{"database": "openregs", "table": "cfr_sections", "is_view": false, "human_description_en": "where part_number = 511 sorted by section_id", "rows": [["21:21:6.0.1.1.7.0.1.1", 21, "Food and Drugs", "I", "E", "511", "PART 511\u2014NEW ANIMAL DRUGS FOR INVESTIGATIONAL USE", "", "", "", "\u00a7 511.1 New animal drugs for investigational use exempt from section 512(a) of the Federal Food, Drug, and Cosmetic Act.", "FDA", "", "", "[40 FR 13823, Mar. 27, 1975, as amended at 41 FR 48268, Nov. 2, 1976; 42 FR 15675, Mar. 22, 1977; 50 FR 7517, Feb. 22, 1985; 50 FR 16668, Apr. 26, 1985; 52 FR 8847, Mar. 19, 1987; 54 FR 18280, Apr. 28, 1989; 57 FR 6475, Feb. 25, 1992; 62 FR 40599, July 29, 1997; 72 FR 69121, Dec. 6, 2007; 77 FR 25359, Apr. 30, 2012; 82 FR 61446, Dec. 28, 2017]", "(a) New animal drugs for tests in vitro and in laboratory research animals. (1) A shipment or other delivery of a new animal drug or animal feed bearing or containing a new animal drug intended solely for tests in vitro or in animals used only for laboratory research purposes shall be exempt from section 512 (a) and (m) of the act if it is labeled as follows:\n\nCaution. Contains a new animal drug for investigational use only in laboratory research animals or for tests in vitro. Not for use in humans.\n\nCaution. Contains a new animal drug for investigational use only in laboratory research animals or for tests in vitro. Not for use in humans.\n\n(2) The person distributing or causing the distribution of new animal drugs for tests in vitro or in animals used only for laboratory research purposes under this exemption shall use due diligence to assure that the consignee is regularly engaged in conducting such tests and that the shipment of the new animal drug will actually be used for tests in vitro or in animals used only for laboratory research.\n\n(3) The person who introduced such shipment or who delivered the new animal drug for introduction into interstate commerce shall maintain adequate records showing the name and post office address of the expert or expert organization to whom the new animal drug is shipped and the date, quantity, and batch or code mark of each shipment and delivery for a period of 2 years after such shipment and delivery. Upon the request of a properly authorized employee of the Department at reasonable times, he shall make such records available for inspection and copying.\n\n(4) The exemption allowed in this paragraph shall not apply to any new animal drug intended for in vitro use in the regular course of diagnosing or treating disease, including antibacterial sensitivity discs impregnated with any new animal drug or drugs, which discs are intended for use in determining susceptibility of microorganisms to the new animal drug or drugs.\n\n(b) New animal drugs for clinical investigation in animals. A shipment or other delivery of a new animal drug or an animal feed containing a new animal drug intended for clinical investigational use in animals shall be exempt from section 512(a) and (m) of the act if all the following conditions are met:\n\n(1) The label shall bear the statements:\n\nCaution. Contains a new animal drug for use only in investigational animals in clinical trials. Not for use in humans. Edible products of investigational animals are not to be used for food unless authorization has been granted by the U.S. Food and Drug Administration or by the U.S. Department of Agriculture.\n\nCaution. Contains a new animal drug for use only in investigational animals in clinical trials. Not for use in humans. Edible products of investigational animals are not to be used for food unless authorization has been granted by the U.S. Food and Drug Administration or by the U.S. Department of Agriculture.\n\nIn the case of containers too small or otherwise unable to accommodate a label with sufficient space to bear the caution statements required by paragraph (a) or (b) of this section, the statements may be included on the carton label and other labeling on or within the package from which the new animal drug is to be dispensed.\n\n(2) The person or firm distributing or causing the distribution of the new animal drug or animal feed containing a new animal drug shall use due diligence to assure that the new animal drug or animal feed containing a new animal drug will actually be used for tests in animals and is not used in humans.\n\n(3) The person who introduced such shipment or who delivered the new animal drug or animal feed containing a new animal drug for introduction into interstate commerce shall maintain adequate records showing the name and post office address of the investigator to whom the new animal drug or animal feed containing a new animal drug is shipped and the date, quantity, and batch or code mark of each shipment and delivery for a period of 2 years after such shipment and delivery. Upon the request of a properly authorized employee of the Department at reasonable times, such records shall be made available for inspection and copying.\n\n(4) Prior to shipment of the new animal drug for clinical tests in animals, the sponsor of the investigation shall submit in triplicate to FDA a \u201cNotice of Claimed Investigational Exemption for a New Animal Drug\u201d including a signed statement containing the following information:\n\n(i) The identity of the new animal drug.\n\n(ii) All labeling and other pertinent information to be supplied to the investigators. When such pertinent information includes nonclinical laboratory studies, the information shall include, with respect to each nonclinical study, either a statement that the study was conducted in compliance with the requirements set forth in part 58 of this chapter, or, if the study was not conducted in compliance with such regulations, a brief statement of the reason for the noncompliance.\n\n(iii) The name and address of each clinical investigator.\n\n(iv) The approximate number of animals to be treated (or if not available, the amount of new animal drug to be shipped).\n\n(v) If the new animal drug is given to food-producing animals, the statement shall contain the following additional information:\n\n( a ) A commitment that the edible products from such animals shall not be used for food without prior authorization in accordance with the provisions prescribed in this section.\n\n( b ) Approximate dates of the beginning and end of the experiment or series of experiments.\n\n( c ) The maximum daily dose(s) to be administered to a given species, the size of animal, maximum duration of administration, method(s) of administration, and proposed withdrawal time, if any.\n\n(vi) If a sponsor has transferred any obligations for the conduct of any clinical study to a contract research organization, a statement containing the name and address of the contract research organization, identification of the clinical study, and a listing of the obligations transferred. If all obligations governing the conduct of the study have been transferred, a general statement of this transfer\u2014in lieu of a listing of the specific obligations transferred\u2014may be submitted.\n\n(5) Authorization for use of edible products derived from a treated food-producing animal may be granted under the provisions of this section and when the following specified conditions are met, except that in the case of an animal administered any unlicensed experimental veterinary biological product regulated under the viruses, serums, toxins statute (21 U.S.C., chapter V, sec. 151 et seq. ) the product shall be exempt from the requirements of this section when U.S. Department of Agriculture approval has been obtained as provided in 9 CFR 103.2. Conditional authorization may be granted in advance of identification of the name(s) and address(es) of the clinical investigator(s) as required by paragraph (b)(4)(iii) of this section. Information required for authorization shall include, in addition to all other requirements of this section, the following:\n\n(i) Data to show that consumption of food derived from animals treated at the maximum levels with the minimum withdrawal periods, if any, specified in accordance with paragraph (b)(4)(v)( c ) of this section, will not be inconsistent with the public health; or\n\n(ii) Data to show that food derived from animals treated at the maximum levels and with the minimum withdrawal periods, if any, specified in accordance with paragraph (b)(4)(v)( c ) of this section, does not contain drug residues or metabolites.\n\n(iii) The name and location of the packing plant where the animals will be processed, except that this requirement may be waived, on request, by the terms of the authorization.\n\nAuthorizations granted under this paragraph do not exempt investigational animals and their products from compliance with other applicable inspection requirements. Any person who contests a refusal to grant such authorization shall have an opportunity for a regulatory hearing before FDA pursuant to part 16 of this chapter.\n\n(6) On written request of FDA, the sponsor shall submit any additional information reported to or otherwise received by him with respect to the investigation deemed necessary to facilitate a determination whether there are grounds in the interest of public health for terminating the exemption.\n\n(7) The sponsor shall assure himself that the new animal drug is shipped only to investigators who:\n\n(i) Are qualified by scientific training and/experience to evaluate the safety and/or effectiveness of the new animal drug.\n\n(ii) Shall maintain complete records of the investigations, including complete records of the receipt and disposition of each shipment or delivery of the new animal drug under investigation. Copies of all records of the investigation shall be retained by the investigator for 2 years after the termination of the investigation or approval of a new animal drug application.\n\n(iii) Shall furnish adequate and timely reports of the investigation to the sponsor.\n\n(8) The sponsor:\n\n(i) Shall retain all reports received from investigators for 2 years after the termination of the investigation or approval of a new animal drug application and make such reports available to a duly authorized employee of the Department for inspection at all reasonable times.\n\n(ii) Shall provide for current monitoring of the investigation by a person qualified by scientific training and experience to evaluate information obtained from the investigation, and shall promptly investigate and report to FDA and to all investigators any findings associated with use of the new animal drug that may suggest significant hazards pertinent to the safety of the new animal drug.\n\n(iii) Shall not unduly prolong distribution of the new animal drug for investigational use.\n\n(iv) Shall not, nor shall any person acting for or on behalf of the sponsor, represent that the new animal drug is safe or effective for the purposes for which it is under investigation. This requirement is not intended to restrict the full exchange of scientific information.\n\n(v) Shall not commercially distribute nor test-market the new animal drug until a new animal drug application is approved pursuant to section 512(c) of the act.\n\n(9) If the shipment or other delivery of the new animal drug is imported or offered for importation into the United States for clinical investigational use in animals, it shall also meet the following conditions:\n\n(i) The importer of all such shipments or deliveries is an agent of the foreign exporter residing in the United States or the ultimate consignee, which person has, prior to such shipments and deliveries, informed FDA of his intention to import the new animal drug as sponsor in compliance with the conditions prescribed in this subdivision; or\n\n(ii) The new animal drug is shipped directly to a scientific institution with adequate facilities and qualified personnel to conduct laboratory or clinical investigations and is intended solely for use in such institutions and which institution has submitted a statement as sponsor of the investigation.\n\n(10) The sponsor shall submit either a claim for categorical exclusion under \u00a7 25.30 or \u00a7 25.33 of this chapter or an environmental assessment under \u00a7 25.40 of this chapter.\n\n(c) Disqualification of a clinical investigator. (1) If FDA has information indicating that an investigator (including a sponsor-investigator) has repeatedly or deliberately failed to comply with the conditions of these exempting regulations or has repeatedly or deliberately submitted to FDA or to the sponsor false information in any required report, the Center for Veterinary Medicine will furnish the investigator written notice of the matter complained of and offer the investigator an opportunity to explain the matter in writing, or, at the option of the investigator, in an informal conference. If an explanation is offered and accepted by the Center for Veterinary Medicine, the Center will discontinue the disqualification proceeding. If an explanation is offered but not accepted by the Center for Veterinary Medicine, the investigator will be given an opportunity for a regulatory hearing under part 16 of this chapter on the question of whether the investigator is eligible to receive test articles under this part and eligible to conduct:\n\n(i) Any clinical investigation that supports an application for a research or marketing permit for products regulated by FDA; and\n\n(ii) Any nonclinical laboratory study intended to support an application for a research or marketing permit for a new animal drug.\n\n(2) After evaluating all available information, including any explanation presented by the investigator, if the Commissioner determines that the investigator has repeatedly or deliberately failed to comply with the conditions of the exempting regulations in this subchapter, or has repeatedly or deliberately submitted to FDA or to the sponsor false information in any required report, the Commissioner will notify the investigator and the sponsor of any investigation in which the investigator has been named as a participant that the investigator is not eligible to receive test articles under this part. The notification to the investigator and sponsor will provide a statement of the basis for such determination. The notification also will explain that an investigator determined to be ineligible to receive test articles under this part will be ineligible to conduct:\n\n(i) Any clinical investigation that supports an application for a research or marketing permit for products regulated by FDA, including drugs, biologics, devices, new animal drugs, foods, including dietary supplements, that bear a nutrient content claim or a health claim, infant formulas, food and color additives, and tobacco products; and\n\n(ii) Any nonclinical laboratory study intended to support an application for a research or marketing permit for a new animal drug.\n\n(3) Each application or submission to FDA under the provisions of this chapter containing data reported by an investigator who has been determined to be ineligible to receive FDA-regulated test articles is subject to examination to determine whether the investigator has submitted unreliable data that are essential to the continuation of an investigation or essential to the approval of a marketing application, or essential to the continued marketing of an FDA-regulated product.\n\n(4) If the Commissioner determines, after the unreliable data submitted by the investigator are eliminated from consideration, that the data remaining are inadequate to support a conclusion that it is reasonably safe to continue the investigation, the Commissioner will notify the sponsor, who shall have an opportunity for a regulatory hearing under part 16 of this chapter. If a danger to the public health exists, however, the Commissioner shall terminate the exemption immediately and notify the sponsor of the termination. In such case, the sponsor shall have an opportunity for a regulatory hearing before FDA under part 16 on the question of whether the exemption should be reinstated. The determination that an investigation may not be considered in support of a research or marketing application or a notification or petition submission does not, however, relieve the sponsor of any obligation under any other applicable regulation to submit to FDA the results of the investigation.\n\n(5) If the Commissioner determines, after the unreliable data submitted by the investigator are eliminated from consideration, that the continued approval of the product for which the data were submitted cannot be justified, the Commissioner will proceed to withdraw approval of the product in accordance with the applicable provisions of the relevant statutes.\n\n(6) An investigator who has been determined to be ineligible under paragraph (c)(2) of this section may be reinstated as eligible when the Commissioner determines that the investigator has presented adequate assurances that the investigator will employ all test articles, and will conduct any clinical investigation that supports an application for a research or marketing permit for products regulated by FDA and any nonclinical laboratory study intended to support an application for a research or marketing permit for a new animal drug, solely in compliance with the applicable provisions of this chapter.\n\n(d) Termination of exemption. If the Commissioner finds that:\n\n(1) The sponsor of the investigation has failed to comply with any of the conditions for the exemption established under this section, or\n\n(2) The continuance of the investigation is unsafe or otherwise contrary to the public interest or the drug is being or has been used for purposes other than bona fide scientific investigation, he shall first notify the sponsor and invite his immediate correction. If the conditions of the exemption are not immediately met, the sponsor shall have an opportunity for a regulatory hearing before FDA pursuant of part 16 of this chapter on whether the exemption should be terminated. If the exemption is terminated the sponsor shall recall or have destroyed the unused supplies of the new animal drug.\n\n(e) Statements and requests. \u201cNotice(s) of Claimed Investigational Exemption for a New Animal Drug\u201d and requests for authorization to use investigational animals and their products for food should be addressed to the Department of Health and Human Services, Food and Drug Administration, Center for Veterinary Medicine, 7500 Standish Pl., Rockville, MD 20855.\n\n(f) Contract research organizations. (1) For purposes of this part and part 514, contract research organization means a person that assumes, as an independent contractor with the sponsor, one or more of the obligations of a sponsor, e.g., design of a protocol, selection or monitoring of investigations, evaluation of reports, and preparation of materials to be submitted to FDA.\n\n(2) A sponsor may transfer responsibility for any or all of the obligations set forth in this part to a contract research organization. Any such transfer shall be in writing and, if not all obligations are transferred, shall describe each of the obligations being assumed by the contract research organization. If all obligations are transferred, a general statement that all obligations have been transferred is acceptable. Any obligation not covered by the written description shall be deemed not to have been transferred.\n\n(3) A contract research organization that assumes any obligation of a sponsor shall comply with the specific regulations in this chapter applicable to this obligation and shall be subject to the same regulatory action as a sponsor for failure to comply with any obligation assumed under these regulations. Thus, all references to sponsor in this part apply to a contract research organization to the extent that it assumes one or more obligations of the sponsor.\n\n(g) Index of legally marketed unapproved new animal drugs for minor species. All provisions of part 511 apply to new animal drugs for investigational use in support of indexing, as described in section 572 of the act, subject to the provisions of \u00a7 516.125 of this chapter."], ["21:21:6.0.1.1.7.0.1.2", 21, "Food and Drugs", "I", "E", "511", "PART 511\u2014NEW ANIMAL DRUGS FOR INVESTIGATIONAL USE", "", "", "", "\u00a7 511.3 Definitions.", "FDA", "", "", "[77 FR 25359, Apr. 30, 2012]", "As used in this part:\n\nContract research organization means a person that assumes, as an independent contractor with the sponsor, one or more of the obligations of a sponsor, e.g., design of a protocol, selection or monitoring of investigations, evaluation of reports, and preparation of materials to be submitted to the Food and Drug Administration.\n\nInvestigator means an individual who actually conducts a clinical investigation (i.e., under whose immediate direction the drug is administered or dispensed to a subject). In the event an investigation is conducted by a team of individuals, the investigator is the responsible leader of the team. \u201cSubinvestigator\u201d includes any other individual member of that team.