openregs: cfr_sections: 57 rows where agency = "NHTSA" and part_number = 511 sorted by section

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57 rows where agency = "NHTSA" and part_number = 511 sorted by section_id

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section_id ▼	title_number	title_name	chapter	part_number	part_name	subpart	subpart_name	section_heading	agency	amendment_citations	full_text
49:49:6.1.2.3.5.1.1.1	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	A	Subpart A—Scope of Rules; Nature of Adjudicative Proceedings, Definitions	§ 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—ADJUDICATIVE PROCEDURES	A	Subpart A—Scope of Rules; Nature of Adjudicative Proceedings, Definitions	§ 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—ADJUDICATIVE PROCEDURES	A	Subpart A—Scope of Rules; Nature of Adjudicative Proceedings, Definitions	§ 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: (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. (2) The term NHTSA means the National Highway Traffic Safety Administration. (3) The term Administrator means the Administrator of the National Highway Traffic Safety Administration. (4) The term Complaint Counsel means prosecuting counsel for the NHTSA. (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. (6) The term party means the NHTSA, and any person named as a respondent in a proceeding governed by this part. (7) The term person means any individual, partnership, corporation, association, public or private organization, or Federal, State or municipal governmental entity. (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. (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. (10) The term Respondent means any person against whom a complaint has been issued. (11) The term Office of Hearings means the Officer of Hearings, Department of Transportation. (12) The term staff means the staff of the National Highway Traffic Safety Administration. (13) The term Chief Administrative Law Judge means the Chief Administrative Law Judge of the Office of Hearings, Department of Transportation. (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—ADJUDICATIVE PROCEDURES	B	Subpart B—Pleadings; Form; Execution; Service of Documents	§ 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. (b) Form and content of complaint. The complaint shall be signed by the Complaint Counsel and shall contain the following: (1) Recital of the legal authority for instituting the proceeding, with specific designation of the statutory provisions involved in each allegation. (2) Identification of each respondent. (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. (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. (5) The right of the respondent to a hearing on the alleged violations. (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—ADJUDICATIVE PROCEDURES	B	Subpart B—Pleadings; Form; Execution; Service of Documents	§ 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. (b) Content of answer. An answer shall conform to the following: (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. (2) Contested allegations. An answer in which the allegations of a complaint are contested shall contain: (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. (ii) A concise statement of the factual and/or legal defenses to each allegation of the complaint. (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. (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—ADJUDICATIVE PROCEDURES	B	Subpart B—Pleadings; Form; Execution; Service of Documents	§ 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—ADJUDICATIVE PROCEDURES	B	Subpart B—Pleadings; Form; Execution; Service of Documents	§ 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. (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. (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. (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. (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—ADJUDICATIVE PROCEDURES	B	Subpart B—Pleadings; Form; Execution; Service of Documents	§ 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, “legal holiday” 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. (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. (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—ADJUDICATIVE PROCEDURES	B	Subpart B—Pleadings; Form; Execution; Service of Documents	§ 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. (b) Service of complaint, ruling, order, decision, or subpoena. Service of a complaint, ruling, order, decision, or subpoena may be effected as follows: (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 (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 (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. (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. (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 pr…
49:49:6.1.2.3.5.2.1.7	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	B	Subpart B—Pleadings; Form; Execution; Service of Documents	§ 511.17 Public participation.	NHTSA	[53 FR 15783, May 3, 1988]	Participant Status. Any person interested in a proceeding commenced pursuant to § 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 “participant” and shall have the rights specified in § 511.41(d).
