22.26 Requests for transfer of information.", "DOJ", "", "", "[41 FR 5486, Dec. 15, 1976, as amended at 51 FR 6401, Feb. 24, 1986]", "(a) Requests for transfer of information identifiable to an individual shall be submitted to the person submitting the Privacy Certificate pursuant to \u00a7 22.23.\n\n(b) Except where information is requested by BJA, OJJDP, BJS, NIJ, or OJP, the request shall describe the general objectives of the project for which information is requested, and specifically justify the need for such information in identifiable form. The request shall also indicate, and provide justification for the conclusion that conduct of the project will not, either directly or indirectly, cause legal, economic, physical, or social harm to individuals whose identification is revealed in the transfer of information.\n\n(c) Data may not be transferred pursuant to this section where a clear showing of the criteria set forth above is not made by the person requesting the data."], ["29:29:1.1.1.1.23.0.66.1", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.1 Basis and purpose.", "DOL", "", "", "", "(a)  Basis.  This part implements the Program Fraud Civil Remedies Act of 1986, Public Law No. 99-509, sections 6101-6104, 100 Stat. 1874 (October 21, 1986), to be codified at 31 U.S.C. 3801-3812. 31 U.S.C. 3809 of the statute requires each authority head to promulgate regulations necessary to implement the provisions of the statute.\n\n(b)  Purpose.  This part (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."], ["29:29:1.1.1.1.23.0.66.10", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.10 Default upon failure to file an answer.", "DOL", "", "", "[52 FR 48492, Dec. 22, 1987, as amended at 86 FR 1781, Jan. 11, 2021]", "(a) If the defendant does not file an answer within the time prescribed in \u00a7 22.9(a), the reviewing official may refer the complaint to the ALJ.\n\n(b) Upon the referral of the complaint, the ALJ shall promptly serve on defendant in the manner prescribed in \u00a7 22.8, a notice that an initial decision will be issued under this section.\n\n(c) The ALJ shall assume the facts alleged in the complaint to be true, and, if such facts establish liability under \u00a7 22.3, the ALJ shall issue an initial decision imposing the maximum amount of penalties and assessments allowed under the statute.\n\n(d) Except as otherwise provided in this section, by failing to file a timely answer, the defendant waives any right to further review of the penalties and assessments imposed under paragraph (c) of this section and the initial decision shall become final and binding upon the parties 30 days after it is issued.\n\n(e) If, before such an initial decision becomes final, the defendant files a motion with the ALJ seeking to reopen on the grounds that extraordinary circumstances prevented the defendant from filing an answer, the initial decision shall be stayed pending the ALJ's decision on the motion.\n\n(f) If, on such motion, the defendant can demonstrate extraordinary circumstances excusing the failure to file a timely answer, the ALJ shall withdraw the initial decision in paragraph (c) of this section, if such a decision has been issued, and shall grant the defendant an opportunity to answer the complaint.\n\n(g) A decision of the ALJ denying a defendant's motion under paragraph (e) of this section is not subject to reconsideration under \u00a7 22.38.\n\n(h) The defendant may appeal to the ARB the decision denying a motion to reopen by filing a notice of appeal with the ARB within 15 days after the ALJ denies the motion. The timely filing of a notice of appeal shall stay the initial decision until the ARB decides the issue.\n\n(i) If the defendant files a timely notice of appeal with the ARB, the ALJ shall forward the record of the proceeding to the ARB.\n\n(j) The ARB shall decide expeditiously whether extraordinary circumstances excuse the defendant's failure to file a timely answer based solely on the record before the ALJ.\n\n(k) If the ARB decides that extraordinary circumstances excused the defendant's failure to file a timely answer, the ARB shall remand the case to the ALJ with instructions to grant the defendant an opportunity to answer.\n\n(l) If the ARB decides that the defendant's failure to file a timely answer is not excused, the ARB shall reinstate the initial decision of the ALJ, which shall become final and binding upon the parties 30 days after the ARB issues such decision and it becomes final in accordance with Secretary's Order 01-2020 (or any successor to that order)."], ["29:29:1.1.1.1.23.0.66.11", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.11 Referral of complaint and answer to the ALJ.", "DOL", "", "", "", "Upon receipt of an answer, the reviewing official shall file the complaint and answer with the ALJ."], ["29:29:1.1.1.1.23.0.66.12", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.12 Notice of hearing.", "DOL", "", "", "[52 FR 48492, Dec. 22, 1987, as amended at 86 FR 1781, Jan. 11, 2021]", "(a) When the ALJ receives the complaint and answer, the ALJ shall promptly serve a notice of hearing upon the defendant in the manner prescribed by 29 CFR part 18. At the same time, the ALJ shall send a copy of such notice to the representative for the Government.\n\n(b) Such notice shall include\u2014\n\n(1) The tentative time and place, and the nature of the hearing;\n\n(2) The legal authority and jurisdiction under which the hearing is to be held;\n\n(3) The matters of fact and law to be asserted;\n\n(4) A description of the procedures for the conduct of the hearing;\n\n(5) The name, address, and telephone number of the representative of the Government and of the defendant, if any; and\n\n(6) Such other matters as the ALJ deems appropriate."], ["29:29:1.1.1.1.23.0.66.13", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.13 Parties to the hearing.", "DOL", "", "", "", "(a) The parties to the hearing shall be the defendant and the authority.\n\n(b) Pursuant to 31 U.S.C. 3730(c)(5), a private plaintiff under the False Claims Act may participate in these proceedings to the extent authorized by the provisions of that Act."], ["29:29:1.1.1.1.23.0.66.14", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.14 Separation of functions.", "DOL", "", "", "[52 FR 48492, Dec. 22, 1987, as amended at 86 FR 1781, Jan. 11, 2021]", "(a) The investigating official, the reviewing official, and any employee or agent of the authority who takes part in investigating, preparing, or presenting a particular case may not, in such case or a factually related case\u2014\n\n(1) Participate in the hearing as the ALJ;\n\n(2) Participate or advise in the initial decision or the review of the initial decision by the ARB, except as a witness or a representative in public proceedings; or\n\n(3) Make the collection of penalties and assessments under 31 U.S.C. 3806.\n\n(b) The ALJ shall not be responsible to, or subject to the supervision or direction of the investigating official or the reviewing official.\n\n(c) Except as provided in paragraph (a) of this section, the representative for the Government may be employed anywhere in the authority, including in the offices of either the investigating official or the reviewing official."], ["29:29:1.1.1.1.23.0.66.15", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.15 Ex parte contacts.", "DOL", "", "", "", "No party or person (except employees of the ALJ's office) shall communicate in any way with the ALJ on any matter at issue in a case, unless on notice and opportunity for all parties to participate. This provision does not prohibit a person or party from inquiring about the status of a case or asking routine questions concerning administrative functions or procedures."], ["29:29:1.1.1.1.23.0.66.16", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.16 Disqualification of reviewing official or ALJ.", "DOL", "", "", "[52 FR 48492, Dec. 22, 1987, as amended at 86 FR 1781, Jan. 11, 2021]", "(a) A reviewing official or ALJ in a particular case may disqualify himself or herself at any time.\n\n(b) A party may file with the ALJ a motion for disqualification of a reviewing official or an ALJ. Such motion shall be accompanied by an affidavit alleging personal bias or other reason for disqualification.\n\n(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.\n\n(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.\n\n(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) of this section.\n\n(f)(1) If the ALJ determines that a reviewing official is disqualified, the ALJ shall dismiss the complaint without prejudice.\n\n(2) If the ALJ disqualifies himself or herself, the case shall be reassigned promptly to another ALJ.\n\n(3) If the ALJ denies a motion to disqualify, the ARB may determine the matter only as part of its review of the initial decision upon appeal, if any."], ["29:29:1.1.1.1.23.0.66.17", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.17 Rights of parties.", "DOL", "", "", "", "Except as otherwise limited by this part, all parties may\u2014\n\n(a) Be accompanied, represented, and advised by a representative;\n\n(b) Participate in any conference held by the ALJ;\n\n(c) Conduct discovery;\n\n(d) Agree to stipulations of fact or law, which shall be made part of the record;\n\n(e) Present evidence relevant to the issues at the hearing;\n\n(f) Present and cross-examine witnesses;\n\n(g) Present oral arguments at the hearing as permitted by the ALJ; and\n\n(h) Submit written briefs and proposed findings of fact and conclusions of law after the hearing."], ["29:29:1.1.1.1.23.0.66.18", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.18 Authority of the ALJ.", "DOL", "", "", "", "(a) The ALJ shall conduct a fair and impartial hearing, avoid delay, maintain order, and assure that a record of the proceeding is made.\n\n(b) The ALJ has the authority to\u2014\n\n(1) Set and change the date, time, and place of the hearing upon reasonable notice to the parties;\n\n(2) Continue or recess the hearing in whole or in part for a reasonable period of time;\n\n(3) Hold conferences to identify or simplify the issues, or to consider other matters that may aid in the expeditious disposition of the proceeding;\n\n(4) Administer oaths and affirmations;\n\n(5) Issue subpoenas requiring the attendance of witnesses and the production of documents at depositions or at hearings;\n\n(6) Rule on motions and other procedural matters;\n\n(7) Regulate the scope and timing of discovery;\n\n(8) Regulate the course of the hearing and the conduct of representatives and parties;\n\n(9) Examine witnesses;\n\n(10) Receive, rule on, exclude, or limit evidence;\n\n(11) Upon motion of a party, take official notice of facts;\n\n(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;\n\n(13) Conduct any conference, argument, or hearing on motions in person or by telephone; and\n\n(14) Exercise such other authority as is necessary to carry out the responsibilities of the ALJ under this part.\n\n(c) The ALJ does not have the authority to find Federal statutes or regulations invalid."], ["29:29:1.1.1.1.23.0.66.19", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.19 Prehearing conferences.", "DOL", "", "", "", "(a) The ALJ may schedule prehearing conferences as appropriate.\n\n(b) Upon the motion of any party, the ALJ shall schedule at least one prehearing conference at a reasonable time in advance of the hearing.\n\n(c) The ALJ may use prehearing conferences to discuss the following:\n\n(1) Simplification of the issues;\n\n(2) The necessity or desirability of amendments to the pleadings, including the need for a more definite statement;\n\n(3) Stipulations and admissions of fact or as to the contents and authenticity of documents;\n\n(4) Whether the parties can agree to submission of the case on a stipulated record;\n\n(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;\n\n(6) Limitation of the number of witnesses;\n\n(7) Scheduling dates for the exchange of witness lists and of proposed exhibits;\n\n(8) Discovery;\n\n(9) The time and place for the hearing; and\n\n(10) Such other matters as may tend to expedite the fair and just disposition of the proceedings.\n\n(d) The ALJ may issue an order containing all matters agreed upon by the parties or ordered by the ALJ at a prehearing conference."], ["29:29:1.1.1.1.23.0.66.2", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.2 Definitions.", "DOL", "", "", "[52 FR 48492, Dec. 22, 1987, as amended at 61 FR 19985, May 3, 1996; 72 FR 37098, July 9, 2007; 86 FR 1781, Jan. 11, 2021]", "(a)  ALJ  means an Administrative Law Judge in the authority appointed pursuant to 5 U.S.C. 3105 or detailed to the authority pursuant to 5 U.S.C. 3344.\n\n(b)  ARB  means the Administrative Review Board delegated to act as the authorized representative of the Secretary of Labor in review or on appeal of decisions and recommendations as provided in Secretary's Order 01-2020 (or any successor to that order).\n\n(c)  Authority  means the United States Department of Labor.\n\n(d)  Authority head  means the Secretary of Labor or his or her designee.\n\n(e)  Benefit  means, in the context of  statement,  anything of value, including but not limited to any advantage, preference, privilege, license, permit, favorable decision, ruling, status, or loan guarantee.\n\n(f)  Claim  means, any request, demand, or submission\u2014\n\n(1) Made to the authority for property, services, or money (including money representing grants, loans, insurance, or benefits);\n\n(2) Made to a recipient of property, services, or money from the authority or to a party to a contract with the authority\u2014\n\n(i) For property or services if the United States\u2014\n\n(A) Provided such property or services;\n\n(B) Provided any portion of the funds for the purchase of such property or services; or\n\n(C) Will reimburse such recipient or party for the purchase of such property or services; or\n\n(ii) For the payment of money (including money representing grants, loans, insurance, or benefits) if the United States\u2014\n\n(A) Provided any portion of the money requested or demanded; or\n\n(B) Will reimburse such recipient or party for any portion of the money paid on such request or demand; or\n\n(3) Made to the authority which has the effect of decreasing an obligation to pay or account for property, services, or money.\n\n(g)  Complaint  means the administrative complaint served by the reviewing official on the defendant under \u00a7 22.7.\n\n(h)  Defendant  means any person alleged in a complaint under \u00a7 22.7 to be liable for a civil penalty or assessment under \u00a7 22.3.\n\n(i)  Department  means the United States Department of Labor.\n\n(j)  Government  means the United States Government.\n\n(k)  Individual  means a natural person.\n\n(l)  Initial decision  means the written decision of the ALJ required by \u00a7 22.10 or \u00a7 22.37, and includes a revised initial decision issued following a remand or a motion for reconsideration.\n\n(m)  Investigating official  means the Inspector General of the Department of Labor or an officer or employee of the Office of the Inspector General designated by the Inspector General and serving in a Senior Executive Service position.