\n\nSponsor means a person who takes responsibility for and initiates a clinical investigation. The sponsor may be an individual or pharmaceutical company, governmental agency, academic institution, private organization, or other organization. The sponsor does not actually conduct the investigation unless the sponsor is a sponsor-investigator. A person other than an individual that uses one or more of its own employees to conduct an investigation that it has initiated is a sponsor, not a sponsor-investigator, and the employees are investigators.\n\nSponsor-Investigator means an individual who both initiates and conducts an investigation, and under whose immediate direction the investigational drug is administered or dispensed. The term does not include any person other than an individual. The requirements applicable to a sponsor-investigator under this part include both those applicable to an investigator and a sponsor."], ["28:28:2.0.3.1.6.2.119.1", 28, "Judicial Administration", "V", "A", "511", "PART 511\u2014GENERAL MANAGEMENT POLICY", "B", "Subpart B\u2014Searching and Detaining or Arresting Non-Inmates", "", "\u00a7 511.10 Purpose and scope.", "BOP", "", "", "", "(a) This subpart facilitates our legal obligations to ensure the safety, security, and orderly operation of Bureau of Prisons (Bureau) facilities, and protect the public. These goals are furthered by carefully managing non-inmates, the objects they bring, and their activities, while inside a Bureau facility or upon the grounds of any Bureau facility (Bureau grounds).\n\n(b) Purpose. This subpart covers:\n\n(1) Searching non-inmates and their belongings (for example, bags, boxes, vehicles, containers in vehicles, jackets or coats, etc.) to prevent prohibited objects from entering a Bureau facility or Bureau grounds;\n\n(2) Authorizing, denying, and/or terminating a non-inmate's presence inside a Bureau facility or upon Bureau grounds; and\n\n(3) Authorizing Bureau staff to remove from inside a Bureau facility or upon Bureau grounds, and possibly arrest and detain, non-inmates suspected of engaging in prohibited activity.\n\n(c) Scope/Application. This subpart applies to all persons who wish to enter, or are present inside a Bureau facility or upon Bureau grounds, other than inmates in Bureau custody. This subpart applies at all Bureau facilities and Bureau grounds, including administrative offices."], ["28:28:2.0.3.1.6.2.119.2", 28, "Judicial Administration", "V", "A", "511", "PART 511\u2014GENERAL MANAGEMENT POLICY", "B", "Subpart B\u2014Searching and Detaining or Arresting Non-Inmates", "", "\u00a7 511.11 Prohibited activities.", "BOP", "", "", "", "(a) \u201cProhibited activities\u201d include any activities that could jeopardize the Bureau's ability to ensure the safety, security, and orderly operation of Bureau facilities, and protect the public, whether or not such activities are criminal in nature.\n\n(b) Examples of \u201cprohibited activities\u201d include, but are not limited to: Introducing, or attempting to introduce, prohibited objects into a Bureau facility or upon Bureau grounds; assisting an escape; and any other conduct that violates criminal laws or is prohibited by federal regulations or Bureau policies."], ["28:28:2.0.3.1.6.2.119.3", 28, "Judicial Administration", "V", "A", "511", "PART 511\u2014GENERAL MANAGEMENT POLICY", "B", "Subpart B\u2014Searching and Detaining or Arresting Non-Inmates", "", "\u00a7 511.12 Prohibited objects.", "BOP", "", "", "", "(a) \u201cProhibited objects,\u201d as defined in 18 U.S.C. 1791(d)(1), include any objects that could jeopardize the Bureau's ability to ensure the safety, security, and orderly operation of Bureau facilities, and protect the public.\n\n(b) Examples of \u201cprohibited objects\u201d include, but are not limited to, the following items and their related paraphernalia: Weapons; explosives; drugs; intoxicants; currency; cameras of any type; recording equipment; telephones; radios; pagers; electronic devices; and any other objects that violate criminal laws or are prohibited by Federal regulations or Bureau policies."], ["28:28:2.0.3.1.6.2.119.4", 28, "Judicial Administration", "V", "A", "511", "PART 511\u2014GENERAL MANAGEMENT POLICY", "B", "Subpart B\u2014Searching and Detaining or Arresting Non-Inmates", "", "\u00a7 511.13 Searches before entering, or while inside, a Bureau facility or Bureau grounds.", "BOP", "", "", "", "Bureau staff may search you and your belongings (for example, bags, boxes, vehicles, containers in vehicles, jackets or coats, etc.) before entering, or while inside, any Bureau facilities or Bureau grounds, to keep out prohibited objects."], ["28:28:2.0.3.1.6.2.119.5", 28, "Judicial Administration", "V", "A", "511", "PART 511\u2014GENERAL MANAGEMENT POLICY", "B", "Subpart B\u2014Searching and Detaining or Arresting Non-Inmates", "", "\u00a7 511.14 Notification of possible search.", "BOP", "", "", "", "We display conspicuous notices at the entrance to all Bureau facilities, informing all non-inmates that they, and their belongings, are subject to search before entering, or while inside, Bureau facilities or grounds. Furthermore, these regulations and Bureau national and local policies provide additional notice that you and your belongings may be searched before entering, or while inside, Bureau facilities or grounds. By entering or attempting to enter a Bureau facility or Bureau grounds, non-inmates consent to being searched in accordance with these regulations and Bureau policy."], ["28:28:2.0.3.1.6.2.119.6", 28, "Judicial Administration", "V", "A", "511", "PART 511\u2014GENERAL MANAGEMENT POLICY", "B", "Subpart B\u2014Searching and Detaining or Arresting Non-Inmates", "", "\u00a7 511.15 When searches will be conducted.", "BOP", "", "", "", "You and your belongings may be searched, either randomly or based on reasonable suspicion, before entering, or while inside, a Bureau facility or Bureau grounds, as follows:\n\n(a) Random Searches. This type of search may occur at any time, and is not based on any particular suspicion that a non-inmate is attempting to bring a prohibited object into a Bureau facility or Bureau grounds.\n\n(1) Random searches must be impartial and not discriminate among non-inmates on the basis of age, race, religion, national origin, or sex.\n\n(2) Non-inmates will be given the option of either consenting to random searches as a condition of entry, or refusing such searches and leaving Bureau grounds. However, if a non-inmate refuses to submit to a random search and expresses an intent to leave Bureau grounds, he or she may still be required to be searched if \u201creasonable suspicion\u201d exists as described in paragraph (b) of this section.\n\n(b) Reasonable Suspicion Searches. Notwithstanding staff authority to conduct random searches, staff may also conduct reasonable suspicion searches to ensure the safety, security, and orderly operation of Bureau facilities, and protect the public. \u201cReasonable suspicion\u201d exists if a staff member knows of facts and circumstances that warrant rational inferences by a person with correctional experience that a non-inmate may be engaged in, attempting, or about to engage in, criminal or other prohibited activity."], ["28:28:2.0.3.1.6.2.119.7", 28, "Judicial Administration", "V", "A", "511", "PART 511\u2014GENERAL MANAGEMENT POLICY", "B", "Subpart B\u2014Searching and Detaining or Arresting Non-Inmates", "", "\u00a7 511.16 How searches will be conducted.", "BOP", "", "", "", "You may be searched by any of the following methods before entering, or while inside, a Bureau facility or Bureau grounds:\n\n(a) Electronically. (1) You and your belongings may be electronically searched for the presence of contraband, either randomly or upon reasonable suspicion.\n\n(2) Examples of electronic searches include, but are not limited to, metal detectors and ion spectrometry devices.\n\n(b) Pat Search. (1) You and your belongings may be pat searched either randomly or upon reasonable suspicion.\n\n(2) A pat search of your person or belongings involves a staff member pressing his/her hands on your outer clothing, or the outer surface of your belongings, to determine whether prohibited objects are present.\n\n(3) Whenever possible, pat searches of your person will be performed by staff members of the same sex. Pat searches may be conducted by staff members of the opposite sex only in emergency situations with the Warden's authorization.\n\n(c) Visual Search. You and your belongings may be visually searched as follows:\n\n(1) Person. (i) A visual search of your person involves removing all articles of clothing, including religious headwear, to allow a visual (non-tactile) inspection of your body surfaces and cavities.\n\n(ii) Visual searches of your person must always be authorized by the Warden or his/her designee and based on reasonable suspicion; random visual searches are prohibited.\n\n(iii) When authorized, visual searches will be performed discreetly, in a private area away from others, and by staff members of the same sex as the non-inmate being searched. Visual searches may be conducted by staff members of the opposite sex in emergency situations with the Warden's authorization.\n\n(iv) Body cavity (tactile) searches of non-inmates are prohibited.\n\n(2) Belongings. A visual search of your belongings involves opening and exposing all contents for visual and manual inspection, and may be done either as part of a random search or with reasonable suspicion.\n\n(d) Drug Testing. (1) You may be tested for use of intoxicating substances by any currently reliable testing method, including, but not limited to, breathalyzers and urinalysis.\n\n(2) Drug testing must always be authorized by the Warden or his/her designee and must be based on reasonable suspicion that you are under the influence of an intoxicating substance upon entering, or while inside, a Bureau facility or Bureau grounds.\n\n(3) Searches of this type will always be performed discreetly, in a private area away from others, and by staff members adequately trained to perform the test. Whenever possible, urinalysis tests will be conducted by staff members of the same sex as the non-inmate being tested. Urinalysis tests may be conducted by staff members of the opposite sex only in emergency situations with the Warden's authorization."], ["28:28:2.0.3.1.6.2.119.8", 28, "Judicial Administration", "V", "A", "511", "PART 511\u2014GENERAL MANAGEMENT POLICY", "B", "Subpart B\u2014Searching and Detaining or Arresting Non-Inmates", "", "\u00a7 511.17 When a non-inmate will be denied entry to or required to leave a Bureau facility or Bureau grounds.", "BOP", "", "", "", "At the Warden's, or his/her designee's, discretion, and based on this subpart, you may be denied entry to, or required to leave, a Bureau facility or Bureau grounds if:\n\n(a) You refuse to be searched under this subpart; or\n\n(b) There is reasonable suspicion that you may be engaged in, attempting, or about to engage in, prohibited activity that jeopardizes the Bureau's ability to ensure the safety, security, and orderly operation of its facilities, or protect the public. \u201cReasonable suspicion,\u201d for this purpose, may be based on the results of a search conducted under this subpart, or any other reliable information."], ["28:28:2.0.3.1.6.2.119.9", 28, "Judicial Administration", "V", "A", "511", "PART 511\u2014GENERAL MANAGEMENT POLICY", "B", "Subpart B\u2014Searching and Detaining or Arresting Non-Inmates", "", "\u00a7 511.18 When Bureau staff can arrest and detain a non-inmate.", "BOP", "", "", "", "(a) You may be arrested and detained by Bureau staff anytime there is probable cause indicating that you have violated or attempted to violate applicable criminal laws while at a Bureau facility, as authorized by 18 U.S.C. 3050.\n\n(b) \u201cProbable cause\u201d exists when specific facts and circumstances lead a reasonably cautious person (not necessarily a law enforcement officer) to believe a violation of criminal law has occurred, and warrants consideration for prosecution.\n\n(c) Non-inmates arrested by Bureau staff under this regulation will be physically secured, using minimally necessary force and restraints, in a private area of the facility away from others. Appropriate law enforcement will be immediately summoned to investigate the incident, secure evidence, and commence criminal prosecution."], ["29:29:3.1.1.1.11.0.88.1", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.1 General method for issuance of wage orders.", "DOL-WHD", "", "", "[55 FR 53298, Dec. 28, 1990]", "Pursuant to authority delegated by the Secretary of Labor, the Administrator of the Wage and Hour Division publishes the orders that are required by statute to make the recommendations of industry committees effective as wage orders under section 6(a)(3) of the Fair Labor Standards Act. The wage orders issued by the Administrator must by law give effect to the recommendations of the industry committees. All wage order proceedings will be conducted in accordance with the standards provided in the Administrative Procedure Act as interpreted and applied in this part."], ["29:29:3.1.1.1.11.0.88.10", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.10 Subjects and issues.", "DOL-WHD", "", "", "[55 FR 53298, Dec. 28, 1990]", "(a) The declared policy of the Act with respect to industries or enterprises in American Samoa engaged in commerce or in the production of goods for commerce is to reach as rapidly as is economically feasible without substantially curtailing employment the object of the minimum wage rate that would apply in each such industry under paragraph (1) of section 6(a) but for section 6(a)(3) of the Act. Each industry committee shall recommend to the Administrator the highest minimum wage rates for the industry that it determines, having due regard to economic and competitive conditions, will not substantially curtail employment in the industry and will not give any industry in American Samoa a competitive advantage over any industry in the United States outside of American Samoa; except that the committee shall recommend to the Secretary the minimum wage rate prescribed in section 6(a)(1), that would be applicable but for section 6(a)(3), unless there is evidence in the record that establishes that the industry, or a predominant portion thereof, is unable to pay that wage due to such economic and competitive conditions.\n\n(b) Whenever the industry committee finds that a higher minimum wage may be determined for employees engaged in certain activities or in the manufacture of certain products in the industry than may be determined for other employees in the industry, the industry committee shall recommend such reasonable classifications within the industry as it determines to be necessary for the purpose of fixing for each classification the highest minimum wage rate (not in excess of that prescribed in paragraph (1) of section 6(a) of the Act) that can be determined for it under the principles set out in this section that will not substantially curtail employment in such classification and will not give a competitive advantage to any group in that industry. No classification shall be made, however, and no minimum wage rate shall be fixed solely on a regional basis or on the basis of age or sex. In determining whether there should be classifications within an industry, in making such classifications, and in determining the minimum wage rate for each classification, the committee shall consider, among other relevant factors, the following:\n\n(1) Competitive conditions as affected by transportation, living and production costs;\n\n(2) The wages established for work of like or comparable character by collective labor agreements negotiated between employers and employees by representatives of their own choosing; and\n\n(3) The wages paid for work of like or comparable character by employers who voluntarily maintain minimum wage standards in the industry."], ["29:29:3.1.1.1.11.0.88.11", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.11 Pertinent data.", "DOL-WHD", "", "", "[55 FR 12120, Mar. 30, 1990]", "Among the types of data which may be considered pertinent to the subjects and issues delineated in \u00a7 511.10, are those revealing:\n\n(a) Employment and labor conditions and trends in American Samoa, and on the mainland, particularly since the promulgation of the presently applicable wage order, including such items as present and past employment, present wage rates and fringe benefits, changes in average hourly earnings or wage structure, provisions of collective bargaining agreements, hours of work, labor turnover, absenteeism, productivity, learning periods, rejection rates, and similar factors;\n\n(b) Market conditions and trends in American Samoa, and on the mainland, including changes in the volume and value of production, market outlets, price changes, style factors, consumer demand, competitive relationships, tariff rates, and similar marketing factors;\n\n(c) Comparative production costs in American Samoa, on the mainland, and in foreign countries, together with the factors responsible for differences;\n\n(d) Financial conditions and trends since promulgation of the present wage order as reflected in profit and loss statements and balance sheets; and\n\n(e) Data bearing on proper definitions of classifications within an industry."], ["29:29:3.1.1.1.11.0.88.12", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.12 Committee and subcommittee meetings.", "DOL-WHD", "", "", "[55 FR 53299, Dec. 28, 1990]", "(a) The full committee, or a quorum thereof, will convene at the time and place appointed for an initial prehearing meeting as provided in the Secretary's order initiating the proceedings (note \u00a7 511.2). The full committee acting through a quorum will decide at that meeting whether it will preside at the reception at the hearing or will authorize a subcommittee to preside. Any resolution authorizing a subcommittee to hold the hearing shall provide a period of 30 days after:\n\n(1) The subcommittee has filed its recommended report and\n\n(2) A transcript of the subcommittee hearing is made available to the parties, for the parties to file exceptions to the recommended report, and the committee shall meet promptly thereafter on call of its chairperson or the Administrator to consider exceptions and prepare its final report.\n\n(b) A committee may adjourn its meeting or hearing, or both, from time to time, and meet again, at hearing or otherwise, pursuant to the terms of adjournment, or on call of its chairperson or the Administrator."], ["29:29:3.1.1.1.11.0.88.13", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.13 Evidence.", "DOL-WHD", "", "", "[55 FR 53299, Dec. 28, 1990]", "In accordance with the notice of hearing, the committee and any authorized subcommittee will take official notice of the facts stated in the economic report to the extent they are not refuted by evidence received at the hearing. Other pertinent evidence available to the Department of Labor may be presented at the hearing. The committee itself may call witnesses not otherwise scheduled to testify. Oral or documentary evidence may be received, but the committee shall exclude irrelevant, immaterial, and unduly repetitious evidence. Every interested person who has met the requirements for participation as a party shall have the right to present his or her case by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination of witnesses called by others as may be required for a full and true disclosure of the facts. Testimony on behalf of an employer or group of employers as to inability to pay the minimum wage rate specified in paragraph (1) of section 6(a) of the Act, or as to inability to adjust to a higher minimum wage rate than prescribed by any applicable wage order of the Secretary, shall be supported by tangible objective data filed as part of the prehearing statement under \u00a7 511.8. Financial or other data shall include data for the most recent year or fraction thereof for which data are available. Financial statements filed in accordance with this provision, except those relating to a period of less than a full fiscal year or a fiscal year ending less than 90 days prior to the filing of the prehearing statement, shall be certified by an independent public accountant or shall be sworn to conform to and be consistent with the corresponding income tax returns covering the same years. Evidence of witnesses not present at the hearing may be submitted only by affidavits received with, or as a part of, a prehearing statement that meets the requirements of \u00a7 511.8 and satisfactorily explains why each affiant cannot be present. Such affidavits will be received in evidence to the same extent that testimony from affiants would have been admitted had they been present. The committee will give such weight to these statements as it considers appropriate, and the fact that such affiants have not been subject to cross-examination may be considered, along with other relevant facts, in assessing the weight to be given such evidence."], ["29:29:3.1.1.1.11.0.88.14", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.14 Procedure for receiving evidence.", "DOL-WHD", "", "", "[21 FR 7669, Oct. 6, 1956, as amended at 55 FR 53299, Dec. 28, 1990]", "(a) All testimony shall be given under oath or affirmation. Any party shall have the right to appear in person, by counsel, or by other specified representative. Misconduct at any hearing shall be grounds for summary exclusion from the hearing. The committee shall limit the testimony of any witness where appropriate to prevent the hearing from becoming unduly prolonged. The refusal of a witness to answer any question which has been ruled to be proper shall, in the discretion of the committee, be ground for striking all testimony given by the witness on related matters.