49:49:6.1.2.3.5.2.1.8	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	B	Subpart B—Pleadings; Form; Execution; Service of Documents	§ 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—ADJUDICATIVE PROCEDURES	C	Subpart C—Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement	§ 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: (i) Motions for consolidation of proceedings; (ii) Identification, simplification and clarification of the issues; (iii) Necessity or desirability of amending the pleadings; (iv) Stipulations and admissions of fact and of the content and authenticity of documents; (v) Oppositions to notices of oral examination; (vi) Motions for protective orders to limit or modify discovery; (vii) Issuance of subpoenas to compel the appearance of witnesses and the production of documents; (viii) Limitation of the number of witnesses, particularly the avoidance of duplicate expert witnesses; (ix) Matters of which official notice will be taken and matters which may be resolved by reliance upon findings of other Federal agencies; and (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—ADJUDICATIVE PROCEDURES	C	Subpart C—Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement	§ 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—ADJUDICATIVE PROCEDURES	C	Subpart C—Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement	§ 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 § 511.42(e), shall be addressed to the Presiding Officer, who shall rule upon them promptly after affording an opportunity for response. (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. (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. (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 § 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 o…
49:49:6.1.2.3.5.3.1.4	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	C	Subpart C—Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement	§ 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. (b) Exceptions —(1) Interlocutory appeals to Administrator. The Administrator may, in his or her discretion, entertain interlocutory appeals where a ruling of the Presiding Officer: (i) Requires the production or disclosure of records claimed to be confidential; (ii) Requires the testimony of a supervisory official of the agency other than one especially cognizant of the facts of the matter in adjudication; (iii) Excludes an attorney from participation in a proceeding pursuant to § 511.42(b). (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. (3) Interlocutory appeals from all other rulings —(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. (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 a…
49:49:6.1.2.3.5.3.1.5	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	C	Subpart C—Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement	§ 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. (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. (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. (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 § 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 § 511.24. (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—ADJUDICATIVE PROCEDURES	C	Subpart C—Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement	§ 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. (b) Availability. Any party shall have the opportunity to submit an offer of settlement to the Presiding Officer. (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. (d) Contents. The proposed consent agreement and order which constitute the offer of settlement shall contain the following: (1) An admission of all jurisdictional facts; (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; (3) A description of the alleged noncompliance, or violation; (4) Provisions to the effect that the allegations of the complaint are resolved by the proposed consent agreement and order; (5) A listing of the acts or practices from which the respondent shall refrain; (6) A detailed statement of the corrective action(s) which the respondent shall excute and the civil penalty, if any, that respondent shall pay. (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. (f) Stay of proceedings. When a…
49:49:6.1.2.3.5.4.1.1	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	D	Subpart D—Discovery; Compulsory Process	§ 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 § 511.38. (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. (c) Scope of discovery. The scope of discovery is as follows: (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. (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. (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. (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 m…
49:49:6.1.2.3.5.4.1.2	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	D	Subpart D—Discovery; Compulsory Process	§ 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. (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 § 511.36 with respect to any objection to or other failure to answer an interrogatory. (c) Scope of interrogatories. Interrogatories may relate to any matters which can be inquired into under § 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. (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 …
49:49:6.1.2.3.5.4.1.3	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	D	Subpart D—Discovery; Compulsory Process	§ 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 § 511.31(c)(1) and which are in the possession, custody or control of the party upon whom the request is served. (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. (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 § 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—ADJUDICATIVE PROCEDURES	D	Subpart D—Discovery; Compulsory Process	§ 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 § 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. (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. The 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…
49:49:6.1.2.3.5.4.1.5	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	D	Subpart D—Discovery; Compulsory Process	§ 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 § 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 § 511.38. (b) Notice of oral examination —(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. (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 § 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. (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 ma…
49:49:6.1.2.3.5.4.1.6	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	D	Subpart D—Discovery; Compulsory Process	§ 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 § 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—ADJUDICATIVE PROCEDURES	D	Subpart D—Discovery; Compulsory Process	§ 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: (a) Infer that the admission, testimony, document or other evidence would have been adverse to the party; (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; (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; (d) Order that the party withholding discovery not introduce into evidence or otherwise use at the hearing, information obtained in discovery; (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; (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 (g) Exclude the party or representative from proceedings, in accordance with § 511.42(b). Any 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—ADJUDICATIVE PROCEDURES	D	Subpart D—Discovery; Compulsory Process	§ 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. (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. (c) How obtained —(1) Content of application. An application for the issuance of a subpoena stating reasons shall be submitted in triplicate to the Presiding Officer. (2) Procedure of application. The original and two copies of the subpoena, marked “original,” “duplicate” and “triplicate,” 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. (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 “duplicate” and “triplicate” copies of the subpoena shall be transmitted to the applicant for service in accordance with these Rules; the “original” copy shall be retained by or forwarded to the Chief Counsel for retention in the docket of the proceeding. (e) Service of a subpoena. A subpoena may be served in person or by certified mail, return receipt requested, as provided in § 511.16(b). Service shall be made by delivery of the signed “duplicate” copy to the person named therein. (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 o…
49:49:6.1.2.3.5.4.1.9	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	D	Subpart D—Discovery; Compulsory Process	§ 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 § 511.22, and shall include a showing: (1) That the testimony or other information sought from a witness or prospective witness may be necessary to the public interest; and (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. (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. (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. (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 § 511.37.