\n\n(n)  Knows or has reason to know,  means that a person, with respect to a claim or statement\u2014\n\n(1) Has actual knowledge that the claim or statement is false, fictitious, or fraudulent;\n\n(2) Acts in deliberate ignorance of the truth or falsity of the claim or statement; or\n\n(3) Acts in reckless disregard of the truth or falsity of the claim or statement.\n\n(o)  Makes,  wherever it appears, shall include the terms presents, submits, and causes to be made, presented, or submitted. As the context requires,  making  or  made,  shall likewise include the corresponding forms of such terms.\n\n(p)  Person  means any individual, partnership, corporation, association, or private organization, and includes the plural of that term.\n\n(q)  Representative  means an attorney who is in good standing of the bar in any state, territory, or possession of the United States or of the District of Columbia or the Commonwealth of Puerto Rico, or other representative meeting the qualifications of a non-attorney representative found at 29 CFR 18.34 and designated by a party in writing.\n\n(r)  Reviewing official  means the Solicitor of the Department of Labor or his designee who is\u2014\n\n(1) Not subject to supervision by, or required to report to, the investigating official; and\n\n(2) Not employed in the organizational unit of the authority in which the investigating official is employed;\n\n(3) Serving in a Senior Executive Service position.\n\n(s)  Statement  means any representation, certification, affirmation, document, record, or accounting or bookkeeping entry made\u2014\n\n(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\n\n(2) With respect to (including relating to eligibility for)\u2014\n\n(i) A contract with, or a bid or proposal for a contract with; or\n\n(ii) A grant, loan, or benefit from,\n\nthe authority, 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 contractor 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."], ["29:29:1.1.1.1.23.0.66.20", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.20 Disclosure of documents.", "DOL", "", "", "", "(a) Upon written request to the reviewing official, the defendant 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 \u00a7 22.4(b) are based, unless such documents are subject to a privilege under Federal law. Upon payment of fees for duplication, the defendant may obtain copies of such documents.\n\n(b) Upon written request to the reviewing official, the defendant 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.\n\n(c) The notice sent to the Attorney General from the reviewing official as described in \u00a7 22.5 is not discoverable under any circumstances.\n\n(d) The defendant may file a motion to compel disclosure of the documents subject to the provisions of this section. Such a motion may only be filed with the ALJ following the filing of an answer pursuant to \u00a7 22.9."], ["29:29:1.1.1.1.23.0.66.21", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.21 Discovery.", "DOL", "", "", "", "(a) The following types of discovery are authorized:\n\n(1) Requests for production of documents for inspection and copying;\n\n(2) Requests for admissions of the authenticity of any relevant document or of the truth of any relevant fact;\n\n(3) Written interrogatories; and\n\n(4) Depositions.\n\n(b) For the purpose of this section and \u00a7\u00a7 22.22 and 22.23, the term  documents  includes information, documents, reports, answers, records, accounts, papers, and other data and documentary evidence. Nothing contained herein shall be interpreted to require the creation of a document.\n\n(c) Unless mutually agreed to by the parties, discovery is available only as ordered by the ALJ. The ALJ shall regulate the timing of discovery.\n\n(d)  Motions for discovery.  (1) A party seeking discovery may file a motion with the ALJ. Such a motion shall be accompanied by a copy of the requested discovery, or in the case of depositions, a summary of the scope of the proposed deposition.\n\n(2) Within ten days of service, a party may file an opposition to the motion and/or a motion for protective order as provided in \u00a7 22.24.\n\n(3) The ALJ may grant a motion for discovery only if he finds that the discovery sought\u2014\n\n(i) Is necessary for the expeditious, fair, and reasonable consideration of the issues;\n\n(ii) Is not unduly costly or burdensome;\n\n(iii) Will not unduly delay the proceeding; and\n\n(iv) Does not seek privileged information.\n\n(4) The burden of showing that discovery should be allowed is on the party seeking discovery.\n\n(5) The ALJ may grant discovery subject to a protective order under \u00a7 22.24.\n\n(e)  Depositions.  (1) If a motion for deposition is granted, the ALJ shall issue a subpoena for the deponent, which may require the deponent to produce documents. The subpoena shall specify the time and place at which the deposition will be held.\n\n(2) The party seeking to depose shall serve the subpoena in the manner prescribed in \u00a7 22.8.\n\n(3) The deponent may file with the ALJ a motion to quash the subpoena or a motion for a protective order within ten days of service.\n\n(4) 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.\n\n(f) Each party shall bear its own costs of discovery."], ["29:29:1.1.1.1.23.0.66.22", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.22 Exchange of witness lists, statements, and exhibits.", "DOL", "", "", "", "(a) At least 15 days before the hearing or at such other time as may be ordered by the ALJ, the parties shall exchange witness lists, copies of prior statements of proposed witnesses, and copies of proposed hearing exhibits, including copies of any written statements that the party intends to offer in lieu of live testimony in accordance with \u00a7 22.33(b). At the time the above documents are exchanged, any party that intends to rely on the transcript of deposition testimony in lieu of live testimony at the hearing, if permitted by the ALJ, shall provide each party with a copy of the specific pages of the transcript it intends to introduce into evidence.\n\n(b) If a party objects, the ALJ shall not admit into evidence the testimony of any witness whose name does not appear on the witness list or any exhibit not provided to the opposing party as provided above unless the ALJ finds good cause for the failure or that there is no prejudice to the objecting party.\n\n(c) Unless another party objects within the time set by the ALJ, documents exchanged in accordance with paragraph (a) of this section shall be deemed to be authentic for the purpose of admissibility at the hearing."], ["29:29:1.1.1.1.23.0.66.23", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.23 Subpoenas for attendance at hearing.", "DOL", "", "", "", "(a) A party wishing to procure the appearance and testimony of any individual at the hearing may request that the ALJ issue a subpoena.\n\n(b) A subpoena requiring the attendance and testimony of an individual may also require the individual to produce documents at the hearing.\n\n(c) A party seeking a subpoena shall file a written request therefor 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 and describe the address and location thereof with sufficient particularity to permit such witnesses to be found.\n\n(d) The subpoena shall specify the time and place at which the witness is to appear and any documents the witness is to produce.\n\n(e) The party seeking the subpoena shall serve it in the manner prescribed in \u00a7 22.8. A subpoena on a party or upon an individual under the control of a party may be served by first class mail.\n\n(f) A party or the individual to whom the subpoena is directed may file with the ALJ a motion to quash the subpoena within ten days after service or on or before the time specified in the subpoena for compliance if it is less than ten days after service."], ["29:29:1.1.1.1.23.0.66.24", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.24 Protective order.", "DOL", "", "", "", "(a) A party or a prospective witness or deponent may file a motion for a protective order with respect to discovery sought by an opposing party or with respect to the hearing, seeking to limit the availability or disclosure of evidence.\n\n(b) 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:\n\n(1) That the discovery not be had;\n\n(2) That the discovery may be had only on specified terms and conditions, including a designation of the time or place;\n\n(3) That the discovery may be had only through a method of discovery other than that requested;\n\n(4) That certain matters not be inquired into, or that the scope of discovery be limited to certain matters;\n\n(5) That discovery be conducted with no one present except persons designated by the ALJ;\n\n(6) That the contents of discovery or evidence be sealed;\n\n(7) That a deposition after being sealed be opened only by order of the ALJ;\n\n(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\n\n(9) That the parties simultaneously file specified documents or information enclosed in sealed envelopes to be opened as directed by the ALJ."], ["29:29:1.1.1.1.23.0.66.25", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.25 Fees.", "DOL", "", "", "", "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 the authority, a check for witness fees and mileage need not accompany the subpoena."], ["29:29:1.1.1.1.23.0.66.26", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.26 Form, filing and service of papers.", "DOL", "", "", "[52 FR 48492, Dec. 22, 1987, as amended at 86 FR 1781, Jan. 11, 2021]", "(a)  Form.  (1) Documents filed with the ALJ shall include an original and two copies.\n\n(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).\n\n(3) Every pleading and paper shall be signed by, and shall contain the address and telephone number of the party or the person on whose behalf the paper was filed, or his or her representative.\n\n(4) Papers are considered filed when they are mailed. Date of mailing may be established by a certificate from the party or its representative or by proof that the document was sent by certified or registered mail.\n\n(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 those required to be served as prescribed in \u00a7 22.8 shall be made in accordance with 29 CFR part 18. When a party is represented by a representative, service shall be made upon such representative in lieu of the actual party.\n\n(c)  Proof of service.  A certificate of the individual serving the document, setting forth the manner of service, shall be proof of service."], ["29:29:1.1.1.1.23.0.66.27", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.27 Computation of time.", "DOL", "", "", "", "(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.\n\n(b) When the period of time allowed is less than seven days, intermediate Saturdays, Sundays, and legal holidays observed by the Federal government shall be excluded from the computation.\n\n(c) Where a document has been served or issued by placing it in the mail, an additional five days will be added to the time permitted for any response."], ["29:29:1.1.1.1.23.0.66.28", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.28 Motions.", "DOL", "", "", "", "(a) Any application to the ALJ for an order or ruling shall be by motion. 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.\n\n(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.\n\n(c) 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.\n\n(d) The ALJ may not grant a written motion before the time for filing responses thereto has expired, except upon consent of the parties or following a hearing on the motion, but may overrule or deny such motion without awaiting a response.\n\n(e) The ALJ shall make a reasonable effort to dispose of all outstanding motions prior to the beginning of the hearing."], ["29:29:1.1.1.1.23.0.66.29", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.29 Sanctions.", "DOL", "", "", "", "(a) The ALJ may sanction a person, including any party or representative for\u2014\n\n(1) Failing to comply with an order, rule, or procedure governing the proceeding;\n\n(2) Failing to prosecute or defend an action; or\n\n(3) Engaging in other misconduct that interferes with the speedy, orderly, or fair conduct of the hearing.\n\n(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.\n\n(c) When a party fails to comply with 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\u2014\n\n(1) Draw an inference in favor of the requesting party with regard to the information sought;\n\n(2) In the case of requests for admission, deem each matter of which an admission is requested to be admitted;\n\n(3) Prohibit the party failing to comply with such order from introducing evidence concerning, or otherwise relying, upon testimony relating to the information; and\n\n(4) Strike any part of the pleadings or other submissions of the party failing to comply with such request.\n\n(d) If a party fails to prosecute or defend an action under this part commenced by service of a notice of hearing, the ALJ may dismiss the action or may issue an initial decision imposing penalties and assessments.\n\n(e) The ALJ may refuse to consider any motion, request, response, brief or other document which is not filed in a timely fashion."], ["29:29:1.1.1.1.23.0.66.3", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.3 Basis for civil penalties and assessments.", "DOL", "", "", "", "(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\u2014\n\n(i) Is false, fictitious, or fraudulent;\n\n(ii) Includes or is supported by any written statement which asserts a material fact which is false, fictitious, or fraudulent;\n\n(iii) Includes or is supported by any written statement that\u2014\n\n(A) Omits a material fact;\n\n(B) Is false, fictitious, or fraudulent as a result of such omission; and\n\n(C) Is a statement in which the person making such statement has a duty to include such material fact; or\n\n(iv) Is for payment for the provision of property or services which the person has not provided as claimed,\n\nshall 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.\n\n(2) Each voucher, invoice, claim form, or other individual request or demand for property, services, or money constitutes a separate claim.\n\n(3) A claim shall be considered made to the authority, 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 authority, recipient, or party.\n\n(4) Each claim for property, services, or money is subject to a civil penalty regardless of whether such property, services, or money is actually delivered or paid.\n\n(5) If the Government has made any 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.\n\n(b)  Statements.  (1) Except as provided in paragraph (c) of this section, any person who makes a written statement that\u2014\n\n(i) The person knows or has reason to know\u2014\n\n(A) Asserts a material fact which is false, fictitious, or fraudulent; or\n\n(B) Is false, fictitious, or fraudulent because it omits a material fact that the person making the statement has a duty to include in such statement; and\n\n(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.\n\n(2) Each written representation, certification, or affirmation constitutes a separate statement.\n\n(3) A statement shall be considered made to the authority 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 authority.\n\n(c)  Applications for certain 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.