\n\n(b) Unless otherwise directed by the committee, witnesses shall be called in the following order: The committee economist qualified to testify concerning the content and preparation of the economic report, other witnesses called by the Department of Labor, witnesses called by the parties, other witnesses. Unless otherwise directed by the committee, all witnesses other than those called by the parties shall be examined in the following order: By committee counsel, by committee economist, by committee members, by the parties or their representatives. Witnesses called by the parties shall be examined first by the party calling them or by the party's specified representative, and then in the order herein indicated for all other witnesses. Redirect examination may be permitted at the discretion of the committee. Rebuttal evidence may be offered in the order and manner in this section provided for other evidence. To the extent not specified in this section, the order for calling and examining witnesses shall be specified by the chairperson of the committee or subcommittee."], ["29:29:3.1.1.1.11.0.88.15", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.15 Submittals prior to reports.", "DOL-WHD", "", "", "", "As soon as the receipt of evidence is concluded, a committee or subcommittee presiding at a hearing shall receive any proposed findings of fact and recommendations together with the reasons therefor submitted by any party. These submittals shall be oral unless otherwise directed by the committee or subcommittee. If, in the discretion of the committee or subcommittee such proposals should be in writing, it may grant such additional time as it deems essential."], ["29:29:3.1.1.1.11.0.88.16", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.16 Reports.", "DOL-WHD", "", "", "[55 FR 53299, Dec. 28, 1990]", "Promptly after receipt of submissions under \u00a7 511.15, the committee or subcommittee will resolve the issues before it and prepare a report containing its findings of fact and recommendations. The report shall contain the committee's or the subcommittee's findings and conclusions as well as the reasons or basis therefor upon all the material issues of fact, law, or discretion presented on the record. When a committee, acting through a quorum, has presided at the reception of evidence, this report shall be its final report on the matters referred to it. Where, however, a subcommittee has presided at the reception of evidence, this report shall be an initial report, and the committee shall meet thereafter to review the report and rule on exceptions in its final report. Where the committee presides at the reception of evidence and proceeds to final decision, every party shall be regarded as having objected to any wage rate or classification at variance with any the party proposed in the party's prehearing statements unless the party accepted such a rate or classification in any submittal made pursuant to \u00a7 511.15. A copy of the report shall be signed by each member of the committee who approves it, either at a meeting of the committee or by circulation of one or more copies among the members of the committee. At any time within 3 days after the committee report is signed by those who approve it, members dissenting therefrom may collectively or individually submit signed reports stating the reasons for their dissent."], ["29:29:3.1.1.1.11.0.88.17", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.17 Records.", "DOL-WHD", "", "", "[55 FR 53300, Dec. 28, 1990]", "Each industry committee shall keep a journal recording the time and place of all its meetings, the members present, the votes, and other formal proceedings, including the appointment of subcommittees. Subcommittees shall keep a similar journal. No report of committee or subcommittee discussions need be included. All hearings shall be recorded. The record of any hearing before any subcommittee shall be transcribed. All hearings before a committee shall also be transcribed in whole or in part whenever the Administrator so directs upon his or her own motion or upon the motion of any party or any person compelled to submit data or evidence and upon the payment of costs prescribed by the Administrator. Promptly after completion of the committee's final report, the committee chairperson shall certify the report and transmit it to the Administrator. As soon as practicable thereafter, the committee staff shall transmit to the Administrator:\n\n(a) All committee and subcommittee journals;\n\n(b) All applications for leave to participate as parties together with the record of action thereon; and,\n\n(c) The record, including any transcript of the testimony and exhibits, together with all papers and requests filed in the proceedings.\n\nThese documents shall be available for inspections and copying by interested persons at the Office of the Administrator during usual business hours."], ["29:29:3.1.1.1.11.0.88.18", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.18 Publication and effective date of wage order.", "DOL-WHD", "", "", "", "Promptly after receipt of the committee report the Administrator shall publish the committee recommendations in the Federal Register and shall provide by order that the recommendations contained in such report shall take effect upon the expiration of 15 days after the date of such publication."], ["29:29:3.1.1.1.11.0.88.19", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.19 Petitions.", "DOL-WHD", "", "", "[55 FR 53300, Dec. 28, 1990]", "Any interested person may at any time file a petition with the Administrator for an amendment to the regulations contained in this part or for an amendment to a wage order applicable to that person. In view of the statutory requirement that the minimum rates of wages established by order under section 6 of the Act be reviewed by an industry committee at least biennially, substantial cause must be shown in support of any petition for an amendment of a wage order out of regular course. Any interested person may also file a petition at any time with the Administrator for a public hearing under section 13(e) of the Act to determine whether economic conditions warrant rules or regulations providing reasonable limitations or allowing reasonable variations, tolerances, or exemptions to or from any or all of the provisions of section 7 of the Act with respect to employees in American Samoa for whom the Secretary of Labor has established minimum wage rates under section 6(a)(3) of the Act and the regulations contained in this part. Whenever it appears to the Secretary of Labor, by reason of such a petition or otherwise, to be probable that such a hearing is likely to reveal that economic conditions warrant such action, notice of such hearing specifying the procedure to be followed will be published in the Federal Register."], ["29:29:3.1.1.1.11.0.88.2", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.2 Initiation of proceedings; notices of hearings.", "DOL-WHD", "", "", "[26 FR 6513, July 20, 1961, as amended at 55 FR 12120, Mar. 30, 1990]", "(a) Wage order proceedings are initiated by order of the Secretary, published in the Federal Register, giving notice of hearings by industry committees to recommend the minimum rate or rates of wages to be paid under section 6 of the Act to employees in American Samoa engaged in commerce or in the production of goods for commerce or in any enterprise engaged in commerce or in the production of goods for commerce. These orders will contain a definition of the particular industry in American Samoa, for which the committee is to make its recommendations, or these orders will direct the committee to recommend the minimum rate or rates of wages for all industry in American Samoa. All such orders will make provision for convening the committee. Any particular industry defined in such an order may be a trade, business, industry, or branch thereof, or group of industries, in which individuals are gainfully employed.\n\n(b) These orders will also give reasonable notice (1) of the time and place of the commencement of the hearing of such witnesses and receiving of such evidence as may be necessary or appropriate to enable the committee to perform its duties and functions under the Act, (2) of the general nature of the wage order proceedings and the authority under which they are proposed, (3) of the subjects and issues involved, and (4) that the committee will take official notice of the economic report (note \u00a7 511.13) and the parties will have an opportunity at the hearing to show any contrary or additional facts."], ["29:29:3.1.1.1.11.0.88.3", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.3 Composition and appointment of committees.", "DOL-WHD", "", "", "[55 FR 53298, Dec. 28, 1990]", "An industry committee will be composed of residents of American Samoa and residents of the United States outside of American Samoa. The Secretary will appoint as members of each committee an equal number of persons representing:\n\n(a) The public,\n\n(b) Employees in the industry, and\n\n(c) Employers in the industry.\n\nThe public members shall be disinterested, and the Secretary will designate one as chairperson. For purposes of this section only, the definition of the industry shall be considered to include all such industry throughout the United States, its territories and possessions."], ["29:29:3.1.1.1.11.0.88.4", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.4 Compensation of committee members.", "DOL-WHD", "", "", "[58 FR 34524, June 28, 1993]", "Each member of an industry committee will be allowed per diem compensation at the rate specified in Chapter 304 of the Department of Labor Supplement to the Federal Personnel Manual for each day actually spent in the work of the committee, and will, in addition, be reimbursed for necessary transportation and other expenses incident to traveling in accordance with Standard Government Travel Regulations then in effect. All travel expenses will be paid on travel vouchers certified by the Administrator or an authorized representative. Any other necessary expenses that are incidental to the work of the committee may be incurred by the committee upon approval of, and shall be paid upon, certification of the Administrator or an authorized representative."], ["29:29:3.1.1.1.11.0.88.5", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.5 Vacancies and dissolution of committees.", "DOL-WHD", "", "", "[27 FR 10651, Nov. 1, 1962]", "The Secretary will appoint persons to fill any vacancies occurring in industry committees. If an industry committee is unable to arrive at a recommendation within a reasonable time, or refuses to make a recommendation, it may be dissolved by the Secretary. An industry committee shall cease to perform further functions when it has filed with the Administrator its report containing its findings of fact and recommendations with respect to the matters referred to it, and shall not again perform any functions with respect to any matter reported on, unless and until directed by the Administrator. An industry committee shall be dissolved automatically when its recommendations are no longer subject to review under section 10 of the Act."], ["29:29:3.1.1.1.11.0.88.6", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.6 Investigation.", "DOL-WHD", "", "", "[55 FR 53298, Dec. 28, 1990]", "The Administrator shall prepare an economic report containing such data as can be assembled pertinent to the matters to be referred to a committee. A copy of these regulations will be sent to all members of the committee following their appointment, and a copy of the economic report when completed will be furnished promptly. Before making its report the committee will decide whether it will conduct any further investigation, apart from the hearing and the review of the economic report, in connection with the matters referred to it."], ["29:29:3.1.1.1.11.0.88.7", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.7 Committee staff.", "DOL-WHD", "", "", "", "Each industry committee will be furnished a lawyer, to serve as committee counsel, and an economist, to serve as committee economist. Committee counsel shall advise the committee on the issues of law, including interpretations of these regulations and the legal scope of the committee's discretion, which arise during the committee proceedings. The committee counsel and economist shall be available to advise and assist the committee at all of its meetings. The Administrator shall furnish the committee with adequate stenographic, clerical, and other assistance."], ["29:29:3.1.1.1.11.0.88.8", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.8 Prehearing statements.", "DOL-WHD", "", "", "[25 FR 14024, Dec. 31, 1960, as amended at 55 FR 53298, Dec. 28, 1990]", "(a) Every employer, employee, trade association, trade union, or group of employers, employees, associations, or unions in the industry as defined, or in such industry elsewhere in the United States, and every other person who, in the judgment of the committee has an interest sufficient to justify the participation proposed by such party, shall be considered an interested person. No member of the committee may participate as an interested person.\n\n(b) Any interested person who wishes to participate on his or her own behalf or by counsel shall file a written prehearing statement within such period of time as may be prescribed in a notice of hearing, or other notice published in the Federal Register. The number of copies of such statements and the time and places for filing them will be specified in notices of hearings. The prehearing statement shall describe the person's interest in the proceeding and shall contain:\n\n(1) The prepared statement he or she proposes to give, if any;\n\n(2) A statement of the individual classifications and minimum wage rates, if any, he or she proposes to support;\n\n(3) The written data he or she proposes to introduce in evidence, including all tangible objective data to be submitted pursuant to \u00a7 511.13;\n\n(4) The names and addresses of the witnesses he or she proposes to call and a summary of the evidence he or she proposes to develop;\n\n(5) The name and address of the individual who will present his or her case; and\n\n(6) A statement of the approximate length of time his or her case will take.\n\nIf the prehearing statement is in conformity with the above requirements, the person shall have the right to participate as a party. In accordance with section 6(c) of the Administrative Procedure Act, the industry committee shall, after considering the advice of committee counsel, issue subpoenas, authorized by section 9 of the Fair Labor Standards Act of 1938, to parties who make a request therefor accompanied by a clear showing of general relevance and reasonable scope of the evidence sought.\n\n(c) Prehearing statements of parties shall be made available for examination at the offices where they are filed. Each person who files a prehearing statement should, if requested, make himself or herself available for conference with the committee staff to make any needed clarification of his or her prehearing statement, and arrange details of presenting his or her testimony or case.\n\n(d) In exceptional circumstances a person who has not filed the prehearing statement required by this section and who does not appear on a witness list filed by a party may nevertheless be permitted, in the discretion of the committee, to offer testimony."], ["29:29:3.1.1.1.11.0.88.9", 29, "Labor", "V", "A", "511", "PART 511\u2014WAGE ORDER PROCEDURE FOR AMERICAN SAMOA", "", "", "", "\u00a7 511.9 Requirements for quorum and decisions.", "DOL-WHD", "", "", "[55 FR 53298, Dec. 28, 1990]", "Two-thirds of the members of an industry committee shall constitute a quorum. Approval by a majority of all of the members of an industry committee or subcommittee shall be required for its report. Except as otherwise provided in this part, the chairperson of the industry committee or subcommittee may make other decisions for the committee or subcommittee, but each such decision shall be subject to approval of a majority of the members present if any member objects."], ["49:49:6.1.2.3.5.1.1.1", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "A", "Subpart A\u2014Scope of Rules; Nature of Adjudicative Proceedings, Definitions", "", "\u00a7 511.1 Scope of the rules.", "NHTSA", "", "", "", "This part establishes rules of practice and procedure for adjudicative proceedings conducted pursuant to section 508(a)(2) of the Motor Vehicle Information and Cost Savings Act (15 U.S.C. Pub. L. 94-163, 89 Stat. 911, section 2008(a)(2)), which are required by statute to be determined on the record after opportunity for a public hearing."], ["49:49:6.1.2.3.5.1.1.2", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "A", "Subpart A\u2014Scope of Rules; Nature of Adjudicative Proceedings, Definitions", "", "\u00a7 511.2 Nature of adjudicative proceedings.", "NHTSA", "", "", "", "Adjudicative proceedings shall be conducted in accordance with title 5, U.S.C., sections 551 through 559 and this part. It is the policy of the agency that adjudicative proceedings shall be conducted expeditiously and with due regard to the rights and interests of all persons affected, and to the public interest. Therefore, the presiding officer and all parties shall make every effort at each stage of a proceeding to avoid unnecessary delay."], ["49:49:6.1.2.3.5.1.1.3", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "A", "Subpart A\u2014Scope of Rules; Nature of Adjudicative Proceedings, Definitions", "", "\u00a7 511.3 Definitions.", "NHTSA", "", "", "[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15782, May 3, 1988]", "(a) As used in this part:\n\n(1) The term application means an ex parte request by a party for an order that may be granted or denied without opportunity for response by any other party.\n\n(2) The term NHTSA means the National Highway Traffic Safety Administration.\n\n(3) The term Administrator means the Administrator of the National Highway Traffic Safety Administration.\n\n(4) The term Complaint Counsel means prosecuting counsel for the NHTSA.\n\n(5) The term motion means a request by a party for a ruling or order that may be granted or denied only after opportunity for response by each affected party.\n\n(6) The term party means the NHTSA, and any person named as a respondent in a proceeding governed by this part.\n\n(7) The term person means any individual, partnership, corporation, association, public or private organization, or Federal, State or municipal governmental entity.\n\n(8) The term petition means a written request, made by a person or a party and addressed to the Presiding Officer or the Administrator, that the addressee take some action.\n\n(9) The term Presiding Officer means the person who conducts an adjudicative hearing under this part, who shall be an administrative law judge qualified under title 5, U.S.C., section 3105 and assigned by the Chief Administrative Law Judge, Office of Hearings, United States Department of Transportation.\n\n(10) The term Respondent means any person against whom a complaint has been issued.\n\n(11) The term Office of Hearings means the Officer of Hearings, Department of Transportation.\n\n(12) The term staff means the staff of the National Highway Traffic Safety Administration.\n\n(13) The term Chief Administrative Law Judge means the Chief Administrative Law Judge of the Office of Hearings, Department of Transportation.\n\n(14) The term Docket Section means the Docket Section, Office of the Secretary of Transportation."], ["49:49:6.1.2.3.5.2.1.1", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "B", "Subpart B\u2014Pleadings; Form; Execution; Service of Documents", "", "\u00a7 511.11 Commencement of proceedings.", "NHTSA", "", "", "", "(a) Notice of institution of an enforcement proceeding. An adjudicative proceeding under this part is commenced by the issuance of a complaint by the NHTSA.\n\n(b) Form and content of complaint. The complaint shall be signed by the Complaint Counsel and shall contain the following:\n\n(1) Recital of the legal authority for instituting the proceeding, with specific designation of the statutory provisions involved in each allegation.