49:49:6.1.2.3.5.5.1.1	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	E	Subpart E—Hearings	§ 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. (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. (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. (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 § 511.17(b). (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—ADJUDICATIVE PROCEDURES	E	Subpart E—Hearings	§ 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: (1) To administer oaths and affirmations; (2) To compel discovery and to impose appropriate sanctions for failure to make discovery; (3) To issue subpoenas; (4) To rule upon offers of proof and receive relevant and probative evidence; (5) To regulate the course of the hearings and the conduct of the parties and their representatives therein; (6) To hold conferences for simplification of the issues, settlement of the proceedings, or any other proper purposes; (7) To consider and rule, orally or in writing, upon all procedural and other motions appropriate in an adjudicative proceeding; (8) To issue initial decisions, rulings, and orders, as appropriate; (9) To certify questions to the Administrator for determination; and (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. (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 § 511.76. Any party, participant and/or representative so excluded may appeal to the Administrator in accordance with the provisions of § 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. (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. (d) Interference. In the performance of adjudic…
49:49:6.1.2.3.5.5.1.3	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	E	Subpart E—Hearings	§ 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. (b) Burden of proof. (1) Complaint counsel shall have the burden of sustaining the allegations of any complaint. (2) Any party who is the proponent of a legal and/or factual proposition shall have the burden of sustaining the proposition. (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. (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. (e) Official notice —(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. (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. (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 determi…
49:49:6.1.2.3.5.5.1.4	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	E	Subpart E—Hearings	§ 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. (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. (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. (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—ADJUDICATIVE PROCEDURES	E	Subpart E—Hearings	§ 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. (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: (1) A description of the documents and/or testimony; (2) The reasons for granting in camera treatment for the specified length of time. (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: (i) The in camera materials consist of information obtained by the government from persons not parties to the proceeding; or (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. (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 preparati…
49:49:6.1.2.3.5.5.1.6	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	E	Subpart E—Hearings	§ 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—ADJUDICATIVE PROCEDURES	E	Subpart E—Hearings	§ 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. (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—ADJUDICATIVE PROCEDURES	E	Subpart E—Hearings	§ 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. (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—ADJUDICATIVE PROCEDURES	E	Subpart E—Hearings	§ 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. (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—ADJUDICATIVE PROCEDURES	F	Subpart F—Decision	§ 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. (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: (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. (2) An appropriate order. (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. (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. (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—ADJUDICATIVE PROCEDURES	F	Subpart F—Decision	§ 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—ADJUDICATIVE PROCEDURES	F	Subpart F—Decision	§ 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. (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: (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; (2) A concise statement of the case; (3) A specification of the position urged; (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 (5) A proposed form of order for the Administrator's consideration in lieu of the order contained in the Initial Decision. (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. (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). (e) …