\n\n(2) For purposes of paragraph (c) of this section, the term  benefits  means benefits under the Black Lung Benefits Act, which are intended for the personal use of the individual who receives the benefits or for a member of the individual's family.\n\n(d) No proof of specific intent to defraud is required to establish liability under this section.\n\n(e) 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.\n\n(f) 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."], ["29:29:1.1.1.1.23.0.66.30", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.30 The hearing and burden of proof.", "DOL", "", "", "", "(a) The ALJ shall conduct a hearing on the record in order to determine whether the defendant is liable for a civil penalty or assessment under \u00a7 22.3 and, if so, the appropriate amount of any such civil penalty or assessment considering any aggravating or mitigating factors.\n\n(b) The authority shall prove defendant's liability and any aggravating factors by a preponderance of the evidence.\n\n(c) The defendant shall prove any affirmative defenses and any mitigating factors by a preponderance of the evidence.\n\n(d) The hearing shall be open to the public unless otherwise ordered by the ALJ for good cause shown."], ["29:29:1.1.1.1.23.0.66.31", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.31 Determining the amount of penalties and assessments.", "DOL", "", "", "[52 FR 48492, Dec. 22, 1987, as amended at 86 FR 1781, Jan. 11, 2021]", "(a) In determining an appropriate amount of civil penalties and assessments, the ALJ and the ARB, 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.\n\n(b) Although not exhaustive, the following factors are among those that may influence the ALJ and the ARB in determining the amount of penalties and assessments to impose with respect to the misconduct ( i.e.,  the false, fictitious, or fraudulent claims or statements) charged in the complaint:\n\n(1) The number of false, fictitious, or fraudulent claims or statements;\n\n(2) The time period over which such claims or statements were made;\n\n(3) The degree of the defendant's culpability with respect to the misconduct;\n\n(4) The amount of money or the value of the property, services, or benefit falsely claimed;\n\n(5) The value of the Government's actual loss as a result of the misconduct, including forseeable consequential damages and the costs of investigation;\n\n(6) The relationship of the amount imposed as civil penalties to the amount of the Government's loss;\n\n(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;\n\n(8) Whether the defendant has engaged in a pattern of the same or similar misconduct;\n\n(9) Whether the defendant attempted to conceal the misconduct;\n\n(10) The degree to which the defendant has involved others in the misconduct or in concealing it;\n\n(11) Where the misconduct of employees or agents is imputed to the defendant, the extent to which the defendant's practices fostered or attempted to preclude such misconduct;\n\n(12) Whether the defendant cooperated in or obstructed an investigation of the misconduct;\n\n(13) Whether the defendant assisted in identifying and prosecuting other wrongdoers;\n\n(14) The complexity of the program or transaction, and the degree of the defendant's sophistication with respect to it, including the extent of the defendant's prior participation in the program or in similar transactions;\n\n(15) Whether the defendant 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\n\n(16) The need to deter the defendant and others from engaging in the same or similar misconduct.\n\n(c) Nothing in this section shall be construed to limit the ALJ or the ARB from considering any other factors that in any given case may mitigate or aggravate the offense for which penalties and assessments are imposed."], ["29:29:1.1.1.1.23.0.66.32", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.32 Location of hearing.", "DOL", "", "", "", "(a) The hearing may be held\u2014\n\n(1) In any judicial district of the United States in which the defendant resides or transacts business;\n\n(2) In any judicial district of the United States in which the claim or statement in issue was made; or\n\n(3) In such other place as may be agreed upon by the defendant and the ALJ.\n\n(b) Each party shall have the opportunity to present argument with respect to the location of the hearing.\n\n(c) The hearing shall be held at the place and at the time ordered by the ALJ."], ["29:29:1.1.1.1.23.0.66.33", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.33 Witnesses.", "DOL", "", "", "", "(a) Except as provided in paragraph (b) of this section, testimony at the hearing shall be given orally by witnesses under oath or affirmation.\n\n(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 witnesses proposed to testify at the hearing and deposition transcripts shall be exchanged as provided in \u00a7 22.22(a).\n\n(c) The ALJ shall exercise reasonable control over the mode and order of interrogating witnesses and presenting evidence so as to (1) Make the interrogation and presentation effective for the ascertainment of the truth, (2) Avoid needless consumption of time, and (3) Protect witnesses from harassment or undue embarrassment.\n\n(d) The ALJ shall permit the parties to conduct such cross-examination as may be required for a full and true disclosure of the facts.\n\n(e) At the discretion of the ALJ, a witness may be cross-examined on matters relevant to the proceeding without regard to the scope of his or her direct examination. To the extent permitted by the ALJ, cross-examination on matters outside the scope of direct examination shall be conducted in the manner of direct examination and may proceed by leading questions only if the witness is a hostile witness, an adverse party, or a witness identified with an adverse party.\n\n(f) 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\u2014\n\n(1) A party who is an individual;\n\n(2) In the case of a party that is not an individual, an officer or employee of the party appearing for the entity pro se or designated by the party's representative; or\n\n(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 Government engaged in assisting the representative for the Government."], ["29:29:1.1.1.1.23.0.66.34", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.34 Evidence.", "DOL", "", "", "", "(a) The ALJ shall determine the admissibility of evidence.\n\n(b) Except as provided in this part, the ALJ shall not be bound by the Federal Rules of Evidence. However, the ALJ may apply the Federal Rules of Evidence where appropriate, e.g., to exclude unreliable evidence.\n\n(c) The ALJ shall exclude irrelevant and immaterial evidence.\n\n(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.\n\n(e) Although relevant, evidence may be excluded if it is privileged under Federal law.\n\n(f) Evidence concerning offers of compromise or settlement shall be inadmissible to the extent provided in Rule 408 of the Federal Rules of Evidence.\n\n(g) The ALJ shall permit the parties to introduce rebuttal witnesses and evidence.\n\n(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 \u00a7 22.24."], ["29:29:1.1.1.1.23.0.66.35", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.35 The record.", "DOL", "", "", "[52 FR 48492, Dec. 22, 1987, as amended at 86 FR 1781, Jan. 11, 2021]", "(a) The hearing will be recorded and transcribed. Transcripts may be obtained following the hearing from the ALJ at a cost not to exceed the actual cost of duplication.\n\n(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, the ARB, and the authority head.\n\n(c) The record may be inspected and copied (upon payment of a reasonable fee) by anyone, unless otherwise ordered by the ALJ pursuant to \u00a7 22.24."], ["29:29:1.1.1.1.23.0.66.36", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.36 Post-hearing briefs.", "DOL", "", "", "", "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."], ["29:29:1.1.1.1.23.0.66.37", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.37 Initial decision.", "DOL", "", "", "[52 FR 48492, Dec. 22, 1987, as amended at 86 FR 1781, Jan. 11, 2021]", "(a) The ALJ shall issue an initial decision based only on the record, which shall contain findings of fact, conclusions of law, and the amount of any penalties and assessments imposed.\n\n(b) The findings of fact shall include a finding on each of the following issues:\n\n(1) Whether the claims or statements identified in the complaint, or any portions thereof, violate \u00a7 22.3;\n\n(2) If the person is liable for penalties or assessments, the appropriate amount of any such penalties or assessments considering any mitigating or aggravating factors that he or she finds in the case, such as those described in \u00a7 22.31.\n\n(c) The ALJ shall promptly 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 at the same time serve all parties with a statement describing the right of any defendant determined to be liable for a civil penalty or assessment to file a motion for reconsideration with the ALJ or a notice of appeal with the ARB. If the ALJ fails to meet the deadline contained in this paragraph, the ALJ shall notify the parties of the reason for the delay and shall set a new deadline.\n\n(d) Unless the initial decision of the ALJ is timely appealed to the ARB, or a motion for reconsideration of the initial decision is timely filed, the initial 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 by the ALJ."], ["29:29:1.1.1.1.23.0.66.38", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.38 Reconsideration of initial decision.", "DOL", "", "", "[52 FR 48492, Dec. 22, 1987, as amended at 86 FR 1781, Jan. 11, 2021]", "(a) Except as provided in paragraph (d) of this section, any party may file a 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.\n\n(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.\n\n(c) Responses to such motions shall be allowed only upon request of the ALJ.\n\n(d) No party may file motion for reconsideration of an initial decision that has been revised in response to a previous motion for reconsideration.\n\n(e) The ALJ may dispose of a motion for reconsideration by denying it or by issuing a revised initial decision.\n\n(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 ARB in accordance with \u00a7 22.39.\n\n(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 ARB in accordance with \u00a7 22.39."], ["29:29:1.1.1.1.23.0.66.39", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.39 Appeal to ARB.", "DOL", "", "", "[52 FR 48492, Dec. 22, 1987, as amended at 86 FR 1781, Jan. 11, 2021]", "(a) Any defendant 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 ARB by filing a notice of appeal with the ARB in accordance with this section and with 29 CFR part 26.\n\n(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 \u00a7 22.38, consideration of the appeal shall be stayed automatically pending resolution of the motion for reconsideration.\n\n(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.\n\n(3) The ARB may extend the initial 30-day period for an additional 30 days if the defendant files with the ARB a request for an extension within the initial 30-day period and shows good cause.\n\n(c) If the defendant files a timely notice of appeal with the ARB, and the time for filing motions for reconsideration under \u00a7 22.38 has expired, the ALJ shall forward the record of the proceeding to the ARB.\n\n(d) A notice of appeal shall be accompanied by a written brief specifying exceptions to the initial decision and reasons supporting the exceptions.\n\n(e) The representative for the Government may file a brief in opposition to exceptions within 30 days of receiving the notice of appeal and accompanying brief.\n\n(f) There is no right to appear personally before the ARB.\n\n(g) There is no right to appeal any interlocutory ruling by the ALJ.\n\n(h) In reviewing the initial decision, the ARB shall not consider any objection that was not raised before the ALJ unless a demonstration is made of extraordinary circumstances causing the failure to raise the objection.\n\n(i) If any party demonstrates to the satisfaction of the ARB that additional evidence not presented at such hearing is material and that there were reasonable grounds for the failure to present such evidence at such hearing, the ARB shall remand the matter to the ALJ for consideration of such additional evidence.\n\n(j) The ARB may affirm, reduce, reverse, compromise, remand, or settle any penalty or assessment, determined by the ALJ in any initial decision. The ARB's decision is subject to discretionary review by the Secretary as provided in Secretary's Order 01-2020 (or any successor to that order).\n\n(k) The ARB shall promptly serve each party to the appeal with a copy of the decision of the ARB and a statement describing the right of any person determined to be liable for a penalty or assessment to seek judicial review.\n\n(l) Unless a petition for review is filed as provided in 31 U.S.C. 3805 after a defendant has exhausted all administrative remedies under this part and within 60 days after the date on which the authority head serves the defendant with a copy of the authority head's decision, a determination that a defendant is liable under \u00a7 22.3 is final and is not subject to judicial review."], ["29:29:1.1.1.1.23.0.66.4", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.4 Investigation.", "DOL", "", "", "", "(a) If an investigating official concludes that a subpoena pursuant to the authority conferred by 31 U.S.C. 3804(a) is warranted\u2014\n\n(1) The subpoena so issued shall notify the person to whom it is addressed of the authority under which the subpoena is issued and shall identify the records or documents sought;\n\n(2) The investigating official may designate a person to act on his or her behalf to receive the documents sought; and\n\n(3) 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 sought have been produced, or that such documents are not available and the reasons therefor, or that such documents, suitably identified, have been withheld based upon the assertion of an identified privilege.\n\n(b) 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 the findings and conclusions of such investigation to the reviewing official.\n\n(c) 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, or to defer or postpone a report or referral to the reviewing official to avoid interference with a criminal investigation or prosecution.\n\n(d) Nothing in this section modifies any responsibility of an investigating official to report violations of criminal law to the Attorney General."], ["29:29:1.1.1.1.23.0.66.40", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.40 Stays ordered by the Department of Justice.", "DOL", "", "", "", "If at any time the Attorney General or an Assistant Attorney General designated by the Attorney General transmits to the authority head a written finding that continuation of the administrative process described in this part 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 authority head shall stay the process immediately. The authority head may order the process resumed only upon receipt of the written authorization of the Attorney General."], ["29:29:1.1.1.1.23.0.66.41", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.41 Stay pending appeal.", "DOL", "", "", "[52 FR 48492, Dec. 22, 1987, as amended at 86 FR 1782, Jan. 11, 2021]", "(a) An initial decision is stayed automatically pending disposition of a motion for reconsideration or of an appeal to the ARB.