\n\n(2) Identification of each respondent.\n\n(3) A clear and concise statement of the charges, sufficient to inform each respondent with reasonable definiteness of the factual basis of the allegations of violation. A list and summary of documentary evidence supporting the charges shall be attached.\n\n(4) A statement of the civil penalty which the Complaint Counsel believes is in the public interest, or which is required by law. In the case of civil penalties assessed for violations of section 507(3) of the Motor Vehicle Information and Cost Savings Act (15 U.S.C. 2007(3)), the amount of such penalty shall be calculated from the time of the alleged violation. In the case of civil penalties assessed for violations of section 507 (1) or (2) of that Act, any monetary credits available to offset those civil penalties shall be specified.\n\n(5) The right of the respondent to a hearing on the alleged violations.\n\n(c) Notice to the public. Once a complaint is issued, notice of it shall be immediately submitted to the Federal Register for publication. The notice in the Federal Register shall briefly describe the nature of the proceeding and state that petitions to participate in the proceeding must be filed no later than the first prehearing conference."], ["49:49:6.1.2.3.5.2.1.2", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "B", "Subpart B\u2014Pleadings; Form; Execution; Service of Documents", "", "\u00a7 511.12 Answer.", "NHTSA", "", "", "", "(a) Time for filing. A respondent shall have twenty (20) days after service of a complaint within which to file an answer.\n\n(b) Content of answer. An answer shall conform to the following:\n\n(1) Request for hearing. Respondent shall state whether it requests a full, adjudicatory hearing or whether it desires to proceed on the basis of written submissions. If a hearing is requested, respondent shall specify those issues on which a hearing is desired.\n\n(2) Contested allegations. An answer in which the allegations of a complaint are contested shall contain:\n\n(i) Specific admission or denial of each allegation in the complaint. If the respondent is without knowledge or information sufficient to form a belief as to the truth of an allegation, respondent shall so state. Such a statement shall have the effect of a denial. Denials shall fairly meet the substance of the allegations denied. Allegations not thus answered shall be deemed to have been admitted.\n\n(ii) A concise statement of the factual and/or legal defenses to each allegation of the complaint.\n\n(3) Admitted allegations. If the respondent admits or fails to deny any factual allegation, he or she shall be deemed to have waived a hearing as to such allegation.\n\n(c) Default. Failure of the respondent to file an answer within the time provided (or within an extended time, if provided), shall be deemed to constitute a waiver of the right to appear and contest the allegations set forth in the complaint and to authorize the Presiding Officer to make such findings of fact as are reasonable under the circumstances."], ["49:49:6.1.2.3.5.2.1.3", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "B", "Subpart B\u2014Pleadings; Form; Execution; Service of Documents", "", "\u00a7 511.13 Amendments and supplemental pleadings.", "NHTSA", "", "", "", "Whenever determination of a controversy on the merits will be facilitated thereby, the Presiding Officer upon motion, may allow appropriate amendments and supplemental pleadings which do not unduly broaden the issues in the proceeding or cause undue delay."], ["49:49:6.1.2.3.5.2.1.4", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "B", "Subpart B\u2014Pleadings; Form; Execution; Service of Documents", "", "\u00a7 511.14 Form and filing of documents.", "NHTSA", "", "", "[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15782, May 3, 1988]", "(a) Filing. Except as otherwise provided, all documents submitted to the Administrator or a Presiding Officer shall be filed with the Docket Section, Office of the Secretary, Department of Transportation, Room 4107, 400 Seventh Street, SW., Washington, DC 20590. Documents may be filed in person or by mail and shall be deemed filed on the day of filing or mailing.\n\n(b) Caption. Every document shall contain a caption setting forth the name of the action in connection with which it is filed, the docket number, and the title of the document.\n\n(c) Copies. An original and nine (9) copies of all documents shall be filed. Documents may be reproduced by printing or any other process, provided that all copies filed are clear and legible.\n\n(d) Signature. (1) The original of each document filed shall be signed by a representative of record for the party; or in the case of parties not represented, by the party; or by a partner, officer, or regular employee of any corporation, partnership, or association, who files an appearance on behalf of the party.\n\n(2) The act of signing a document constitutes a representation by the signer that the signer has read it; that to the best of the signer's knowledge, information and belief, the statements made in it are true; and that it is not filed for purposes of delay."], ["49:49:6.1.2.3.5.2.1.5", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "B", "Subpart B\u2014Pleadings; Form; Execution; Service of Documents", "", "\u00a7 511.15 Time.", "NHTSA", "", "", "", "(a) Computation. In computing any period of time prescribed or allowed by the rules in this part, the day of the act, event, or default from which the designated period of time begins to run shall not be included. The last day of the period so computed shall be included, unless it is a Saturday, a Sunday, or a legal holiday, in which event the period runs until the end of the next day which is not a Saturday, a Sunday, or a legal holiday. When the period of time prescribed or allowed is less than 7 days, intermediate Saturdays, Sundays, and legal holidays shall be excluded in the computation. As used in this part, \u201clegal holiday\u201d includes New Year's Day, Washington's Birthday, Memorial Day, Independence Day, Labor Day, Columbus Day, Veteran's Day, Thanksgiving Day, Christmas Day, and any other day appointed as a holiday by the President or the Congress of the United States.\n\n(b) Additional time after service by mail. Whenever a party is required or permitted to do an act within a prescribed period after service of a document and the document is served by mail, three (3) days shall be added to the prescribed period.\n\n(c) Extensions. For good cause shown, the Presiding Officer may extend any time limit prescribed or allowed under this part or by order of the Administrator or the Presiding Officer, except those governing the filing of interlocutory appeals and appeals from Initial Decisions and those expressly requiring the Administrator's action. Except as otherwise provided by law, the Administrator, for good cause shown, may extend any time limit prescribed under this part, or by order of the Administrator or the Presiding Officer. A party or participant may petition the Presiding Officer or the Administrator, as appropriate, for an extension under this paragraph. Such a petition shall be filed prior to the occurrence of the time limit which is the subject of the petition."], ["49:49:6.1.2.3.5.2.1.6", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "B", "Subpart B\u2014Pleadings; Form; Execution; Service of Documents", "", "\u00a7 511.16 Service.", "NHTSA", "", "", "[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]", "(a) Mandatory service. Every document filed with the Office of Hearings shall be served upon all parties and participants to a proceeding, i.e., Complaint Counsel, respondent(s), and participants, and upon the Presiding Officer.\n\n(b) Service of complaint, ruling, order, decision, or subpoena. Service of a complaint, ruling, order, decision, or subpoena may be effected as follows:\n\n(1) By registered or certified mail. A copy of the document shall be addressed to the person, partnership, corporation or unincorporated association to be served at his or its residence or principal office or place of business; registered or certified; and mailed; or\n\n(2) By delivery to an individual. A copy of the document may be delivered to the person to be served; or to a member of the partnership to be served; or to the president, secretary, or other executive officer, or a director of the corporation or unincorporated association to be served; or to an agent authorized by appointment or by law to receive service; or\n\n(3) By delivery to an address. A copy of the document may be left at the principal office or place of business of the person, partnership, corporation, unincorporated association, or authorized agent with an officer, a managing or general agent; or it may be left with a person of suitable age and discretion residing therein, at the residence of the person or of a member of the partnership or of an executive officer, director, or agent of the corporation or unincorporated association to be served.\n\n(c) Service of documents with prescribed response periods. When service of a document starts the running of a prescribed period of time for the submission of a responsive document or the occurrence of an event, the document shall be served as provided in paragraph (b) of this section.\n\n(d) Service of other documents. All documents other than those specified in paragraph (c) of this section may be served as provided in paragraph (b) of this section, or by ordinary first-class mail, properly addressed, postage prepaid.\n\n(e) Service on a representative. When a party has appeared by an attorney or other representative, service upon that attorney or other representative shall constitute service on the party.\n\n(f) Certificate of service. The original of every document filed with the agency and required to be served upon all parties to a proceeding shall be accompanied by a certificate of service signed by the party making service, stating that such service has been made upon each party to the proceeding. Certificates of service may be in substantially the following form:\n\nI hereby certify that I have this day served the foregoing document upon all parties of record in this proceeding by mailing, postage prepaid (or by delivering in person) a copy to each such party.\n \n Dated at ____________________ this ____ day of ____________________, 19____.\n \n (Signature)\n \n For\n\nI hereby certify that I have this day served the foregoing document upon all parties of record in this proceeding by mailing, postage prepaid (or by delivering in person) a copy to each such party.\n\nDated at ____________________ this ____ day of ____________________, 19____.\n\n(g) Date of service. The date of service of a document shall be the date on which the document is deposited in the United States mail or is delivered in person."], ["49:49:6.1.2.3.5.2.1.7", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "B", "Subpart B\u2014Pleadings; Form; Execution; Service of Documents", "", "\u00a7 511.17 Public participation.", "NHTSA", "", "", "[53 FR 15783, May 3, 1988]", "Participant Status. Any person interested in a proceeding commenced pursuant to \u00a7 511.11 who desires to participate in the proceeding, shall file with the Docket Section a notice of intention to participate in the proceeding and shall serve a copy of such notice on each party to the proceeding. A notice of intention to participate shall be filed not later than the commencement of the hearing. Untimely filings will not be accepted absent a determination by the Presiding Officer that the person making the request has made a substantial showing of good cause for failure to file on time. Any person who files a notice to participate in the proceeding as a nonparty shall be known as a \u201cparticipant\u201d and shall have the rights specified in \u00a7 511.41(d)."], ["49:49:6.1.2.3.5.2.1.8", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "B", "Subpart B\u2014Pleadings; Form; Execution; Service of Documents", "", "\u00a7 511.18 Joinder of proceedings.", "NHTSA", "", "", "", "Two or more matters which have been scheduled for adjudicative proceedings, and which involve one or more common questions of law or fact, may be consolidated for the purpose of hearing, appeal or the Administrator's review. A motion for consolidation for the purpose of hearing may be filed with the Presiding Officer by any party to such proceedings not later than thirty (30) days prior to the hearing. A motion for consolidation for the purpose of appeal may be filed by any party to such proceedings within 10 days after issuance of the Initial Decision. A motion to consolidate shall be served upon all parties to all proceedings whose joinder is contemplated. The proceedings may be consolidated where to do so would tend to avoid unnecessary costs or delay. Such consolidation may also be ordered upon the initiative of the Presiding Officer or the Administrator, as appropriate. The Presiding Officer may order separate hearings on any issue where to do so would promote economy or convenience or would avoid prejudice to a party."], ["49:49:6.1.2.3.5.3.1.1", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "C", "Subpart C\u2014Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement", "", "\u00a7 511.21 Prehearing conferences.", "NHTSA", "", "", "", "(a) When held. (1) A prehearing conference shall be held in person or by conference telephone call, except in unusual circumstances, approximately fifty (50) days after publication in the Federal Register of the complaint, upon ten (10) days notice to all parties and participants, to consider any or all the following:\n\n(i) Motions for consolidation of proceedings;\n\n(ii) Identification, simplification and clarification of the issues;\n\n(iii) Necessity or desirability of amending the pleadings;\n\n(iv) Stipulations and admissions of fact and of the content and authenticity of documents;\n\n(v) Oppositions to notices of oral examination;\n\n(vi) Motions for protective orders to limit or modify discovery;\n\n(vii) Issuance of subpoenas to compel the appearance of witnesses and the production of documents;\n\n(viii) Limitation of the number of witnesses, particularly the avoidance of duplicate expert witnesses;\n\n(ix) Matters of which official notice will be taken and matters which may be resolved by reliance upon findings of other Federal agencies; and\n\n(x) Other matters which may expedite the conduct of the hearing."], ["49:49:6.1.2.3.5.3.1.2", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "C", "Subpart C\u2014Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement", "", "\u00a7 511.22 Prehearing briefs.", "NHTSA", "", "", "", "Not later ten (10) days prior to the hearing, the parties shall, except when ordered otherwise by the Presiding Officer in unusual circumstances, simultaneously serve and file prehearing briefs, which shall set forth (a) a statement of the facts expected to be proved, and of the anticipated order of proof; (b) a statement of the issues and the legal argument in support of the party's contentions with respect to each issue; and (c) a table of authorities with a designation by asterisk of the principal authorities relied upon."], ["49:49:6.1.2.3.5.3.1.3", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "C", "Subpart C\u2014Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement", "", "\u00a7 511.23 Motions.", "NHTSA", "", "", "", "(a) Presentations and dispositions. During the time a proceeding is before a Presiding Officer, all motions, whether oral or written, except those filed under \u00a7 511.42(e), shall be addressed to the Presiding Officer, who shall rule upon them promptly after affording an opportunity for response.\n\n(b) Written motions. All written motions shall state the particular order, ruling, or action desired and the grounds therefor. If a motion is supported by memoranda, affidavits or other documents, they shall be served and filed with the motion. All motions shall contain a proposed order setting forth the relief sought. All written motions shall be filed with the Executive Secretary and served on all parties, and all motions addressed to the Administrator shall be in writing.\n\n(c) Responses. Within ten (10) days after service of any written motion or petition or within such longer or shorter time as may be designated by these Rules or by the Presiding Officer or the Administrator, the opposing party or parties shall file a written response to such motion. Where a motion would affect only a single party, or an identifiable group of parties, the Presiding Officer or Administrator may limit the response to the motion to the affected party or parties. Failure to respond to a written motion may, in the discretion of the Presiding Officer be deemed as consent to the granting of the relief sought in the motion. The moving party shall have no right to reply, except as permitted by the Presiding Officer or the Administrator.\n\n(d) Rulings on motions for dismissal. When a motion to dismiss a complaint or motion for other relief is granted with the result that the proceeding before the Presiding Officer is terminated, the Presiding Officer shall issue an Initial Decision and Order thereon in accordance with the provisions of \u00a7 511.51. If such a motion is granted as to all issues alleged in the complaint in regard to some, but not all, of the respondents, or is granted as to any part of the allegations in regard to any or all of the respondents, the Presiding Officer shall enter an order on the record and consider the remaining issues in the Initial Decision. The Presiding Officer may elect to defer ruling on a motion to dismiss until the close of the case."], ["49:49:6.1.2.3.5.3.1.4", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "C", "Subpart C\u2014Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement", "", "\u00a7 511.24 Interlocutory appeals.", "NHTSA", "", "", "", "(a) General. Rulings of the Presiding Officer may not be appealed to the Administrator prior to the Initial Decision, except as provided herein.\n\n(b) Exceptions \u2014(1) Interlocutory appeals to Administrator. The Administrator may, in his or her discretion, entertain interlocutory appeals where a ruling of the Presiding Officer:\n\n(i) Requires the production or disclosure of records claimed to be confidential;\n\n(ii) Requires the testimony of a supervisory official of the agency other than one especially cognizant of the facts of the matter in adjudication;\n\n(iii) Excludes an attorney from participation in a proceeding pursuant to \u00a7 511.42(b).\n\n(2) Procedures for interlocutory appeals. Within ten (10) days of issuance of a ruling, any party may petition the Administrator to entertain an interlocutory appeal on a ruling in the categories enumerated above. The petition shall not exceed fifteen (15) pages. Any other party may file a response to the petition within ten (10) days of its service. The response shall not exceed fifteen (15) pages. The Administrator shall thereupon act upon the petition, or the Administrator shall request such further briefing or oral presentation as he may deem necessary.\n\n(3) Interlocutory appeals from all other rulings \u2014(i) Grounds. Interlocutory appeals from all other rulings by the Presiding Officer may proceed only upon motion to the Presiding Officer and a determination by the Presiding Officer in writing, with justification in support thereof, that the ruling involves a controlling question of law or policy as to which there is substantial ground for differences of opinion and that an immediate appeal from the ruling may materially advance the ultimate termination of the litigation, or that subsequent review will be an inadequate remedy.\n\n(ii) Form. If the Presiding Officer determines, in accordance with paragraph (b)(3)(i) of this section that an interlocutory appeal may proceed, a petition for interlocutory appeal may be filed with and acted upon by the Administrator in accordance with paragraph (b)(2) of this section.\n\n(c) Proceedings not stayed. A petition for interlocutory appeal under this part shall not stay the proceedings before the Presiding Officer unless the Presiding Officer shall so order, except that a ruling of the Presiding Officer requiring the production of records claimed to be confidential shall be automatically stayed for a period of (10) days following the issuance of such ruling to allow an affected party the opportunity to file a petition for an interlocutory appeal pursuant to \u00a7 511.24(b)(2). The filing of such a petition shall automatically extend the stay of such a ruling pending the Administrator's action on such petition."], ["49:49:6.1.2.3.5.3.1.5", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "C", "Subpart C\u2014Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement", "", "\u00a7 511.25 Summary decision and order.", "NHTSA", "", "", "", "(a) Motion. Any party may move, with a supporting memorandum, for a Summary Decision and Order in its favor upon all or any of the issues in controversy. Complaint Counsel may so move at any time after thirty (30) days following issuance of a complaint, and any other party may so move at any time after issuance of a complaint. Any such motion by any party shall be filed at least twenty (20) days before the date fixed for the adjudicatory hearing.