49:49:6.1.2.3.5.6.1.4	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	F	Subpart F—Decision	§ 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 § 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—ADJUDICATIVE PROCEDURES	F	Subpart F—Decision	§ 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. (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—ADJUDICATIVE PROCEDURES	F	Subpart F—Decision	§ 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—ADJUDICATIVE PROCEDURES	F	Subpart F—Decision	§ 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 § 511.26 becomes effective upon issuance. (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—ADJUDICATIVE PROCEDURES	G	Subpart G—Settlement Procedure in Cases of Violation of Average Fuel Economy Standards	§ 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—ADJUDICATIVE PROCEDURES	G	Subpart G—Settlement Procedure in Cases of Violation of Average Fuel Economy Standards	§ 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. Insolvency means the inability to meet expenses when due. Settlement 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—ADJUDICATIVE PROCEDURES	G	Subpart G—Settlement Procedure in Cases of Violation of Average Fuel Economy Standards	§ 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: (a) Necessary to prevent the insolvency or bankruptcy of the person seeking settlement, or (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 (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—ADJUDICATIVE PROCEDURES	G	Subpart G—Settlement Procedure in Cases of Violation of Average Fuel Economy Standards	§ 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. (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 § 511.63 is satisfied, and that the public interest would be served by settlement. (2) A petition asserting that settlement is necessary to prevent bankruptcy or insolvency must include: (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 (ii) A payment schedule that would allow the petitioner to pay a civil penalty without resulting in insolvency or an act of bankruptcy. (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. (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: (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. (ii) The administrative record of any Federal Trade Commission proceeding held in regard to the application, and (iii) The certification by the Federal Trade Commission. (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 co…
49:49:6.1.2.3.5.7.1.5	49	Transportation	V	511	PART 511—ADJUDICATIVE PROCEDURES	G	Subpart G—Settlement Procedure in Cases of Violation of Average Fuel Economy Standards	§ 511.65 Public comment.	NHTSA		Notice and opportunity for comment are provided to the public in regard to settlements under this part. Subject to § 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—ADJUDICATIVE PROCEDURES	G	Subpart G—Settlement Procedure in Cases of Violation of Average Fuel Economy Standards	§ 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—ADJUDICATIVE PROCEDURES	G	Subpart G—Settlement Procedure in Cases of Violation of Average Fuel Economy Standards	§ 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 § 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—ADJUDICATIVE PROCEDURES	H	Subpart H—Appearances; Standards of Conduct	§ 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—ADJUDICATIVE PROCEDURES	H	Subpart H—Appearances; Standards of Conduct	§ 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—ADJUDICATIVE PROCEDURES	H	Subpart H—Appearances; Standards of Conduct	§ 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. (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—ADJUDICATIVE PROCEDURES	H	Subpart H—Appearances; Standards of Conduct	§ 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—ADJUDICATIVE PROCEDURES	H	Subpart H—Appearances; Standards of Conduct	§ 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. (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—ADJUDICATIVE PROCEDURES	H	Subpart H—Appearances; Standards of Conduct	§ 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. (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. (c) An excluded party, participant, or representative thereof may petition the Administrator to entertain an interlocutory appeal in accordance with § 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—ADJUDICATIVE PROCEDURES	H	Subpart H—Appearances; Standards of Conduct	§ 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—ADJUDICATIVE PROCEDURES	H	Subpart H—Appearances; Standards of Conduct	§ 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. (b) Definitions. (1) “Decision-maker” means those NHTSA personnel who render decisions in adjudicative proceedings under this part, or who advise officials who render such decisions, including: (i) The Administrator, (ii) The Administrative Law Judges; (2) “Ex parte communication” means: (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, (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. (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. (d) Permissible ex parte communications. The following communications shall not be prohibited under this section: (1) Ex parte communications authorized by statute or by this part. (2) Any staff communication concerning judicial review or judicial enforcement in any matter pending before or decided by the Administrator. (e) Procedures for handling prohibited ex parte communication —(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 t…

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