\n\n(b) No administrative stay is available following a final decision of the authority head."], ["29:29:1.1.1.1.23.0.66.42", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.42 Judicial review.", "DOL", "", "", "", "Section 3805 of title 31 U.S.C., authorizes judicial review by an appropriate United States District Court of a final decision of the authority head imposing penalties or assessments under this part and specifies the procedures for such review."], ["29:29:1.1.1.1.23.0.66.43", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.43 Collection of civil penalties and assessments.", "DOL", "", "", "", "Sections 3806 and 3808(b) of title 31 U.S.C., authorize actions for collection of civil penalties and assessments imposed under this part and specify the procedures for such actions."], ["29:29:1.1.1.1.23.0.66.44", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.44 Right to administrative offset.", "DOL", "", "", "", "The amount of any penalty or assessment which has become final, or for which a judgment has been entered under \u00a7 22.42 or \u00a7 22.43, or any amount agreed upon in a compromise or settlement under \u00a7 22.46, 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 defendant."], ["29:29:1.1.1.1.23.0.66.45", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.45 Deposit in Treasury of United States.", "DOL", "", "", "", "All amounts collected pursuant to this part shall be deposited as miscellaneous receipts in the Treasury of the United States, except as provided in 31 U.S.C. 3806(g) ."], ["29:29:1.1.1.1.23.0.66.46", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.46 Compromise or settlement.", "DOL", "", "", "", "(a) Parties may make offers of compromise or settlement at any time.\n\n(b) The reviewing official has the exclusive authority to compromise or settle a case under this part 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 an initial decision.\n\n(c) The authority head has exclusive authority to compromise or settle a case under this part at any time after the date on which the ALJ issues an initial decision, except during the pendency of any review under \u00a7 22.42 or during the pendency of any action to collect penalties and assessments under \u00a7 22.43.\n\n(d) The Attorney General has exclusive authority to compromise or settle a case under this part during the pendency of any review under \u00a7 22.42 or of any action to recover penalties and assessments under 31 U.S.C. 3806.\n\n(e) The investigating official may recommend settlement terms to the reviewing official, the authority head, or the Attorney General, as appropriate. The reviewing official may recommend settlement terms to the authority head, or the Attorney General, as appropriate.\n\n(f) Any compromise or settlement must be in writing."], ["29:29:1.1.1.1.23.0.66.47", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.47 Limitations.", "DOL", "", "", "", "(a) The notice of hearing (under \u00a7 22.12) with respect to a claim or statement must be served in the manner specified in \u00a7 22.8 within 6 years after the date on which such claim or statement is made.\n\n(b) If the defendant fails to file a timely answer, service of a notice under \u00a7 22.10(b) shall be deemed a notice of hearing for purposes of this section.\n\n(c) The statute of limitations may be extended by agreement of the parties."], ["29:29:1.1.1.1.23.0.66.5", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.5 Review by the reviewing official.", "DOL", "", "", "", "(a) If, based on the report of the investigating official under \u00a7 22.4(b), the reviewing official determines that there is adequate evidence to believe that a person is liable under \u00a7 22.3 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 \u00a7 22.7.\n\n(b) Such notice shall include\u2014\n\n(1) A statement of the reviewing official's reasons for issuing a complaint;\n\n(2) A statement specifying the evidence that supports the allegations of liability;\n\n(3) A description of the claims or statements upon which the allegations of liability are based;\n\n(4) An estimate of the amount of money or the value of property, services, or other benefits requested or demanded in violation of \u00a7 22.3 of this part;\n\n(5) A statement of any exculpatory or mitigating circumstances that may relate to the claims or statements known by the reviewing official or the investigating official; and\n\n(6) A statement that there is a reasonable prospect of collecting an appropriate amount of penalties and assessments."], ["29:29:1.1.1.1.23.0.66.6", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.6 Prerequisites for issuing a complaint.", "DOL", "", "", "", "(a) The reviewing official may issue a complaint under \u00a7 22.7 only if\u2014\n\n(1) The Department of Justice approves the issuance of a complaint in a written statement described in 31 U.S.C. 3803(b)(1), and\n\n(2) In the case of allegations of liability under \u00a7 22.3(a) with respect to a claim, the reviewing official determines that, with respect to such claim or a group of related claims submitted at the same time such claim is submitted (as defined in paragraph (b) of this section), the amount of money or the value of property or services demanded or requested in violation of \u00a7 22.3(a) does not exceed $150,000.\n\n(b) For the purposes of this section, a related group of claims submitted at the same time shall include only those claims arising from the same transaction ( e.g.,  grant, loan, application, or contract) that are submitted simultaneously as part of a single request, demand, or submission.\n\n(c) 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 money, or the value of property or services, demanded or requested."], ["29:29:1.1.1.1.23.0.66.7", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.7 Complaint.", "DOL", "", "", "", "(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 defendant, as provided in \u00a7 22.8.\n\n(b) The complaint shall state\u2014\n\n(1) The allegations of liability against the defendant, including the statutory basis for liability, an identification of the claims or statements that are the basis for the alleged liability, and the reasons why liability allegedly arises from such claims or statements;\n\n(2) The maximum amount of penalties and assessments for which the defendant may be held liable;\n\n(3) Instructions for filing an answer to request a hearing, including a specific statement of the defendant's right to request a hearing by filing an answer and to be represented by a representative; and\n\n(4) That failure to file an answer within 30 days of service of the complaint will result in the imposition of the maximum amount of penalties and assessments without right to appeal, as provided in \u00a7 22.10.\n\n(c) At the same time the reviewing official serves the complaint, he or she shall serve the defendant with a copy of these regulations."], ["29:29:1.1.1.1.23.0.66.8", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.8 Service of complaint.", "DOL", "", "", "", "(a) Service of a complaint must 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. Service is complete upon receipt.\n\n(b) Proof of service, stating the name and address of the person on whom the complaint was served, and the manner and date of service, may be made by\u2014\n\n(1) Affidavit of the individual serving the complaint by delivery;\n\n(2) A United States Postal Service return receipt card acknowledging receipt; or\n\n(3) Written acknowledgment of receipt by the defendant or his representative."], ["29:29:1.1.1.1.23.0.66.9", 29, "Labor", "", "", "22", "PART 22\u2014PROGRAM FRAUD CIVIL REMEDIES ACT OF 1986", "", "", "", "\u00a7 22.9 Answer.", "DOL", "", "", "", "(a) The defendant may request a hearing by filing an answer with the reviewing official within 30 days of service of the complaint. An answer shall be deemed to be a request for hearing.\n\n(b) In the answer, the defendant\u2014\n\n(1) Shall admit or deny each of the allegations of liability made in the complaint;\n\n(2) Shall state any defense on which the defendant intends to rely;\n\n(3) May state any reasons why the defendant contends that the penalties and assessments should be less than the statutory maximum; and\n\n(4) Shall state the name, address, and telephone number of the person authorized by the defendant to act as defendant's representative, if any.\n\n(c) If the defendant is unable to file an answer meeting the requirements of paragraph (b) of this section within the time provided, the defendant may, before the expiration of 30 days from service of the complaint, file with the reviewing official a general answer denying liability and requesting a hearing, and a request for an extension of time within which to file an answer meeting the requirements of paragraph (b) of this section. The reviewing official shall file promptly with the ALJ the complaint, the general answer denying liability, and the request for an extension of time as provided in \u00a7 22.11. For good cause shown, the ALJ may grant the defendant up to 30 additional days within which to file an answer meeting the requirements of paragraph (b) of this section."], ["40:40:1.0.1.1.21.1.1.1", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "A", "Subpart A\u2014General", "", "\u00a7 22.1 Scope of this part.", "EPA", "", "", "[64 FR 40176, July 23, 1999, as amended at 65 FR 30904, May 15, 2000; 79 FR 65900, Nov. 6, 2014; 81 FR 73970, Oct. 25, 2016]", "(a) These Consolidated Rules of Practice govern all administrative adjudicatory proceedings for:\n\n(1) The assessment of any administrative civil penalty under section 14(a) of the Federal Insecticide, Fungicide, and Rodenticide Act as amended (7 U.S.C. 136 l (a));\n\n(2) The assessment of any administrative civil penalty under sections 113(d), 205(c), 211(d) and 213(d) of the Clean Air Act, as amended (42 U.S.C. 7413(d), 7524(c), 7545(d) and 7547(d)), and a determination of nonconforming engines, vehicles or equipment under sections 207(c) and 213(d) of the Clean Air Act, as amended (42 U.S.C. 7541(c) and 7547(d));\n\n(3) The assessment of any administrative civil penalty or for the revocation or suspension of any permit under section 105(a) and (f) of the Marine Protection, Research, and Sanctuaries Act as amended (33 U.S.C. 1415(a) and (f));\n\n(4) The issuance of a compliance order or the issuance of a corrective action order, the termination of a permit pursuant to section 3008(a)(3), the suspension or revocation of authority to operate pursuant to section 3005(e), or the assessment of any civil penalty under sections 3008, 9006, and 11005 of the Solid Waste Disposal Act, as amended (42 U.S.C. 6925(d), 6925(e), 6928, 6991e, and 6992d)), except as provided in part 24 of this chapter;\n\n(5) The assessment of any administrative civil penalty under sections 16(a) and 207 of the Toxic Substances Control Act (15 U.S.C. 2615(a) and 2647);\n\n(6) The assessment of any Class II penalty under sections 309(g) and 311(b)(6), or termination of any permit issued pursuant to section 402(a) of the Clean Water Act, as amended (33 U.S.C. 1319(g), 1321(b)(6), and 1342(a));\n\n(7) The assessment of any administrative civil penalty under section 109 of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as amended (42 U.S.C. 9609);\n\n(8) The assessment of any administrative civil penalty under section 325 of the Emergency Planning and Community Right-To-Know Act of 1986 (\u201cEPCRA\u201d) (42 U.S.C. 11045);\n\n(9) The assessment of any administrative civil penalty under sections 1414(g)(3)(B), 1423(c), and 1447(b) of the Safe Drinking Water Act as amended (42 U.S.C. 300g-3(g)(3)(B), 300h-2(c), and 300j-6(b)), or the issuance of any order requiring both compliance and the assessment of an administrative civil penalty under section 1423(c);\n\n(10) The assessment of any administrative civil penalty or the issuance of any order requiring compliance under Section 5 of the Mercury-Containing and Rechargeable Battery Management Act (42 U.S.C. 14304).\n\n(11) The assessment of any administrative civil penalty under section 1908(b) of the Act To Prevent Pollution From Ships (\u201cAPPS\u201d), as amended (33 U.S.C. 1908(b)).\n\n(b) The supplemental rules set forth in subparts H and I of this part establish special procedures for proceedings identified in paragraph (a) of this section where the Act allows or requires procedures different from the procedures in subparts A through G of this part. Where inconsistencies exist between subparts A through G of this part and subpart H or I of this part, subparts H or I of this part shall apply.\n\n(c) Questions arising at any stage of the proceeding which are not addressed in these Consolidated Rules of Practice shall be resolved at the discretion of the Administrator, Environmental Appeals Board, Regional Administrator, or Presiding Officer, as provided for in these Consolidated Rules of Practice."], ["40:40:1.0.1.1.21.1.1.2", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "A", "Subpart A\u2014General", "", "\u00a7 22.2 Use of number and gender.", "EPA", "", "", "", "As used in these Consolidated Rules of Practice, words in the singular also include the plural and words in the masculine gender also include the feminine, and vice versa, as the case may require."], ["40:40:1.0.1.1.21.1.1.3", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "A", "Subpart A\u2014General", "", "\u00a7 22.3 Definitions.", "EPA", "", "", "[64 FR 40176, July 23, 1999, as amended at 65 FR 30904, May 15, 2000; 79 FR 65901, Nov. 6, 2014]", "(a) The following definitions apply to these Consolidated Rules of Practice:\n\nAct  means the particular statute authorizing the proceeding at issue.\n\nAdministrative Law Judge  means an Administrative Law Judge appointed under 5 U.S.C. 3105.\n\nAdministrator  means the Administrator of the U.S. Environmental Protection Agency or his delegate.\n\nAgency  means the United States Environmental Protection Agency.\n\nBusiness confidentiality claim  means a confidentiality claim as defined in 40 CFR 2.201(h).\n\nClerk of the Board  means an individual duly authorized to serve as Clerk of the Environmental Appeals Board.\n\nCommenter  means any person (other than a party) or representative of such person who timely:\n\n(1) Submits in writing to the Regional Hearing Clerk that he is providing or intends to provide comments on the proposed assessment of a penalty pursuant to sections 309(g)(4) and 311(b)(6)(C) of the Clean Water Act or section 1423(c) of the Safe Drinking Water Act, whichever applies, and intends to participate in the proceeding; and\n\n(2) Provides the Regional Hearing Clerk with a return address.\n\nComplainant  means any person authorized to issue a complaint in accordance with \u00a7\u00a7 22.13 and 22.14 on behalf of the Agency to persons alleged to be in violation of the Act. The complainant shall not be a member of the Environmental Appeals Board, the Regional Judicial Officer or any other person who will participate or advise in the adjudication.\n\nConsolidated Rules of Practice  means the regulations in this part.\n\nEnvironmental Appeals Board  means the Board within the Agency described in 40 CFR 1.25.