\n\n(b) Response to motion. Any other party may, within ten (10) days after service of the motion, file a response thereto with a supporting memorandum.\n\n(c) Grounds. A Summary Decision and Order shall be granted if the pleadings and any testimony upon oral examination, answers to interrogatories, admissions, and/or affidavits show that there is no genuine issue as to any material fact and that the moving party is entitled to a Summary Decision and Order as a matter of law.\n\n(d) Legal effect. A Summary Decision and Order upon all the issues being adjudicated shall constitute the Initial Decision of the Presiding Officer, and may be appealed to the Administrator in accordance with \u00a7 511.53. A Summary Decision, interlocutory in character, may be rendered on fewer than all issues and may not be appealed prior to issuance of the Initial Decision, except in accordance with \u00a7 511.24.\n\n(e) Case not fully adjudicated on motion. A Summary Decision and Order that does not dispose of the whole case shall include a statement of those material facts as to which there is no substantial controversy, and of those material facts that are actually and in good faith controverted. The Summary Order shall direct such further proceedings as are just."], ["49:49:6.1.2.3.5.3.1.6", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "C", "Subpart C\u2014Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement", "", "\u00a7 511.26 Settlement.", "NHTSA", "", "", "[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]", "(a) Applicability. This section applies only to cases of alleged violations of section 507(3) of the Motor Vehicle Information and Cost Savings Act, Pub. L. 94-163, 89 Stat. 911 (15 U.S.C. section 2007(3)). Settlement in other cases may be made only in accordance with subpart G of this part.\n\n(b) Availability. Any party shall have the opportunity to submit an offer of settlement to the Presiding Officer.\n\n(c) Form. Offers of settlement shall be in the form of a consent agreement and order, shall be signed by the party submitting the offer or his representative, and may be signed by any other party. Each offer of settlement shall be accompanied by a motion to transmit to the Administrator the proposed agreement and order, outlining the substantive provisions of the agreement, and the reasons why it should be accepted.\n\n(d) Contents. The proposed consent agreement and order which constitute the offer of settlement shall contain the following:\n\n(1) An admission of all jurisdictional facts;\n\n(2) An express waiver of further procedural steps, and of all rights to seek judicial review or otherwise to contest the validity of the order;\n\n(3) A description of the alleged noncompliance, or violation;\n\n(4) Provisions to the effect that the allegations of the complaint are resolved by the proposed consent agreement and order;\n\n(5) A listing of the acts or practices from which the respondent shall refrain;\n\n(6) A detailed statement of the corrective action(s) which the respondent shall excute and the civil penalty, if any, that respondent shall pay.\n\n(e) Transmittal. The Presiding Officer shall transmit to the Administrator for decision all offers of settlement and accompanying memoranda that meet the requirements enumerated in paragraph (d) of this section. The Presiding Officer may, but need not, recommend acceptance or rejection of such offers. Any party or participant may object to a proposed consent agreement by filing a motion and supporting memorandum with the Administrator.\n\n(f) Stay of proceedings. When an offer of settlement has been agreed to by the parties and has been transmitted to the Administrator, the proceedings shall be stayed until the Administrator has ruled on the offer. When an offer of settlement has been made and transmitted to the Administrator but has not been agreed to by all parties, the proceedings shall not be stayed pending the Administrator's decision on the offer.\n\n(g) Administrator's ruling. The Administrator will rule upon all transmitted offers of settlement. If the Administrator accepts the offer, the Administrator shall issue an appropriate order. The order shall become effective upon issuance. In determining whether to accept an offer of settlement, the Administrator will consider the gravity of the alleged violation, and any good faith efforts by the respondent to comply with applicable requirements.\n\n(h) Rejection. If the Administrator rejects an offer of settlement, the Administrator shall give written notice of that decision and the reasons therefor to the parties and the Presiding Officer. Promptly thereafter, the Presiding Officer shall issue an order notifying the parties of the resumption of the proceedings, including any modifications to the schedule resulting from the stay of the proceedings.\n\n(i) Effect of rejected offer. Rejected offers of settlement shall not be admissible in evidence over the objection of any signatory, nor shall the fact of the proposal of the offer be admissible in evidence."], ["49:49:6.1.2.3.5.4.1.1", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "D", "Subpart D\u2014Discovery; Compulsory Process", "", "\u00a7 511.31 General provisions governing discovery.", "NHTSA", "", "", "[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]", "(a) Applicability. The discovery rules established in this subpart are applicable to the discovery of information among the parties to a proceeding. Parties seeking information from persons not parties may do so by subpoena in accordance with \u00a7 511.38.\n\n(b) Discovery methods. Parties may obtain discovery by one or more of the following methods: (1) Written interrogatories; (2) requests for production of documents or things; (3) requests for admissions; or (4) testimony upon oral examination. Unless the Presiding Officer otherwise orders under paragraph (d) of this section, the frequency of use of these methods is not limited.\n\n(c) Scope of discovery. The scope of discovery is as follows:\n\n(1) In general. Parties may obtain discovery regarding any matter not privileged, which is relevant to the subject matter involved in the proceedings, whether it relates to the claim or defense of the party seeking discovery or to the claim or defense of any other party. It is not ground for objection that the information sought will be inadmissible at the hearing if the information sought appears reasonably calculated to lead to the discovery of admissible evidence.\n\n(2) Exception. Parties may not obtain discovery of documents which accompanied the staff's recommendation as to whether a complaint should issue or of documents or portions thereof which would be exempt from discovery under Rule 26(b)(3) of the Federal Rules of Civil Procedure.\n\n(3) Hearing preparation: Experts. A party may obtain discovery of facts known and opinions held by experts, regardless of whether they are acquired or developed in anticipation of or for litigation. Such discovery may be had by any of the methods provided in paragraph (b) of this section.\n\n(d) Protective orders. Upon motion by a party or person and for good cause shown, the Presiding Officer may make any order which justice requires to protect such party or person from annoyance, embarrassment, competitive disadvantage, oppression or undue burden or expense, including one or more of the following: (1) That the discovery shall not be had; (2) that the discovery may be had only on specified terms and conditions, including a designation of the time and/or place; (3) that the discovery shall be had only by a method of discovery other than that selected by the party seeking discovery; (4) that certain matters shall not be inquired into, or that the scope of discovery shall be limited to certain matters; (5) that discovery shall be conducted with no one present except persons designated by the Presiding Officer; (6) that a trade secret or other confidential research, development, or commercial information shall not be disclosed or shall be disclosed only in a designated way or only to designated parties; and (7) that responses to discovery shall be placed in camera in accordance with \u00a7 511.45.\n\nIf a motion for a protective order is denied in whole or in part, the Presiding Officer may, on such terms or conditions as are just, order that any party provide or permit discovery.\n\n(e) Sequence and timing of discovery. Discovery may commence at any time after filing of the answer. Unless otherwise provided in these Rules or by order of the Presiding Officer, methods of discovery may be used in any sequence and the fact that a party is conducting discovery shall not operate to delay any other party's discovery.\n\n(f) Supplementation of responses. A party who has responded to a request for discovery shall supplement the response with information thereafter acquired.\n\n(g) Completion of discovery. All discovery shall be completed as soon as practical but in no case longer than one hundred fifty (150) days after issuance of a complaint unless otherwise ordered by the Presiding Officer in exceptional circumstances and for good cause shown. All discovery shall be served by a date which affords the party from whom discovery is sought the full response period provided by these Rules.\n\n(h) Service and filing of discovery. All discovery requests and written responses, and all notices of the taking of testimony, shall be filed with the Docket Section and served on all parties and the Presiding Officer.\n\n(i) Control of discovery. The use of these discovery procedures is subject to the control of the Presiding Officer, who may issue any just and appropriate order for the purpose of ensuring their timely completion."], ["49:49:6.1.2.3.5.4.1.2", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "D", "Subpart D\u2014Discovery; Compulsory Process", "", "\u00a7 511.32 Written interrogatories to parties.", "NHTSA", "", "", "", "(a) Availability; procedures for use. Any party may serve upon any other party written interrogatories to be answered by the party served or, if the party served is a public or private corporation or a partnership or association or governmental agency, by any officer or agent, who shall furnish such information as is available to the party. Interrogatories may, without leave of the Presiding Officer, be served upon any party after filing of the answer.\n\n(b) Procedures for response. Each interrogatory shall be answered separately and fully in writing under oath, unless it is objected to, in which event the reasons for objection shall be stated in lieu of an answer. The answers are to be signed by a responsible representative of the respondent and the objections signed by the representative making them. The party upon whom the interrogatories have been served shall serve a copy of the answers, and objections if any, within 30 days after service of the interrogatories. The Presiding Officer may allow a shorter or longer time for response. The party submitting the interrogatories may move for an order under \u00a7 511.36 with respect to any objection to or other failure to answer an interrogatory.\n\n(c) Scope of interrogatories. Interrogatories may relate to any matters which can be inquired into under \u00a7 511.31(c)(1), and the answers may be used to the extent permitted under this part. An interrogatory otherwise proper is not objectionable merely because an answer to the interrogatory would involve an opinion or contention that relates to fact or to the application of law to fact, but the Presiding Officer may order that such an interrogatory need not be answered until a later time.\n\n(d) Option to produce business records. Where the answer to an interrogatory may be derived or ascertained from the business records of the party upon whom the interrogatory has been served, or from an examination, audit or inspection of such business records, or from a compilation, abstract or summary based thereon, and the burden of deriving the answer is substantially the same for the party serving the interrogatory as for the party served, it is a sufficient answer to the interrogatory to specify the records from which the answer may be derived or ascertained and to afford to the party serving the interrogatory reasonable opportunity to examine, audit or inspect such records and to make copies, complications, abstracts, or summaries."], ["49:49:6.1.2.3.5.4.1.3", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "D", "Subpart D\u2014Discovery; Compulsory Process", "", "\u00a7 511.33 Production of documents and things.", "NHTSA", "", "", "", "(a) Scope. Any party may serve upon any other party a request (1) to produce and permit the party making the request, or someone acting on behalf of that party, to inspect and copy any designated documents (including writings, drawings, graphs, charts, photographs, phono-records, and any other data-compilation from which information can be obtained, translated, if necessary, by the party in possession into reasonably usable form), or (2) to inspect and copy, test or sample tangible things which constitute or contain matters within the scope of \u00a7 511.31(c)(1) and which are in the possession, custody or control of the party upon whom the request is served.\n\n(b) Procedure for request. The request may be served at any time after the filing of the answer without leave of the Presiding Officer. The request shall set forth the items to be inspected either by individual item or by category, and shall describe each item or category with reasonable particularity. The request shall specify a reasonable time, place and manner for making the inspection and performing the related acts.\n\n(c) Procedure for response. The party upon whom the request is served shall serve a written response within twenty (20) days after service of the request. The Presiding Officer may allow a shorter or longer time for response. The response shall state, with respect to each item or category requested, that inspection and related activities will be permitted as requested, unless the request is objected to, in which event the reasons for objection shall be stated. If objection is made to only part of an item or category, that part shall be so specified. The party submitting the request may move for an order under \u00a7 511.36 with respect to any objection to or other failure to respond to the request or any part thereof, or to any failure to permit inspection as requested."], ["49:49:6.1.2.3.5.4.1.4", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "D", "Subpart D\u2014Discovery; Compulsory Process", "", "\u00a7 511.34 Requests for admission.", "NHTSA", "", "", "", "(a) Procedure for request. A party may serve upon any other party a written request for the admission, for the purposes of the pending proceeding only, of the truth of any matters within the scope of \u00a7 511.31(c)(1) set forth in the request that relate to statements or opinions of fact or of the application of law to fact, including the genuineness of documents described in the request. Copies of documents shall be served with the request unless they have been, or are otherwise furnished or made available for inspection and copying. The request may, without leave of the Presiding Officer, be served upon any party after filing of the answer. Each matter as to which an admission is requested shall be separately set forth.\n\n(b) Procedure for response. The matter as to which an admission is requested is deemed admitted unless within thirty (30) days after service of the request, or within such shorter or longer time as the Presiding Officer may allow, the party to whom the request is directed serves upon the party requesting the admission a written answer or objection addressed to the matter, signed by the party or the party's representatives. If objection is made, the reasons therefore shall be stated.\n\nThe answer shall specifically admit or deny the matter or set forth in detail the reasons why the answering party cannot truthfully admit or deny the matter. A denial shall fairly meet the substance of the requested admission. When good faith requires that a party qualify an answer or deny only a part of the matter as to which an admission is requested, the party shall specify the portion that is true and qualify or deny the remainder. An answering party may not give lack of information or knowledge as a reason for failure to admit or deny, unless the party states that he or she has made reasonable inquiry and that the information known or readily available to him or her is insufficient to enable him or her to admit or deny. A party who considers that a matter as to which an admission has been requested presents a genuine issue for hearing may not, on that ground alone, object to the request but may deny the matter or set forth reasons why the party cannot admit or deny it. The party who has requested an admission may move to determine the sufficiency of the answer or objection thereto in accordance with \u00a7 511.36. If the Presiding Officer determines that an answer does not comply with the requirements of this section, he or she may order that the matter be deemed admitted or that an amended answer be served.\n\n(c) Effect of admission. Any matter admitted under this section is conclusively established unless the Presiding Officer on motion permits withdrawal or amendment of such admission. The Presiding Officer may permit withdrawal or amendment when the presentation of the merits of the action will be served thereby and the party that obtained the admission fails to satisfy the Presiding Officer that withdrawal or amendment will prejudice that party in maintaining an action or defense on the merits."], ["49:49:6.1.2.3.5.4.1.5", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "D", "Subpart D\u2014Discovery; Compulsory Process", "", "\u00a7 511.35 Testimony upon oral examination.", "NHTSA", "", "", "[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]", "(a) When testimony may be taken. At any time after the answer is filed under \u00a7 511.12, upon leave of the Presiding Officer and under such terms and conditions as the Presiding Officer may prescribe, any party may take the testimony of any other party, including the agents, employees, consultants or prospective witnesses of that party at a place convenient to the witness. The attendance of witnesses and the production of documents and things at the examination may be compelled by subpoena as provided in \u00a7 511.38.\n\n(b) Notice of oral examination \u2014(1) Examination of a party. A party desiring to examine another party to the proceeding shall, after obtaining leave from the Presiding Officer, serve written notice of the examination on all other parties and the Presiding Officer at least ten (10) days before the date of the examination. The notice shall state (i) the time and place for making the examination; (ii) the name and address of each person to be examined, if known, or if the name is not known, a general description sufficient to identify him; and (iii) the subject matter of the expected testimony. If a subpoena duces tecum is to be served on the person to be examined, the designation of the materials to be produced, as set forth in the subpoena, shall be attached to or included in the notice of examination.\n\n(2) Examination of a nonparty. A party desiring to examine a person who is not a party to the proceeding shall make application for a subpoena, in accordance with \u00a7 511.38, to compel the attendance, testimony and/or production of documents by such person who is not a party. The party desiring such examination shall serve written notice of the examination on all other parties to the proceeding, after issuance of the subpoena by the Presiding Officer or a designated alternate.\n\n(3) Opposition to notice. A person served with a notice of examination may, within 3 days of the date of service, oppose, in writing, the examination. The Presiding Officer shall rule on the notice and any opposition and may order the taking of all noticed examinations, upon a showing of good cause therefor. The Presiding Officer may, for good cause shown, enlarge or shorten the time for the taking of an examination.\n\n(c) Persons before whom examinations may be taken. Examinations may be taken before any person authorized to administer oaths by the laws of the United States or of the place where the examination is held. No examination shall be taken before a person who is a relative or employee or attorney or representative of any party, or who is a relative or employee of such attorney or representative, or who is financially interested in the action.\n\n(d) Procedure \u2014(1) Examination. Each witness shall be duly sworn, and all testimony shall be duly recorded. All parties or their representatives may be present and participate in the examination. Examination and cross-examination of witnesses may proceed as permitted at the hearing. Questions objected to shall be answered subject to the objections. Objections shall be in short form, and shall state the grounds relied upon. The questions propounded and the answers thereto, together with all objections made, shall be recorded by the official reporter before whom the examination is made. The original or a verified copy of all documents and things produced for inspection during the examination of the witness shall, upon a request of any party present, be marked for identification and annexed to the record of the examination.\n\n(2) Motion to terminate or limit examination. At any time during the examination, upon motion of any party or of the witness, and upon showing that the examination is being conducted in bad faith or in such manner as unreasonably to annoy, embarrass or oppress the witness or party, the Presiding Officer may, upon motion, order the party conducting the examination to terminate the examination, or may limit the scope and manner of the examination as provided in \u00a7 511.31(d).\n\n(3) Participation by parties not present. In lieu of attending an examination, any party may serve written questions in a sealed envelope on the party conducting the examination. That party shall transmit the envelope to the official reporter, who shall unseal it and propound the questions contained therein to the witness.\n\n(e) Transcription and filing of testimony \u2014(1) Transcription. Upon request by any party, the testimony recorded at an examination shall be transcribed. When the testimony is fully transcribed, the transcript shall be submitted to the witness for examination and signing, and shall be read to or by the witness, unless such examination and signature are waived by the witness. Any change in form or substance which the witness desires to make shall be entered upon the transcript of the official reporter with a statement of the reasons given by the witness for making them. The transcript shall then be signed by the witness, unless the parties by stipulation waive the signing, or the witness is ill or cannot be found or refuses to sign. If the transcript is not signed by the witness within thirty (30) days of its submission to him, the official reporter shall sign it and state on the record the fact of the waiver of signature or of the illness or absence of the witness or the fact of the refusal to sign, together with a statement of the reasons therefor. The testimony may then be used as fully as though signed, in accordance with paragraph (i) of this section.\n\n(2) Certification and filing. The official reporter shall certify on the transcript that the witness was duly sworn and that the transcript is a true record of the testimony given and corrections made by the witness. The official reporter shall then seal the transcript in an envelope endorsed with the title and docket number of the action and marked \u201cTestimony of [name of witness]\u201d and shall promptly file the transcript with the Docket Section. The Presiding Officer shall notify all parties of the filing of the transcript and the Docket Section shall furnish a copy of the transcript to any party or to the witness upon payment of reasonable charges therefor.\n\n(f) Costs of examination. The party who notices the examination shall pay for the examination. The party who requests transcription of the examination shall pay for the transcription.\n\n(g) Failure to attend or to serve subpoena; expenses. If a party who notices an examination fails to attend and proceed therewith and another party attends in person or by a representative pursuant to the notice, the Presiding Officer may order the party who gave the notice to pay the attending party the reasonable expenses incurred. If a party who notices an examination fails to serve a subpoena upon the witness and as a result the witness does not attend, and if another party attends in person or by a representative because that party expects the examination to be made, the Presiding Officer may order the party who gave notice to pay the attending party the reasonable expenses incurred.\n\n(h) Examination to preserve testimony \u2014(1) When available. By leave of the Presiding Officer, a party may examine a witness for the purpose of perpetuating the testimony of that witness. A party who wishes to conduct such an examination shall obtain prior leave of the Presiding Officer by filing a motion. The motion shall include a showing of substantial reason to believe that the testimony could not be presented at the hearing. If the Presiding Officer is satisfied that the perpetuation of the testimony may prevent a failure of justice or is otherwise reasonably necessary, he or she shall order that the deposition be taken.\n\n(2) Procedure. Notice of an examination to preserve testimony shall be served at least fifteen (15) days prior to the examination. The examination shall be taken in accordance with the provisions of paragraph (d) of this section. Any examination taken to preserve testimony shall be fully transcribed and filed in accordance with paragraph (e) of this section.\n\n(i) Use of testimony obtained under this section. At the hearing or upon a motion or an interlocutory proceeding, any part or all of a deposition, so far as admissible under the rules of evidence applied as though the witness were then present and testifying, may be used against any party who was present or represented at the taking of the deposition or who had reasonable notice thereof, in accordance with any of the following provisions:\n\n(1) Any deposition may be used by any party for the purpose of contradicting or impeaching the testimony of the deponent as a witness.\n\n(2) The deposition of a party or of a person who at the time of the taking of his testimony was an officer, director or managing agent of a party may be used against that party for any purpose.\n\n(3) The deposition of a witness, whether or not a party, may be used by any party for any purpose if the Presiding Officer finds:\n\n(i) That the witness is dead; or\n\n(ii) That the witness is at a greater distance than 100 miles from the place of the hearing, or is out of the United States, unless it appears that the absence of the witness was procured by the party offering the deposition; or\n\n(iii) That the witness is unable to attend or testify because of age, illness, infirmity, or imprisonment; or\n\n(iv) That the party offering the deposition has been unable to procure the attendance of the witness by subpoena; or\n\n(v) Upon application and notice, that such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.\n\n(4) If only part of a deposition is offered in evidence by a party, an adverse party may require him to introduce any other part which ought in fairness to be considered with the part introduced, and any party may introduce any other parts."], ["49:49:6.1.2.3.5.4.1.6", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "D", "Subpart D\u2014Discovery; Compulsory Process", "", "\u00a7 511.36 Motions to compel discovery.", "NHTSA", "", "", "", "If a party fails to respond to discovery, in whole or in part, the party seeking discovery may move within twenty (20) days for an order compelling an answer, or compelling inspection or production of documents, or otherwise compelling discovery. For purposes of this subsection, an evasive or incomplete response is to be treated as a failure to respond. If the motion is granted, the Presiding Officer shall issue an order compelling discovery. If the motion is denied in whole or in part, the Presiding Officer may make such protective order as he or she would have been empowered to make on a motion pursuant to \u00a7 511.31(d). When making oral examinations, the discovering party shall continue the examination to the extent possible with respect to other areas of inquiry before moving to compel discovery."], ["49:49:6.1.2.3.5.4.1.7", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "D", "Subpart D\u2014Discovery; Compulsory Process", "", "\u00a7 511.37 Sanctions for failure to comply with order.", "NHTSA", "", "", "", "If a party fails to obey an order to provide or permit discovery, the Presiding Officer may take such action as is just, including but not limited to the following:\n\n(a) Infer that the admission, testimony, document or other evidence would have been adverse to the party;\n\n(b) Order that for the purposes of the proceeding, the matters regarding which the order was made or any other designated facts shall be taken to be established in accordance with the claim of the party obtaining the order;\n\n(c) Order that the party withholding discovery not introduce into evidence or otherwise rely, in support of any claim or defense, upon the documents or other evidence withheld;\n\n(d) Order that the party withholding discovery not introduce into evidence or otherwise use at the hearing, information obtained in discovery;\n\n(e) Order that the party withholding discovery not be heard to object to introduction and use of secondary evidence to show what the withheld admission, testimony, documents, or other evidence would have shown;\n\n(f) Order that a pleading, or part of a pleading, or a motion or other submission by the party, concerning which the order was issued, be stricken, or that decision on the pleadings be rendered against the party, or both; and\n\n(g) Exclude the party or representative from proceedings, in accordance with \u00a7 511.42(b).\n\nAny such action may be taken by order at any point in the proceedings."], ["49:49:6.1.2.3.5.4.1.8", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "D", "Subpart D\u2014Discovery; Compulsory Process", "", "\u00a7 511.38 Subpoenas.", "NHTSA", "", "", "[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 26261, July 12, 1988]", "(a) Availability. A subpoena shall be addressed to any party or any person not a party for the purpose of compelling attendance, testimony and production of documents at a hearing or oral examination.\n\n(b) Form. A subpoena shall identify the action with which it is connected; shall specify the person to whom it is addressed and the date, time and place for compliance with its provisions; and shall be issued by order of the Presiding Officer and signed by the Chief Counsel, or by the Presiding Officer. A subpoena duces tecum shall specify the books, papers, documents, or other materials or data-compilations to be produced.\n\n(c) How obtained \u2014(1) Content of application. An application for the issuance of a subpoena stating reasons shall be submitted in triplicate to the Presiding Officer.\n\n(2) Procedure of application. The original and two copies of the subpoena, marked \u201coriginal,\u201d \u201cduplicate\u201d and \u201ctriplicate,\u201d shall accompany the application. The Presiding Officer shall rule upon an application for a subpoena ex parte, by issuing the subpoena or by issuing an order denying the application.\n\n(d) Issuance of a subpoena. The Presiding Officer shall issue a subpoena by signing and dating, or ordering the Chief Counsel to sign and date, each copy in the lower right-hand corner of the document. The \u201cduplicate\u201d and \u201ctriplicate\u201d copies of the subpoena shall be transmitted to the applicant for service in accordance with these Rules; the \u201coriginal\u201d copy shall be retained by or forwarded to the Chief Counsel for retention in the docket of the proceeding.\n\n(e) Service of a subpoena. A subpoena may be served in person or by certified mail, return receipt requested, as provided in \u00a7 511.16(b). Service shall be made by delivery of the signed \u201cduplicate\u201d copy to the person named therein.\n\n(f) Return of service. A person serving a subpoena shall promptly execute a return of service, stating the date, time, and manner of service. If service is effected by mail, the signed return receipt shall accompany the return of service. In case of failure to make service, a statement of the reasons for the failure shall be made. The \u201ctriplicate\u201d of the subpoena, bearing or accompanied by the return of service, shall be returned forthwith to the Chief Counsel after service has been completed.\n\n(g) Motion to quash or limit subpoena. Within five (5) days of receipt of a subpoena, the person against whom it is directed may file with the Presiding Officer a motion to quash, modify, or limit the subpoena, setting forth the reasons why the subpoena should be withdrawn or why it should be modified or limited in scope. Any such motion shall be answered within five (5) days of service, and shall be ruled on immediately thereafter. The order shall specify the date, if any, for compliance with the specifications of the subpoena and the reasons for the decision.\n\n(h) Consequences of failure to comply. In the event of failure to comply with a subpoena, the Presiding Officer may take any of the actions enumerated in \u00a7 511.37 or may order any other appropriate relief to compensate for the withheld testimony, documents, or other materials. If in the opinon of the Presiding Officer such relief is insufficient, the Presiding Officer shall certify to the Administrator a request for judicial enforcement of the subpoena."], ["49:49:6.1.2.3.5.4.1.9", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "D", "Subpart D\u2014Discovery; Compulsory Process", "", "\u00a7 511.39 Orders requiring witnesses to testify or provide other information and granting immunity.", "NHTSA", "", "", "", "(a) A party who desires the issuance of an order requiring a witness to testify or provide other information upon being granted immunity from prosecution under title 18, U.S.C., section 6002, may make a motion to that effect. The motion shall be made and ruled on in accordance with \u00a7 511.22, and shall include a showing:\n\n(1) That the testimony or other information sought from a witness or prospective witness may be necessary to the public interest; and\n\n(2) That such individual has refused or is likely to refuse to testify or provide such information on the basis of that individual's privilege against self-incrimination.\n\n(b) If the Presiding Officer determines that the witness' testimony appears necessary and that the privilege against self-incrimination may be invoked, he or she may certify to the Administrator a request that he or she obtain the approval of the Attorney General of the United States for the issuance of an order granting immunity.\n\n(c) Upon application to and approval of the Attorney General of the United States, and after the witness has invoked the privilege against self-incrimination, the Presiding Officer shall issue the order granting immunity unless he or she determines that the privilege was improperly invoked.\n\n(d) Failure of a witness to testify after a grant of immunity or after a denial of the issuance of an order granting immunity shall result in the imposition of appropriate sanctions as provided in \u00a7 511.37."], ["49:49:6.1.2.3.5.5.1.1", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "E", "Subpart E\u2014Hearings", "", "\u00a7 511.41 General rules.", "NHTSA", "", "", "", "(a) Public hearings. All hearings pursuant to this part shall be public unless otherwise ordered by the Presiding Officer. Notice of the time and location of the hearing shall be served on each party and participant, and published in the Federal Register.\n\n(b) Expedition. Hearings shall proceed with all reasonable speed, insofar as practicable and with due regard to the convenience of the parties and shall continue without suspension until concluded, except in unusual circumstances.\n\n(c) Rights of parties. Every party shall have the right of timely notice and all other rights essential to a fair hearing, including, but not limited to, the rights to present evidence, to conduct such cross-examination as may be necessary in the judgment of the Presiding Officer for a full and complete disclosure of the facts, and to be heard by objection, motion, brief, and argument.\n\n(d) Rights of participants. Every participant shall have the right to make a written or oral statement of position, file proposed findings of fact, conclusions of law and a posthearing brief, in accordance with \u00a7 511.17(b).\n\n(e) Rights of witnesses. Any person compelled to testify in a proceeding in response to a subpoena may be accompanied, represented, and advised by counsel or other representative, and may obtain a transcript of his or her testimony at no cost."], ["49:49:6.1.2.3.5.5.1.2", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "E", "Subpart E\u2014Hearings", "", "\u00a7 511.42 Powers and duties of Presiding Officer.", "NHTSA", "", "", "[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]", "(a) General. A Presiding Officer shall have the duty to conduct full, fair, and impartial hearings, to take appropriate action to avoid unnecessary delay in the disposition of proceedings, and to maintain order. He or she shall have all powers necessary to that end, including the following powers:\n\n(1) To administer oaths and affirmations;\n\n(2) To compel discovery and to impose appropriate sanctions for failure to make discovery;\n\n(3) To issue subpoenas;\n\n(4) To rule upon offers of proof and receive relevant and probative evidence;\n\n(5) To regulate the course of the hearings and the conduct of the parties and their representatives therein;\n\n(6) To hold conferences for simplification of the issues, settlement of the proceedings, or any other proper purposes;\n\n(7) To consider and rule, orally or in writing, upon all procedural and other motions appropriate in an adjudicative proceeding;\n\n(8) To issue initial decisions, rulings, and orders, as appropriate;\n\n(9) To certify questions to the Administrator for determination; and\n\n(10) To take any action authorized in this part or in conformance with the provisions of title 5, U.S.C., sections 551 through 559.\n\n(b) Exclusion of parties by Presiding Officer. A Presiding Officer shall have the authority, for good cause stated on the record, to exclude from participation in a proceeding any party, participant, and/or representative who shall violate requirements of \u00a7 511.76. Any party, participant and/or representative so excluded may appeal to the Administrator in accordance with the provisions of \u00a7 511.23. If the representative of a party or participant is excluded, the hearing shall be suspended for a reasonable time so that the party or participant may obtain another representative.\n\n(c) Substitution of Presiding Officer. In the event of the substitution of a new Presiding Officer for the one originally designated, any motion predicated upon such substitution shall be made within five (5) days of the substitution.\n\n(d) Interference. In the performance of adjudicative functions, a Presiding Officer shall not be responsible to or subject to the supervision or direction of the Administrator or of any officer, employee, or agent engaged in the performance of investigative or prosecuting functions for NHTSA. All directions by the Administrator to a Presiding Officer concerning any adjudicative proceeding shall appear on and be made a part of the record.\n\n(e) Disqualification of Presiding Officer. (1) When a Presiding Officer deems himself or herself disqualified to preside in a particular proceeding, he or she shall withdraw by notice on the record and shall notify the Chief Administrative Law Judge of the withdrawal.\n\n(2) Whenever, for any reason, any party shall deem the Presiding Officer to be disqualified to preside, or to continue to preside, in a particular proceeding, that party may file with the Chief Administrative Law Judge a motion to disqualify and remove, supported by affidavit(s) setting forth the alleged grounds for disqualification. A copy of the motion and supporting affidavit(s) shall be served by the Chief Administrative Law Judge on the Presiding Officer whose removal is sought. The Presiding Officer shall have ten (10) days from service to reply in writing. Such motion shall not stay the proceeding unless otherwise ordered by the Presiding Officer or the Administrator. If the Presiding Officer does not disqualify himself or herself, the Administrator will determine the validity of the grounds alleged, either directly or on the report of another Presiding Officer appointed to conduct a hearing for that purpose, and shall in the event of disqualification take appropriate action, by assigning another Presiding Officer or requesting assignment of another Administrative Law Judge through the Office of Hearings."], ["49:49:6.1.2.3.5.5.1.3", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "E", "Subpart E\u2014Hearings", "", "\u00a7 511.43 Evidence.", "NHTSA", "", "", "", "(a) Applicability of Federal Rules of Evidence. The Federal Rules of Evidence shall apply to proceedings held under this part only as a general guide. The Presiding Officer may admit any relevent and probative evidence.