\n\nFinal order  means:\n\n(1) An order issued by the Environmental Appeals Board or the Administrator after an appeal of an initial decision, accelerated decision, decision to dismiss, or default order, disposing of the matter in controversy between the parties;\n\n(2) An initial decision which becomes a final order under \u00a7 22.27(c); or\n\n(3) A final order issued in accordance with \u00a7 22.18.\n\nHearing  means an evidentiary hearing on the record, open to the public (to the extent consistent with \u00a7 22.22(a)(2)), conducted as part of a proceeding under these Consolidated Rules of Practice.\n\nHearing Clerk  means the Hearing Clerk, Mail Code 1900, U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.\n\nInitial decision  means the decision issued by the Presiding Officer pursuant to \u00a7\u00a7 22.17(c), 22.20(b) or 22.27 resolving all outstanding issues in the proceeding.\n\nParty  means any person that participates in a proceeding as complainant, respondent, or intervenor.\n\nPermit action  means the revocation, suspension or termination of all or part of a permit issued under section 102 of the Marine Protection, Research, and Sanctuaries Act (33 U.S.C. 1412) or termination under section 402(a) of the Clean Water Act (33 U.S.C. 1342(a)) or section 3005(d) of the Solid Waste Disposal Act (42 U.S.C. 6925(d)).\n\nPerson  includes any individual, partnership, association, corporation, and any trustee, assignee, receiver or legal successor thereof; any organized group of persons whether incorporated or not; and any officer, employee, agent, department, agency or instrumentality of the Federal Government, of any State or local unit of government, or of any foreign government.\n\nPresiding Officer  means an individual who presides in an administrative adjudication until an initial decision becomes final or is appealed. The Presiding Officer shall be an Administrative Law Judge, except where \u00a7\u00a7 22.4(b), 22.16(c) or 22.51 allow a Regional Judicial Officer to serve as Presiding Officer.\n\nProceeding  means the entirety of a single administrative adjudication, from the filing of the complaint through the issuance of a final order, including any action on a motion to reconsider under \u00a7 22.32.\n\nRegional Administrator  means, for a case initiated in an EPA Regional Office, the Regional Administrator for that Region or any officer or employee thereof to whom his authority is duly delegated.\n\nRegional Hearing Clerk  means an individual duly authorized to serve as hearing clerk for a given region, who shall be neutral in every proceeding. Correspondence with the Regional Hearing Clerk shall be addressed to the Regional Hearing Clerk at the address specified in the complaint. For a case initiated at EPA Headquarters, the term Regional Hearing Clerk means the Hearing Clerk.\n\nRegional Judicial Officer  means a person designated by the Regional Administrator under \u00a7 22.4(b).\n\nRespondent  means any person against whom the complaint states a claim for relief.\n\n(b) Terms defined in the Act and not defined in these Consolidated Rules of Practice are used consistent with the meanings given in the Act."], ["40:40:1.0.1.1.21.1.1.4", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "A", "Subpart A\u2014General", "", "\u00a7 22.4 Powers and duties of the Environmental Appeals Board, Regional Judicial Officer and Presiding Officer; disqualification, withdrawal, and reassignment.", "EPA", "", "", "[64 FR 40176, July 23, 1999, as amended at 82 FR 2234, Jan. 9, 2017]", "(a)  Environmental Appeals Board.  (1) The Environmental Appeals Board rules on appeals from the initial decisions, rulings and orders of a Presiding Officer in proceedings under these Consolidated Rules of Practice, and approves settlement of proceedings under these Consolidated Rules of Practice commenced at EPA Headquarters. \n\n\n\nThe Environmental Appeals Board may refer any case or motion to the Administrator when the Environmental Appeals Board, in its discretion, deems it appropriate to do so. When an appeal or motion is referred to the Administrator by the Environmental Appeals Board, all parties shall be so notified and references to the Environmental Appeals Board in these Consolidated Rules of Practice shall be interpreted as referring to the Administrator. If a case or motion is referred to the Administrator by the Environmental Appeals Board, the Administrator may consult with any EPA employee concerning the matter, provided such consultation does not violate \u00a7 22.8. Motions directed to the Administrator shall not be considered except for motions for disqualification pursuant to paragraph (d) of this section, or motions filed in matters that the Environmental Appeals Board has referred to the Administrator.\n\n(2) In exercising its duties and responsibilities under these Consolidated Rules of Practice, the Environmental Appeals Board may do all acts and take all measures as are necessary for the efficient, fair and impartial adjudication of issues arising in a proceeding, including imposing procedural sanctions against a party who without adequate justification fails or refuses to comply with these Consolidated Rules of Practice or with an order of the Environmental Appeals Board. Such sanctions may include drawing adverse inferences against a party, striking a party's pleadings or other submissions from the record, and denying any or all relief sought by the party in the proceeding.\n\n(b)  Regional Judicial Officer.  Each Regional Administrator shall delegate to one or more Regional Judicial Officers authority to act as Presiding Officer in proceedings under subpart I of this part, and to act as Presiding Officer until the respondent files an answer in proceedings under these Consolidated Rules of Practice to which subpart I of this part does not apply. The Regional Administrator may also delegate to one or more Regional Judicial Officers the authority to approve settlement of proceedings pursuant to \u00a7 22.18(b)(3). These delegations will not prevent a Regional Judicial Officer from referring any motion or case to the Regional Administrator. A Regional Judicial Officer shall be an attorney who is a permanent or temporary employee of the Agency or another Federal agency and who may perform other duties within the Agency. A Regional Judicial Officer shall not have performed prosecutorial or investigative functions in connection with any case in which he serves as a Regional Judicial Officer. A Regional Judicial Officer shall not knowingly preside over a case involving any party concerning whom the Regional Judicial Officer performed any functions of prosecution or investigation within the 2 years preceding the commencement of the case. A Regional Judicial Officer shall not prosecute enforcement cases and shall not be supervised by any person who supervises the prosecution of enforcement cases, but may be supervised by the Regional Counsel.\n\n(c)  Presiding Officer.  The Presiding Officer shall conduct a fair and impartial proceeding, assure that the facts are fully elicited, adjudicate all issues, and avoid delay. The Presiding Officer may:\n\n(1) Conduct administrative hearings under these Consolidated Rules of Practice;\n\n(2) Rule upon motions, requests, and offers of proof, and issue all necessary orders;\n\n(3) Administer oaths and affirmations and take affidavits;\n\n(4) Examine witnesses and receive documentary or other evidence;\n\n(5) Order a party, or an officer or agent thereof, to produce testimony, documents, or other non-privileged evidence, and failing the production thereof without good cause being shown, draw adverse inferences against that party;\n\n(6) Admit or exclude evidence;\n\n(7) Hear and decide questions of facts, law, or discretion;\n\n(8) Require parties to attend conferences for the settlement or simplification of the issues, or the expedition of the proceedings;\n\n(9) Issue subpoenas authorized by the Act; and\n\n(10) Do all other acts and take all measures necessary for the maintenance of order and for the efficient, fair and impartial adjudication of issues arising in proceedings governed by these Consolidated Rules of Practice.\n\n(d)  Disqualification, withdrawal and reassignment.  (1) The Administrator, the Regional Administrator, the members of the Environmental Appeals Board, the Regional Judicial Officer, or the Administrative Law Judge may not perform functions provided for in these Consolidated Rules of Practice regarding any matter in which they have a financial interest or have any relationship with a party or with the subject matter which would make it inappropriate for them to act. Any party may at any time by motion to the Administrator, Regional Administrator, a member of the Environmental Appeals Board, the Regional Judicial Officer or the Administrative Law Judge request that he or she disqualify himself or herself from the proceeding. If such a motion to disqualify the Regional Administrator, Regional Judicial Officer or Administrative Law Judge is denied, a party may appeal that ruling to the Environmental Appeals Board. If a motion to disqualify a member of the Environmental Appeals Board is denied, a party may appeal that ruling to the Administrator. There shall be no interlocutory appeal of the ruling on a motion for disqualification. The Administrator, the Regional Administrator, a member of the Environmental Appeals Board, the Regional Judicial Officer, or the Administrative Law Judge may at any time withdraw from any proceeding in which he deems himself disqualified or unable to act for any reason.\n\n(2) If the Administrator, the Regional Administrator, the Regional Judicial Officer, or the Administrative Law Judge is disqualified or withdraws from the proceeding, a qualified individual who has none of the infirmities listed in paragraph (d)(1) of this section shall be assigned as a replacement. The Administrator shall assign a replacement for a Regional Administrator who withdraws or is disqualified. Should the Administrator withdraw or be disqualified, the Regional Administrator from the Region where the case originated shall replace the Administrator. If that Regional Administrator would be disqualified, the Administrator shall assign a Regional Administrator from another Region to replace the Administrator. The Regional Administrator shall assign a new Regional Judicial Officer if the original Regional Judicial Officer withdraws or is disqualified. The Chief Administrative Law Judge shall assign a new Administrative Law Judge if the original Administrative Law Judge withdraws or is disqualified.\n\n(3) The Chief Administrative Law Judge, at any stage in the proceeding, may reassign the case to an Administrative Law Judge other than the one originally assigned in the event of the unavailability of the Administrative Law Judge or where reassignment will result in efficiency in the scheduling of hearings and would not prejudice the parties."], ["40:40:1.0.1.1.21.1.1.5", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "A", "Subpart A\u2014General", "", "\u00a7 22.5 Filing, service by the parties, and form of all filed documents; business confidentiality claims.", "EPA", "", "", "[64 FR 40176, July 23, 1999, as amended at 69 FR 77639, Dec. 28, 2004; 79 FR 65901, Nov. 6, 2014; 82 FR 2234, Jan. 9, 2017]", "(a)  Filing of documents.  (1) The original and one copy of each document intended to be part of the record shall be filed with the Headquarters or Regional Hearing Clerk, as appropriate, when the proceeding is before the Presiding Officer, or filed with the Clerk of the Board when the proceeding is before the Environmental Appeals Board. A document is filed when it is received by the appropriate Clerk. When a document is required to be filed with the Environmental Appeals Board, the document shall be sent to the Clerk of the Board by U.S. Mail, delivered by hand or courier (including delivery by U.S. Express Mail or by a commercial delivery service), or transmitted by the Environmental Appeal Board's electronic filing system, according to the procedures specified in 40 CFR 124.19 (i)(2)(i), (ii), and (iii). The Presiding Officer or the Environmental Appeals Board may by order authorize or require filing by facsimile or an electronic filing system, subject to any appropriate conditions and limitations.\n\n(2) When the Presiding Officer corresponds directly with the parties, the original of the correspondence shall be filed with the Regional Hearing Clerk. Parties who correspond directly with the Presiding Officer shall file a copy of the correspondence with the Regional Hearing Clerk.\n\n(3) A certificate of service shall accompany each document filed or served in the proceeding.\n\n(b)  Service of documents.  Unless the proceeding is before the Environmental Appeals Board, a copy of each document filed in the proceeding shall be served on the Presiding Officer and on each party. In a proceeding before the Environmental Appeals Board, a copy of each document filed in the proceeding shall be served on each party.\n\n(1)  Service of complaint.  (i) Complainant shall serve on respondent, or a representative authorized to receive service on respondent's behalf, a copy of the signed original of the complaint, together with a copy of these Consolidated Rules of Practice. Service shall be made personally, by certified mail with return receipt requested, or by any reliable commercial delivery service that provides written verification of delivery.\n\n(ii)(A) Where respondent is a domestic or foreign corporation, a partnership, or an unincorporated association which is subject to suit under a common name, complainant shall serve an officer, partner, a managing or general agent, or any other person authorized by appointment or by Federal or State law to receive service of process.\n\n(B) Where respondent is an agency of the United States complainant shall serve that agency as provided by that agency's regulations, or in the absence of controlling regulation, as otherwise permitted by law. Complainant should also provide a copy of the complaint to the senior executive official having responsibility for the overall operations of the geographical unit where the alleged violations arose. If the agency is a corporation, the complaint shall be served as prescribed in paragraph (b)(1)(ii)(A) of this section.\n\n(C) Where respondent is a State or local unit of government, agency, department, corporation or other instrumentality, complainant shall serve the chief executive officer thereof, or as otherwise permitted by law. Where respondent is a State or local officer, complainant shall serve such officer.\n\n(iii) Proof of service of the complaint shall be made by affidavit of the person making personal service, or by properly executed receipt. Such proof of service shall be filed with the Regional Hearing Clerk immediately upon completion of service.\n\n(2)  Service of filed documents other than the complaint, rulings, orders, and decisions.  All documents filed by a party other than the complaint, rulings, orders, and decisions shall be served by the filing party on all other parties. Service may be made personally, by U.S. mail (including certified mail, return receipt requested, Overnight Express and Priority Mail), by any reliable commercial delivery service, or by facsimile or other electronic means, including but not necessarily limited to email, if service by such electronic means is consented to in writing. A party who consents to service by facsimile or email must file an acknowledgement of its consent (identifying the type of electronic means agreed to and the electronic address to be used) with the appropriate Clerk. In addition, the Presiding Officer or the Environmental Appeals Board may by order authorize or require service by facsimile, email, or other electronic means, subject to any appropriate conditions and limitations.