\n\n(b) Burden of proof. (1) Complaint counsel shall have the burden of sustaining the allegations of any complaint.\n\n(2) Any party who is the proponent of a legal and/or factual proposition shall have the burden of sustaining the proposition.\n\n(c) Presumptions. A presumption imposes on the party against whom it is directed the burden of going forward with evidence to rebut or meet the presumption, but does not shift to such party the burden of proof in the sense of the risk of nonpersuasion, which remains throughout the hearing upon the party on whom it was originally cast.\n\n(d) Admissibility. All relevant and reliable evidence is admissible, but may be excluded if its probative value is substantially outweighed by unfair prejudice or by considerations of undue delay, waste of time, immateriality, or needless presentation of cumulative evidence.\n\n(e) Official notice \u2014(1) Definition. Official notice means use by the Presiding Officer of extra-record facts and legal conclusions drawn from those facts. An officially noticed fact or legal conclusion must be one not subject to reasonable dispute in that it is either (i) generally known within the jurisdiction of the Presiding Officer or (ii) known by the Presiding Officer in areas of his or her expertise; or (iii) capable of accurate and ready determination by resort to sources whose accuracy cannot reasonably be questioned.\n\n(2) Method of taking official notice. The Presiding Officer may at any time take official notice upon motion of any party or upon its own initiative. The record shall reflect the facts and conclusions which have been officially noticed.\n\n(3) Opportunity to challenge. Any party may upon application in writing rebut officially noticed facts and conclusions by supplementing the record. The Presiding Officer shall determine the permissible extent of this challenge; that is, whether to limit the party to presentation of written materials, whether to allow presentation of testimony, whether to allow cross-examination, or whether to allow oral argument. The Presiding Officer shall grant or deny the application on the record.\n\n(f) Objections and exceptions. Objections to evidence shall be timely interposed, shall appear on the record, and shall contain the grounds upon which they are based. Rulings on all objections, and the bases therefore, shall appear on the record. Formal exception to an adverse ruling is not required to preserve the question for appeal.\n\n(g) Offer of proof. When an objection to proffered testimony or documentary evidence is sustained, the sponsoring party may make a specific offer, either in writing or orally, of what the party expects to prove by the testimony or the document. When an offer of proof is made, any other party may make a specific offer, either in writing or orally, of what the party expects to present to rebut or contradict the offer of proof. Written offers of proof or of rebuttal, adequately marked for identification, shall accompany the record and be available for consideration by any reviewing authority."], ["49:49:6.1.2.3.5.5.1.4", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "E", "Subpart E\u2014Hearings", "", "\u00a7 511.44 Expert witnesses.", "NHTSA", "", "", "", "(a) Definition. An expert witness is one who, by reason of education, training, experience, or profession, has peculiar knowlege concerning the matter of science or skill to which his or her testimony relates and from which he or she may draw inferences based upon hypothetically stated facts or from facts involving scientific or technical knowledge.\n\n(b) Method of presenting testimony of expert witness. Except as may be otherwise ordered by the Presiding Officer, a detailed written statement of the elements of the direct testimony of an expert witness shall be filed on the record and exchanged between the parties no later than 10 days preceding the commencement of the hearing. The statement must contain a full explanation of the methodology underlying any analysis, and a full disclosure of the basis of any opinion. The direct testimony of an expert witness shall not include points not contained in the written statement. A party may waive direct examination of an expert witness by indicating that the written statement be considered the testimony of the witness. In such a case, the written testimony shall be incorporated into the record and shall constitute the testimony of the witness.\n\n(c) Cross-examination and redirect examination of expert witness. Cross-examination, redirect examination, and re-cross-examination of an expert witness will proceed in due course based upon the written testimony and any amplifying oral testimony.\n\n(d) Failure to file and/or to exchange written statement. Failure to file and/or to exchange the written statement of an expert witness as provided in this section shall deprive the sponsoring party of the use of the expert witness and of the conclusions which that witness would have presented."], ["49:49:6.1.2.3.5.5.1.5", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "E", "Subpart E\u2014Hearings", "", "\u00a7 511.45 In camera materials.", "NHTSA", "", "", "", "(a) Definition. In camera materials are documents, testimony, or other data which by order of the Presiding Officer or the Administrator, as appropriate under this part, are kept confidential and excluded from the public record. Only materials exempt under the Freedom of Information Act may be kept confidential and excluded from the public record. Pursuant to 49 CFR part 512, the Chief Counsel of the NHTSA is responsible for determining whether an alleged confidential business record is exempt from the Freedom of Information Act. The right of the Presiding Officer, the Administrator and reviewing courts to order disclosure of in camera materials is specifically reserved.\n\n(b) In camera treatment of documents and testimony. The Presiding Officer or the Administrator, as appropriate under this part, shall have authority, when good cause is found on the record, to order documents or testimony offered in evidence, whether admitted or rejected, to be received and preserved in camera. The order shall specify the length of time for in camera treatment and shall include:\n\n(1) A description of the documents and/or testimony;\n\n(2) The reasons for granting in camera treatment for the specified length of time.\n\n(c) Access and disclosure to parties. (1) The Administrator and Presiding Officer, and their immediate advisory staffs shall have complete access to all in camera materials. All other parties shall also have complete access to all in camera materials, except that these parties may seek access only in accordance with paragraph (c)(2) of this section when:\n\n(i) The in camera materials consist of information obtained by the government from persons not parties to the proceeding; or\n\n(ii) The in camera materials consist of information provided by one of the parties to the proceeding which is confidential as to the other parties to the proceeding.\n\n(2) Any party desiring access to and/or disclosure of the in camera materials specified in paragraph (c)(1) (i) and (ii) of this section for the preparation and presentation of that party's case shall make a motion which sets forth the justification therefor. The Presiding Officer or the Administrator, as appropriate under this part, may grant such motion on the record for substantial good cause shown and shall enter a protective order prohibiting unnecessary disclosure and requiring other necessary safeguards. The Presiding Officer or the Administrator, as appropriate, may examine the in camera materials and excise portions thereof before disclosing the materials to the moving party.\n\n(d) Segregation of in camera materials. In camera materials shall be segregated from the public record and protected from public view.\n\n(e) Public release of in camera materials. In camera materials constitute a part of the confidential records of the NHTSA and shall not be released to the public until the expiration of in camera treatment.\n\n(f) Reference to in camera materials. In the submission of proposed findings, conclusions, briefs, or other documents, all parties shall refrain from disclosing specific details of in camera materials. Such refraining shall not preclude general references to such materials. To the extent that parties consider it necessary to include specific details of in camera materials, the references shall be incorporated into separate proposed findings, briefs, or other documents marked \u201cCONFIDENTIAL, CONTAINS IN CAMERA MATERIAL,\u201d which shall be placed in camera and become part of the in camera record. These documents shall be served only on parties accorded access to the in camera materials in accordance with paragraph (c)(2) of this section."], ["49:49:6.1.2.3.5.5.1.6", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "E", "Subpart E\u2014Hearings", "", "\u00a7 511.46 Proposed findings, conclusions, and order.", "NHTSA", "", "", "", "Within a reasonable time after the closing of the record and receipt of the transcript, all parties and participants may, simultaneously, file post-hearing briefs, including proposed findings of fact, conclusions of law and a proposed order, together with reasons therefore. The Presiding Officer shall establish a date certain for the filing of the briefs, which shall not exceed 45 days after the close of the record except in unusual circumstances. The briefs shall be in writing, shall be served upon all parties, and shall contain adequate references to the record and authorities relied on. Replies shall be filed within fifteen (15) days of the date for the filing of briefs unless otherwise established by the Presiding Officer. The parties and participants may waive either or both submissions."], ["49:49:6.1.2.3.5.5.1.7", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "E", "Subpart E\u2014Hearings", "", "\u00a7 511.47 Record.", "NHTSA", "", "", "", "(a) Reporting and transcription. Hearings shall be recorded and transcribed under the supervision of the Presiding Officer by a reporter appointed by the Administrator. The original transcript shall be a part of the record and the official transcript. Copies of transcripts are available from the reporter at a cost not to exceed the maximum rates fixed by contract between the NHTSA and the reporter.\n\n(b) Corrections. Corrections of the official transcript may be made only when they involve errors affecting substance and then only in the manner herein provided. The Presiding Officer may order corrections, either on his or her own motion or on motion of any party. The Presiding Officer shall determine the corrections to be made and so order. Corrections shall be interlineated or otherwise inserted in the official transcript so as not to obliterate the original text."], ["49:49:6.1.2.3.5.5.1.8", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "E", "Subpart E\u2014Hearings", "", "\u00a7 511.48 Official docket.", "NHTSA", "", "", "[53 FR 15783, May 3, 1988]", "(a) The official docket in adjudicatory proceedings will be maintained in the Docket Section, Office of the Secretary, Room 4107, 400 Seventh Street SW., Washington, DC 20590, and will be available for inspection during normal working hours (9:00 a.m.-5:00 p.m.) Monday through Friday.\n\n(b) Fees for production or disclosure of records contained in the official docket shall be levied as prescribed in the Department of Transportation's regulations on Public Availability of Information (49 CFR part 7)."], ["49:49:6.1.2.3.5.5.1.9", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "E", "Subpart E\u2014Hearings", "", "\u00a7 511.49 Fees.", "NHTSA", "", "", "", "(a) Witnesses. Any person compelled to appear in person in response to a subpoena or notice of oral examination shall be paid at least the same attendance and mileage fees as are paid witnesses in the courts of the United States, in accordance with title 28, U.S.C., section 1821.\n\n(b) Responsibility. The fees and mileage referred to in this section shall be paid by the party at whose instance witnesses appear."], ["49:49:6.1.2.3.5.6.1.1", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "F", "Subpart F\u2014Decision", "", "\u00a7 511.51 Initial decision.", "NHTSA", "", "", "", "(a) When filed. The Presiding Officer shall endeavor to file an Initial Decision with the Administrator within sixty (60) days of the close of the record, the filing of post-hearing briefs, or the filing of replies thereto, whichever is latest.\n\n(b) Content. The Initial Decision shall be based upon a consideration of the entire record and it shall be supported by reliable, probative, and substantial evidence. It shall include:\n\n(1) Findings and conclusions, as well as the reasons or bases therefor, upon the material questions of fact, material issues of law, or discretion presented on the record, and should, where practicable, be accompanied by specific page citations to the record and to legal and other materials relied upon.\n\n(2) An appropriate order.\n\n(c) By whom made. The Initial Decision shall be made and filed by the Presiding Officer who presided over the hearing, unless otherwise ordered by the Administrator.\n\n(d) Reopening of proceeding by presiding officer; termination of jurisdiction. (1) At any time prior to or concomitant with the filing of the Initial Decision, the Presiding Officer may reopen the proceedings for the reception of further evidence.\n\n(2) Except for the correction of clerical errors, the jurisdiction of the Presiding Officer is terminated upon the filing of the Initial Decision, unless and until the proceeding is remanded to the Presiding Officer by the Administrator."], ["49:49:6.1.2.3.5.6.1.2", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "F", "Subpart F\u2014Decision", "", "\u00a7 511.52 Adoption of initial decision.", "NHTSA", "", "", "", "The Initial Decision and Order shall become the Final Decision and Order of the Administrator forty (40) days after issuance unless an appeal is noted and perfected or unless review is ordered by the Administrator. Upon the expiration of the fortieth day, the Executive Secretary shall prepare, sign and enter an order adopting the Initial Decision and Order."], ["49:49:6.1.2.3.5.6.1.3", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "F", "Subpart F\u2014Decision", "", "\u00a7 511.53 Appeal from initial decision.", "NHTSA", "", "", "", "(a) Who may file notice of intention. Any party may appeal an Initial Decision to the Administrator provided that within ten (10) days after issuance of the Initial Decision such party files and serves a notice of intention to appeal.\n\n(b) Appeal brief. The appeal shall be in the form of a brief, filed within forty (40) days after service of the Initial Decision, duly served upon all parties and participants. The appeal brief shall contain, in the order indicated, the following:\n\n(1) A subject index of the matters in the brief, with page references, and a table of cases (alphabetically arranged), textbooks, statutes, and other material cited, with page references thereto;\n\n(2) A concise statement of the case;\n\n(3) A specification of the position urged;\n\n(4) The argument, presenting clearly the points of fact and law relied upon in support of the position on each question, with specific page references to the record and the legal or other material relied upon; and\n\n(5) A proposed form of order for the Administrator's consideration in lieu of the order contained in the Initial Decision.\n\n(c) Answering brief. Within thirty (30) days after service of the appeal brief upon all parties and participants, any party may file an answering brief which shall also contain a subject index, with page references, and a table of cases (alphabetically arranged), textbooks, statutes, and other material cited, with page references thereto. Such brief shall present clearly the points of fact and law relied upon in support of the position taken on each question, with specific page references to the record and legal or other material relied upon.\n\n(d) Participant's brief. Within thirty (30) days after service of the appeal brief upon all parties and participants, any participant may file an appeal brief which should contain a subject index, with page references, and a table of authorities being relied upon. Such brief shall present clearly the position taken by the participant on each question raised by the appellant(s).\n\n(e) Cross appeal. If a timely notice of appeal is filed by a party, any other party may file a notice of cross-appeal within ten (10) days of the date on which the first notice of appeal was filed. Cross-appeals shall be included in the answering brief and shall conform to the requirements for form, content and filing specified in paragraph (c) of this section. If an appeal is noticed but not perfected, no cross-appeal shall be permitted and the notice of cross-appeal shall be deemed void.\n\n(f) Reply brief. A reply brief shall be limited to rebuttal of matters in answering briefs, including matters raised in cross-appeals. A reply brief shall be filed and within fourteen (14) days after service of an answering brief, or on the day preceding the oral argument, whichever comes first.\n\n(g) Oral argument. The purpose of an oral argument is to emphasize and clarify the issues. Any party may request oral argument. The Administrator may order oral argument upon request or upon his or her own initiative. All oral arguments shall be reported and transcribed."], ["49:49:6.1.2.3.5.6.1.4", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "F", "Subpart F\u2014Decision", "", "\u00a7 511.54 Review of initial decision in absence of appeal.", "NHTSA", "", "", "", "The Administrator may, by order, review a case not otherwise appealed by a party. Thereupon the parties shall and participants may file briefs in accordance with \u00a7 511.53(b), (c), (d), (e), and (f) except that the Administrator may, in his or her discretion, establish a different briefing schedule in his or her order. Any such order shall issue within forty (40) days of issuance of the Initial Decision. The order shall set forth the issues which the Administrator will review."], ["49:49:6.1.2.3.5.6.1.5", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "F", "Subpart F\u2014Decision", "", "\u00a7 511.55 Final decision on appeal or review.", "NHTSA", "", "", "", "(a) Upon appeal from or review of an Initial Decision, the Administrator shall consider such parts of the record as are cited or as may be necessary to resolve the issues presented and, in addition, shall, to the extent necessary or desirable, exercise all the powers which he or she could have exercised if he or she had made the Initial Decision.\n\n(b) In rendering his or her decision, the Administrator shall adopt, modify, or set aside the findings, conclusions, and order contained in the Initial Decision, and shall include in his or her Final Decision a statement of the reasons or bases for his or her action. The Administrator shall issue an order reflecting his or her Final Decision."], ["49:49:6.1.2.3.5.6.1.6", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "F", "Subpart F\u2014Decision", "", "\u00a7 511.56 Reconsideration.", "NHTSA", "", "", "", "Within twenty (20) days after issuance of a Final Decision and Order, any party may file with the Administrator a petition for reconsideration of such decision or order, setting forth the relief desired and the grounds in support thereof. Any party desiring to oppose such a petition shall file an answer thereto within ten (10) days after service of the petition. The filing of a petition for reconsideration shall not stay the effective date of the Decision and Order or toll the running of any statutory time period affecting the decision or order unless specifically so ordered by the Administrator."], ["49:49:6.1.2.3.5.6.1.7", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "F", "Subpart F\u2014Decision", "", "\u00a7 511.57 Effective date of order.", "NHTSA", "", "", "", "(a) Consent orders. An order which has been issued following acceptance of an offer of settlement in accordance with \u00a7 511.26 becomes effective upon issuance.