\n\n(c)  Form of documents.  (1) Except as provided in this section, or by order of the Presiding Officer or of the Environmental Appeals Board there are no specific requirements as to the form of documents.\n\n(2) The first page of every filed document shall contain a caption identifying the respondent and the docket number. All legal briefs and legal memoranda greater than 20 pages in length (excluding attachments) shall contain a table of contents and a table of authorities with page references.\n\n(3) The original of any filed document (other than exhibits) shall be signed by the party filing or by its attorney or other representative. The signature constitutes a representation by the signer that he has read the document, that to the best of his knowledge, information and belief, the statements made therein are true, and that it is not interposed for delay.\n\n(4) The first document filed by any person shall contain the name, mailing address, telephone number, and email address of an individual authorized to receive service relating to the proceeding on behalf of the person. Parties shall promptly file any changes in this information with the Headquarters or Regional Hearing Clerk or the Clerk of the Board, as appropriate, and serve copies on the Presiding Officer and all parties to the proceeding. If a party fails to furnish such information and any changes thereto, service to the party's last known address shall satisfy the requirements of paragraph (b)(2) of this section and \u00a7 22.6.\n\n(5) The Environmental Appeals Board or the Presiding Officer may exclude from the record any document which does not comply with this section. Written notice of such exclusion, stating the reasons therefor, shall be promptly given to the person submitting the document. Such person may amend and resubmit any excluded document upon motion granted by the Environmental Appeals Board or the Presiding Officer, as appropriate.\n\n(d)  Confidentiality of business information.  (1) A person who wishes to assert a business confidentiality claim with regard to any information contained in any document to be filed in a proceeding under these Consolidated Rules of Practice shall assert such a claim in accordance with 40 CFR part 2 at the time that the document is filed. A document filed without a claim of business confidentiality shall be available to the public for inspection and copying.\n\n(2) Two versions of any document which contains information claimed confidential shall be filed with the Regional Hearing Clerk:\n\n(i) One version of the document shall contain the information claimed confidential. The cover page shall include the information required under paragraph (c)(2) of this section and the words \u201cBusiness Confidentiality Asserted\u201d. The specific portion(s) alleged to be confidential shall be clearly identified within the document.\n\n(ii) A second version of the document shall contain all information except the specific information claimed confidential, which shall be redacted and replaced with notes indicating the nature of the information redacted. The cover page shall state that information claimed confidential has been deleted and that a complete copy of the document containing the information claimed confidential has been filed with the Regional Hearing Clerk.\n\n(3) Both versions of the document shall be served on the Presiding Officer and the complainant. Both versions of the document shall be served on any party, non-party participant, or representative thereof, authorized to receive the information claimed confidential by the person making the claim of confidentiality. Only the redacted version shall be served on persons not authorized to receive the confidential information.\n\n(4) Only the second, redacted version shall be treated as public information. An EPA officer or employee may disclose information claimed confidential in accordance with paragraph (d)(1) of this section only as authorized under 40 CFR part 2."], ["40:40:1.0.1.1.21.1.1.6", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "A", "Subpart A\u2014General", "", "\u00a7 22.6 Filing and service of rulings, orders and decisions.", "EPA", "", "", "[82 FR 2234, Jan. 9, 2017]", "All rulings, orders, decisions, and other documents issued by the Regional Administrator or Presiding Officer shall be filed with the Headquarters or Regional Hearing Clerk, as appropriate, in any manner allowed for the service of such documents. All rulings, orders, decisions, and other documents issued by the Environmental Appeals Board shall be filed with the Clerk of the Board. The Clerk of the Board, the Headquarters Hearing Clerk, or the Regional Hearing Clerk, as appropriate, must serve copies of such rulings, orders, decisions and other documents on all parties. Service may be made by U.S. mail (including by certified mail or return receipt requested, Overnight Express and Priority Mail), EPA's internal mail, any reliable commercial delivery service, or electronic means (including but not necessarily limited to facsimile and email)."], ["40:40:1.0.1.1.21.1.1.7", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "A", "Subpart A\u2014General", "", "\u00a7 22.7 Computation and extension of time.", "EPA", "", "", "[64 FR 40176, July 23, 1999, as amended at 82 FR 2234, Jan. 9, 2017]", "(a)  Computation.  In computing any period of time prescribed or allowed in these Consolidated Rules of Practice, except as otherwise provided, the day of the event from which the designated period begins to run shall not be included. Saturdays, Sundays, and Federal holidays shall be included. When a stated time expires on a Saturday, Sunday or Federal holiday, the stated time period shall be extended to include the next business day.\n\n(b)  Extensions of time.  The Environmental Appeals Board or the Presiding Officer may grant an extension of time for filing any document: upon timely motion of a party to the proceeding, for good cause shown, and after consideration of prejudice to other parties; or upon its own initiative. Any motion for an extension of time shall be filed sufficiently in advance of the due date so as to allow other parties reasonable opportunity to respond and to allow the Presiding Officer or Environmental Appeals Board reasonable opportunity to issue an order.\n\n(c)  Completion of service.  Service of the complaint is complete when the return receipt is signed. Service of all other documents is complete upon mailing, when placed in the custody of a reliable commercial delivery service, or for facsimile or other electronic means, including but not necessarily limited to email, upon transmission. Where a document is served by U.S. mail, EPA internal mail, or commercial delivery service, including overnight or same-day delivery, 3 days shall be added to the time allowed by these Consolidated Rules of Practice for the filing of a responsive document. The time allowed for the serving of a responsive document is not expanded by 3 days when the served document is served by personal delivery, facsimile, or other electronic means, including but not necessarily limited to email."], ["40:40:1.0.1.1.21.1.1.8", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "A", "Subpart A\u2014General", "", "\u00a7 22.8", "EPA", "", "", "", "At no time after the issuance of the complaint shall the Administrator, the members of the Environmental Appeals Board, the Regional Administrator, the Presiding Officer or any other person who is likely to advise these officials on any decision in the proceeding, discuss  ex parte  the merits of the proceeding with any interested person outside the Agency, with any Agency staff member who performs a prosecutorial or investigative function in such proceeding or a factually related proceeding, or with any representative of such person. Any  ex parte  memorandum or other communication addressed to the Administrator, the Regional Administrator, the Environmental Appeals Board, or the Presiding Officer during the pendency of the proceeding and relating to the merits thereof, by or on behalf of any party shall be regarded as argument made in the proceeding and shall be served upon all other parties. The other parties shall be given an opportunity to reply to such memorandum or communication. The requirements of this section shall not apply to any person who has formally recused himself from all adjudicatory functions in a proceeding, or who issues final orders only pursuant to \u00a7 22.18(b)(3)."], ["40:40:1.0.1.1.21.1.1.9", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "A", "Subpart A\u2014General", "", "\u00a7 22.9 Examination of documents filed.", "EPA", "", "", "", "(a) Subject to the provisions of law restricting the public disclosure of confidential information, any person may, during Agency business hours inspect and copy any document filed in any proceeding. Such documents shall be made available by the Regional Hearing Clerk, the Hearing Clerk, or the Clerk of the Board, as appropriate.\n\n(b) The cost of duplicating documents shall be borne by the person seeking copies of such documents. The Agency may waive this cost in its discretion."], ["40:40:1.0.1.1.21.2.1.1", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "B", "Subpart B\u2014Parties and Appearances", "", "\u00a7 22.10 Appearances.", "EPA", "", "", "", "Any party may appear in person or by counsel or other representative. A partner may appear on behalf of a partnership and an officer may appear on behalf of a corporation. Persons who appear as counsel or other representative must conform to the standards of conduct and ethics required of practitioners before the courts of the United States."], ["40:40:1.0.1.1.21.2.1.2", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "B", "Subpart B\u2014Parties and Appearances", "", "\u00a7 22.11 Intervention and non-party briefs.", "EPA", "", "", "", "(a)  Intervention.  Any person desiring to become a party to a proceeding may move for leave to intervene. A motion for leave to intervene that is filed after the exchange of information pursuant to \u00a7 22.19(a) shall not be granted unless the movant shows good cause for its failure to file before such exchange of information. All requirements of these Consolidated Rules of Practice shall apply to a motion for leave to intervene as if the movant were a party. The Presiding Officer shall grant leave to intervene in all or part of the proceeding if: the movant claims an interest relating to the cause of action; a final order may as a practical matter impair the movant's ability to protect that interest; and the movant's interest is not adequately represented by existing parties. The intervenor shall be bound by any agreements, arrangements and other matters previously made in the proceeding unless otherwise ordered by the Presiding Officer or the Environmental Appeals Board for good cause.\n\n(b)  Non-party briefs.  Any person who is not a party to a proceeding may move for leave to file a non-party brief. The motion shall identify the interest of the applicant and shall explain the relevance of the brief to the proceeding. All requirements of these Consolidated Rules of Practice shall apply to the motion as if the movant were a party. If the motion is granted, the Presiding Officer or Environmental Appeals Board shall issue an order setting the time for filing such brief. Any party to the proceeding may file a response to a non-party brief within 15 days after service of the non-party brief."], ["40:40:1.0.1.1.21.2.1.3", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "B", "Subpart B\u2014Parties and Appearances", "", "\u00a7 22.12 Consolidation and severance.", "EPA", "", "", "", "(a)  Consolidation.  The Presiding Officer or the Environmental Appeals Board may consolidate any or all matters at issue in two or more proceedings subject to these Consolidated Rules of Practice where: there exist common parties or common questions of fact or law; consolidation would expedite and simplify consideration of the issues; and consolidation would not adversely affect the rights of parties engaged in otherwise separate proceedings. Proceedings subject to subpart I of this part may be consolidated only upon the approval of all parties. Where a proceeding subject to the provisions of subpart I of this part is consolidated with a proceeding to which subpart I of this part does not apply, the procedures of subpart I of this part shall not apply to the consolidated proceeding.\n\n(b)  Severance.  The Presiding Officer or the Environmental Appeals Board may, for good cause, order any proceedings severed with respect to any or all parties or issues."], ["40:40:1.0.1.1.21.3.1.1", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "C", "Subpart C\u2014Prehearing Procedures", "", "\u00a7 22.13 Commencement of a proceeding.", "EPA", "", "", "", "(a) Any proceeding subject to these Consolidated Rules of Practice is commenced by filing with the Regional Hearing Clerk a complaint conforming to \u00a7 22.14.\n\n(b) Notwithstanding paragraph (a) of this section, where the parties agree to settlement of one or more causes of action before the filing of a complaint, a proceeding may be simultaneously commenced and concluded by the issuance of a consent agreement and final order pursuant to \u00a7 22.18(b)(2) and (3)."], ["40:40:1.0.1.1.21.3.1.2", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "C", "Subpart C\u2014Prehearing Procedures", "", "\u00a7 22.14 Complaint.", "EPA", "", "", "", "(a)  Content of complaint.  Each complaint shall include:\n\n(1) A statement reciting the section(s) of the Act authorizing the issuance of the complaint;\n\n(2) Specific reference to each provision of the Act, implementing regulations, permit or order which respondent is alleged to have violated;\n\n(3) A concise statement of the factual basis for each violation alleged;\n\n(4) A description of all relief sought, including one or more of the following:\n\n(i) The amount of the civil penalty which is proposed to be assessed, and a brief explanation of the proposed penalty;\n\n(ii) Where a specific penalty demand is not made, the number of violations (where applicable, days of violation) for which a penalty is sought, a brief explanation of the severity of each violation alleged and a recitation of the statutory penalty authority applicable for each violation alleged in the complaint;\n\n(iii) A request for a Permit Action and a statement of its proposed terms and conditions; or\n\n(iv) A request for a compliance or corrective action order and a statement of the terms and conditions thereof;\n\n(5) Notice of respondent's right to request a hearing on any material fact alleged in the complaint, or on the appropriateness of any proposed penalty, compliance or corrective action order, or Permit Action;\n\n(6) Notice if subpart I of this part applies to the proceeding;\n\n(7) The address of the Regional Hearing Clerk; and\n\n(8) Instructions for paying penalties, if applicable.