\n\n(b) Litigated orders. All other orders become effective upon the expiration of the statutory period for court review specified in section 508(c)(1) of the Motor Vehicle Information and Cost Savings Act, title 15, U.S.C. section 2008(c)(1), Pub. L. 94-163, 89 Stat. 911, or, if a petition for review has been filed, upon court affirmance of the Administrator's order."], ["49:49:6.1.2.3.5.7.1.1", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "G", "Subpart G\u2014Settlement Procedure in Cases of Violation of Average Fuel Economy Standards", "", "\u00a7 511.61 Purpose.", "NHTSA", "", "", "", "This subpart establishes the procedures and requirements necessary to obtain a settlement of a case of violation of section 507 (1) or (2) of the Motor Vehicle Information and Cost Savings Act, as amended, Pub. L. 94-163, 89 Stat. 911 (15 U.S.C. section 2007(1)(2)). No settlement of such cases may be had except as in accordance with this subpart."], ["49:49:6.1.2.3.5.7.1.2", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "G", "Subpart G\u2014Settlement Procedure in Cases of Violation of Average Fuel Economy Standards", "", "\u00a7 511.62 Definitions.", "NHTSA", "", "", "", "Average fuel economy standard means an average fuel economy standard established by or pursuant to the Motor Vehicle Information and Cost Savings Act.\n\nInsolvency means the inability to meet expenses when due.\n\nSettlement means a compromise, modification, or remission of a civil penalty assessed under this part for a violation of an average fuel economy standard."], ["49:49:6.1.2.3.5.7.1.3", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "G", "Subpart G\u2014Settlement Procedure in Cases of Violation of Average Fuel Economy Standards", "", "\u00a7 511.63 Criteria for settlement.", "NHTSA", "", "", "", "Settlement of a case of violation of an average fuel economy standard is discretionary with the Administrator. The Administrator will consider settlement only to the extent:\n\n(a) Necessary to prevent the insolvency or bankruptcy of the person seeking settlement, or\n\n(b) That the violation of the average fuel economy standard resulted, as shown by the person seeking settlement, from an act of God, a strike, or fire, or\n\n(c) That modification of a civil penalty assessed under this part is necessary to prevent lessening of competition, as determined and as certified by the Federal Trade Commission under section 508(b)(4) of the Motor Vehicle Information and Cost Savings Act, Pub. L. 94-163, 89 Stat. 911 (15 U.S.C. section 2008(b)(4))."], ["49:49:6.1.2.3.5.7.1.4", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "G", "Subpart G\u2014Settlement Procedure in Cases of Violation of Average Fuel Economy Standards", "", "\u00a7 511.64 Petitions for settlement; timing, contents.", "NHTSA", "", "", "", "(a) A petition seeking settlement under this subpart must be filed within 30 days after the issuance of a final order assessing a civil penalty for a violation of an average fuel economy standard.\n\n(b)(1) A petition for settlement should be sufficient to allow the Administrator to determine that at least one of the criteria set out in \u00a7 511.63 is satisfied, and that the public interest would be served by settlement.\n\n(2) A petition asserting that settlement is necessary to prevent bankruptcy or insolvency must include:\n\n(i) Copies of all pertinent financial records, auditor's reports, and documents that show that the imposition of a civil penalty would cause insolvency, or would cause a company to do an act of bankruptcy, and\n\n(ii) A payment schedule that would allow the petitioner to pay a civil penalty without resulting in insolvency or an act of bankruptcy.\n\n(3) A petition asserting that the violation of the average fuel economy standard was caused by an act of God, fire, or strike must describe corrective and ameliorative steps taken to mitigate the effects of the act of God, fire, or strike.\n\n(4) A petition based on a certification by the Federal Trade Commission that modification of the civil penalty assessed is necessary to prevent a substantial lessening of competition must include a certified copy of:\n\n(i) The application to the Federal Trade Commission for a certification under section 508(b)(4) of the Motor Vehicle Information and Cost Savings Act, Pub. L. 94-163, 89 Stat. 911 (15 U.S.C. 2008(b)(4)), and materials supporting the application.\n\n(ii) The administrative record of any Federal Trade Commission proceeding held in regard to the application, and\n\n(iii) The certification by the Federal Trade Commission.\n\n(c) It is the policy of the National Highway Traffic Safety Administration that unconditional settlements of violations of average fuel economy standards are not in the public interest, and absent special and extraordinary circumstances, will not be allowed. All petitions for settlement shall contain a section proposing conditions for settlement. Conditions for settlement can be specific acts designed to lead to the reduction of automotive fuel consumption, which the petitioner is not otherwise required to perform pursuant to any statute, regulation, or administrative or judicial order, such as sponsoring public education programs, advertising, accelerating commercial application of technology, accelerating technology development programs, or making public the results of privately performed studies, surveys, or research activities."], ["49:49:6.1.2.3.5.7.1.5", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "G", "Subpart G\u2014Settlement Procedure in Cases of Violation of Average Fuel Economy Standards", "", "\u00a7 511.65 Public comment.", "NHTSA", "", "", "", "Notice and opportunity for comment are provided to the public in regard to settlements under this part. Subject to \u00a7 511.66, notice of receipt of a petition for settlement is published in the Federal Register, and a copy of such petitions and any supporting information is placed in a public docket. Any settlement agreed to by the Administrator shall be placed in the public docket for 30 days so that interested persons may comment thereon. No settlement is binding until the completion of that thirty day period."], ["49:49:6.1.2.3.5.7.1.6", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "G", "Subpart G\u2014Settlement Procedure in Cases of Violation of Average Fuel Economy Standards", "", "\u00a7 511.66 Confidential business information.", "NHTSA", "", "", "", "The Administrator shall have authority to segregate from the public docket and to protect from public view information in support of a petition for settlement which has been determined to be confidential business information. The provisions of 15 U.S.C. 2005(d) pertaining to discretionary release by the Administrator of and to limited disclosure of information determined to be confidential business information shall apply to this section."], ["49:49:6.1.2.3.5.7.1.7", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "G", "Subpart G\u2014Settlement Procedure in Cases of Violation of Average Fuel Economy Standards", "", "\u00a7 511.67 Settlement order.", "NHTSA", "", "", "[53 FR 15783, May 3, 1988]", "If, in accordance with this subpart, the Administrator allows a settlement of a case of violation of an average fuel economy standard, an order of settlement shall be issued, setting out the terms of the settlement, and containing a brief discussion of the factors underlying the exercise of the Administrator's discretion in allowing the settlement, including a discussion of comments received under \u00a7 511.65. If the Administrator rejects a petition for settlement, the Administrator shall give written notice of the rejection and the reasons for the rejection to the parties and the Presiding Officer."], ["49:49:6.1.2.3.5.8.1.1", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "H", "Subpart H\u2014Appearances; Standards of Conduct", "", "\u00a7 511.71 Who may make appearances.", "NHTSA", "", "", "", "A party or participant may appear in person, or by a duly authorized officer, partner, regular employee, or other agent of this party or participant, or by or with counsel or other duly qualified representative, in any proceeding under this part."], ["49:49:6.1.2.3.5.8.1.2", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "H", "Subpart H\u2014Appearances; Standards of Conduct", "", "\u00a7 511.72 Authority for representation.", "NHTSA", "", "", "", "Any individual acting in a representative capacity in any adjudicative proceeding may be required by the Presiding Officer or the Administrator to show his or her authority to act in such capacity. A regular employee of a party who appears on behalf of the party shall be required by the Presiding Officer or the Administrator to show his or her authority to so appear."], ["49:49:6.1.2.3.5.8.1.3", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "H", "Subpart H\u2014Appearances; Standards of Conduct", "", "\u00a7 511.73 Written appearances.", "NHTSA", "", "", "[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]", "(a) Any person who appears in a proceeding shall file a written notice of appearance with the Executive Secretary or deliver a written notice of appearance to the reporter at the hearing, stating for whom the appearance is made and the name, address, and telephone number (including area code) of the person making the appearance and the date of the commencement of the appearance. The written appearance shall be made a part of the record.\n\n(b) Any person who has previously appeared in a proceeding may withdraw his or her appearance by filing a written notice of withdrawal of appearance with the Docket Section. The notice of withdrawal shall state the name, address, and telephone number (including area code) of the person withdrawing the appearance, for whom the appearance was made, and the effective date of the withdrawal of the appearance, and such notice of withdrawal shall be filed within five (5) days of the effective date of the withdrawal of the appearance."], ["49:49:6.1.2.3.5.8.1.4", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "H", "Subpart H\u2014Appearances; Standards of Conduct", "", "\u00a7 511.74 Attorneys.", "NHTSA", "", "", "", "An attorney at law who is admitted to practice before the Federal courts or before the highest court of any State, the District of Columbia, or any territory or Commonwealth of the United States, may practice before the NHTSA. An attorney's own representation that he or she is in good standing before any of such courts shall be sufficient proof thereof, unless otherwise ordered by the Presiding Officer or the Administrator."], ["49:49:6.1.2.3.5.8.1.5", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "H", "Subpart H\u2014Appearances; Standards of Conduct", "", "\u00a7 511.75 Persons not attorneys.", "NHTSA", "", "", "[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15784, May 3, 1988]", "(a) Any person who is not an attorney at law may be admitted to appear in an adjudicative proceeding if that person files proof to the satisfaction of the Presiding Officer that he or she possesses the necessary legal, technical or other qualifications to render valuable service in the proceeding and is otherwise competent to advise and assist in the presentation of matters in the proceedings. An application by a person not an attorney at law to appear in a proceeding shall be submitted in writing to the Docket Section, not later than thirty (30) days prior to the hearing in the proceedings. The application shall set forth the applicant's qualifications to appear in the proceedings.\n\n(b) No person who is not an attorney at law and whose application has not been approved shall be permitted to appear in the Administration's proceedings. However, this provision shall not apply to any person who appears before the NHTSA on his or her own behalf or on behalf of any corporation, partnership, or association of which the person is a partner, officer, or regular employee."], ["49:49:6.1.2.3.5.8.1.6", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "H", "Subpart H\u2014Appearances; Standards of Conduct", "", "\u00a7 511.76 Qualifications and standards of conduct.", "NHTSA", "", "", "", "(a) The NHTSA expects all persons appearing in proceedings before it to act with integrity, with respect, and in an ethical manner. Business transacted before and with the NHTSA shall be in good faith.\n\n(b) To maintain orderly proceedings, the Presiding Officer or the Administrator, as appropriate under this part, may exclude parties, participants, and their representatives for refusal to comply with directions, continued use of dilatory tactics, refusal to adhere to reasonable standards of orderly and ethical conduct, failure to act in good faith, or violation of the prohibition against certain ex parte communications. The Presiding Officer may, in addition to the above sanctions, deny access to additional in camera materials when a party or participant publicly releases such materials without authorization.\n\n(c) An excluded party, participant, or representative thereof may petition the Administrator to entertain an interlocutory appeal in accordance with \u00a7 511.24. If, after such appeal, the representative of a party or participant, is excluded, the hearing shall, at the request of the party or participant, be suspended for a reasonable time so that the party or participant may obtain another representative."], ["49:49:6.1.2.3.5.8.1.7", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "H", "Subpart H\u2014Appearances; Standards of Conduct", "", "\u00a7 511.77 Restrictions as to former members and employees.", "NHTSA", "", "", "", "The postemployee restrictions applicable to former Administrators and NHTSA employees, as set forth in 18 U.S.C. 207, shall govern the activities of former Administrators and NHTSA employees in matters connected with their former duties and responsibilities."], ["49:49:6.1.2.3.5.8.1.8", 49, "Transportation", "V", "", "511", "PART 511\u2014ADJUDICATIVE PROCEDURES", "H", "Subpart H\u2014Appearances; Standards of Conduct", "", "\u00a7 511.78 Prohibited communications.", "NHTSA", "", "", "[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15784, May 3, 1988]", "(a) Applicability. This section is applicable during the period commencing with the date of issuance of a complaint and ending upon final NHTSA action in the matter.\n\n(b) Definitions. (1) \u201cDecision-maker\u201d means those NHTSA personnel who render decisions in adjudicative proceedings under this part, or who advise officials who render such decisions, including:\n\n(i) The Administrator,\n\n(ii) The Administrative Law Judges;\n\n(2) \u201cEx parte communication\u201d means:\n\n(i) Any written communication other than a request for a status report on the proceeding made to a decisionmaker by any person other than a decisionmaker which is not served on all parties,\n\n(ii) Any oral communication other than a request for a status report on the proceeding made to a decisionmaker by any person other than a decisionmaker without advance notice to the parties to the proceeding and opportunity for them to be present.\n\n(c) Prohibited ex parte communications. Any oral or written ex parte communication relative to the merits of a proceeding under this part is a prohibited ex parte communication, except as provided in paragraph (d) of this section.\n\n(d) Permissible ex parte communications. The following communications shall not be prohibited under this section:\n\n(1) Ex parte communications authorized by statute or by this part.\n\n(2) Any staff communication concerning judicial review or judicial enforcement in any matter pending before or decided by the Administrator.\n\n(e) Procedures for handling prohibited ex parte communication \u2014(1) Prohibited written ex parte communication. To the extent possible, a prohibited written ex parte communication received by any NHTSA employee shall be forwarded to the Docket Section rather than to a decisionmaker. A prohibited written ex parte communication which reaches a decisionmaker shall be forwarded by the decisionmaker to the Docket Section. If the circumstances in which a prohibited ex parte written communication was made are not apparent from the communication itself, a statement describing those circumstances shall be forwarded with the communication.\n\n(2) Prohibited oral ex parte communication. (i) If a prohibited oral ex parte communication is made to a decisionmaker, he or she shall advise the person making the communication that the communication is prohibited and shall terminate the discussion.\n\n(ii) In the event of a prohibited oral ex parte communication, the decisionmaker shall forward to the Docket Section a dated statement containing such of the following information as is known to him/her:\n\n(A) The title and docket number of the proceeding;\n\n(B) The name and address of the person making the communication and his/her relationship (if any) to the parties to the proceeding;\n\n(C) The date and time of the communication, its duration, and the circumstances (telephone call, personal interview, etc.) under which it was made;\n\n(D) A brief statement of the substance of the matters discussed;\n\n(E) Whether the person making the communication persisted in doing so after being advised that the communication was prohibited.\n\n(3) All communications and statements forwarded to the Docket Section under this section shall be placed in the public file which shall be associated with, but not made a part of, the record of the proceedings to which the communication or statement pertains.\n\n(4) Service on parties. The Administrator shall serve a copy of each communication and statement forwarded under this section on all parties to the proceedings. However, if the parties are numerous, or if other circumstances satisfy the Administrator that service of the communication or statement would be unduly burdensome, he or she may, in lieu of service, notify all parties in writing that the communication or statement has been made and filed and that it is available for inspection and copying.\n\n(5) Service on maker. The Administrator shall forward to the person who made the prohibited ex parte communication a copy of each communication or statement filed under this section.\n\n(f) Effect of ex parte communications. No prohibited ex parte communication shall be considered as part of the record for decision unless introduced into evidence by a party to the proceedings.\n\n(g) Sanctions. A party or participant who makes a prohibited ex parte communication, or who encourages or solicits another to make any such communication, may be subject to any appropriate sanction or sanctions, including, but not limited to, exclusion from the proceedings and adverse rulings on the issues which are the subject of the prohibited communication."]], "truncated": false, "filtered_table_rows_count": 87, "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": "511"}}, "facet_results": {"title_number": {"name": "title_number", "type": "column", "hideable": false, "toggle_url": "/openregs/cfr_sections.json?part_number=511", "results": [{"value": 49, "label": 49, "count": 57, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&title_number=49", "selected": false}, {"value": 29, "label": 29, "count": 19, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&title_number=29", "selected": false}, {"value": 28, "label": 28, "count": 9, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&title_number=28", "selected": false}, {"value": 21, "label": 21, "count": 2, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&title_number=21", "selected": false}], "truncated": false}, "agency": {"name": "agency", "type": "column", "hideable": false, "toggle_url": "/openregs/cfr_sections.json?part_number=511", "results": [{"value": "NHTSA", "label": "NHTSA", "count": 57, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&agency=NHTSA", "selected": false}, {"value": "DOL-WHD", "label": "DOL-WHD", "count": 19, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&agency=DOL-WHD", "selected": false}, {"value": "BOP", "label": "BOP", "count": 9, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&agency=BOP", "selected": false}, {"value": "FDA", "label": "FDA", "count": 2, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&agency=FDA", "selected": false}], "truncated": false}, "part_number": {"name": "part_number", "type": "column", "hideable": false, "toggle_url": "/openregs/cfr_sections.json?part_number=511", "results": [{"value": "511", "label": "511", "count": 87, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json", "selected": true}], "truncated": false}}, "suggested_facets": [{"name": "title_name", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&_facet=title_name"}, {"name": "chapter", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&_facet=chapter"}, {"name": "subchapter", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&_facet=subchapter"}, {"name": "part_name", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&_facet=part_name"}, {"name": "subpart", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&_facet=subpart"}, {"name": "subpart_name", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&_facet=subpart_name"}, {"name": "amendment_citations", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=511&_facet=amendment_citations"}], "next": null, "next_url": null, "private": false, "allow_execute_sql": true, "query_ms": 221.68790502473712, "source": "Federal Register API & Regulations.gov API", "source_url": "https://www.federalregister.gov/developers/api/v1", "license": "Public Domain (U.S. Government data)", "license_url": "https://www.regulations.gov/faq"}