\n\n(b)  Rules of practice.  A copy of these Consolidated Rules of Practice shall accompany each complaint served.\n\n(c)  Amendment of the complaint.  The complainant may amend the complaint once as a matter of right at any time before the answer is filed. Otherwise the complainant may amend the complaint only upon motion granted by the Presiding Officer. Respondent shall have 20 additional days from the date of service of the amended complaint to file its answer.\n\n(d)  Withdrawal of the complaint.  The complainant may withdraw the complaint, or any part thereof, without prejudice one time before the answer has been filed. After one withdrawal before the filing of an answer, or after the filing of an answer, the complainant may withdraw the complaint, or any part thereof, without prejudice only upon motion granted by the Presiding Officer."], ["40:40:1.0.1.1.21.3.1.3", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "C", "Subpart C\u2014Prehearing Procedures", "", "\u00a7 22.15 Answer to the complaint.", "EPA", "", "", "", "(a)  General.  Where respondent: Contests any material fact upon which the complaint is based; contends that the proposed penalty, compliance or corrective action order, or Permit Action, as the case may be, is inappropriate; or contends that it is entitled to judgment as a matter of law, it shall file an original and one copy of a written answer to the complaint with the Regional Hearing Clerk and shall serve copies of the answer on all other parties. Any such answer to the complaint must be filed with the Regional Hearing Clerk within 30 days after service of the complaint.\n\n(b)  Contents of the answer.  The answer shall clearly and directly admit, deny or explain each of the factual allegations contained in the complaint with regard to which respondent has any knowledge. Where respondent has no knowledge of a particular factual allegation and so states, the allegation is deemed denied. The answer shall also state: The circumstances or arguments which are alleged to constitute the grounds of any defense; the facts which respondent disputes; the basis for opposing any proposed relief; and whether a hearing is requested.\n\n(c)  Request for a hearing.  A hearing upon the issues raised by the complaint and answer may be held if requested by respondent in its answer. If the respondent does not request a hearing, the Presiding Officer may hold a hearing if issues appropriate for adjudication are raised in the answer.\n\n(d)  Failure to admit, deny, or explain.  Failure of respondent to admit, deny, or explain any material factual allegation contained in the complaint constitutes an admission of the allegation.\n\n(e)  Amendment of the answer.  The respondent may amend the answer to the complaint upon motion granted by the Presiding Officer."], ["40:40:1.0.1.1.21.3.1.4", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "C", "Subpart C\u2014Prehearing Procedures", "", "\u00a7 22.16 Motions.", "EPA", "", "", "[64 FR 40176, July 23, 1999, as amended at 82 FR 2234, Jan. 9, 2017]", "(a)  General.  Motions shall be served as provided by \u00a7 22.5(b)(2). Upon the filing of a motion, other parties may file responses to the motion and the movant may file a reply to the response. Any additional responsive documents shall be permitted only by order of the Presiding Officer or Environmental Appeals Board, as appropriate. All motions, except those made orally on the record during a hearing, shall:\n\n(1) Be in writing;\n\n(2) State the grounds therefor, with particularity;\n\n(3) Set forth the relief sought; and\n\n(4) Be accompanied by any affidavit, certificate, other evidence or legal memorandum relied upon.\n\n(b)  Response to motions.  A party's response to any written motion must be filed within 15 days after service of such motion. The movant's reply to any written response must be filed within 10 days after service of such response and shall be limited to issues raised in the response. The Presiding Officer or the Environmental Appeals Board may set a shorter or longer time for response or reply, or make other orders concerning the disposition of motions. The response or reply shall be accompanied by any affidavit, certificate, other evidence, or legal memorandum relied upon. Any party who fails to respond within the designated period waives any objection to the granting of the motion.\n\n(c)  Decision.  The Regional Judicial Officer (or in a proceeding commenced at EPA Headquarters, an Administrative Law Judge) shall rule on all motions filed or made before an answer to the complaint is filed. Except as provided in \u00a7\u00a7 22.29(c) and 22.51, an Administrative Law Judge shall rule on all motions filed or made after an answer is filed and before an initial decision becomes final or has been appealed. The Environmental Appeals Board shall rule as provided in \u00a7 22.29(c) and on all motions filed or made after an appeal of the initial decision is filed, except as provided pursuant to \u00a7 22.28.\n\n(d)  Oral argument.  The Presiding Officer or the Environmental Appeals Board may permit oral argument on motions in its discretion."], ["40:40:1.0.1.1.21.3.1.5", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "C", "Subpart C\u2014Prehearing Procedures", "", "\u00a7 22.17 Default.", "EPA", "", "", "", "(a)  Default.  A party may be found to be in default: after motion, upon failure to file a timely answer to the complaint; upon failure to comply with the information exchange requirements of \u00a7 22.19(a) or an order of the Presiding Officer; or upon failure to appear at a conference or hearing. Default by respondent constitutes, for purposes of the pending proceeding only, an admission of all facts alleged in the complaint and a waiver of respondent's right to contest such factual allegations. Default by complainant constitutes a waiver of complainant's right to proceed on the merits of the action, and shall result in the dismissal of the complaint with prejudice.\n\n(b)  Motion for default.  A motion for default may seek resolution of all or part of the proceeding. Where the motion requests the assessment of a penalty or the imposition of other relief against a defaulting party, the movant must specify the penalty or other relief sought and state the legal and factual grounds for the relief requested.\n\n(c)  Default order.  When the Presiding Officer finds that default has occurred, he shall issue a default order against the defaulting party as to any or all parts of the proceeding unless the record shows good cause why a default order should not be issued. If the order resolves all outstanding issues and claims in the proceeding, it shall constitute the initial decision under these Consolidated Rules of Practice. The relief proposed in the complaint or the motion for default shall be ordered unless the requested relief is clearly inconsistent with the record of the proceeding or the Act. For good cause shown, the Presiding Officer may set aside a default order.\n\n(d)  Payment of penalty; effective date of compliance or corrective action orders, and Permit Actions.  Any penalty assessed in the default order shall become due and payable by respondent without further proceedings 30 days after the default order becomes final under \u00a7 22.27(c). Any default order requiring compliance or corrective action shall be effective and enforceable without further proceedings on the date the default order becomes final under \u00a7 22.27(c). Any Permit Action ordered in the default order shall become effective without further proceedings on the date that the default order becomes final under \u00a7 22.27(c)."], ["40:40:1.0.1.1.21.3.1.6", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "C", "Subpart C\u2014Prehearing Procedures", "", "\u00a7 22.18 Quick resolution; settlement; alternative dispute resolution.", "EPA", "", "", "", "(a)  Quick resolution.  (1) A respondent may resolve the proceeding at any time by paying the specific penalty proposed in the complaint or in complainant's prehearing exchange in full as specified by complainant and by filing with the Regional Hearing Clerk a copy of the check or other instrument of payment. If the complaint contains a specific proposed penalty and respondent pays that proposed penalty in full within 30 days after receiving the complaint, then no answer need be filed. This paragraph (a) shall not apply to any complaint which seeks a compliance or corrective action order or Permit Action. In a proceeding subject to the public comment provisions of \u00a7 22.45, this quick resolution is not available until 10 days after the close of the comment period.\n\n(2) Any respondent who wishes to resolve a proceeding by paying the proposed penalty instead of filing an answer, but who needs additional time to pay the penalty, may file a written statement with the Regional Hearing Clerk within 30 days after receiving the complaint stating that the respondent agrees to pay the proposed penalty in accordance with paragraph (a)(1) of this section. The written statement need not contain any response to, or admission of, the allegations in the complaint. Within 60 days after receiving the complaint, the respondent shall pay the full amount of the proposed penalty. Failure to make such payment within 60 days of receipt of the complaint may subject the respondent to default pursuant to \u00a7 22.17.\n\n(3) Upon receipt of payment in full, the Regional Judicial Officer or Regional Administrator, or, in a proceeding commenced at EPA Headquarters, the Environmental Appeals Board, shall issue a final order. Payment by respondent shall constitute a waiver of respondent's rights to contest the allegations and to appeal the final order.\n\n(b)  Settlement.  (1) The Agency encourages settlement of a proceeding at any time if the settlement is consistent with the provisions and objectives of the Act and applicable regulations. The parties may engage in settlement discussions whether or not the respondent requests a hearing. Settlement discussions shall not affect the respondent's obligation to file a timely answer under \u00a7 22.15.\n\n(2)  Consent agreement.  Any and all terms and conditions of a settlement shall be recorded in a written consent agreement signed by all parties or their representatives. The consent agreement shall state that, for the purpose of the proceeding, respondent: Admits the jurisdictional allegations of the complaint; admits the facts stipulated in the consent agreement or neither admits nor denies specific factual allegations contained in the complaint; consents to the assessment of any stated civil penalty, to the issuance of any specified compliance or corrective action order, to any conditions specified in the consent agreement, and to any stated Permit Action; and waives any right to contest the allegations and its right to appeal the proposed final order accompanying the consent agreement. Where complainant elects to commence a proceeding pursuant to \u00a7 22.13(b), the consent agreement shall also contain the elements described at \u00a7 22.14(a)(1)-(3) and (8). The parties shall forward the executed consent agreement and a proposed final order to the Regional Judicial Officer or Regional Administrator, or, in a proceeding commenced at EPA Headquarters, the Environmental Appeals Board.\n\n(3)  Conclusion of proceeding.  No settlement or consent agreement shall dispose of any proceeding under these Consolidated Rules of Practice without a final order from the Regional Judicial Officer or Regional Administrator, or, in a proceeding commenced at EPA Headquarters, the Environmental Appeals Board, ratifying the parties' consent agreement.\n\n(c)  Scope of resolution or settlement.  Full payment of the penalty proposed in a complaint pursuant to paragraph (a) of this section or settlement pursuant to paragraph (b) of this section shall not in any case affect the right of the Agency or the United States to pursue appropriate injunctive or other equitable relief or criminal sanctions for any violations of law. Full payment of the penalty proposed in a complaint pursuant to paragraph (a) of this section or settlement pursuant to paragraph (b) of this section shall only resolve respondent's liability for Federal civil penalties for the violations and facts alleged in the complaint.\n\n(d)  Alternative means of dispute resolution.  (1) The parties may engage in any process within the scope of the Alternative Dispute Resolution Act (\u201cADRA\u201d), 5 U.S.C. 581  et seq.,  which may facilitate voluntary settlement efforts. Such process shall be subject to the confidentiality provisions of the ADRA.\n\n(2) Dispute resolution under this paragraph (d) does not divest the Presiding Officer of jurisdiction and does not automatically stay the proceeding. All provisions of these Consolidated Rules of Practice remain in effect notwithstanding any dispute resolution proceeding.\n\n(3) The parties may choose any person to act as a neutral, or may move for the appointment of a neutral. If the Presiding Officer grants a motion for the appointment of a neutral, the Presiding Officer shall forward the motion to the Chief Administrative Law Judge, except in proceedings under subpart I of this part, in which the Presiding Officer shall forward the motion to the Regional Administrator. The Chief Administrative Law Judge or Regional Administrator, as appropriate, shall designate a qualified neutral."], ["40:40:1.0.1.1.21.3.1.7", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "C", "Subpart C\u2014Prehearing Procedures", "", "\u00a7 22.19 Prehearing information exchange; prehearing conference; other discovery.", "EPA", "", "", "", "(a)  Prehearing information exchange.  (1) In accordance with an order issued by the Presiding Officer, each party shall file a prehearing information exchange. Except as provided in \u00a7 22.22(a), a document or exhibit that has not been included in prehearing information exchange shall not be admitted into evidence, and any witness whose name and testimony summary has not been included in prehearing information exchange shall not be allowed to testify. Parties are not required to exchange information relating to settlement which would be excluded in the federal courts under Rule 408 of the Federal Rules of Evidence. Documents and exhibits shall be marked for identification as ordered by the Presiding Officer.\n\n(2) Each party's prehearing information exchange shall contain:\n\n(i) The names of any expert or other witnesses it intends to call at the hearing, together with a brief narrative summary of their expected testimony, or a statement that no witnesses will be called; and (ii) Copies of all documents and exhibits which it intends to introduce into evidence at the hearing.\n\n(3) If the proceeding is for the assessment of a penalty and complainant has already specified a proposed penalty, complainant shall explain in its prehearing information exchange how the proposed penalty was calculated in accordance with any criteria set forth in the Act, and the respondent shall explain in its prehearing information exchange why the proposed penalty should be reduced or eliminated.\n\n(4) If the proceeding is for the assessment of a penalty and complainant has not specified a proposed penalty, each party shall include in its prehearing information exchange all factual information it considers relevant to the assessment of a penalty. Within 15 days after respondent files its prehearing information exchange, complainant shall file a document specifying a proposed penalty and explaining how the proposed penalty was calculated in accordance with any criteria set forth in the Act.\n\n(b)  Prehearing conference.  The Presiding Officer, at any time before the hearing begins, may direct the parties and their counsel or other representatives to participate in a conference to consider:\n\n(1) Settlement of the case;\n\n(2) Simplification of issues and stipulation of facts not in dispute;\n\n(3) The necessity or desirability of amendments to pleadings;\n\n(4) The exchange of exhibits, documents, prepared testimony, and admissions or stipulations of fact which will avoid unnecessary proof;\n\n(5) The limitation of the number of expert or other witnesses;\n\n(6) The time and place for the hearing; and\n\n(7) Any other matters which may expedite the disposition of the proceeding.\n\n(c)  Record of the prehearing conference.  No transcript of a prehearing conference relating to settlement shall be made. With respect to other prehearing conferences, no transcript of any prehearing conferences shall be made unless ordered by the Presiding Officer. The Presiding Officer shall ensure that the record of the proceeding includes any stipulations, agreements, rulings or orders made during the conference.\n\n(d)  Location of prehearing conference.  The prehearing conference shall be held in the county where the respondent resides or conducts the business which the hearing concerns, in the city in which the relevant Environmental Protection Agency Regional Office is located, or in Washington, DC, unless the Presiding Officer determines that there is good cause to hold it at another location or by telephone.\n\n(e)  Other discovery.  (1) After the information exchange provided for in paragraph (a) of this section, a party may move for additional discovery. The motion shall specify the method of discovery sought, provide the proposed discovery instruments, and describe in detail the nature of the information and/or documents sought (and, where relevant, the proposed time and place where discovery would be conducted). The Presiding Officer may order such other discovery only if it:\n\n(i) Will neither unreasonably delay the proceeding nor unreasonably burden the non-moving party;\n\n(ii) Seeks information that is most reasonably obtained from the non-moving party, and which the non-moving party has refused to provide voluntarily; and\n\n(iii) Seeks information that has significant probative value on a disputed issue of material fact relevant to liability or the relief sought.\n\n(2) Settlement positions and information regarding their development (such as penalty calculations for purposes of settlement based upon Agency settlement policies) shall not be discoverable.\n\n(3) The Presiding Officer may order depositions upon oral questions only in accordance with paragraph (e)(1) of this section and upon an additional finding that:\n\n(i) The information sought cannot reasonably be obtained by alternative methods of discovery; or\n\n(ii) There is a substantial reason to believe that relevant and probative evidence may otherwise not be preserved for presentation by a witness at the hearing.\n\n(4) The Presiding Officer may require the attendance of witnesses or the production of documentary evidence by subpoena, if authorized under the Act. The Presiding Officer may issue a subpoena for discovery purposes only in accordance with paragraph (e)(1) of this section and upon an additional showing of the grounds and necessity therefor. Subpoenas shall be served in accordance with \u00a7 22.5(b)(1). Witnesses summoned before the Presiding Officer shall be paid the same fees and mileage that are paid witnesses in the courts of the United States. Any fees shall be paid by the party at whose request the witness appears. Where a witness appears pursuant to a request initiated by the Presiding Officer, fees shall be paid by the Agency.\n\n(5) Nothing in this paragraph (e) shall limit a party's right to request admissions or stipulations, a respondent's right to request Agency records under the Federal Freedom of Information Act, 5 U.S.C. 552, or EPA's authority under any applicable law to conduct inspections, issue information request letters or administrative subpoenas, or otherwise obtain information.\n\n(f)  Supplementing prior exchanges.  A party who has made an information exchange under paragraph (a) of this section, or who has exchanged information in response to a request for information or a discovery order pursuant to paragraph (e) of this section, shall promptly supplement or correct the exchange when the party learns that the information exchanged or response provided is incomplete, inaccurate or outdated, and the additional or corrective information has not otherwise been disclosed to the other party pursuant to this section.\n\n(g)  Failure to exchange information.  Where a party fails to provide information within its control as required pursuant to this section, the Presiding Officer may, in his discretion:\n\n(1) Infer that the information would be adverse to the party failing to provide it;\n\n(2) Exclude the information from evidence; or\n\n(3) Issue a default order under \u00a7 22.17(c)."], ["40:40:1.0.1.1.21.3.1.8", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "C", "Subpart C\u2014Prehearing Procedures", "", "\u00a7 22.20 Accelerated decision; decision to dismiss.", "EPA", "", "", "", "(a)  General.  The Presiding Officer may at any time render an accelerated decision in favor of a party as to any or all parts of the proceeding, without further hearing or upon such limited additional evidence, such as affidavits, as he may require, if no genuine issue of material fact exists and a party is entitled to judgment as a matter of law. The Presiding Officer, upon motion of the respondent, may at any time dismiss a proceeding without further hearing or upon such limited additional evidence as he requires, on the basis of failure to establish a prima facie case or other grounds which show no right to relief on the part of the complainant.\n\n(b)  Effect.  (1) If an accelerated decision or a decision to dismiss is issued as to all issues and claims in the proceeding, the decision constitutes an initial decision of the Presiding Officer, and shall be filed with the Regional Hearing Clerk.\n\n(2) If an accelerated decision or a decision to dismiss is rendered on less than all issues or claims in the proceeding, the Presiding Officer shall determine what material facts exist without substantial controversy and what material facts remain controverted. The partial accelerated decision or the order dismissing certain counts shall specify the facts which appear substantially uncontroverted, and the issues and claims upon which the hearing will proceed."], ["40:40:1.0.1.1.21.4.1.1", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "D", "Subpart D\u2014Hearing Procedures", "", "\u00a7 22.21 Assignment of Presiding Officer; scheduling the hearing.", "EPA", "", "", "", "(a)  Assignment of Presiding Officer.  When an answer is filed, the Regional Hearing Clerk shall forward a copy of the complaint, the answer, and any other documents filed in the proceeding to the Chief Administrative Law Judge who shall serve as Presiding Officer or assign another Administrative Law Judge as Presiding Officer. The Presiding Officer shall then obtain the case file from the Chief Administrative Law Judge and notify the parties of his assignment.\n\n(b)  Notice of hearing.  The Presiding Officer shall hold a hearing if the proceeding presents genuine issues of material fact. The Presiding Officer shall serve upon the parties a notice of hearing setting forth a time and place for the hearing not later than 30 days prior to the date set for the hearing. The Presiding Officer may require the attendance of witnesses or the production of documentary evidence by subpoena, if authorized under the Act, upon a showing of the grounds and necessity therefor, and the materiality and relevancy of the evidence to be adduced.\n\n(c)  Postponement of hearing.  No request for postponement of a hearing shall be granted except upon motion and for good cause shown.\n\n(d)  Location of the hearing.  The location of the hearing shall be determined in accordance with the method for determining the location of a prehearing conference under \u00a7 22.19(d)."], ["40:40:1.0.1.1.21.4.1.2", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "D", "Subpart D\u2014Hearing Procedures", "", "\u00a7 22.22 Evidence.", "EPA", "", "", "", "(a)  General.  (1) The Presiding Officer shall admit all evidence which is not irrelevant, immaterial, unduly repetitious, unreliable, or of little probative value, except that evidence relating to settlement which would be excluded in the federal courts under Rule 408 of the Federal Rules of Evidence (28 U.S.C.) is not admissible. If, however, a party fails to provide any document, exhibit, witness name or summary of expected testimony required to be exchanged under \u00a7 22.19 (a), (e) or (f) to all parties at least 15 days before the hearing date, the Presiding Officer shall not admit the document, exhibit or testimony into evidence, unless the non-exchanging party had good cause for failing to exchange the required information and provided the required information to all other parties as soon as it had control of the information, or had good cause for not doing so.\n\n(2) In the presentation, admission, disposition, and use of oral and written evidence, EPA officers, employees and authorized representatives shall preserve the confidentiality of information claimed confidential, whether or not the claim is made by a party to the proceeding, unless disclosure is authorized pursuant to 40 CFR part 2. A business confidentiality claim shall not prevent information from being introduced into evidence, but shall instead require that the information be treated in accordance with 40 CFR part 2, subpart B. The Presiding Officer or the Environmental Appeals Board may consider such evidence in a proceeding closed to the public, and which may be before some, but not all, parties, as necessary. Such proceeding shall be closed only to the extent necessary to comply with 40 CFR part 2, subpart B, for information claimed confidential. Any affected person may move for an order protecting the information claimed confidential.\n\n(b)  Examination of witnesses.  Witnesses shall be examined orally, under oath or affirmation, except as otherwise provided in paragraphs (c) and (d) of this section or by the Presiding Officer. Parties shall have the right to cross-examine a witness who appears at the hearing provided that such cross-examination is not unduly repetitious.\n\n(c)  Written testimony.  The Presiding Officer may admit and insert into the record as evidence, in lieu of oral testimony, written testimony prepared by a witness. The admissibility of any part of the testimony shall be subject to the same rules as if the testimony were produced under oral examination. Before any such testimony is read or admitted into evidence, the party who has called the witness shall deliver a copy of the testimony to the Presiding Officer, the reporter, and opposing counsel. The witness presenting the testimony shall swear to or affirm the testimony and shall be subject to appropriate oral cross-examination.\n\n(d)  Admission of affidavits where the witness is unavailable.  The Presiding Officer may admit into evidence affidavits of witnesses who are unavailable. The term \u201cunavailable\u201d shall have the meaning accorded to it by Rule 804(a) of the Federal Rules of Evidence.\n\n(e)  Exhibits.  Where practicable, an original and one copy of each exhibit shall be filed with the Presiding Officer for the record and a copy shall be furnished to each party. A true copy of any exhibit may be substituted for the original.\n\n(f)  Official notice.  Official notice may be taken of any matter which can be judicially noticed in the Federal courts and of other facts within the specialized knowledge and experience of the Agency. Opposing parties shall be given adequate opportunity to show that such facts are erroneously noticed."], ["40:40:1.0.1.1.21.4.1.3", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "D", "Subpart D\u2014Hearing Procedures", "", "\u00a7 22.23 Objections and offers of proof.", "EPA", "", "", "", "(a)  Objection.  Any objection concerning the conduct of the hearing may be stated orally or in writing during the hearing. The party raising the objection must supply a short statement of its grounds. The ruling by the Presiding Officer on any objection and the reasons given for it shall be part of the record. An exception to each objection overruled shall be automatic and is not waived by further participation in the hearing.\n\n(b)  Offers of proof.  Whenever the Presiding Officer denies a motion for admission into evidence, the party offering the information may make an offer of proof, which shall be included in the record. The offer of proof for excluded oral testimony shall consist of a brief statement describing the nature of the information excluded. The offer of proof for excluded documents or exhibits shall consist of the documents or exhibits excluded. Where the Environmental Appeals Board decides that the ruling of the Presiding Officer in excluding the information from evidence was both erroneous and prejudicial, the hearing may be reopened to permit the taking of such evidence."], ["40:40:1.0.1.1.21.4.1.4", 40, "Protection of Environment", "I", "A", "22", "PART 22\u2014CONSOLIDATED RULES OF PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS", "D", "Subpart D\u2014Hearing Procedures", "", "\u00a7 22.24 Burden of presentation; burden of persuasion; preponderance of the evidence standard.", "EPA", "", "", "", "(a) The complainant has the burdens of presentation and persuasion that the violation occurred as set forth in the complaint and that the relief sought is appropriate. Following complainant's establishment of a prima facie case, respondent shall have the burden of presenting any defense to the allegations set forth in the complaint and any response or evidence with respect to the appropriate relief. The respondent has the burdens of presentation and persuasion for any affirmative defenses.\n\n(b) Each matter of controversy shall be decided by the Presiding Officer upon a preponderance of the evidence."]], "truncated": false, "filtered_table_rows_count": 194, "expanded_columns": [], "expandable_columns": [], "columns": ["section_id", "title_number", "title_name", "chapter", "subchapter", "part_number", "part_name", "subpart", "subpart_name", "section_number", "section_heading", "agency", "authority", "source_citation", "amendment_citations", "full_text"], "primary_keys": ["section_id"], "units": {}, "query": {"sql": "select section_id, title_number, title_name, chapter, subchapter, part_number, part_name, subpart, subpart_name, section_number, section_heading, agency, authority, source_citation, amendment_citations, full_text from cfr_sections where \"part_number\" = :p0 order by section_id limit 101", "params": {"p0": "22"}}, "facet_results": {"title_number": {"name": 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